[Federal Register Volume 77, Number 231 (Friday, November 30, 2012)]
[Rules and Regulations]
[Pages 71288-71312]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-28230]
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DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
18 CFR Part 35
[Docket No. RM12-3-000; Order No. 770]
Revisions to Electric Quarterly Report Filing Process
AGENCY: Federal Energy Regulatory Commission, DOE.
ACTION: Final rule.
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SUMMARY: The Federal Energy Regulatory Commission (Commission) amends
its regulations to change the process for filing Electric Quarterly
Reports (EQR). Due to technology changes that will render the current
filing process outmoded, ineffective, and unsustainable, the Commission
will discontinue the use of Commission-distributed software to file an
EQR. Instead, the Commission adopts a web-based approach to filing EQRs
that will allow a public or non-public utility to file an EQR directly
through the Commission's Web site, either through a web interface or by
submitting an Extensible Mark-Up Language-formatted file. By adopting a
process with two options for filing EQRs, the Commission seeks to
provide the flexibility needed to accommodate a public or non-public
utility's technical preference. The Commission also requires a public
or non-public utility to identify itself with a company identification
number rather than the existing software-based EQR identifier. The
changes to the process for filing EQRs will apply to EQR filings
beginning with the third quarter 2013 EQR, which will provide data for
July through September 2013.
DATES: Effective date: This rule will become effective April 1, 2013.
FOR FURTHER INFORMATION CONTACT:
Connie Caldwell, Office of Enforcement, Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426, (202) 502-6489,
Connie.Caldwell@ferc.gov.
[[Page 71289]]
Christina Switzer, Office of General Counsel, Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426, (202) 502-6379,
Christina.Switzer@ferc.gov.
SUPPLEMENTARY INFORMATION:
Before Commissioners: Jon Wellinghoff, Chairman; Philip D. Moeller,
John R. Norris, Cheryl A. LaFleur, and Tony T. Clark.
Final Rule
(Issued November 15, 2012)
Table of Contents
Paragraph
Nos.
I. Introduction............................................. 1
II. Background.............................................. 3
III. Discussion............................................. 6
A. Need for Changing the Current EQR Filing Process..... 6
1. NOPR Proposal.................................... 6
2. Comments......................................... 7
3. Commission Determination......................... 8
B. Option One--Web Interface............................ 9
1. NOPR Proposal.................................... 9
2. Comments......................................... 10
3. Commission Determination......................... 12
C. Option 2--XML-Formatted File......................... 16
1. NOPR Proposal.................................... 16
2. Comments......................................... 17
3. Commission Determination......................... 18
D. Validation........................................... 19
1. NOPR............................................. 19
2. Comments......................................... 20
3. Commission Determination......................... 24
E. Company Registration System.......................... 30
1. NOPR Proposal.................................... 30
2. Comments......................................... 31
3. Commission Determination......................... 33
F. Implementation and Compliance........................ 37
1. NOPR Proposal.................................... 37
2. Comments......................................... 38
3. Commission Determination......................... 47
IV. Information Collection Statement........................ 53
V. Environmental Analysis................................... 64
VI. Regulatory Flexibility Act.............................. 65
VII. Document Availability.................................. 71
VIII. Effective Date and Congressional Notification......... 74
Appendix A: List of Commenters
Appendix B: EQR Data Dictionary
I. Introduction
1. The Federal Energy Regulatory Commission (Commission) adopts
changes to the method for filing Electric Quarterly Reports (EQR). Due
to technology changes that will render the current filing process
outmoded, ineffective, and unsustainable, the Commission will
discontinue the use of Commission-distributed software (EQR software)
to file an EQR. Instead, the Commission adopts a web-based approach
that will allow a public or non-public utility to file an EQR directly
through the Commission's Web site, either through a web interface or by
submitting an Extensible Mark-Up Language (XML)-formatted \1\ file (XML
option). The Commission also requires a public utility or non-public
utility to identify itself with a company identification number
(Company Identifier) rather than the existing software-based EQR
identifier (Personal Identification Number (PIN)). The changes to the
process for filing EQRs will apply to EQR filings beginning with the
third quarter (Q3) 2013 EQR, which will provide data for July through
September 2013.
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\1\ XML schemas facilitate the sharing of data across different
information systems, particularly via the Internet, by structuring
the data using tags to identify particular data elements. For
example, each filed EQR will include tags for the relevant
information. The tagged information can be extracted and separately
searched.
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2. Before turning to the requirements in this Final Rule, it is
important to explain certain terms. In the Notice of Proposed
Rulemaking (NOPR), the Commission often used the term ``filer'' in the
description of the two new filing options.\2\ We find that using the
term ``filer'' created confusion because it was not clear whether the
Commission was talking about a public or non-public utility, its agent,
or a respondent. Thus, in this Final Rule, we use the phrase ``EQR
seller'' to mean companies that are authorized to sell power under Part
35 of the Commission's regulations \3\ as well as non-public utilities
\4\ that are
[[Page 71290]]
required to comply with the EQR filing requirements pursuant to the
Electricity Market Transparency Provisions of Section 220 of the
Federal Power Act, Order No. 768.\5\ We use the phrase ``EQR agent'' to
mean an entity that an EQR seller designates to file on its behalf. An
EQR seller will be able to designate multiple EQR agents.\6\ Even when
an EQR agent files on an EQR seller's behalf, the legal obligation for
complying with the EQR requirements remains with the companies that are
authorized to sell power under Part 35 of the Commission's regulations
and non-public utilities, and any inaccuracies are their
responsibility.
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\2\ Revisions to Electric Quarterly Report Filing Process,
Notice of Proposed Rulemaking, FERC Stats. & Regs. ] 32,689 (2012)
(NOPR).
\3\ See Revised Public Utility Filing Requirements, Order No.
2001, 67 FR 31044 (May 8, 2002), FERC Stats. & Regs. ] 31,127 at
30,116, reh'g denied, Order No. 2001-A, 100 FERC ] 61,074, reh'g
denied, Order No. 2001-B, 100 FERC ] 61,342, order directing filing,
Order No. 2001-C, 101 FERC ] 61,314 (2002), order directing filing,
Order No. 2001-D, 102 FERC ] 61,334, order refining filing
requirements, Order No. 2001-E, 105 FERC ] 61,352 (2003), order on
clarification, Order No. 2001-F, 106 FERC ] 61,060 (2004), order
revising filing requirements, Order No. 2001-G, 72 FR 56735 (Oct. 4,
2007), 120 FERC ] 61,270, at PP 10-11, order on reh'g and
clarification, Order No. 2001-H, 73 FR 1876 (Jan. 10, 2008), 121
FERC ] 61,289 (2007), order revising filing requirements, Order No.
2001-I, 73 FR 65526 (Nov. 4, 2008), FERC Stats. & Regs. ] 32,282
(2008).
\4\ ``Non-public utility'' refers to a market participant that
is not a public utility under section 201(f) of the FPA. FPA section
201(f) provides: No provision in this Part shall apply to, or be
deemed to include, the United States, a State or any political
subdivision of a State, an electric cooperative that receives
financing under the Rural Electrification Act of 1936 (7 U.S.C. 901
et seq.) or that sells less than 4,000,000 megawatt hours of
electricity per year, or any agency, authority, or instrumentality
of any one or more of the foregoing, or any corporation which is
wholly owned, directly or indirectly, by any one or more of the
foregoing, or any officer, agent, employee of any of the foregoing
acting as such in the course of his official duty, unless such
provision makes specific reference thereto. 16 U.S.C. 824(f).
\5\ 77 FR 61896 (Oct. 11, 2012), FERC Stats. & Regs. ] 31,336
(2012)(Transparency Rule). In that rulemaking, the Commission
extended the EQR filing requirements to non-public utilities above a
de minimis market presence threshold and adopted new filing
requirements for both public and non-public utilities.
\6\ The process for designating an EQR agent is discussed in
detail below. See supra, section III.E.
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II. Background
3. The purpose of the EQR is to
make available for public inspection, in a convenient form and place
all relevant information relating to public utility rates, terms,
and conditions of service; ensure that information is available in a
standardized, user friendly format; and meet the Commission's
electronic filing option obligation. [Footnote omitted.] These
actions also will allow the public to better participate in and
obtain the full benefits of wholesale electric power markets while
minimizing the reporting burden on public utilities.\7\
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\7\ Order No. 2001, FERC Stats. & Regs. ] 31,127 at 30,116.
The EQR allows public utilities to fulfill their responsibility
under section 205(c) \8\ of the FPA to have rates on file in a
convenient form and place.\9\ Non-public utilities will file EQRs to
meet the requirements under section 220 of the FPA,\10\ as explained in
the Electricity Market Transparency Provisions of Section 220 of the
Federal Power Act, Order No. 768.\11\
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\8\ 16 U.S.C. 824d(c).
\9\ Order No. 2001, FERC Stats. & Regs. ] 31,127 at P 31.
\10\ EPAct 2005, Public Law 109-58, 119 Stat. 594 (2005).
\11\ Transparency Rule, FERC Stats. & Regs. ] 31,336. In that
rulemaking, the Commission extended the EQR filing requirements to
non-public utilities above a de minimis market presence threshold
and adopted new filing requirements for both public and non-public
utilities.
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4. Prior to the issuance of Order No. 2001, the Commission required
all public utilities to file in paper format all short-term and long-
term service agreements for cost-based and market-based power sales as
well as service agreements for generally applicable services (such as
point-to-point transmission service). In Order No. 2001, the Commission
replaced the paper filing requirement with an electronic filing
requirement.\12\
The Commission specified that EQRs should ``be prepared in
conformance with the Commission's software and guidance posted and
available for downloading from the FERC Web site (http://www.ferc.gov).'' \13\ Since the fourth quarter of 2002, the Commission
has posted on its Web site a Commission-developed Visual FoxPro
application for filing EQRs (EQR software) that runs on Microsoft
Windows-based computers.\14\
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\12\ The Commission has refined and clarified the EQR filing
requirements set forth in Order No. 2001 in response to changes in
the industry and the Commission's rules and regulations. For
example, the Commission has required EQR sellers to report all
transmission capacity reassignments and proposed to revise the EQR
Data Dictionary to add ``Simultaneous Exchange'' to the list of
available product names. See Preventing Undue Discrimination and
Preference in Transmission Service, Order No. 890, 72 FR 12266 (Mar.
15, 2007), FERC Stats. & Regs. ] 31,241, at P 817, order on reh'g,
Order No. 890-A, 73 FR 2984 (Jan. 16, 2008), FERC Stats. & Regs. ]
31,261 (2007), order on reh'g and clarification, Order No. 890-B, 73
FR 39092 (July 8, 2008), 123 FERC ] 61,299 (2008), order on reh'g,
Order No. 890-C, 74 FR 12540 (Mar. 25, 2009),126 FERC ] 61,228
(2009), order on clarification, Order No. 890-D, 74 FR 61511 (Nov.
25, 2009), 129 FERC ] 61,126 (2009); Revised Public Utility Filing
Requirements for Electric Quarterly Reports, Notice of Proposed
Rulemaking, 77 FR 16494 (Mar. 21, 2012), FERC Stats. & Regs. ]
32,687 (2012).
\13\ 18 CFR 35.10b.
\14\ See Notice Providing Detail On Electric Quarterly Reports
Software Availability and Announcing Schedule for Software
Demonstrations, Docket No. RM01-8-000 (Dec. 20, 2002).
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5. On June 21, 2012, the Commission issued a NOPR in this
proceeding to propose changes to the EQR electronic filing process.\15\
On July 11, 2012, the Commission held a technical conference to present
the two new proposed options for filing EQRs. On July 27, 2012, the
Commission posted on its Web site a draft of the XML schema (draft XML
schema) for the proposed XML option so that interested parties would be
able to view the draft XML schema prior to submitting comments on the
NOPR.\16\ The Commission also posted a ``Frequently Asked Questions''
document on its Web site in response to questions raised at the July 11
technical conference.\17\ The Commission received eight comments in
response to the NOPR.\18\
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\15\ NOPR, FERC Stats. & Regs. ] 32,689.
\16\ Notice of Availability of Draft XML Schema, Docket No.
RM12-3-000 (July 27, 2012). The draft XML-schema is available on the
Commission's Web site at http://www.ferc.gov/docs-filing/eqr.asp.
\17\ The Frequently Asked Questions document is also available
on the Commission's Web site at http://www.ferc.gov/docs-filing/eqr.asp.
\18\ See Appendix A for a list of commenters and their
abbreviated names used here. We note that Southern California Edison
joins EEI's comments.
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III. Discussion
A. Need for Changing the Current EQR Filing Process
1. NOPR Proposal
6. In the NOPR, the Commission stated that, pursuant to the
Commission's regulations,\19\ EQR sellers and agents must download EQR
software from the Commission's Web site. The Commission explained that
this software was built with Visual FoxPro development tools and must
be installed on a Windows-based computer. The Commission identified
certain disadvantages with the current filing process, such as the fact
that Microsoft, the vendor of Visual FoxPro, announced in 2007 that it
would no longer sell or issue new versions of Visual FoxPro and would
not provide support for the software after 2015. The Commission also
explained that data limitations make the EQR software outmoded,
ineffective, and unsustainable.\20\ The Commission stated that the
changes proposed in the NOPR support the goals of Executive Order 13579
\21\ because the Commission proposed to modify a filing process that
has become outmoded and ineffective. \22\
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\19\ 18 CFR 35.10b.
\20\ NOPR, FERC Stats. & Regs. ] 32,689 at P 4.
\21\ Regulation and Independent Regulatory Agencies, Exec. Order
13579, 76 FR 41587 (2011). Through this Executive Order, the
President requested that executive agencies retrospectively analyze
their agency's rules and that those found to be outmoded,
ineffective, insufficient, or excessively burdensome be modified,
streamlined, expanded, or repealed in accordance with the results of
that analysis.
\22\ NOPR, FERC Stats. & Regs. ] 32,689 at P 5.
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2. Comments
7. Commenters understand the technical limitations of the existing
software and the Commission's decision to discontinue it.\23\ Pacific
Gas and Electric commends the Commission for its ongoing efforts to
enhance the efficiency of the EQR data gathering and reporting
process.\24\
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\23\ See, e.g., Idaho Power at 2; Pacific Gas and Electric at 1.
\24\ Pacific Gas and Electric at 1.
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3. Commission Determination
8. We conclude that the proposed changes to the method for filing
EQRs are appropriate. As explained in the NOPR, continuing to rely on
the current EQR software is unsustainable because Microsoft will no
longer sell or issue
[[Page 71291]]
new versions of Visual FoxPro.\25\ Further, the data limitations of the
current software make it untenable for use going forward.\26\ As the
Commission also explained, the move from a software-based approach to a
web-based approach will eliminate the need for EQR sellers and agents
to download software from the Commission's Web site.\27\ In addition, a
web-based approach for EQR filing is device-independent, which
eliminates the need for EQR sellers and agents to use a Windows-based
computer to file an EQR.\28\ We also note that the new filing process
will allow EQR sellers and agents to access and revise EQR data filed
prior to Q3 2013.
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\25\ NOPR, FERC Stats. & Regs. ] 32,689 at P 4.
\26\ Id.
\27\ Id. P 6.
\28\ Id.
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B. Option One--Web Interface
1. NOPR Proposal
9. In the NOPR, the Commission proposed to offer a web interface on
the Commission's Web site that allows EQR sellers and agents to
continue to enter data in the comma-delimited text (CSV) format but
without the need to download the EQR software.\29\ The Commission
stated that this option would minimize the changes for EQR sellers and
agents and streamline the filing process by eliminating the need for
EQR sellers and agents to enter or import the data into a software
application.
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\29\ Id.
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2. Comments
10. Commenters generally support the web interface option as long
as the transition from the current filing process is not overly
difficult or costly.\30\ Some commenters argue that they cannot fully
comment on the web interface option without a live demonstration.\31\
EEI believes that the web interface will allow (1) companies to upload
complete sets of data from prior EQRs, and then edit the information to
reflect changes in the current quarter, rather than having to start
each new EQR from a blank slate; (2) companies to upload new data in
the same CSV format as the current software; and (3) multiple staff
within each company or outside the company with the company's
permission to fill out and review portions of an EQR, though only one
person can be editing a particular EQR at any one time.\32\
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\30\ See, e.g., EEI at 4; Energy Services Providers at 3; Idaho
Power at 3.
\31\ See, e.g., Idaho Power at 3; Pacific Gas and Electric at 4-
5.
\32\ EEI at 5.
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11. EPSA requests that the Commission clarify that the proposed web
interface option will be a long-term alternative to the XML option that
will not be phased out in favor of the latter.\33\
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\33\ EPSA at 3.
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3. Commission Determination
12. We adopt the web interface as one of two new EQR filing
options. As explained in the NOPR, this option will minimize the
changes for EQR sellers and agents and streamline the filing process by
eliminating the need for EQR sellers and agents to first enter or
import the data into a software application then send it, via Internet,
to the Commission. We are offering this option to make the transition
from the current EQR software to the web interface minimally
disruptive. We direct Commission staff to continue to be available to
answer questions, conduct technical conferences, and post guidance
documents on the Commission's Web site as needed.
13. We emphasize that, as explained in the NOPR, the web interface
will allow EQR sellers and agents to continue to enter data in much the
same way as they currently do: By entering individual fields by hand
(an option used primarily by EQR sellers that have little data to
report) or by uploading data in CSV format. Also, we note that, except
for minor changes, the data elements of the EQR will remain the
same.\34\
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\34\ The only proposed changes to the EQR data elements adopted
here relate to the addition of a field for the identification of the
EQR seller and the elimination of the respondent field. See
discussion infra section III.E. For recent changes to the EQR filing
requirements, see Transparency Rule, FERC Stats. & Regs. ] 31,336.
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14. We also point out that, in designing the web interface,
Commission staff has sought to provide the same, if not better,
functionality than is provided in the current EQR software. For
example, once one quarter has been filed in the web interface, a copy
forward function will allow EQR sellers and agents to copy forward
complete sets of identification and contract data and then edit the
data to reflect changes in the current quarter.\35\ Also, an EQR seller
will be able to designate more than one EQR agent to input data on its
behalf. Finally, the use of a web interface will minimize, if not
eliminate, many common EQR filing problems that are due to (1)
conflicts between the current EQR software and other software on the
EQR seller or agent's computer or (2) issues associated with initiating
and supporting the communication functions of the current EQR software.
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\35\ To assist in the transition to the web interface option,
the EQR seller or agent can import contract data from the Q2 2013
EQR filing made via the current EQR software into the new web
interface after the file is revised to accommodate any new required
fields. See discussion infra section III.F. However, as under the
current EQR software, the web interface will not permit the EQR
seller or agent to copy transaction data forward because the
transactions must correspond to the EQR's designated calendar
quarter.
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15. Finally, we intend to support the web interface option until
such time as it is no longer needed.
C. Option 2--XML-Formatted File
1. NOPR Proposal
16. In the NOPR, the Commission proposed a second EQR filing option
that allows EQR sellers and agents to file EQR data via XML-formatted
files.\36\ The Commission identified various advantages to the XML
option. For example, an XML schema allows EQR sellers and agents to
test whether their data is consistent with the filing standards before
uploading it to the Commission, thereby improving their ability to
comply with the EQR filing requirement and increasing confidence that
the Commission receives the intended information.\37\
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\36\ NOPR, FERC Stats. & Regs. ] 32,689 at P 7.
\37\ Id.
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2. Comments
17. Pacific Gas and Electric believes that the XML option is a
promising solution.\38\ Pacific Gas and Electric states that the XML
format provides the greatest flexibility for processing large amounts
of data and the greatest opportunity to accurately validate data.
However, Pacific Gas and Electric notes that converting data to XML
format requires a software program, authored in-house or by a vendor,
that can create, submit, and store and manage the EQR report.\39\ Idaho
Power supports this filing option if it is similar to the current
filing method and is not overly burdensome and/or does not require
major changes to Idaho Power's internal systems.\40\ Other commenters
do not object to the XML option if it is voluntary and not the sole
means of submission.\41\ EEI supports allowing companies to switch
between the web interface and XML options from one EQR to another.\42\
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\38\ Pacific Gas and Electric at 6.
\39\ Id. at 5.
\40\ Idaho Power at 2.
\41\ See, e.g., EEI at 7; Energy Services Providers at 3; EPSA
at 4; Idaho Power at 4-5.
\42\ EEI at 7.
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3. Commission Determination
18. We adopt the XML option as the second of two new filing
options. This
[[Page 71292]]
option allows EQR sellers and agents to file their EQR data in an XML-
formatted file. While we find that allowing EQR sellers and agents to
use the XML option offers several advantages, as highlighted by Pacific
Gas and Electric, and will facilitate the filing of EQRs, we stress
that using the XML option is voluntary. Alternatively, EQR sellers and
agents can choose to file via the web interface. An EQR seller may use
the web interface to file their EQR for one quarter and use the XML
option to file their EQR in another quarter, but an EQR seller cannot
use both options to file its EQR in the same quarter.
D. Validation
1. NOPR
19. In the NOPR, the Commission explained that an XML schema
includes rules and data checks. This allows EQR sellers and agents to
test the consistency of their data with the Commission's filing
standards, thereby improving the ability to comply with EQR filing
requirements and ensures that the Commission receives the intended
information.\43\ The Commission further noted in the NOPR that these
data checks are not available in a CSV file.
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\43\ NOPR, FERC Stats. & Regs. ] 32,689 at P 7.
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2. Comments
20. Energy Compliance Consulting requests that the Commission make
available as soon as possible all of the criteria that the Commission
will use to validate an EQR prior to its acceptance for filing.\44\
Energy Compliance Consulting notes that, contrary to the statement in
the posted FAQ document, the draft XML schema posted on the
Commission's Web site contains data elements that EQR filers are not
currently required to provide.\45\ Energy Compliance Consulting
requests that the Commission explain this discrepancy.\46\
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\44\ Energy Compliance Consulting at 3.
\45\ Id. at 2-3.
\46\ Id. at 3.
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21. EPSA argues that any new filing method should meet or exceed
the validation capabilities of the Visual FoxPro-based EQR
software.\47\ EPSA asserts that EQR users have not been presented with
meaningful information on how validation checks will be designed for
either the web interface or the XML filing option.\48\ EEI believes
that the web interface will allow companies to upload, edit, and check
for errors in the data before actually filing the EQR; provide pre-
filing error checks and validations for completeness and compliance
with filing requirements; and provide error messages to allow companies
to correct problems before filing their EQRs.\49\ EEI and Links
Technology Solutions ask that the Commission provide a permanent
testing facility (sandbox), like the eTariff sandbox test site, so that
filers can check the basic construction of their XML files and perform
basic types of data checks.\50\
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\47\ EPSA at 4-5.
\48\ EPSA at 5.
\49\ EEI at 5.
\50\ See, e.g., EEI at 8; Links Technology Solutions at 2.
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22. Based on information provided during the technical conference,
Pacific Gas and Electric argues that providing email notification for
any validation errors encountered during upload may cause a significant
delay in correcting errors and providing timely EQRs.\51\ Pacific Gas
and Electric claims that using email messages reduces EQR filers'
ability to be quickly alerted of validation errors, which undercuts the
Commission's effort to create a new system on par with, or better than,
the Visual FoxPro-based EQR software.\52\ Pacific Gas and Electric
suggests the web-based system should (1) include on-screen error
reports that are interactive (with links to the error records) or a
user-friendly form (like a spreadsheet) that allows the EQR filer to
immediately and accurately address validation errors, and (2) allow
batch corrections to the error records.\53\ Pacific Gas & Electric
notes that generally accepted data validation rules, which require the
validation process to stop when a critical error is detected, leave
open the possibility that after receiving an error notification and
remedying a set of errors, an EQR filer could receive further error
messages every time the validation routine stops because a critical
error is detected.\54\ Pacific Gas and Electric is concerned about the
impact of this process on timely EQR filing.\55\
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\51\ Pacific Gas and Electric at 7.
\52\ Id.
\53\ Id.
\54\ Id.
\55\ Id. at 7-8.
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23. Pacific Gas and Electric also states that, while it generally
supports the Commission's proposal to alter the EQR user authentication
methodology, it is concerned about who will have access to the
sandbox.\56\ Pacific Gas and Electric asserts that restricting access
to only those people authorized to file on behalf of a client, as
suggested at the technical conference, will reduce the filing entities'
current ability to allow anyone within a given company to download a
copy of the current EQR distributed software, load data, and run
validation checks to test some or all of its filing data.\57\ Thus,
Pacific Gas and Electric requests that the Commission provide
authentication protocols in the new system that address these
concerns.\58\
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\56\ Id. at 8.
\57\ Id.
\58\ Id.
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3. Commission Determination
24. We find that the validation process in the web interface and
XML-format options will be similar to or better than the validation
process in the current EQR software. We further find that the
validation processes strike an appropriate balance between the needs
identified by commenters and the Commission's resources. We appreciate
Energy Compliance Consulting's request that all the criteria which will
be used to validate an EQR filing prior to its acceptance be made
available as soon as possible. The validation criteria are currently
under development, and the Commission will make these available to the
public as soon as they are complete. As for the discrepancy between the
posted draft XML schema and FAQ document, we note that the draft XML
schema mistakenly included additional data elements that were not
included in the NOPR.
25. Under both of the new EQR filing options, EQR sellers and
agents will be able to log into their eRegistration accounts, load data
and run the validation check. Once an EQR is submitted, the EQR seller
or agent that submitted the EQR will receive the following three
emails: (1) A receipt email that acknowledges that the EQR has been
received; (2) a validation email that will list any business rule
errors, such as listing a transaction under a contract without entering
the contract in the contract section; and (3) an acceptance/rejection
email stating that the EQR is accepted if all validations are passed or
is rejected if any validations fail. The EQR seller and all of its
designated EQR agents will receive the validation email and the
acceptance/rejection email. The validation email will provide a list of
the errors that are contained in submitted data. The system will review
the entire submission prior to creating and sending the validation
report. Due to the number of potential occurrences, the report may not
list all instances of the error, but the EQR seller or agent will be
alerted that that type of error has occurred. Once the EQR seller or
agent has found and corrected all errors in the submission, the EQR
data will be accepted for filing.
26. In addition, both filing options will include a ``Test Only''
option so
[[Page 71293]]
that EQR sellers and agents can submit their filing for data validation
prior to final submission. With respect to the web interface option, we
also have taken steps to address EPSA's request for in-time validation
checks by including some validation checks that will appear on-screen
as the EQR seller or agent inputs the data. These validation checks are
the same as or similar to the validation checks that appear when an EQR
seller or agent uses the current EQR software. For example, an on-
screen error message will appear if a field is left empty that must be
filled, or if an alphabetical character is entered in a numeric field.
After the EQR seller or agent submits its filing, it will receive a
validation email that will provide business logic and data format
errors and line numbers within the body of the email.
27. Pacific Gas and Electric expressed concern that the issuance of
validation emails after the occurrence of each critical error may slow
the filing process. We are not able to avoid the additional time that
the detection of multiple critical errors will add to the filing
process. Validating for business logic errors after a filing is
submitted will allow the Commission to maintain the system during high
volumes of filings. However, we note that EQR sellers and agents will
have the option to run a data validation check prior to submitting the
EQR to the Commission using the ``Test Only'' feature, which should
help alleviate Pacific Gas and Electric's concerns. Moreover, the
Commission expects that the new EQR filing process will be able to
process revised EQR data more quickly and efficiently because it will
have the ability to process only revised data, rather than needing to
process the entire data set to overwrite the previously submitted data,
as currently is the case. By decreasing the amount of processing
capability needed for data updates, the Commission will increase the
available computer capacity for processing the simultaneous filing of
EQRs, resulting in quicker processing of both EQRs and revised EQRs. We
also encourage EQR sellers and agents to submit EQRs early in the
filing period, which starts on the first day after the end of the
quarter providing an entire month to validate the data.
28. With respect to the XML option, we do not find an eTariff type
sandbox is necessary because the ability to test an EQR filing is
integrated into the new system. Specifically, XML files can be imported
into the Web interface, where the EQR seller or agent can select the
``Test Only'' option to receive the validation email for that EQR
filing. Additionally, EQR sellers and agents may use one of many XML
parser programs available free on-line to check whether their XML file
is consistent with the EQR XML schema. The parser will check for data
formatting errors, which an EQR seller or agent can then correct. If
there are business logic errors that were undetected by the parser, a
validation email will notify the EQR seller and agent contacts.
29. We decline to adopt Pacific Gas and Electric's request to
include the ability to perform batch corrections to records that
contain errors. The current EQR software does not provide a way to
perform batch corrections; and we are not persuaded to include that
capability in the new filing options. This correction method could
arbitrarily and incorrectly change the contents of an EQR. We note,
however, that EQR sellers and agents who intend to file by uploading
CSV or XML files can develop their own batch correction processes to
respond to validation errors.
E. Company Registration System
1. NOPR Proposal
30. In the NOPR, the Commission proposed to replace the PIN number
identification system with the Company Registration System used for
eTariff filings.\59\ The Commission explained that the PIN system is
part of the EQR software, and as part of the transition away from this
software application, the Commission must provide a new manner to
identify EQR sellers. The Commission stated that, as part of the
development of the eTariff system, the Commission directed each
publicly regulated company to file its tariffs, rate schedules,
jurisdictional contracts, and other jurisdictional agreements with a
Company Identifier. Accordingly, the Commission stated that it does not
anticipate that the use of a Company Identifier in the EQR filing
process will create an undue burden for publicly regulated companies
that file their Commission-jurisdictional tariffs and agreements
because they already have Company Identifiers. The Commission also
stated that it did not anticipate that the use of the Company
Identifier will be unduly burdensome for an EQR filer that does not
have an existing Company Identifier because the registration process on
the Commission's Web site is straightforward and no more difficult than
the current filer identification process. The Commission also noted
that an advantage of using the Company Identifier for EQR filings is
that it will make filer identification consistent with other
filings.\60\
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\59\ NOPR, FERC Stats. & Regs. ] 32,689 at P 9.
\60\ Id.
---------------------------------------------------------------------------
2. Comments
31. EEI supports the Commission's plan to continue to accommodate a
wide variety of EQR filing arrangements, including (1) filings
submitted on behalf of respondents that are not registered companies
(i.e., entities that do not have Company Identifiers); (2) a single
respondent filing on behalf of multiple sellers; (3) a single seller
submitting multiple EQRs for the same quarter through different
respondents; (4) a seller that consists of multiple registered
companies or an unregistered service company; and (5) law-firm
personnel and others filing as agents for respondents.\61\ However, EEI
states that the Commission may need to provide additional flexibility
as to individuals and entities that can register and obtain a Company
Identifier using the eRegistration system.\62\ EEI asks the Commission
to allow filings by anyone who has the necessary Company Identifier and
password without limiting filings to a pre-approved list of specific
individuals.\63\ EEI urges the Commission to post instructions for
company registration similar to the instructions that the Commission
posted for company registration for eTariff.\64\
---------------------------------------------------------------------------
\61\ EEI at 3.
\62\ Id. at 4. This document is located on the Commission's Web
site at http://www.ferc.gov/docs-filing/company-registration-instruct.pdf, and the current version is dated October 6, 2011.
\63\ Id.
\64\ Id. (citing FERC Secretary of the Commission, eTariff
Instructions for Company Registration (2009), http://www.ferc.gov/docs-filing/company-registration-instruct.pdf (The Commission up-
dated the instructions on October 6, 2011)).
---------------------------------------------------------------------------
32. Based on information provided at the technical conference, EPSA
asks the Commission to reconsider requiring companies to designate in
advance of making a filing who is authorized to make EQR filings.\65\
EPSA states that its members have cautioned that requiring companies to
designate in advance who is permitted to file their EQRs may prove more
unwieldy than anticipated.\66\ EPSA states that its members own
numerous project companies and that the administrative burden
associated with initially designating agents and back-up agents on what
could be over fifty company registrations and changing each of those
delegations in anticipation of staffing changes or in case of
emergencies is unnecessary.\67\ EPSA further states that
[[Page 71294]]
there are already security protections in place to ensure an authorized
person is making filings with the Commission.\68\ Finally, EPSA asserts
that, because Commission staff's approval of modifications to a
company's registration can take up to 24 hours to become effective, a
company's filing may become untimely.\69\ EPSA states that, in the
eTariff context, where delegations are not needed and thus
modifications to company registration are not routine, the modification
of company registrations has delayed filings.\70\
---------------------------------------------------------------------------
\65\ EPSA at 5.
\66\ Id.
\67\ Id.
\68\ Id. at 6.
\69\ Id.
\70\ Id.
---------------------------------------------------------------------------
3. Commission Determination
33. The Commission adopts the requirement for EQR sellers to
identify themselves using a Company Identifier. As explained in the
NOPR, the PIN system is part of the current EQR software. Therefore, as
part of the transition away from the EQR software, the Commission must
provide a new manner to identify EQR sellers. Instead of building a new
identification system for submitting EQRs, we will utilize the company
registration system that was created for eTariff. Using the company
registration system to identify EQR sellers allows the Commission to
make filer identification consistent with other Commission filings and
is familiar to public utilities that use eTariff. Under the new EQR
filing system, all EQR sellers will be identified in EQR filings by
their Company Identifier.\71\
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\71\ The current PIN system requires an EQR seller to share its
PIN and password with all individuals that it wants to allow to file
on its behalf, and we do not consider this to be a safe practice. We
believe that this creates the potential for unanticipated problems
and that it is not the most secure method of filing.
---------------------------------------------------------------------------
34. To make an EQR filing, the EQR seller will request a Company
Identifier through the Commission's Company Registration System.\72\
The EQR seller will be able to maintain a list of eRegistered EQR
agents whom the EQR seller has authorized to submit EQR filings on its
behalf.\73\ An EQR seller can designate multiple individuals as its
agents. The EQR agent will use its eRegistration account to log onto
FERC Online,\74\ and select from a list of EQR seller(s) that have
designated the individual as EQR agent.
---------------------------------------------------------------------------
\72\ See http://www.ferc.gov/docs-filing/company-reg.asp. Many
EQR sellers have a Company Identifier and do not need to request a
new Company Identifier. If an EQR seller is not sure whether it
already has a Company Identifier, it can check the list of Company
Identifiers on the Commission's Web site at http://www.ferc.gov/industries/electric/gen-info/reg-ent.asp.
\73\ An individual must eRegister before an EQR seller can
designate that person as an EQR agent. See http://www.ferc.gov/docs-filing/eregistration.asp.
\74\ See http://www.ferc.gov/docs-filing/ferconline.asp.
---------------------------------------------------------------------------
35. We understand that requiring EQR sellers to designate agents
that have eRegistered is more burdensome than the current system.
However, after the initial burden of designating EQR agents, we
anticipate that it will be minimally burdensome for an EQR seller to
manage its EQR agent list. For instance, since an EQR seller may
designate an unlimited number of agents, if one agent is unable to file
in a given quarter, another agent will be able to make the filing.
Finally, in response to EPSA's concern, Commission staff will not
review changes that a company makes to the list of EQR agents
associated with its Company Identifier account. These changes will be
instantaneous.\75\
---------------------------------------------------------------------------
\75\ We note that Commission staff does review applications for
a Company Identifier account and that review can take up to several
days.
---------------------------------------------------------------------------
36. We note that the new identification system will provide an
electronic record of the EQR agent(s) that have filed an EQR on behalf
of an EQR seller. Accordingly, we will eliminate the respondent fields
from the EQR data dictionary because it no longer provides useful
information to the Commission or the public. We are aware that some
companies use the respondent field to indicate that a service company
or parent company is filing on behalf of several operating companies or
affiliates that are the EQR sellers. While a parent company or service
company may file EQRs on behalf of EQR sellers, an individual will need
to be eRegistered and designated as an agent of the EQR sellers. The
designated agent may then file an EQR on behalf of the EQR seller. EEI
also suggests that an EQR seller could be a service company. We note
that a service company may be listed as an EQR seller if the service
company is authorized to sell power under Part 35 of the Commission's
regulations, or if a public utility's tariff authorizes the service
company to act on its behalf.\76\
---------------------------------------------------------------------------
\76\ See Order No. 2001-G, 120 FERC ] 61,270 at PP 10-11 (``the
agent may be identified as the Seller if the company's tariff
authorizes the agent to make the sales.'').
---------------------------------------------------------------------------
F. Implementation and Compliance
1. NOPR Proposal
37. In the NOPR, the Commission proposed that implementation of any
changes to the process for filing EQRs will apply to EQR filings
beginning with the Q3 2013 EQR, providing data for July through
September 2013.\77\ The Commission stated that implementing the changes
within that time period should provide EQR sellers with sufficient time
to weigh the two options and file their Q3 2013 EQR in a timely manner.
---------------------------------------------------------------------------
\77\ NOPR, FERC Stats. & Regs. ] 32,689 at P 11.
---------------------------------------------------------------------------
2. Comments
38. Some commenters request that the Commission extend the
compliance date.\78\ For example, EEI requests that the compliance date
be at least one full year after the Commission issues a Final Rule and
the EQR filing web interface is pre-tested, corrected, and available
for general use before withdrawing the current FoxPro-based software
filing option.\79\ EEI states that this time would give companies a
chance to test the new web interface and iron out any problems before
the current FoxPro-based software is no longer an option.\80\
---------------------------------------------------------------------------
\78\ See, e.g., EEI at 8; Links Technology Solutions at 2;
Pacific Gas and Electric at 6.
\79\ EEI at 8.
\80\ EEI at 8.
---------------------------------------------------------------------------
39. As for the XML filing option, commenters argue that it takes at
least 12 months to develop and test software to file in XML and to
train staff on using the software.\81\ Pacific Gas and Electric states
that software vendors cannot design and offer products to customers
until they have a final XML schema document.\82\ Pacific Gas and
Electric asserts that it is only after vendors make their products
available that customers can evaluate and purchase products, and begin
retooling their internal business processes to accommodate the new EQR
requirements.\83\ Thus, Pacific Gas and Electric requests that the
Commission give regulated entities one year from the date a Final Rule
is published in the Federal Register to make the necessary internal
data collection changes and to acquire, install, and test the software
to file new-system EQR submittals.\84\ Similarly, EEI requests that the
Commission provide a full year after it issues a final XML Data
Structure and XML Data Values, holds a technical conference to discuss
the XML filing option, and issues a Final Rule in this proceeding
before withdrawing the current software.\85\
---------------------------------------------------------------------------
\81\ See, e.g., EEI at 8; Pacific Gas and Electric at 6.
\82\ Pacific Gas and Electric at 6.
\83\ Pacific Gas and Electric at 6.
\84\ Pacific Gas and Electric at 6.
\85\ EEI at 8.
---------------------------------------------------------------------------
40. Several commenters assert that the Commission should conclude
any other EQR-related rulemakings before changing the EQR filing
process so that filers do not need to modify their system
[[Page 71295]]
multiple times.\86\ In addition, EEI also states that the Commission
will need to keep the web interface and XML schema up-to-date to
accommodate any future changes to the EQR, providing adequate notice of
such changes and time for EQR filers and software vendors to adopt the
changes.\87\
---------------------------------------------------------------------------
\86\ See, e.g., EEI at 9-10; Energy Compliance Consulting at 2;
EPSA at 6, 9-10.
\87\ EEI at 10.
---------------------------------------------------------------------------
41. EEI and Idaho Power recommend that the Commission allow filers
to file their EQR in the current software and proposed new web
interface during the transition period.\88\ Idaho Power recommends that
the Commission do so for a minimum of two reporting periods after the
proposed implementation date listed in the NOPR.\89\ EEI asserts that
this time would ensure that filers will not be penalized because of
problems with the web interface or XML option.\90\ Idaho Power states
that this grace period will give filers time to transition, train, and
modify existing internal systems.\91\ In the alternative, Idaho Power
recommends and supports thorough testing by a representative sample of
filers prior to the proposed implementation date in the NOPR to
identify and correct system issues.\92\
---------------------------------------------------------------------------
\88\ See, e.g., EEI at 9; Idaho Power at 3-4.
\89\ Idaho Power at 3.
\90\ EEI at 9.
\91\ Idaho Power at 3.
\92\ Id. at 4.
---------------------------------------------------------------------------
42. Several commenters request that the Commission hold a second
technical conference that includes a live demonstration of the new
filing options.\93\ Idaho Power states that Commission staff should
provide a thorough live demonstration of the proposed web interface,
including but not limited to walking through the steps of a complete
start to finish EQR filing.\94\ Energy Compliance Consulting states
that the demonstration should show more completely how filers will
interact with the software and include the submission of very large
files and files with numerous errors so that prospective users will
know how the system will present those errors and what the time will be
compared to the current EQR software.\95\ EEI states that the
demonstration should be available by computers and should accommodate
questions and provide answers in real time, similar to an EQR user
group conference call.\96\ Pacific Gas and Electric requests that the
Commission schedule another technical conference in the near future to
further present system functionalities and capabilities because a Final
Rule in this matter may establish a level of certainty about the
technical functions and behavior of the new system on both the server
and client side of the equation.\97\
---------------------------------------------------------------------------
\93\ See, e.g., EEI at 6; Energy Compliance Consulting at 4;
Idaho Power at 4; Pacific Gas and Electric at 9.
\94\ Idaho Power at 4.
\95\ Energy Compliance Consulting at 4.
\96\ EEI at 7.
\97\ Pacific Gas and Electric at 9.
---------------------------------------------------------------------------
43. EEI asserts that filers and vendors may have questions about
adopting the structure and values for use in filing EQR data in XML
format.\98\ Therefore, EEI encourages the Commission to hold a
conference call/meeting to discuss the XML option only so that the
Commission can answer questions about use of the data structure and
values, correct problems, and help avoid errors in use of the
option.\99\
---------------------------------------------------------------------------
\98\ EEI at 7.
\99\ Id. at 7-8.
---------------------------------------------------------------------------
44. Some commenters recommend that the Commission work with
companies and software vendors to test the proposed new web interface
before it goes public.\100\ EEI states that problems may include
missing functions that the software currently provides, inability to
upload data required in various columns or rows, errors in how the web
interface handles data being uploaded, or unclear filing
instructions.\101\ EEI encourages the Commission to ensure that the new
web interface is fully tested for anomalies and corrected to remove
problems before it is made available for general use.\102\ EEI offers
to ask for volunteers for this effort from among its members.\103\
---------------------------------------------------------------------------
\100\ See, e.g., EEI at 6; Energy Compliance Consulting at 5.
\101\ EEI at 6.
\102\ Id. at 5-6.
\103\ Id. at 6.
---------------------------------------------------------------------------
45. CAISO and Idaho Power state that, based on the technical
conference and FAQ document, it appears as though the copy forward
function will not be available for the initial Q3 2013 EQR filing so
that respondents will be responsible for transferring all data to the
new web interface.\104\ CAISO and Idaho Power assert that requiring
respondents to enter all of the pre-existing data manually rather than
through an automated procedure would be burdensome and strain filers'
time and resources.\105\ Idaho Power requests that the Commission
develop an automated method, or provide detailed instructions on how to
load or transfer the existing data from the FoxPro system into the new
system for the initial web interface filing.\106\ Similarly, CAISO
argues that the Commission should be responsible for populating the
database that underlies the new web interface with the data from the
EQR respondents' Q2 2013 EQR.\107\ CAISO asserts that the Commission
already will possess all of the data submitted by respondents for Q2
2013 EQR, and thus be better situated to perform the necessary data
transfer.\108\ CAISO also asserts that it is concerned that errors may
be introduced into the data if the process of incorporating previously
submitted data is made more complicated than the current copy forward
method.\109\
---------------------------------------------------------------------------
\104\ CAISO at 4; Idaho Power at 4.
\105\ CAISO at 3; Idaho Power at 4.
\106\ Idaho Power at 4.
\107\ CAISO at 3-4.
\108\ Id. at 3.
\109\ Id. at 4-5.
---------------------------------------------------------------------------
46. EEI states that the proposed changes to the regulatory text are
too ambiguous, particularly the reference to ``as otherwise provided to
the public'' because it does not specify where and how the Commission
will provide such guidance.\110\ EEI also suggests that the Commission
publish notices in the Federal Register anytime the Commission posts
generally applicable guidance or similar documents on the Commission's
Web site to ensure that the regulated community has prompt and adequate
notices of the new information.\111\ Thus, EEI recommends that the
Commission modify the proposed regulatory text to read, ``Electric
Quarterly Reports must be prepared in conformance with Commission
guidance being published in the Federal Register.'' \112\
---------------------------------------------------------------------------
\110\ EEI at 11.
\111\ Id. at 11-12.
\112\ Id. at 12.
---------------------------------------------------------------------------
3. Commission Determination
47. We direct EQR sellers to comply with the changes to the process
for filing EQRs beginning with the Q3 2013 EQR, providing data for July
through September 2013. We find that this time period provides EQR
sellers with sufficient time to choose between the two filing options,
transition to the new filing process, and file their Q3 2013 EQR in a
timely manner. We disagree with commenters that argue that EQR sellers
will need up to a year to adapt to the new filing options. As explained
above,\113\ the web interface option will operate similar to the
current software and should not require significant changes to an EQR
seller's existing internal system. An EQR seller that would like to
file using the XML option, but is not prepared to do so by the filing
deadline for Q3 2013 EQR, can file
[[Page 71296]]
through the web interface until it is able to transition to the XML
option.
---------------------------------------------------------------------------
\113\ See discussion supra section III.A.
---------------------------------------------------------------------------
48. Starting with Q3 of 2013, we will no longer be able to accept
EQR filings submitted through the current EQR software. In the
Transparency Rule, the Commission revised the EQR filing requirements,
adding some fields and deleting others.\114\ Due to technical
limitations, the Commission cannot add the new fields to the current
EQR software. Therefore, consistent with the compliance deadline in the
Transparency Rule, EQR sellers must file using the new filing process
beginning with Q3 of 2013.
---------------------------------------------------------------------------
\114\ Transparency Rule, FERC Stats. & Regs. ] 31,336.
---------------------------------------------------------------------------
49. As explained throughout this Final Rule, the Commission will
assist EQR sellers and agents in transitioning to the new filing
process. The Commission directs staff to hold technical conferences to
explain the new filing process as needed. However, the Commission will
not offer a live demonstration of the new EQR filing options because
the technology is still in development and will not be completed until
after the rulemaking process is complete.
50. The Commission cannot pre-populate the new filing Web interface
with Q2 2013 EQR data because the Web interface will include new fields
that will not be present in the Q2 2013 EQR. However, we remind EQR
sellers and agents that the current EQR software includes the ability
to export a CSV file. EQR sellers and agents can export a CSV file from
the EQR software that companies could then use, after revisions have
been made to accommodate new requirements, to import into the new web-
based system.
51. We agree with EEI that the reference to ``as otherwise provided
to the public'' in the proposed regulatory text is ambiguous.
Accordingly, we have removed that phrase from the regulatory text
adopted in this Final Rule, and adopt text that states that ``Electric
Quarterly Reports must be prepared in conformance with the Commission's
guidance posted on the FERC Web site (http://www.ferc.gov).'' We
disagree with EEI that the Commission should publish a notice in the
Federal Register every time the Commission posts new guidance on the
Commission's Web site. The Commission publishes notices when it
proposes changes to existing requirements, but we do not find it
necessary to publish a notice in the Federal Register whenever the
Commission posts, for example, answers to frequently asked questions.
IV. Information Collection Statement
52. The Office of Management and Budget (OMB) requires that OMB
approve certain information collection and data retention requirements
imposed by agency rules.\115\ Therefore, the Commission is submitting
the proposed modifications to its information collection statement to
OMB for review and approval in accordance with section 3507(d) of the
Paperwork Reduction Act of 1995.\116\
---------------------------------------------------------------------------
\115\ 5 CFR 1320.11(b) (2010).
\116\ 44 U.S.C. 3507(d) (2006).
---------------------------------------------------------------------------
53. OMB's regulations require approval of certain information
collection requirements imposed by agency rules. Upon approval of a
collection(s) of information, OMB will assign an OMB control number and
an expiration date. Respondents subject to the filing requirements of a
rule will not be penalized for failing to respond to these collections
of information unless the collections of information display a valid
OMB control number.
54. The Commission is submitting these reporting requirements to
OMB for its review and approval under section 3507(d) of the Paperwork
Reduction Act. Comments were solicited on the Commission's need for
this information; whether the information will have practical utility;
the accuracy of provided burden estimates; ways to enhance the quality,
utility, and clarity of the information to be collected; and any
suggested methods for minimizing the respondent's burden, including the
use of automated information techniques.\117\
---------------------------------------------------------------------------
\117\ NOPR, FERC Stats. & Regs. ] 32,689 at P 13.
---------------------------------------------------------------------------
55. Some commenters question the Commission's burden estimate.\118\
Energy Compliance Consulting states that there is no explanation of why
a utility's membership in a regional transmission organization (RTO)
would affect its filing burden.\119\ Energy Compliance Consulting also
states that it is unclear whether the burden estimate assumes how many,
if any, utilities will move to the new XML format.\120\ Pacific Gas and
Electric asserts that the Commission's burden estimates fall short of
the cost of transitioning to the XML option.\121\
---------------------------------------------------------------------------
\118\ See, e.g., Energy Compliance at 5; Pacific Gas and
Electric at 6.
\119\ Energy Compliance Consulting at 5.
\120\ Energy Compliance Consulting at 5.
\121\ Pacific Gas and Electric at 6.
---------------------------------------------------------------------------
56. We find that a public utility's membership in an RTO or
independent transmission system operator (ISO) should not affect the
burden of complying with the Final Rule. Consequently, for this Final
Rule, we estimate that the one-time burden hours, the recurring burden
hours, and the average annual burden hours will be the same for all EQR
sellers, irrespective of membership in an RTO or ISO. We have broken
out EQR sellers by RTO/ISO membership status simply to be consistent
with the way that the Commission estimated the average burden per
respondent associated with the existing EQR system in a separate filing
submitted to OMB.\122\
---------------------------------------------------------------------------
\122\ See NOPR, Stats. & Regs. ] 32,689 at n.17.
---------------------------------------------------------------------------
57. In the NOPR, the Commission estimated the number of hours
required for public utilities to comply with the minimum requirements
included in the NOPR. While public utilities may opt to use the XML
option, we consider the move to the Web interface to be a less
burdensome option for public utilities because it builds upon the
automated systems that they have developed to enter data into the
current EQR software. Thus, the Commission's burden estimate did not
estimate how many public utilities will voluntarily transition to the
XML option or the number of hours required for a public utility to
transition to the XML option.
58. The Commission's estimates of the average public reporting
burden and cost related to the proposed rule in Docket RM12-3-000 are
as follows:
[[Page 71297]]
Final Rule in RM12-3-000 on Electric Quarterly Report
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Number of Implementing (one-time) burden Recurring operating burden per respondent per Average annual burden per respondent
responses per respondent response \123\ (implementation averaged over years 1-3)
Number of per -------------------------------------------------------------------------------------------------------------------------------
respondents respondent
per year Burden hours Cost ($) Burden hours \124\ Cost ($) Burden hours Cost ($)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Companies within non-California RTO, 405 4 20 $1,434.50 no change............. no change............. 6.67.................. $478.17.
and large cos. within Cal. RTO.
Medium/small companies within Cal. 20 4 20 $1,434.50 no change............. no change............. 6.67.................. $478.17.
RTO.
Companies not within RTO............ 663 4 20 $1,434.50 no change............. no change............. 6.67.................. $478.17.
Companies with no transactions...... 695 4 20 $1,434.50 no change............. no change............. 6.67.................. $478.17.
Sub-Total--All Public Utilities 1,783 4 35,660 $2,557,713.50 no change............. no change............. 11,892.61............. $852,577.11.
(Existing Filers).
Non Public Utilities (New Filers)... 53 4 .............. .............. no change............. no change............. no change............. no change.
Total--All Utilities............ 1,836 4 35,660 $2,557,713.50 no change............. no change............. 11,892.61............. $852,577.11.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
59. The total estimated one-time implementation burden and cost
for all respondents is 35,660 hours (1,783 x 20 hours), and
$2,557,713.50 (1,783 x $1,434.50). Averaging this one-time
implementation burden and cost over Years 1-3 yields an annual total
burden of 11,892.61 hours (1,783 x 6.67) and an annual total cost of
$852,577.11 (1,783 x $478.17)
---------------------------------------------------------------------------
\123\ The Commission expects no change or a slight decrease in
the Recurring Operating Burden per Respondent per Response under the
new filing system (when compared to quarterly filings for current
filers under the existing system).
\124\ For the current EQR software and reporting requirements,
the Commission estimates the average burden per respondent per
quarterly filing to be: 32 hours for Companies within non-California
RTO, and large companies within the California RTO; 80 hours for
medium/small Companies within the California RTO; 3 hours for
Companies not within an RTO; and 0.083 hours [5 minutes] for
Companies with no transactions.
---------------------------------------------------------------------------
60. We recognize that there will be an initial implementation
burden for current EQR sellers (filers) associated with reviewing
instructions, revising filing process, obtaining a Company Identifier,
designating an agent(s), and filing EQR data through the new system. We
estimate a burden of 20 hours per existing respondent for this one-
time, initial implementation burden. The Transparency Rule requires
non-public utilities to file EQRs for the first time in Q3 of 2013,
consistent with the implementation date of this Final Rule.\125\ Non-
public utilities will file for the first time using the new filing
options and will not need to transition from the current EQR software.
Therefore, we estimate no change for non-public utilities.
---------------------------------------------------------------------------
\125\ Transparency Rule, FERC Stats. & Regs. ] a P 31,336. The
burden on non-public utilities associated with filing EQRs was
captured in the Transparency Rule. In the Transparency Rule, the
Commission estimated per non-public utility 400 hours for one-time
implementation, and 19 hours for recurring burden for each quarterly
filing. The estimated average annual burden per non-public utility
(with implementation averaged over Years 1-3) was 209.33 hours.
---------------------------------------------------------------------------
61. To help with the implementation of this Final Rule, we will
direct Commission staff to convene a staff-led technical conference for
industry participants to demonstrate the two new options for filing
EQRs. The conference will be available by webcast, which should
minimize travel and other costs associated with participation in the
conference. We will also direct staff to assist in transitioning to the
new process. Commission staff's technical conference and assistance
should minimize the initial implementation burden.
62. For the recurring effort involved in electronically submitting
EQR data on a quarterly basis to the Commission, we anticipate that
there will be no change or a slight burden reduction for current filers
compared to the burden of making quarterly filings under the current
system.
Information Collection Costs: We estimate the cost of compliance
per existing respondent will be $1,434.50, for one-time implementation
of the changes proposed in this Final Rule. We estimate that the
implementation costs will be as follows: \126\
---------------------------------------------------------------------------
\126\ Hourly average wage is an average and was calculated using
Bureau of Labor Statistics (BLS), Occupational Employment Statistics
data for May 2011 (for NAICS 221100--Electric Power Generation,
Transmission and Distribution, at http://bls.gov/oes/current/naics4_221100.htm#00-0000) for the senior accountant, financial
analyst, information technology analyst, and support staff. The
average hourly figure for legal staff is a composite from BLS and
other resources.
---------------------------------------------------------------------------
Legal staff (at $250/hour), for 2 hours, costing $500
Senior accountant (at $51.38/hr.), financial analyst (at
$68.12/hr.), and/or support staff (at $35.99/hr.), averaged at $51.83/
hr., for a total of 2 hours, costing $103.66
Information technology analyst (at $57.24/hour), for 12
hours, costing $686.88
Support staff (at $35.99/hr), for 4 hours, costing
$143.96.
TITLE: FERC-920,\127\ Electric Quarterly Report, OMB Control No.
1902-0255.
---------------------------------------------------------------------------
\127\ The Commission is separating the EQR reporting
requirements from the remaining reporting requirements under FERC-
516 (Electric Rate Schedules and Tariff Filings, OMB Control No.
1902-0096). After implementation of this Final Rule and issuance of
an OMB decision, the EQR burden figures will be removed from FERC-
516.
---------------------------------------------------------------------------
Action: Proposed new EQR filing system and associated additional
reporting requirements.
Respondents: Electric utilities.
Frequency of Responses: Initial implementation and quarterly
filings (beginning Q3 of 2013).
Need For Information: We are implementing changes to the method for
filing EQRs. We are replacing a filing system that requires the use of
Commission software with a system that would allow an EQR seller to
file EQR data directly through the Commission's Web site, either
through a Web interface or by submitting an XML-formatted file. We are
also requiring the EQR seller to identify itself with a Company
Identifier that will be assigned through the Commission's Company
Registration System.
[[Page 71298]]
Internal Review: We have reviewed the changes and determined that
the changes are necessary. These requirements conform to the
Commission's need for efficient information collection, communication,
and management within the energy industry. We have assured ourselves,
by means of internal review, that there is specific, objective support
for the burden estimates associated with the information collection
requirements.
63. Interested persons may obtain information on the reporting
requirements by contacting: Federal Energy Regulatory Commission, 888
First Street NE., Washington, DC 20426 [Attention: Ellen Brown, Office
of the Executive Director, email: DataClearance@ferc.gov, Phone: (202)
502-8663, fax: (202) 273-0873]. Comments on the requirements of this
rule may also be sent to the Office of Information and Regulatory
Affairs, Office of Management and Budget, Washington, DC 20503
[Attention: Desk Officer for the Federal Energy Regulatory Commission].
For security reasons, comments should be sent by email to OMB at oira_submission@omb.eop.gov. Please reference OMB Control No. 1902-0255,
FERC-920, and Docket No. RM12-3 in your submission.
V. Environmental Analysis
64. 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.\128\ The
actions taken here fall within categorical exclusions in the
Commission's regulations for information gathering, analysis, and
dissemination.\129\ Therefore, an environmental assessment is
unnecessary and has not been prepared in this rulemaking.
---------------------------------------------------------------------------
\128\ Regulations Implementing the National Environmental Policy
Act, Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs.
Preambles 1986-1990 ] 30,783 (1987).
\129\ 18 CFR 380.4(a)(5).
---------------------------------------------------------------------------
VI. Regulatory Flexibility Act
65. The Regulatory Flexibility Act of 1980 (RFA) \130\ generally
requires a description and analysis of final rules that will have
significant economic impact on a substantial number of small entities.
The RFA mandates consideration of regulatory alternatives that
accomplish the stated objectives of a proposed rule and that minimize
any significant economic impact on a substantial number of small
entities. The SBA's Office of Size Standards develops the numerical
definition of a small business.\131\ The SBA has established a size
standard for electric utilities, stating that a firm is small if,
including its affiliates, it is primarily engaged in the transmission,
generation and/or distribution of electric energy for sale and its
total electric output for the preceding twelve months did not exceed
4,000,000 MWh.\132\
---------------------------------------------------------------------------
\130\ 5 U.S.C. 601-612.
\131\ 13 CFR 121.101.
\132\ 13 CFR 121.201, Sector 22, Utilities & n.1.
---------------------------------------------------------------------------
66. As discussed in Order No. 2000,\133\ in making this
determination, the Commission is required to examine only the direct
compliance costs that a rulemaking imposes upon small businesses. It is
not required to consider indirect economic consequences, nor is it
required to consider costs that an entity incurs voluntarily.
---------------------------------------------------------------------------
\133\ See Regional Transmission Organizations, Order No. 2000,
65 FR 809 (Jan. 6, 2000), FERC Stats. & Regs. ] 31,089, at 31,237 &
n.754 (1999), order on reh'g, Order No. 2000-A, 65 FR 12,088 (Mar.
8, 2000), FERC Stats. & Regs. ] 31,092 (2000), aff'd sub nom. Pub.
Util. Dist. No. 1 of Snohomish, County Washington v. FERC, 272 F.3d
607, 348 U.S. App. DC 205 (DC Cir. 2001) (citing Mid-Tex Elec. Coop.
v. FERC, 773 F.2d 327 (DC Cir. 1985) (Commission need only consider
small entities ``that would be directly regulated''); Colorado State
Banking Bd. v. RTC, 926 F.2d 931 (10th Cir. 1991) (Regulatory
Flexibility Act not implicated where regulation simply added an
option for affected entities and did not impose any costs)).
---------------------------------------------------------------------------
67. For non-public utilities, the Commission exempts under the de
minimis market presence threshold non-public utilities that make
4,000,000 MWh or less of annual wholesale sales (based on an average of
the wholesale sales it made in the preceding three years).\134\ This de
minimis threshold excludes small, non-public utilities. Therefore, this
Final Rule will not have a significant economic impact on any small,
non-public utility.
---------------------------------------------------------------------------
\134\ Transparency Rule, FERC Stats. & Regs. ] 31,336 at P 54.
---------------------------------------------------------------------------
68. For public utilities, based on analysis of the EQR filings made
in the four quarters of 2011, there are 1,783 entities that currently
file an EQR, but given clearly identifiable affiliate relationships
that number is reduced to 1,215 entities. Of those, 97 reported more
than 4,000,000 MWh of wholesale sales in the EQR. Of the remaining
1,118 entities that reported less than 4,000,000 MWh of wholesales
sales in the EQR, 641 filed transactions in the EQR. The rest that
would be subject to this Final Rule, 477 entities, did not file
transactions in any quarter of 2011; we conclude that this Final Rule
will minimally affect them.
69. As for the remaining 641 entities, we note that there are two
types of companies among those currently filing EQRs that merit
additional consideration. First, there are investor-owned public
utilities that make both wholesale and retail sales. The SBA's
definition of a small utility is based on a utility's total electric
output for the preceding twelve months, which includes a public
utility's retail sales. However, our estimate in this section is based
on information available in the EQR, which includes annual wholesale
sales but not retail sales. If we were able to include retail sales, we
believe that most investor-owned public utilities that currently file
EQRs make more than 4,000,000 MWh annual wholesale and retail sales and
thus would not be classified as small. Second, there are power
marketers that often do not own or control generation or transmission
and may be affiliated with companies that are not primarily engaged in
the sale of electric energy (such as financial institutions or hedge
funds).\135\ However, information regarding whether a power marketer is
affiliated with another company is generally not included in an EQR
filing, making it difficult to determine the number of small entities
that are affiliated with a larger company, thereby leading to an
inflated estimate of the number of companies affected by this Final
Rule that are truly small.
---------------------------------------------------------------------------
\135\ Some of these such as Google, Occidental Chemical and
ONEOK may not qualify as small in their primary area of business and
are participating in the electric market as part of an overall
corporate strategy.
---------------------------------------------------------------------------
70. Furthermore, to ease the burden of implementation for all EQR
sellers, we will minimize the changes which EQR sellers will experience
because the Commission is adopting two options for filing EQRs: the Web
interface and XML. The estimated one-time implementation cost per EQR
seller is $1,434.50. We anticipate no change or a slight reduction in
the burden for the recurring quarterly EQR filings. In addition, small
entities generally have few or no transactions and corresponding
minimal recurring burden. We note that EQR sellers may request, on an
individual basis, waiver from the Commission's EQR reporting
requirements. Thus, we certify that this proposed rule will not have a
significant impact on a substantial number of small entities.
VII. Document Availability
71. 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
[[Page 71299]]
during normal business hours (8:30 a.m. to 5:00 p.m. Eastern time) at
888 First Street NE., Room 2A, Washington DC 20426.
72. From FERC's Home Page on the Internet, this information is
available on eLibrary. The full text of this document is available on
eLibrary in PDF and Microsoft Word format for viewing, printing, and/or
downloading. To access this document in eLibrary, type the docket
number excluding the last three digits of this document in the docket
number field.
73. User assistance is available for eLibrary and the FERC's Web
site during normal business hours from FERC Online Support at (202)
502-6652 (toll free at 1-866-208-3676) or email at
ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502-
8371, TTY (202) 502-8659. Email the Public Reference Room at
public.referenceroom@ferc.gov.
VIII. Effective Date and Congressional Notification
74. These regulations are effective April 1, 2013. The Commission
has determined, with the concurrence of the Administrator of the Office
of Information and Regulatory Affairs of OMB, that this rule is not a
``major rule'' as defined in section 351 of the Small Business
Regulatory Enforcement Fairness Act of 1996.
List of Subjects in 18 CFR Part 35
Electric power rates, Electric utilities, Reporting and
recordkeeping requirements.
By direction of the Commission.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
In consideration of the foregoing, the Commission amends 18 CFR
part 35 as follows:
PART 35--FILIING OF RATE SCHEDULES AND TARIFFS
0
1. The authority citation for Part 35 continues to read as follows:
Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42
U.S.C. 7101-7352.
0
2. Section 35.10b is amended by revising the second sentence to read as
follow:
Sec. 35.10b Electric Quality Reports.
* * * Electric Quarterly Reports must be prepared in conformance
with the Commission's guidance posted on the FERC Web site (http://www.ferc.gov).
Note: The following appendices A and B will not appear in the Code
of Federal Regulations:
Appendix A: Abbreviated Names of Commenters
------------------------------------------------------------------------
Commenters Abbreviation
------------------------------------------------------------------------
California Independent System Operator CAISO
Corporation.
Edison Electric Institute.............. EEI
Electric Power Supply Association...... EPSA
Energy Compliance Consulting, LLC...... Energy Compliance Consulting
Energy Services Providers, Inc.,....... Energy Services Providers
Connecticut Gas & Electric, Inc., and ...............................
Massachusetts Gas & Electric Inc..
Idaho Power Company.................... Idaho Power
Links Technology....................... Links
Solutions, Inc......................... Technology Solutions
Pacific Gas and Electric Company....... Pacific Gas and Electric
Southern California Edison Company..... Southern California Edison
------------------------------------------------------------------------
Appendix B: EQR Data Dictionary
Electric Quarterly Report Data Dictionary Version 2.1 (issued November
15, 2012) \136\
---------------------------------------------------------------------------
\136\ This version of Appendix B replaces the version that was
included with Revisions to Electric Quarterly Report Filing Process,
Order No. 770, 141 FERC ] 61,120 (2012).
EQR Data Dictionary
----------------------------------------------------------------------------------------------------------------
Field No.
--------------------------- Field Required Value Definition
Old New
----------------------------------------------------------------------------------------------------------------
ID Data
----------------------------------------------------------------------------------------------------------------
1........... 1........... Filer Unique [check]........... FS (where (Seller)--An identifier
Identifier. ``'' is (e.g., ``FS1'',
an integer). ``FS2'') used to
designate a record
containing Seller
identification
information in a comma-
delimited (csv) file
that is imported into
the EQR filing. One
record for each seller
company may be
imported into an EQR
for a given quarter.
[[Page 71300]]
1........... 1........... Filer Unique [check]........... FA1............... (Agent)--An identifier
Identifier. (i.e., ``FA1'') used
to designate a record
containing Agent
identification
information in a comma-
delimited (csv) file
that is imported into
the EQR filing. Only
one record with the
FA1 identifier may be
imported into an EQR
for a given quarter.
2........... 2........... Company Name....... [check]........... Unrestricted text (Seller)--The name of
(100 characters). the company that is
authorized to make
sales as indicated in
the company's FERC
tariff(s).
2........... 2........... Company Name....... [check]........... Unrestricted text (Agent)--The name of
(100 characters). the entity completing
the EQR filing. The
Agent's Company Name
need not be the name
of the company under
Commission
jurisdiction.
3........... X........... ................... .................. .................. .......................
3........... Company Identifier. [check]........... A 7-digit integer (Seller)--Identifier
proceeded by the obtained through the
letter ``C''. Commission's Company
Registration system.
3........... 4........... Contact Name....... [check]........... Unrestricted text (Seller)--The name of
(50 characters). the contact for the
company authorized to
make sales as
indicated in the
company's FERC
tariff(s).
3........... 4........... Contact Name....... [check]........... Unrestricted text (Agent)--Name of the
(50 characters). contact for the Agent,
usually the person who
prepares the filing.
4........... 5........... Contact Title...... [check]........... Unrestricted text Title of contact
(50 characters). identified in Field
Number 4.
5........... 6........... Contact Address.... [check]........... Unrestricted text. Street address for
contact identified in
Field Number 4.
6........... 7........... Contact City....... [check]........... Unrestricted text City for the contact
(30 characters). identified in Field
Number 4.
7........... 8........... Contact State...... [check]........... Unrestricted text Two character state or
(2 characters). province abbreviations
for the contact
identified in Field
Number 4.
8........... 9........... Contact Zip........ [check]........... Unrestricted text Zip code for the
(10 characters). contact identified in
Field Number 4.
9........... 10.......... Contact Country [check]........... CA--Canada........ Country (USA, Canada,
Name. MX--Mexico........ Mexico, or United
US--United States. Kingdom) for contact
UK--United Kingdom address identified in
Field Number 4.
10.......... 11.......... Contact Phone...... [check]........... Unrestricted text Phone number of contact
(20 characters). identified in Field
Number 4.
11.......... 12.......... Contact E-Mail..... [check]........... Unrestricted text. E-mail address of
contact identified in
Field Number 4.
12.......... 13.......... Transactions [check]........... Y (Yes)........... Filers should indicate
Reported to Index N (No)............ whether they have
Price Publisher(s). reported their sales
transactions to index
price publisher(s). If
they have, filers
should indicate
specifically which
index publisher(s) in
Field Number 73.
13.......... 14.......... Filing Quarter..... [check]........... YYYYMM............ A six digit reference
number used by the EQR
software to indicate
the quarter and year
of the filing for the
purpose of importing
data from csv files.
The first 4 numbers
represent the year
(e.g., 2007). The last
2 numbers represent
the last month of the
quarter (e.g., 03=1st
quarter; 06=2nd
quarter, 09=3rd
quarter, 12=4th
quarter).
----------------------------------------------------------------------------------------------------------------
EQR Data Dictionary Contract Data
----------------------------------------------------------------------------------------------------------------
14.......... 15.......... Contract Unique ID. [check]........... An integer An identifier beginning
proceeded by the with the letter ``C''
letter ``C'' and followed by a
(only used when number (e.g., ``C1'',
importing ``C2'') used to
contract data). designate a record
containing contract
information in a comma-
delimited (csv) file
that is imported into
the EQR filing. One
record for each
contract product may
be imported into an
EQR for a given
quarter.
15.......... 16.......... Seller Company Name [check]........... Unrestricted text The name of the company
(100 characters). that is authorized to
make sales as
indicated in the
company's FERC
tariff(s). This name
must match the name
provided as a Seller's
``Company Name'' in
Field Number 2 of the
ID Data (Seller Data).
[[Page 71301]]
16.......... 17.......... Customer Company [check]........... Unrestricted text The name of the
Name. (70 characters). counterparty.
17.......... X........... ................... .................. .................. .......................
17.......... 18.......... Contract Affiliate. [check]........... Y (Yes)........... The customer is an
N (No)............ affiliate if it
controls, is
controlled by or is
under common control
with the seller. This
includes a division
that operates as a
functional unit. A
customer of a seller
who is an Exempt
Wholesale Generator
may be defined as an
affiliate under the
Public Utility Holding
Company Act and the
FPA.
18.......... 19.......... FERC Tariff [check]........... Unrestricted text The FERC tariff
Reference. (60 characters). reference cites the
document that
specifies the terms
and conditions under
which a Seller is
authorized to make
transmission sales,
power sales or sales
of related
jurisdictional
services at cost-based
rates or at market-
based rates. If the
sales are market-
based, the tariff that
is specified in the
FERC order granting
the Seller Market
Based Rate Authority
must be listed.
19.......... 20.......... Contract Service [check]........... Unrestricted text Unique identifier given
Agreement ID. (30 characters). to each service
agreement that can be
used by the filing
company to produce the
agreement, if
requested. The
identifier may be the
number assigned by
FERC for those service
agreements that have
been filed with and
accepted by the
Commission, or it may
be generated as part
of an internal
identification system.
20.......... 21.......... Contract Execution [check]........... YYYYMMDD.......... The date the contract
Date. was signed. If the
parties signed on
different dates, use
the most recent date
signed.
21.......... 22.......... Commencement Date [check]........... YYYYMMDD.......... The date the terms of
of Contract Terms. the contract reported
in fields 18, 23 and
25 through 44 (as
defined in the data
dictionary) became
effective. If those
terms became effective
on multiple dates
(i.e.: due to one or
more amendments), the
date to be reported in
this field is the date
the most recent
amendment became
effective. If the
contract or the most
recent reported
amendment does not
have an effective
date, the date when
service began pursuant
to the contract or
most recent reported
amendment may be used.
If the terms reported
in fields 18, 23 and
25 through 44 have not
been amended since
January 1, 2009, the
initial date the
contract became
effective (or absent
an effective date the
initial date when
service began) may be
used.
22.......... 23.......... Contract If specified in YYYYMMDD.......... The date that the
Termination Date. the contract. contract expires.
23.......... 24.......... Actual Termination If contract YYYYMMDD.......... The date the contract
Date Extension. terminated. actually terminates.
24.......... 25.......... Extension Provision [check]........... Unrestricted text. Description of terms
Description. that provide for the
continuation of the
contract.
25.......... 26.......... Class Name......... [check]........... .................. See definitions of each
class name below.
25.......... 26.......... Class Name......... [check]........... F--Firm........... For transmission sales,
a service or product
that always has
priority over non-firm
service. For power
sales, a service or
product that is not
interruptible for
economic reasons.
25.......... 26.......... Class Name......... [check]........... NF--Non-firm...... For transmission sales,
a service that is
reserved and/or
scheduled on an as-
available basis and is
subject to curtailment
or interruption at a
lesser priority
compared to Firm
service. For an energy
sale, a service or
product for which
delivery or receipt of
the energy may be
interrupted for any
reason or no reason,
without liability on
the part of either the
buyer or seller.
[[Page 71302]]
25.......... 26.......... Class Name......... [check]........... UP--Unit Power Designates a dedicated
Sale. sale of energy and
capacity from one or
more than one
specified generation
unit(s).
25.......... 26.......... Class Name......... [check]........... N/A--Not To be used only when
Applicable. the other available
Class Names do not
apply.
26.......... 27.......... Term Name.......... [check]........... LT--Long Term..... Contracts with
ST--Short Term.... durations of one year
N/A--Not or greater are long-
Applicable. term. Contracts with
shorter durations are
short-term.
27.......... 28.......... Increment Name..... [check]........... .................. See definitions for
each increment below.
27.......... 28.......... Increment Name..... [check]........... H--Hourly......... Terms of the contract
(if specifically noted
in the contract) set
for up to 6
consecutive hours (<=
6 consecutive hours).
27.......... 28.......... Increment Name..... [check]........... D--Daily.......... Terms of the contract
(if specifically noted
in the contract) set
for more than 6 and up
to 60 consecutive
hours (>6 and <= 60
consecutive hours).
27.......... 28.......... Increment Name..... [check]........... W--Weekly......... Terms of the contract
(if specifically noted
in the contract) set
for over 60
consecutive hours and
up to 168 consecutive
hours (>60 and <= 168
consecutive hours).
27.......... 28.......... Increment Name..... [check]........... M--Monthly........ Terms of the contract
(if specifically noted
in the contract) set
for more than 168
consecutive hours up
to, but not including,
one year (>168
consecutive hours and
< 1 year).
27.......... 28.......... Increment Name..... [check]........... Y--Yearly......... Terms of the contract
(if specifically noted
in the contract) set
for one year or more
(>= 1 year).
27.......... 28.......... Increment Name..... [check]........... N/A--Not Terms of the contract
Applicable. do not specify an
increment.
28.......... 29.......... Increment Peaking [check]........... .................. See definitions for
Name. each increment peaking
name below.
28.......... 29.......... Increment Peaking [check]........... FP--Full Period... The product described
Name. may be sold during
those hours designated
as on-peak and off-
peak in the NERC
region of the point of
delivery.
28.......... 29.......... Increment Peaking [check]........... OP--Off-Peak...... The product described
Name. may be sold only
during those hours
designated as off-peak
in the NERC region of
the point of delivery.
28.......... 29.......... Increment Peaking [check]........... P--Peak........... The product described
Name. may be sold only
during those hours
designated as on-peak
in the NERC region of
the point of delivery.
28.......... 29.......... Increment Peaking [check]........... N/A--Not To be used only when
Name. Applicable. the increment peaking
name is not specified
in the contract.
29.......... 30.......... Product Type Name.. [check]........... .................. See definitions for
each product type
below.
29.......... 30.......... Product Type Name.. [check]........... CB--Cost Based.... Energy or capacity sold
under a FERC-approved
cost-based rate
tariff.
29.......... 30.......... Product Type Name.. [check]........... CR--Capacity An agreement under
Reassignment. which a transmission
provider sells,
assigns or transfers
all or portion of its
rights to an eligible
customer.
29.......... 30.......... Product Type Name.. [check]........... MB--Market Based.. Energy or capacity sold
under the seller's
FERC-approved market-
based rate tariff.
29.......... 30.......... Product Type Name.. [check]........... T--Transmission... The product is sold
under a FERC-approved
transmission tariff.
29.......... 30.......... Product Type Name.. [check]........... Other............. The product cannot be
characterized by the
other product type
names.
30.......... 31.......... Product Name....... [check]........... See Product Name Description of product
Table, Appendix A. being offered.
31.......... 32.......... Quantity........... If specified in Number with up to Quantity for the
the contract. 4 decimals. contract product
identified.
32.......... 33.......... Units.............. If specified in See Units Table, Measure stated in the
the contract. Appendix E. contract for the
product sold.
33.......... 34.......... Rate............... One of four rate Number with up to The charge for the
fields (34, 35, 4 decimals. product per unit as
36, or 37) must stated in the
be included. contract.
34.......... 35.......... Rate Minimum....... One of four rate Number with up to Minimum rate to be
fields (34, 35, 4 decimals. charged per the
36, or 37) must contract, if a range
be included. is specified.
35.......... 36.......... Rate Maximum....... One of four rate Number with up to Maximum rate to be
fields (34, 35, 4 decimals. charged per the
36, or 37) must contract, if a range
be included. is specified.
[[Page 71303]]
36.......... 37.......... Rate Description... One of four rate Unrestricted text. Text description of
fields (34, 35, rate. If the rate is
36, or 37) must currently available on
be included. the FERC Web site, a
citation of the FERC
Accession Number and
the relevant FERC
tariff including page
number or section may
be included instead of
providing the entire
rate algorithm. If the
rate is not available
on the FERC Web site,
include the rate
algorithm, if rate is
calculated. If the
algorithm would exceed
the 150 character
field limit, it may be
provided in a
descriptive summary
(including bases and
methods of
calculations) with a
detailed citation of
the relevant FERC
tariff including page
number and section. If
more than 150
characters are
required, the contract
product may be
repeated in a
subsequent line of
data until the rate is
adequately described.
37.......... 38.......... Rate Units......... If specified in See Rate Units Measure stated in the
the contract. Table, Appendix F. contract for the
product sold.
38.......... 39.......... Point of Receipt If specified in See Balancing The registered NERC
Balancing the contract. Authority Table, Balancing Authority
Authority (PORBA). Appendix B. (formerly called NERC
Control Area) where
service begins for a
transmission or
transmission-related
jurisdictional sale.
The Balancing
Authority will be
identified with the
abbreviation used in
OASIS applications. If
receipt occurs at a
trading hub specified
in the EQR software,
the term ``Hub''
should be used.
39.......... 40.......... Point of Receipt If specified in Unrestricted text The specific location
Specific Location the contract. (50 characters). at which the product
(PORSL). If ``HUB'' is is received if
selected for designated in the
PORCA, see Hub contract. If receipt
Table, Appendix C. occurs at a trading
hub, a standardized
hub name must be used.
If more points of
receipt are listed in
the contract than can
fit into the 50
character space, a
description of the
collection of points
may be used.
`Various,' alone, is
unacceptable unless
the contract itself
uses that terminology.
40.......... 41.......... Point of Delivery If specified in See Balancing The registered NERC
Balancing the contract. Authority Table, Balancing Authority
Authority (PODBA). Appendix B. (formerly called NERC
Control Area) where a
jurisdictional product
is delivered and/or
service ends for a
transmission or
transmission-related
jurisdictional sale.
The Balancing
Authority will be
identified with the
abbreviation used in
OASIS applications. If
delivery occurs at the
interconnection of two
control areas, the
control area that the
product is entering
should be used. If
delivery occurs at a
trading hub specified
in the EQR software,
the term ``Hub''
should be used.
41.......... 42.......... Point of Delivery If specified in Unrestricted text The specific location
Specific Location the contract. (50 characters). at which the product
(PODSL). If ``HUB'' is is delivered if
selected for designated in the
PODCA, see Hub contract. If receipt
Table, Appendix C. occurs at a trading
hub, a standardized
hub name must be used.
42.......... 43.......... Begin Date......... If specified in YYYYMMDDHHMM...... First date for the sale
the contract. of the product at the
rate specified.
43.......... 44.......... End Date........... If specified in YYYYMMDDHHMM...... Last date for the sale
the contract. of the product at the
rate specified.
45.......... X........... ................... .................. .................. .......................
----------------------------------------------------------------------------------------------------------------
[[Page 71304]]
Transaction Data
----------------------------------------------------------------------------------------------------------------
44.......... 45.......... Transaction Unique [check]........... An integer An identifier beginning
ID. proceeded by the with the letter ``T''
letter ``T'' and followed by a
(only used when number (e.g., ``T1'',
importing ``T2'') used to
transaction data). designate a record
containing transaction
information in a comma-
delimited (csv) file
that is imported into
the EQR filing. One
record for each
transaction record may
be imported into an
EQR for a given
quarter. A new
transaction record
must be used every
time a price changes
in a sale.
45.......... 46.......... Seller Company Name [check]........... Unrestricted text The name of the company
(100 Characters). that is authorized to
make sales as
indicated in the
company's FERC
tariff(s). This name
must match the name
provided as a Seller's
``Company Name'' in
Field 2 of the ID Data
(Seller Data).
46.......... 47.......... Customer Company [check]........... Unrestricted text The name of the
Name. (70 Characters). counterparty.
49.......... X........... ................... .................. .................. .......................
47.......... 48.......... FERC Tariff [check]........... Unrestricted text The FERC tariff
Reference. (60 Characters). reference cites the
document that
specifies the terms
and conditions under
which a Seller is
authorized to make
transmission sales,
power sales or sales
of related
jurisdictional
services at cost-based
rates or at market-
based rates. If the
sales are market-
based, the tariff that
is specified in the
FERC order granting
the Seller Market
Based Rate Authority
must be listed.
48.......... 49.......... Contract Service [check]........... Unrestricted text Unique identifier given
Agreement ID. (30 Characters). to each service
agreement that can be
used by the filing
company to produce the
agreement, if
requested. The
identifier may be the
number assigned by
FERC for those service
agreements that have
been filed and
approved by the
Commission, or it may
be generated as part
of an internal
identification system.
49.......... 50.......... Transaction Unique [check]........... Unrestricted text Unique reference number
Identifier. (24 Characters). assigned by the seller
for each transaction.
50.......... 51.......... Transaction Begin [check]........... YYYYMMDDHHMM (csv First date and time the
Date. import); product is sold during
MMDDYYYYHHMM the quarter.
(manual entry).
51.......... 52.......... Transaction End [check]........... YYYYMMDDHHMM (csv Last date and time the
Date. import); product is sold during
MMDDYYYYHHMM the quarter.
(manual entry).
52.......... 53.......... Trade Date......... [check]........... YYYYMMDD (csv The date upon which the
import); MMDDYYYY parties made the
(manual entry). legally binding
agreement on the price
of a transaction.
53.......... 54.......... Exchange/Brokerage .................. See Exchange/ If a broker service is
Service. Brokerage Service used to consummate or
Table, Appendix H. effectuate a
transaction, the term
``Broker'' shall be
selected from the
Commission-provided
list. If an exchange
is used, the specific
exchange that is used
shall be selected from
the Commission-
provided list.
54.......... 55.......... Type of Rate....... [check]........... .................. See type of rate
definitions below.
54.......... 55.......... Type of Rate....... [check]........... Fixed............. A fixed charge per unit
of consumption.
54.......... 55.......... Type of Rate....... [check]........... Formula........... A calculation of a rate
based upon a formula
that does not contain
an index component.
54.......... 55.......... Type of Rate....... [check]........... Electric Index.... A calculation of a rate
based upon an index or
a formula that
contains an index
component.
54.......... 55.......... Type of Rate....... [check]........... RTO/ISO........... A rate that is based on
an RTO/ISO published
price or formula that
contains an RTO/ISO
price component.
55.......... 56.......... Time Zone.......... [check]........... See Time Zone The time zone in which
Table, Appendix D. the sales will be made
under the contract.
56.......... 57.......... Point of Delivery [check]........... See Balancing The registered NERC
Balancing Authority Table, Balancing Authority
Authority (PODBA). Appendix B. (formerly called NERC
Control Area)
abbreviation used in
OASIS applications.
[[Page 71305]]
57.......... 58.......... Point of Delivery [check]........... Unrestricted text The specific location
Specific Location (50 characters). at which the product
(PODSL). If ``HUB'' is is delivered. If
selected for receipt occurs at a
PODBA, see Hub trading hub, a
Table, Appendix C. standardized hub name
must be used.
58.......... 59.......... Class Name......... [check]........... .................. See class name
definitions below.
58.......... 59.......... Class Name......... [check]........... F--Firm........... A sale, service or
product that is not
interruptible for
economic reasons.
58.......... 59.......... Class Name......... [check]........... NF--Non-firm...... A sale for which
delivery or receipt of
the energy may be
interrupted for any
reason or no reason,
without liability on
the part of either the
buyer or seller.
58.......... 59.......... Class Name......... [check]........... UP--Unit Power Designates a dedicated
Sale. sale of energy and
capacity from one or
more than one
specified generation
unit(s).
58.......... 59.......... Class Name......... [check]........... BA--Billing Designates an
Adjustment. incremental material
change to one or more
transactions due to a
change in settlement
results. ``BA'' may be
used in a refiling
after the next
quarter's filing is
due to reflect the
receipt of new
information. It may
not be used to correct
an inaccurate filing.
58.......... 59.......... Class Name......... [check]........... N/A--Not To be used only when
Applicable; LT-- the other available
Long Term. class names do not
apply.
59.......... 60.......... Term Name.......... [check]........... ST--Short Term; N/ Power sales
A--Not Applicable. transactions with
durations of one year
or greater are long-
term. Transactions
with shorter durations
are short-term.
60.......... 61.......... Increment Name..... [check]........... .................. See increment name
definitions below.
60.......... 61.......... Increment Name..... [check]........... H--Hourly......... Terms of the particular
sale set for up to 6
consecutive hours (<=
6 consecutive hours)
Includes LMP based
sales in ISO/RTO
markets.
60.......... 61.......... Increment Name..... [check]........... D--Daily.......... Terms of the particular
sale set for more than
6 and up to 60
consecutive hours (>6
and <= 60 consecutive
hours). Includes sales
over a peak or off-
peak block during a
single day.
60.......... 61.......... Increment Name..... [check]........... W--Weekly......... Terms of the particular
sale set for over 60
consecutive hours and
up to 168 consecutive
hours (>60 and <= 168
consecutive hours).
Includes sales for a
full week and sales
for peak and off-peak
blocks over a
particular week.
60.......... 61.......... Increment Name..... [check]........... M--Monthly........ Terms of the particular
sale set for set for
more than 168
consecutive hours up
to, but not including,
one year (>168
consecutive hours and
< 1 year). Includes
sales for full month
or multi-week sales
during a given month.
60.......... 61.......... Increment Name..... [check]........... Y--Yearly......... Terms of the particular
sale set for one year
or more (>= 1 year).
Includes all long-term
contracts with defined
pricing terms (fixed-
price, formula, or
index).
60.......... 61.......... Increment Name..... [check]........... N/A--Not To be used only when
Applicable. other available
increment names do not
apply.
61.......... 62.......... Increment Peaking [check]........... .................. See definitions for
Name. increment peaking
below.
61.......... 62.......... Increment Peaking [check]........... FP--Full Period... The product described
Name. was sold during Peak
and Off-Peak hours.
61.......... 62.......... Increment Peaking [check]........... OP--Off-Peak...... The product described
Name. was sold only during
those hours designated
as off-peak in the
NERC region of the
point of delivery.
61.......... 62.......... Increment Peaking [check]........... P--Peak........... The product described
Name. was sold only during
those hours designated
as on-peak in the NERC
region of the point of
delivery.
61.......... 62.......... Increment Peaking [check]........... N/A--Not To be used only when
Name. Applicable. the other available
increment peaking
names do not apply.
62.......... 63.......... Product Name....... [check]........... See Product Names Description of product
Table, Appendix A. being offered.
63.......... 64.......... Transaction [check]........... Number with up to The quantity of the
Quantity. 4 decimals. product in this
transaction.
[[Page 71306]]
64.......... 65.......... Price.............. [check]........... Number with up to Actual price charged
6 decimals. for the product per
unit. The price
reported cannot be
averaged or otherwise
aggregated.
65.......... 66.......... Rate Units......... [check]........... See Rate Units Measure appropriate to
Table, Appendix F. the price of the
product sold.
66.......... 67.......... Standardized [check]........... Number with up to For product names
Quantity. 4 decimals. energy, capacity, and
booked out power only.
Specify the quantity
in MWh if the product
is energy or booked
out power and specify
the quantity in MW if
the product is
capacity.
67.......... 68.......... Standardized Price. [check]........... Number with up to For product names
6 decimals. energy, capacity, and
booked out power only.
Specify the price in $/
MWh if the product is
energy or booked out
power and specify the
price in $/MW-month if
the product is
capacity.
68.......... 69.......... Total Transmission [check]........... Number with up to Payments received for
Charge. 2 decimals. transmission services
when explicitly
identified.
69.......... 70.......... Total Transaction [check]........... Number with up to Transaction Quantity
Charge. 2 decimals. (Field 64) times Price
(Field 65) plus Total
Transmission Charge
(Field 69).
----------------------------------------------------------------------------------------------------------------
Index Reporting Data
----------------------------------------------------------------------------------------------------------------
70.......... 71.......... Filer Unique [check]........... FS (where The ``FS'' seller
Identifier. ``'' is number from the ID
an integer). Data table
corresponding to the
index reporting
company.
71.......... 72.......... Seller Company Name [check]........... Unrestricted text The name of the company
(100 characters). that is authorized to
make sales as
indicated in the
company's FERC
tariff(s). This name
must match the name
provided as a Seller's
``Company Name'' in
Field Number 2 of the
ID Data (Seller Data).
72.......... 73.......... Index Price [check]........... If ``Yes'' is The index price
Publisher(s) To selected for publisher(s) to which
Which Sales Field 13, see sales transactions
Transactions Have Index Price have been reported.
Been Reported. Publisher,
Appendix G.
73.......... 74.......... Transactions [check]........... Unrestricted text Description of the
Reported. (100 characters). types of transactions
reported to the index
publisher identified
in this record.
----------------------------------------------------------------------------------------------------------------
e-Tag Data
----------------------------------------------------------------------------------------------------------------
74.......... 75.......... e-Tag ID........... If an e-Tag ID was Unrestricted text The e-Tag ID contains:
used to schedule (30 Characters). The Source Balancing
the EQR Authority where the
transaction. generation is located;
The Purchasing-Selling
Balancing Authority
Entity Code; the e-Tag
Code; and the Sink
Balancing Authority.
75.......... 76.......... e-Tag Begin Date... If an e-Tag ID was YYYYMMDD (csv The first date the
used to schedule import); MMDDYYYY transaction is
the EQR (manual entry). scheduled using the e-
transaction. Tag ID reported in
Field Number 75. Begin
Date must not be
before the Transaction
Begin Date specified
in Field Number 51 and
must be reported in
the same time zone
specified in Field
Number 56.
76.......... 77.......... e-Tag End Date..... If an e-Tag ID was YYYYMMDD (csv The last date the
used to schedule import); MMDDYYYY transaction is
the EQR (manual entry). scheduled using the e-
transaction. Tag ID reported in
Field Number 75. End
Date must not be after
the Transaction End
Date specified in
Field Number 52 and
must be reported in
the same time zone
specified in Field
Number 56.
77.......... 78.......... Transaction Unique If an e-Tag ID was Unrestricted text Unique reference number
Identifier. used to schedule (24 Characters). assigned by the seller
the EQR for each transaction
transaction. that must be the same
as reported in Field
Number 50.
----------------------------------------------------------------------------------------------------------------
[[Page 71307]]
EQR Data Dictionary
[Appendix A. Product Names]
----------------------------------------------------------------------------------------------------------------
Contract Transaction
Product name product product Definition
----------------------------------------------------------------------------------------------------------------
BLACK START SERVICE............. [check] [check] Service available after a system-wide
blackout where a generator participates in
system restoration activities without the
availability of an outside electric supply
(Ancillary Service).
BOOKED OUT POWER................ ............... [check] Energy or capacity contractually committed
bilaterally for delivery but not actually
delivered due to some offsetting or
countervailing trade (Transaction only).
CAPACITY........................ [check] [check] A quantity of demand that is charged on a $/
KW or $/MW basis.
CUSTOMER CHARGE................. [check] [check] Fixed contractual charges assessed on a per
customer basis that could include billing
service.
DIRECT ASSIGNMENT FACILITIES [check] ............... Charges for facilities or portions of
CHARGE. facilities that are constructed or used for
the sole use/benefit of a particular
customer.
EMERGENCY ENERGY................ [check] ............... Contractual provisions to supply energy or
capacity to another entity during critical
situations.
ENERGY.......................... [check] [check] A quantity of electricity that is sold or
transmitted over a period of time.
ENERGY IMBALANCE................ [check] [check] Service provided when a difference occurs
between the scheduled and the actual
delivery of energy to a load obligation
(Ancillary Service). For Contracts,
reported if the contract provides for sale
of the product. For Transactions, sales by
third-party providers (i.e., non-
transmission function) are reported.
EXCHANGE........................ [check] [check] Transaction whereby the receiver accepts
delivery of energy for a supplier's account
and returns energy at times, rates, and in
amounts as mutually agreed if the receiver
is not an RTO/ISO.
FUEL CHARGE..................... [check] [check] Charge based on the cost or amount of fuel
used for generation.
GENERATOR IMBALANCE............. [check] [check] Service provided when a difference occurs
between the output of a generator located
in the Transmission Provider's Control Area
and a delivery schedule from that generator
to (1) another Control Area or (2) a load
within the Transmission Provider's Control
Area over a single hour (Ancillary
Service). For Contracts, reported if the
contract provides for sale of the product.
For Transactions, sales by third-party
providers (i.e., non-transmission function)
are reported.
GRANDFATHERED BUNDLED........... [check] [check] Services provided for bundled transmission,
ancillary services and energy under
contracts effective prior to Order No.
888's OATTs.
INTERCONNECTION AGREEMENT....... [check] ............... Contract that provides the terms and
conditions for a generator, distribution
system owner, transmission owner,
transmission provider, or transmission
system to physically connect to a
transmission system or distribution system.
MEMBERSHIP AGREEMENT............ [check] ............... Agreement to participate and be subject to
rules of a system operator.
MUST RUN AGREEMENT.............. [check] ............... An agreement that requires a unit to run.
NEGOTIATED-RATE TRANSMISSION.... [check] [check] Transmission performed under a negotiated
rate contract (applies only to merchant
transmission companies).
NETWORK......................... [check] ............... Transmission service under contract
providing network service.
NETWORK OPERATING AGREEMENT..... [check] ............... An executed agreement that contains the
terms and conditions under which a network
customer operates its facilities and the
technical and operational matters
associated with the implementation of
network integration transmission service.
OTHER........................... [check] [check] Product name not otherwise included.
POINT-TO-POINT AGREEMENT........ [check] ............... Transmission service under contract between
specified Points of Receipt and Delivery.
REACTIVE SUPPLY & VOLTAGE [check] [check] Production or absorption of reactive power
CONTROL. to maintain voltage levels on transmission
systems (Ancillary Service).
REAL POWER TRANSMISSION LOSS.... [check] [check] The loss of energy, resulting from
transporting power over a transmission
system.
REASSIGNMENT AGREEMENT.......... [check] ............... Transmission capacity reassignment
agreement.
REGULATION & FREQUENCY RESPONSE. [check] [check] Service providing for continuous balancing
of resources (generation and interchange)
with load, and for maintaining scheduled
interconnection frequency by committing on-
line generation where output is raised or
lowered and by other non-generation
resources capable of providing this service
as necessary to follow the moment-by-moment
changes in load (Ancillary Service). For
Contracts, reported if the contract
provides for sale of the product. For
Transactions, sales by third-party
providers (i.e., non-transmission function)
are reported.
REQUIREMENTS SERVICE............ [check] [check] Firm, load-following power supply necessary
to serve a specified share of customer's
aggregate load during the term of the
agreement. Requirements service may include
some or all of the energy, capacity and
ancillary service products. (If the
components of the requirements service are
priced separately, they should be reported
separately in the transactions tab.)
[[Page 71308]]
SCHEDULE SYSTEM CONTROL & [check] [check] Scheduling, confirming and implementing an
DISPATCH. interchange schedule with other Balancing
Authorities, including intermediary
Balancing Authorities providing
transmission service, and ensuring
operational security during the interchange
transaction (Ancillary Service).
SPINNING RESERVE................ [check] [check] Unloaded synchronized generating capacity
that is immediately responsive to system
frequency and that is capable of being
loaded in a short time period or non-
generation resources capable of providing
this service (Ancillary Service). For
Contracts, reported if the contract
provides for sale of the product. For
Transactions, sales by third-party
providers (i.e., non-transmission function)
are reported.
SUPPLEMENTAL RESERVE............ [check] [check] Service needed to serve load in the event of
a system contingency, available with
greater delay than SPINNING RESERVE. This
service may be provided by generating units
that are on-line but unloaded, by quick-
start generation, or by interruptible load
or other non-generation resources capable
of providing this service (Ancillary
Service). For Contracts, reported if the
contract provides for sale of the product.
For Transactions, sales by third-party
providers (i.e., non-transmission function)
are reported.
SYSTEM OPERATING AGREEMENTS..... [check] ............... An executed agreement that contains the
terms and conditions under which a system
or network customer shall operate its
facilities and the technical and
operational matters associated with the
implementation of network.
TOLLING ENERGY.................. [check] [check] Energy sold from a plant whereby the buyer
provides fuel to a generator (seller) and
receives power in return for pre-
established fees.
TRANSMISSION OWNERS AGREEMENT... [check] ............... The agreement that establishes the terms and
conditions under which a transmission owner
transfers operational control over
designated transmission facilities.
UPLIFT.......................... [check] [check] A make-whole payment by an RTO/ISO to a
utility.
----------------------------------------------------------------------------------------------------------------
EQR Data Dictionary
[Appendix B. Balancing Authority]
------------------------------------------------------------------------
Balancing authority Abbreviation Outside US*
------------------------------------------------------------------------
AESC, LLC--Wheatland CIN....... AEWC ...............
Alabama Electric Cooperative, AEC ...............
Inc..
Alberta Electric System AESO [check]
Operator.
Alliant Energy Corporate ALTE ...............
Services, LLC--East.
Alliant Energy Corporate ALTW ...............
Services, LLC--West.
Ameren Transmission. Illinois.. AMIL ...............
Ameren Transmission. Missouri.. AMMO ...............
American Transmission Systems, FE ...............
Inc..
Aquila Networks--Kansas........ WPEK ...............
Aquila Networks--Missouri MPS ...............
Public Service.
Aquila Networks--West Plains WPEC ...............
Dispatch.
Arizona Public Service Company. AZPS ...............
Associated Electric AECI ...............
Cooperative, Inc..
Avista Corp.................... AVA ...............
Batesville Balancing Authority. BBA ...............
BC Hydro T & D--Grid Operations BCHA [check]
Big Rivers Electric Corp....... BREC ...............
Board of Public Utilities...... KACY ...............
Bonneville Power Administration BPAT ...............
Transmission.
British Columbia Transmission BCTC [check]
Corporation.
California Independent System CISO ...............
Operator.
Carolina Power & Light Company-- CPLW ...............
CPLW.
Carolina Power and Light CPLE ...............
Company--East.
Central and Southwest.......... CSWS ...............
Chelan County PUD.............. CHPD ...............
Cinergy Corporation............ CIN ...............
City of Homestead.............. HST ...............
City of Independence P&L Dept.. INDN ...............
City of Tallahassee............ TAL ...............
City Water Light & Power....... CWLP ...............
City Utilities of Springfield.. SPRM ...............
Cleco Power LLC................ CLEC ...............
Columbia Water & Light......... CWLD ...............
Comision Federal de CFE [check]
Electricidad.
Comision Federal de CFEN [check]
Electricidad.
Constellation Energy Control GRIF ...............
and Dispatch.
Constellation Energy Control PUPP ...............
and Dispatch--Arkansas.
[[Page 71309]]
Constellation Energy Control BUBA ...............
and Dispatch--City of Benton,
AR.
Constellation Energy Control DERS ...............
and Dispatch--City of Ruston,
LA.
Constellation Energy Control CNWY ...............
and Dispatch--Conway, Arkansas.
Constellation Energy Control GRMA ...............
and Dispatch--Gila River.
Constellation Energy Control GWA ...............
and Dispatch--Glacier Wind
Energy.
Constellation Energy Control HGMA ...............
and Dispatch--Harquehala.
Constellation Energy Control DENL ...............
and Dispatch--North Little
Rock, AK.
Constellation Energy Control OMLP ...............
and Dispatch--Osceola
Municipal Light.
Constellation Energy Control PLUM ...............
and Dispatch--Plum Point.
Constellation Energy Control REDM ...............
and Dispatch--Red Mesa.
Constellation Energy Control WMUC ...............
and Dispatch--West Memphis,
Arkansas.
Dairyland Power Cooperative.... DPC ...............
DECA, LLC--Arlington Valley.... DEAA ...............
Duke Energy Corporation........ DUK ...............
East Kentucky Power EKPC ...............
Cooperative, Inc..
El Paso Electric............... EPE ...............
Electric Energy, Inc........... EEI ...............
Empire District Electric Co., EDE ...............
The.
Entergy........................ EES ...............
ERCOT ISO...................... ERCO ...............
Florida Municipal Power Pool... FMPP ...............
Florida Power & Light.......... FPL ...............
Florida Power Corporation...... FPC ...............
Gainesville Regional Utilities. GVL ...............
Grand River Dam Authority...... GRDA ...............
Grant County PUD No. 2......... GCPD ...............
Great River Energy............. GRE ...............
Great River Energy............. GREC ...............
Great River Energy............. GREN ...............
Great River Energy............. GRES ...............
GridAmerica.................... GA ...............
Hoosier Energy................. HE ...............
Hydro-Quebec, TransEnergie..... HQT [check]
Idaho Power Company............ IPCO ...............
Imperial Irrigation District... IID ...............
Indianapolis Power & Light IPL ...............
Company.
ISO New England Inc............ ISNE ...............
JEA............................ JEA ...............
Kansas City Power & Light, Co.. KCPL ...............
Lafayette Utilities System..... LAFA ...............
LG&E Energy Transmission LGEE ...............
Services.
Lincoln Electric System........ LES ...............
Los Angeles Department of Water LDWP ...............
and Power.
Louisiana Energy & Power LEPA ...............
Authority.
Louisiana Generating, LLC...... LAGN ...............
Louisiana Generating, LLC--City CWAY ...............
of Conway.
Louisiana Generating, LLC--City WMU ...............
of West Memphis.
Louisiana Generating, LLC-- NLR ...............
North Little Rock.
Madison Gas and Electric MGE ...............
Company.
Manitoba Hydro Electric Board, MHEB [check]
Transmission Services.
Michigan Electric Coordinated MECS ...............
System.
Michigan Electric Coordinated CONS ...............
System--CONS.
Michigan Electric Coordinated DECO ...............
System--DECO.
MidAmerican Energy Company..... MEC ...............
Midwest ISO.................... MISO ...............
Minnesota Power, Inc........... MP ...............
Montana-Dakota Utilities Co.... MDU ...............
Muscatine Power and Water...... MPW ...............
Nebraska Public Power District. NPPD ...............
Nevada Power Company........... NEVP ...............
New Brunswick System Operator.. NBSO [check]
New Horizons Electric NHC1 ...............
Cooperative.
New York Independent System NYIS ...............
Operator.
Northern Indiana Public Service NIPS ...............
Company.
Northern States Power Company.. NSP ...............
NorthWestern Energy............ NWMT ...............
Ohio Valley Electric OVEC ...............
Corporation.
Oklahoma Gas and Electric...... OKGE ...............
Ontario--Independent ONT [check]
Electricity System Operator.
OPPDCA/TP...................... OPPD ...............
Otter Tail Power Company....... OTP ...............
[[Page 71310]]
P.U.D. No. 1 of Douglas County. DOPD ...............
PacifiCorp-East................ PACE ...............
PacifiCorp-West................ PACW ...............
PJM Interconnection............ PJM ...............
Portland General Electric...... PGE ...............
Public Service Company of PSCO ...............
Colorado.
Public Service Company of New PNM ...............
Mexico.
Puget Sound Energy Transmission PSEI ...............
Reedy Creek Improvement RC ...............
District.
Sacramento Municipal Utility SMUD ...............
District.
Salt River Project............. SRP ...............
Santee Cooper.................. SC ...............
SaskPower Grid Control Centre.. SPC [check]
Seattle City Light............. SCL ...............
Seminole Electric Cooperative.. SEC ...............
Sierra Pacific Power Co.-- SPPC ...............
Transmission.
South Carolina Electric & Gas SCEG ...............
Company.
South Mississippi Electric SME ...............
Power Association.
South Mississippi Electric SMEE ...............
Power Association.
Southeastern Power SEHA ...............
Administration--Hartwell.
Southeastern Power SERU ...............
Administration--Russell.
Southeastern Power SETH ...............
Administration--Thurmond.
Southern Company Services, Inc. SOCO ...............
Southern Illinois Power SIPC ...............
Cooperative.
Southern Indiana Gas & Electric SIGE ...............
Co..
Southern Minnesota Municipal SMP ...............
Power Agency.
Southwest Power Pool........... SWPP ...............
Southwestern Power SPA ...............
Administration.
Southwestern Public Service SPS ...............
Company.
Sunflower Electric Power SECI ...............
Corporation.
Tacoma Power................... TPWR ...............
Tampa Electric Company......... TEC ...............
Tennessee Valley Authority ESO. TVA ...............
Trading Hub.................... HUB ...............
TRANSLink Management Company... TLKN ...............
Tucson Electric Power Company.. TEPC ...............
Turlock Irrigation District.... TIDC ...............
Upper Peninsula Power Co....... UPPC ...............
Utilities Commission, City of NSB ...............
New Smyrna Beach.
Westar Energy--MoPEP Cities.... MOWR ...............
Western Area Power WACM ...............
Administration--Colorado-
Missouri.
Western Area Power WALC ...............
Administration--Lower Colorado.
Western Area Power WAUE ...............
Administration--Upper Great
Plains East.
Western Area Power WAUW ...............
Administration--Upper Great
Plains West.
Western Farmers Electric WFEC ...............
Cooperative.
Western Resources dba Westar WR ...............
Energy.
Wisconsin Energy Corporation... WEC ...............
Wisconsin Public Service WPS ...............
Corporation.
Yadkin, Inc.................... YAD ...............
------------------------------------------------------------------------
* Balancing authorities outside the United States may only be used in
the Contract Data section to identify specified receipt/delivery
points in jurisdictional transmission contracts.
EQR Data Dictionary
[Appendix C. Hub]
------------------------------------------------------------------------
HUB Definition
------------------------------------------------------------------------
ADHUB........................ The aggregated Locational Marginal Price
(``LMP'') nodes defined by PJM
Interconnection, LLC as the AEP/Dayton
Hub.
AEPGenHub.................... The aggregated Locational Marginal Price
(``LMP'') nodes defined by PJM
Interconnection, LLC as the AEPGenHub.
COB.......................... The set of delivery points along the
California-Oregon commonly identified as
and agreed to by the counterparties to
constitute the COB Hub.
Cinergy (into)............... The set of delivery points commonly
identified as and agreed to by the
counterparties to constitute delivery
into the Cinergy balancing authority.
Cinergy Hub (MISO)........... The aggregated Elemental Pricing nodes
(``Epnodes'') defined by the Midwest
Independent Transmission System
Operator, Inc., as Cinergy Hub (MISO).
Entergy (into)............... The set of delivery points commonly
identified as and agreed to by the
counterparties to constitute delivery
into the Entergy balancing authority.
[[Page 71311]]
FE Hub....................... The aggregated Elemental Pricing nodes
(``Epnodes'') defined by the Midwest
Independent Transmission System
Operator, Inc., as FE Hub (MISO).
Four Corners................. The set of delivery points at the Four
Corners power plant commonly identified
as and agreed to by the counterparties
to constitute the Four Corners Hub.
Illinois Hub (MISO).......... The aggregated Elemental Pricing nodes
(``Epnodes'') defined by the Midwest
Independent Transmission System
Operator, Inc., as Illinois Hub (MISO).
Mead......................... The set of delivery points at or near
Hoover Dam commonly identified as and
agreed to by the counterparties to
constitute the Mead Hub.
Michigan Hub (MISO).......... The aggregated Elemental Pricing nodes
(``Epnodes'') defined by the Midwest
Independent Transmission System
Operator, Inc., as Michigan Hub (MISO).
Mid-Columbia (Mid-C)......... The set of delivery points along the
Columbia River commonly identified as
and agreed to by the counterparties to
constitute the Mid-Columbia Hub.
Minnesota Hub (MISO)......... The aggregated Elemental Pricing nodes
(``Epnodes'') defined by the Midwest
Independent Transmission System
Operator, Inc., as Minnesota Hub (MISO).
NEPOOL (Mass Hub)............ The aggregated Locational Marginal Price
(``LMP'') nodes defined by ISO New
England Inc., as Mass Hub.
NIHUB........................ The aggregated Locational Marginal Price
(``LMP'') nodes defined by PJM
Interconnection, LLC as the Northern
Illinois Hub.
NOB.......................... The set of delivery points along the
Nevada-Oregon border commonly identified
as and agreed to by the counterparties
to constitute the NOB Hub.
NP15......................... The set of delivery points north of Path
15 on the California transmission grid
commonly identified as and agreed to by
the counterparties to constitute the
NP15 Hub.
NWMT......................... The set of delivery points commonly
identified as and agreed to by the
counterparties to constitute delivery
into the Northwestern Energy Montana
balancing authority.
PJM East Hub................. The aggregated Locational Marginal Price
nodes (``LMP'') defined by PJM
Interconnection, LLC as the PJM East
Hub.
PJM South Hub................ The aggregated Locational Marginal Price
(``LMP'') nodes defined by PJM
Interconnection, LLC as the PJM South
Hub.
PJM West Hub................. The aggregated Locational Marginal Price
(``LMP'') nodes defined by PJM
Interconnection, LLC as the PJM Western
Hub.
Palo Verde................... The switch yard at the Palo Verde nuclear
power station west of Phoenix in
Arizona. Palo Verde Hub includes the
Hassayampa switchyard 2 miles south of
Palo Verde.
SOCO (into).................. The set of delivery points commonly
identified as and agreed to by the
counterparties to constitute delivery
into the Southern Company balancing
authority.
SP15......................... The set of delivery points south of Path
15 on the California transmission grid
commonly identified as and agreed to by
the counterparties to constitute the
SP15 Hub.
TVA (into)................... The set of delivery points commonly
identified as and agreed to by the
counterparties to constitute delivery
into the Tennessee Valley Authority
balancing authority.
ZP26......................... The set of delivery points associated
with Path 26 on the California
transmission grid commonly identified as
and agreed to by the counterparties to
constitute the ZP26 Hub.
------------------------------------------------------------------------
EQR Data Dictionary
[Appendix D. Time Zone]
------------------------------------------------------------------------
Time zone Definition
------------------------------------------------------------------------
AD.................................. Atlantic Daylight.
AP.................................. Atlantic Prevailing.
AS.................................. Atlantic Standard.
CD.................................. Central Daylight.
CP.................................. Central Prevailing.
CS.................................. Central Standard.
ED.................................. Eastern Daylight.
EP.................................. Eastern Prevailing.
ES.................................. Eastern Standard.
MD.................................. Mountain Daylight.
MP.................................. Mountain Prevailing.
MS.................................. Mountain Standard.
NA.................................. Not Applicable.
PD.................................. Pacific Daylight.
PP.................................. Pacific Prevailing.
PS.................................. Pacific Standard.
UT.................................. Universal Time.
------------------------------------------------------------------------
EQR Data Dictionary
[Appendix E. Units]
------------------------------------------------------------------------
Units Definition
------------------------------------------------------------------------
KV.................................. Kilovolt.
KVA................................. Kilovolt Amperes.
KVR................................. Kilovar.
KW.................................. Kilowatt.
KWH................................. Kilowatt Hour.
KW-DAY.............................. Kilowatt Day.
KW-MO............................... Kilowatt Month.
KW-WK............................... Kilowatt Week.
KW-YR............................... Kilowatt Year.
MVAR-YR............................. Megavar Year.
MW.................................. Megawatt.
MWH................................. Megawatt Hour.
MW-DAY.............................. Megawatt Day.
MW-MO............................... Megawatt Month.
MW-WK............................... Megawatt Week.
MW-YR............................... Megawatt Year.
RKVA................................ Reactive Kilovolt Amperes.
FLAT RATE........................... Flat Rate.
------------------------------------------------------------------------
EQR Data Dictionary
[Appendix F. Rate Units]
------------------------------------------------------------------------
Rate units Definition
------------------------------------------------------------------------
$/KV................................ dollars per kilovolt.
$/KVA............................... dollars per kilovolt amperes.
$/KVR............................... dollars per kilovar.
$/KW................................ dollars per kilowatt.
$/KWH............................... dollars per kilowatt hour.
$/KW-DAY............................ dollars per kilowatt day.
$/KW-MO............................. dollars per kilowatt month.
$/KW-WK............................. dollars per kilowatt week.
$/KW-YR............................. dollars per kilowatt year.
$/MW................................ dollars per megawatt.
$/MWH............................... dollars per megawatt hour.
$/MW-DAY............................ dollars per megawatt day.
$/MW-MO............................. dollars per megawatt month.
$/MW-WK............................. dollars per megawatt week.
$/MW-YR............................. dollars per megawatt year.
$/MVAR-YR........................... dollars per megavar year.
$/RKVA.............................. dollars per reactive kilovar
amperes.
CENTS............................... cents.
CENTS/KVR........................... cents per kilovolt amperes.
CENTS/KWH........................... cents per kilowatt hour.
FLAT RATE........................... rate not specified in any other
units.
------------------------------------------------------------------------
[[Page 71312]]
EQR Data Dictionary
[Appendix G. Index Price Publisher]
------------------------------------------------------------------------
Index price publisher abbreviation Index price publisher
------------------------------------------------------------------------
AM.................................. Argus Media.
EIG................................. Energy Intelligence Group, Inc.
IP.................................. Intelligence Press.
P................................... Platts.
B................................... Bloomberg.
DJ.................................. Dow Jones.
Pdx................................. Powerdex.
SNL................................. SNL Energy.
------------------------------------------------------------------------
EQR Data Dictionary
[Appendix H. Exchange/Broker Services]
------------------------------------------------------------------------
Exchange/brokerage service Definition
------------------------------------------------------------------------
BROKER.............................. A broker was used to consummate or
effectuate the transaction.
ICE................................. Intercontinental Exchange.
NYMEX............................... New York Mercantile Exchange.
------------------------------------------------------------------------
[FR Doc. 2012-28230 Filed 11-29-12; 8:45 am]
BILLING CODE 6717-01-P