Revisions to Electric Quarterly Report Filing Process
Federal Register, Volume 77 Issue 231 (Friday, November 30, 2012)
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
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.
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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.
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Introduction............................................. 1
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Background.............................................. 3
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Discussion............................................. 6
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Need for Changing the Current EQR Filing Process..... 6
1. NOPR Proposal.................................... 6
2. Comments......................................... 7
3. Commission Determination......................... 8
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Option One--Web Interface............................ 9
1. NOPR Proposal.................................... 9
2. Comments......................................... 10
3. Commission Determination......................... 12
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Option 2--XML-Formatted File......................... 16
1. NOPR Proposal.................................... 16
2. Comments......................................... 17
3. Commission Determination......................... 18
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Validation........................................... 19
1. NOPR............................................. 19
2. Comments......................................... 20
3. Commission Determination......................... 24
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Company Registration System.......................... 30
1. NOPR Proposal.................................... 30
2. Comments......................................... 31
3. Commission Determination......................... 33
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Implementation and Compliance........................ 37
1. NOPR Proposal.................................... 37
2. Comments......................................... 38
3. Commission Determination......................... 47
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Information Collection Statement........................ 53
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Environmental Analysis................................... 64
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Regulatory Flexibility Act.............................. 65
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Document Availability.................................. 71
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Effective Date and Congressional Notification......... 74
Appendix A: List of Commenters
Appendix B: EQR Data Dictionary
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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
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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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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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Discussion
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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
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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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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.
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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
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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.
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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
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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.
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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.
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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\
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\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)).
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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
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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\
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\65\ EPSA at 5.
\66\ Id.
\67\ Id.
\68\ Id. at 6.
\69\ Id.
\70\ Id.
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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.
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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.
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\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.
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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\
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\75\ We note that Commission staff does review applications for a Company Identifier account and that review can take up to several days.
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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\
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\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.'').
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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.
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\77\ NOPR, FERC Stats. & Regs. 32,689 at P 11.
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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\
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\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.
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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\
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\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.
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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
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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\
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\86\ See, e.g., EEI at 9-10; Energy Compliance Consulting at 2; EPSA at 6, 9-10.
\87\ EEI at 10.
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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\
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\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.
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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\
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\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.
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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\
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\98\ EEI at 7.
\99\ Id. at 7-8.
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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\
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\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.
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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\
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\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.
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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\
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\110\ EEI at 11.
\111\ Id. at 11-12.
\112\ Id. at 12.
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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.
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\113\ See discussion supra section III.A.
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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.
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\114\ Transparency Rule, FERC Stats. & Regs. 31,336.
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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.
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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\
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\115\ 5 CFR 1320.11(b) (2010).
\116\ 44 U.S.C. 3507(d) (2006).
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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\
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\117\ NOPR, FERC Stats. & Regs. 32,689 at P 13.
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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\
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\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.
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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\
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\122\ See NOPR, Stats. & Regs. 32,689 at n.17.
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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:
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Final Rule in RM12-3-000 on Electric Quarterly Report
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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 ($)
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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.
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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)
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\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.
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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.
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\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.
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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\
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\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.
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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.
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\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.
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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.
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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.
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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.
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\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).
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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\
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\130\ 5 U.S.C. 601-612.
\131\ 13 CFR 121.101.
\132\ 13 CFR 121.201, Sector 22, Utilities & n.1.
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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.
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\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.
-
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.
-
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\
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\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 and 60 and 168
consecutive hours and
= 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
and 60 and 168
consecutive hours and
= 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.
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EQR Data Dictionary
Appendix H. Exchange/Broker Services
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Exchange/brokerage service Definition
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BROKER.............................. A broker was used to consummate or
effectuate the transaction.
ICE................................. Intercontinental Exchange.
NYMEX............................... New York Mercantile Exchange.
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FR Doc. 2012-28230 Filed 11-29-12; 8:45 am
BILLING CODE 6717-01-P
