Revisions to Electric Quarterly Report Filing Process, 39447-39452 [2012-15734]
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use on reasonable terms and without
unjust discrimination to all types, kinds
and classes of aeronautical activities,
including commercial aeronautical
activities offering services to the public
at the airport.’’
Parachuting is an aeronautical
activity. See AC–105.2D. For several
years, airport sponsors, skydiving
operators and airport users have
expressed concerns to the FAA about
the safety assessment process the FAA
uses to evaluate parachute operations
and the siting of Parachute Landing
Areas on federally obligated airports.
These concerns include the amount of
time required from airport sponsors,
skydiving operators, and the FAA to
conduct safety assessments, and the
resulting access delays that can occur
for skydiving operators. The PLA
standards and safety risk assessment
procedures are an attempt to address
these issues. With these standards,
along with changes to the safety
assessment review process, the FAA
also seeks to gain greater national
coordination and consistency in its
safety assessments and to ensure that
these standards are applied objectively
and uniformly across the country. Some
airport sponsors have cited reasons of
safety and/or efficiency and have been
generally reluctant to allow the
establishment of on-airport parachute
landing areas. Airport sponsors
generally do not object to the takeoff
and landing of aircraft that are used to
transport skydivers, but argue that
having the skydivers land on the airport
property creates safety and/or efficiency
concerns when combined with other
aeronautical users.
Change 19 of AC 150/5300–13,
‘‘Airport Design,’’ establishes new
standards for on-airport PLAs, including
size, location and recommended
markings. The FAA proposes to use
these standards; along with changes in
its safety assessment review process, to
provide a more consistent and objective
examination of requests for parachute
landing areas on federally obligated
airports. This new standard, combined
with the new request review process,
will ensure that airport sponsors are
able to implement new PLAs safely and
efficiently.
Reviewers will also have access, via
the FAA listed web link above, to the
FAA William J. Hughes Technical
Center Report entitled, ‘‘Development of
Criteria for Parachute Landing Areas on
Airports,’’ as well as to a database report
of accidents and incidents related to
parachute operations from the Aviation
System Information Analysis and
Sharing (ASIAS) database.
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As required under 49 U.S.C. 47107(h),
the FAA is providing notice that it
interprets 49 U.S.C. 47107(a) (1), and
the corollary grant assurance No. 22,
‘‘Economic Nondiscrimination,’’ to
require airports that accept new AIP
grants (which would include sponsors
that are holders of Airport Operating
Certificates issued under 14 CFR part
139) to comply with new PLA Standards
set forth in Change 19 to AC 150/5300–
13, ‘‘Airport Design.’’ The new
standards address hazards, PLA size and
location, and recommended markings.
In consideration of the above, the FAA
proposes to modify the current version
of Grant Assurance No.22, ‘‘Economic
Nondiscrimination,’’ to add new
paragraph (j) to read as follows:
C. Sponsor Certification. The sponsor
hereby assures and certifies, with
respect to this grant, that:
22. Economic Nondiscrimination
j. It will comply with Parachute Landing
Area (PLA) Standards set forth to 150–5300
series AC ‘‘Airport Design,’’ which addresses
hazards, PLA size and location, and
recommended markings.
The PLA Standards will take effect at
the time airports enter into new grant
agreements with the FAA subsequent to
the effective date of Change 19 to AC
No. 150/5300–13, ‘‘Airport Design.’’ For
an airport that has an existing parachute
landing area, the airport will have 60
months from the date it enters into the
grant agreement to come into
compliance with the new PLA
standards. If an airport is not able to
modify its existing parachute landing
area to comply within this timeframe,
the airport must provide the FAA with
a plan prior to the end of the 60 months.
This plan must be submitted to the local
FAA Airports District Office or Regional
Airports Office (where applicable) for
approval, and must include a timetable
describing how the airport will meet the
PLA Standards within a timeframe
acceptable to the Administrator. For
other airports, the Standards are
recommended.
It should be noted that in Change 19,
the FAA has modified paragraph 3,
‘‘Application,’’ to reflect that the
standards in the Airport Design AC may
be used by certificated airports as a
means of satisfying specific
requirements in subparts C and D of 14
CFR part 139. This text was
inadvertently removed from the prior
version of the Airport Design AC. The
next text reads,
The standards and recommendations
contained in this AC may be used by
certificated airports to satisfy specific
requirements of Federal Aviation
Regulations (FAR) part 139,
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39447
‘‘Certification of Airports,’’ subparts C
(Airport Certification Manual) and D
(Operations).
Issued in Washington, DC, on June 22,
2012.
Michael J. O’Donnell,
Director, Office of Airport Safety and
Standards.
[FR Doc. 2012–15912 Filed 6–29–12; 4:15 pm]
BILLING CODE 4910–13–P
DEPARTMENT OF ENERGY
Federal Energy Regulatory
Commission
18 CFR Part 35
Revisions to Electric Quarterly Report
Filing Process
Federal Energy Regulatory
Commission, DOE.
ACTION: Notice of Proposed Rulemaking.
AGENCY:
The Federal Energy
Regulatory Commission (Commission)
proposes to amend a Rule which
governs the filing of Electric Quarterly
Reports (EQRs), to change the process
for filing EQRs. Currently, EQRs are
filed by downloading EQR software
from the Commission’s Web site,
installing it on the filer’s Microsoft
Windows-based computer, entering the
EQR data into the software, and then
submitting the EQR data to the
Commission. The EQR software is
designed in Microsoft Visual FoxPro.
Technological changes and limitations
will render the current filing process
outmoded, ineffective, and
unsustainable. Microsoft has
discontinued Visual FoxPro and will
not support the software after 2015.
Visual FoxPro also is constrained by
data size limitations that will soon
restrict the Commission’s ability to add
data fields in the EQR. Therefore, the
Commission proposes a new filing
system that will provide EQR filers with
two new options for filing EQRs.
One option would allow an EQR filer
to use a web interface on the
Commission’s Web site to file its EQR.
This web interface would look and
operate like the current EQR software
that uses Visual FoxPro. However, an
EQR filer would not need to download
and install software from the
Commission’s Web site to file because
the data would be filed directly with the
Commission through the web interface.
The other option would allow an EQR
filer to file its EQR in an Extensible
Mark-Up Language (XML) format via the
Commission’s Web site. By proposing a
process with two options for filing
SUMMARY:
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EQRs, the Commission seeks to provide
the flexibility needed to accommodate
EQR filers’ technical preferences. Under
both options, the Commission proposes
to require EQR filers to use the company
identification number (Company
Identifier) assigned through the
Commission’s Company Registration
System, which was developed for the
Commission’s eTariff system. The
Company Identifier would replace the
personal identification numbers that are
currently used and that are unique to
the existing EQR filing process. The
Commission also proposes that
implementation of any changes to the
process for filing EQRs will apply to
EQR filings beginning with the third
quarter 2013 EQR, providing data for
July through September 2013.
The Commission will convene a staffled public conference on Wednesday,
July 11, 2012 to demonstrate the two
new options for filing EQRs to industry
participants and assist participants in
preparing their comments to this Notice
of Proposed Rulemaking.
DATES: Comments are due September 4,
2012.
ADDRESSES: Comments, identified by
docket number, may be filed in the
following ways:
• Electronic Filing through https://
www.ferc.gov. Documents created
electronically using word processing
software should be filed in native
applications or print-to-PDF format and
not in a scanned format.
• Mail/Hand Delivery: Those unable
to file electronically may mail or handdeliver comments to: Federal Energy
Regulatory Commission, Secretary of the
Commission, 888 First Street NE.,
Washington, DC 20426.
Instructions: For detailed instructions
on submitting comments and additional
information on the rulemaking process,
see the Comment Procedures Section of
this document.
FOR FURTHER INFORMATION CONTACT:
Connie Caldwell, Office of Enforcement,
Federal Energy Regulatory Commission,
888 First Street NE., Washington, DC
20426, (202) 502–6208,
Connie.Caldwell@ferc.gov.
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:
[Docket No. RM12–3–000]
June 21, 2012.
1. The Federal Energy Regulatory
Commission (Commission) proposes
changes to the method for filing Electric
Quarterly Reports (EQRs). Due to
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technological changes that will render
the current filing process outmoded,
ineffective, and unsustainable, the
Commission proposes to discontinue
the use of Commission software to file
an EQR. Instead, the Commission
proposes to allow an EQR filer to file
EQR data directly through the
Commission’s Web site, either through a
web interface or by submitting an
Extensible Mark-Up Language (XML)formatted 1 file. The Commission also
proposes to require the EQR filer to
identify itself with a company
identification number (Company
Identifier) rather than the existing
software-based EQR identifiers.
I. Background
2. Prior to the issuance of Order No.
2001,2 the Commission required public
utilities to file in paper format all shortterm and long-term service agreements
for market-based sales of electric energy
and service agreements for generally
applicable services (such as point-topoint transmission service), in Quarterly
Transaction Reports. In Order No. 2001,
the Commission replaced the paper
filing requirement with an electronic
filing requirement. The Commission
stated that the purpose of the EQR filing
requirements 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.3
In addition, the Commission noted
that the EQR allows public utilities to
better fulfill their responsibility under
section 205(c) of the Federal Power Act
(FPA) to have rates on file in a
1 XML is a set of standards for describing and
communicating data.
2 Revised Public Utility Filing Requirements,
Order No. 2001, 67 FR 31043 (May 8, 2002), FERC
Stats. & Regs. ¶ 31,127, 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, 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).
3 Order No. 2001, FERC Stats. & Regs. ¶ 31,127 at
30,116.
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convenient form and place.4 An EQR
file must include, for the most recent
calendar quarter: (1) a summary of the
terms and conditions in all agreements
to provide jurisdictional services
(including market-based and cost-based
power sales, as well as transmission
service); and (2) transaction information
for all short-term and long-term marketbased and cost-based power sales.5
3. In Order No. 2001, the Commission
promulgated 18 CFR 35.10b (2011),
which reads, in pertinent part: ‘‘* * *
Electric Quarterly Reports must be
prepared in conformance with the
Commission’s software and guidance
posted and available for downloading
from the FERC Web site (https://
www.ferc.gov).’’ 6 Consistent with this
portion of the regulation, the
Commission’s Web site provides public
utilities with software and guidance for
filing an EQR.
II. Discussion
4. Pursuant to section 35.10b of the
Commission’s Regulations,7 EQR filers
must first download the EQR software
application that is available on the
Commission’s Web site. The EQR
software application was built with
Visual FoxPro development tools and
must be installed on a Windows-based
computer. This software has certain
disadvantages. Microsoft, the Visual
FoxPro vendor, announced in 2007 that
it would no longer sell or issue new
versions of Visual FoxPro and would
provide support for it only through
2015. Also, over time, the Commission
4 16
U.S.C. 824d(c).
the Commission issued Order No. 2001,
it has refined and clarified the EQR filing
requirements in response to changes in the industry
and the Commission’s rules and regulations. For
example, the Commission has required EQR filers
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). The Commission has also proposed new
filing requirements for all EQR filers and extending
the EQR filing requirements to non-public utilities
above a de minimis market presence threshold.
Electricity Market Transparency Provisions of
Section 220 of the Federal Power Act, Notice of
Proposed Rulemaking, 76 FR 24188 (Apr. 29, 2011),
FERC Stats. & Regs. ¶ 32,676 (2011).
6 18 CFR 35.10b.
7 18 CFR 35.10b.
5 Since
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has found that it is difficult to maintain
quarterly transactions in a single table
in the face of changes in the
Commission’s jurisdictional markets
because Visual FoxPro does not allow
data tables to exceed two gigabytes.
These data size limitations will soon
restrict the Commission’s ability to add
data fields in the EQR. These limitations
make the EQR software application
outmoded, ineffective, and
unsustainable.
5. To ensure an ongoing, reliable
mechanism for filing EQR data, the
Commission proposes to replace the
Visual FoxPro-based EQR software with
two new filing options. The
Commission recognizes the need to
facilitate a smooth transition to these
new filing options. In addition, on July
11, 2011, the President issued Executive
Order 13579, requesting that
independent agencies issue public plans
for periodic retrospective analysis of
existing regulations.8 Retrospective
analysis should identify regulations that
may be outmoded, ineffective,
insufficient, or excessively burdensome
and to modify, streamline, expand, or
repeal them in order to achieve the
agency’s regulatory objective. The
Commission believes that the changes
proposed in this Notice of Proposed
Rulemaking (NOPR) support the goals of
this Executive Order by modifying a
filing process that has become
outmoded, ineffective and
unsustainable.
6. Under the proposed process, the
first new filing option that the
Commission proposes builds upon the
automated systems that EQR filers have
developed to enter data into the current
EQR software. The EQR software
application allows EQR filers to enter
quarterly data by hand or by importing
the data in comma-delimited text files.
EQR filers have built automated systems
to generate the comma-delimited text
files. Therefore, the Commission
proposes to offer a web interface on the
Commission’s Web site that allows EQR
filers to continue to enter data in the
comma-delimited text format but
without the need to download software.
This option would minimize the
changes for an EQR filer and streamline
the filing process by eliminating the
need for filers to enter or import the
data into a software application. The
proposed web interface will be deviceindependent; therefore, this method
would eliminate the need for the EQR
filer to use a Windows-based computer.
7. Under the proposed new filing
process, EQR filers can elect a second
8 Regulation
and Independent Regulatory
Agencies, Exec. Order 13579, 76 FR 41587 (2011).
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option if they prefer, which allows them
to file EQR data via XML-formatted
files. This proposed method has various
advantages. An XML schema includes
rules and data checks that are
unavailable in a comma-delimited file.
For example, an EQR filer using XML
would be able to tag each data element
to ensure that it reaches the Commission
with an accurate description; a commadelimited file does not provide that
assurance. Therefore, this proposed
filing option allows EQR filers to test
the consistency of their data with the
Commission’s filing standards,
improving the ability to comply with
the EQR filing requirement and
increasing confidence that the
Commission receives the intended
information. However, as discussed
above, use of the XML format is
optional, and filers are free to choose to
file via the web-based interface option.
8. The Commission also proposes to
change the manner in which an EQR
filer is identified. In the current EQR
software, an EQR filer applies for a
‘‘PIN’’ number when it first contacts the
Commission about filing an EQR. To
receive a PIN number, a representative
of the filer must confirm via email that
the request is made via the EQR filer’s
email address. Once it receives the PIN
number, the EQR filer identifies itself in
its filing by ‘‘retrieving’’ its listing,
downloading the applicable files
(including past filings), and entering the
‘‘PIN’’ number when ready to submit the
filing to the Commission. This PIN
number system is part of the EQR
software application. Therefore, as part
of the transition away from this software
application, the Commission must
provide a new manner to identify EQR
filers.
9. To assure consistency and the
ability to cross-reference Commission
filings, the Commission proposes to
replace the PIN number identification
system with the Company Registration
System used for eTariff filings. As part
of the development of the eTariff
system,9 the Commission directed each
publicly regulated company to file its
tariffs, rate schedules, jurisdictional
contracts, and other jurisdictional
agreements with a ‘‘Company
Identifier.’’ The Commission developed
a registration system to permit a
publicly regulated company to request a
Company Identifier, modify information
associated with an existing Company
Identifier, and request a new
9 Electronic Tariff Filings, Order No. 714, 73 FR
57515 (Oct. 3, 2008), FERC Stats. & Regs. ¶ 31,276
(2008).
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39449
password.’’ 10 The data is used by the
Commission to identify the company
making a tariff filing, to notify the
publicly regulated company that a filing
has been made in its name, and to create
a list of publicly regulated companies.
The Commission proposes to require
EQR filers to use these Company
Identifiers to identify themselves.11
Because the publicly regulated
companies that file their Commissionjurisdictional tariffs and agreements
have Company Identifiers, the
Commission does not anticipate that the
use of a Company Identifier in the EQR
filing process will create an undue
burden for these companies. Rather, it
provides publicly regulated companies
that file an EQR a consistent and,
therefore, more controllable method to
demonstrate that it is the appropriate
EQR filer. We also anticipate that the
use of the Company Identifier will not
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.12 The use of the Company
Identifier for EQR filings will allow the
Commission to make filer identification
consistent across all Commission filings.
10. The Commission will convene a
staff-led public conference on
Wednesday, July 11, 2012 to
demonstrate the two new options for
filing EQRs to industry participants. The
demonstration will assist participants in
preparing their comments to this NOPR.
The conference will be available by
webcast.
11. The Commission also proposes
that implementation of any changes to
the process for filing EQRs will apply to
EQR filings beginning with the third
quarter (Q3) 2013 EQR, providing data
for July through September 2013.
Implementing the changes within that
time period should provide EQR filers
with sufficient time to weigh the two
options and file their Q3 2013 report in
a timely manner.
III. Information Collection Statement
12. The Office of Management and
Budget (OMB) regulations require
10 See Implementation Guide for Electronic Filing
of Parts 35, 154, 284, 300, and 341 Tariff Filings
(Jan. 23, 2012 version), available at https://
www.ferc.gov/docs-filing/company-reg.asp.
11 The Commission recognizes that there are
instances when a company uses an agent to file on
its behalf. If the Commission adopts the proposal
to require EQR filers to identify themselves using
the Company Identifier system, then the
Commission proposes to ensure that the new filing
process continues to allow an agent to file on behalf
of a company.
12 Id.
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approval of certain information
collection requirements imposed by
agency rules.13 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 an agency 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. The Paperwork
Reduction Act (PRA) 14 requires each
federal agency to seek and obtain OMB
approval before undertaking a collection
of information directed to ten or more
persons or contained in a rule of general
applicability.15
13. The Commission is submitting
these reporting and recordkeeping
requirements to OMB for its review and
approval under section 3507(d) of the
PRA. The subject of this NOPR is
FERC’s proposed changes to the method
for filing EQRs and how an EQR filer
identifies itself. The Commission
solicits comments on these
modifications, the accuracy of burden
estimates, ways to enhance quality,
utility, and clarity of the information to
be collected, and any suggested methods
for minimizing respondents’ burden
14. The Commission’s estimates of the
average public reporting burden and
cost related to the proposed rule in
Docket RM12–3–000 follow:
NOPR IN RM12–3–000 ON ELECTRIC QUARTERLY REPORT
Implementing (one-time)
burden per respondent
Number of
respondents
Companies within
non-California RTO,
and large cos. within Cal. RTO.
Medium/small companies within Cal.
RTO.
Companies not within
RTO.
Companies with no
transactions.
Number of
responses per
respondent
per year
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Burden
hours 17
Cost ($)
Burden
hours
Cost ($)
4
20
$1,434.50
no change .......
no change .......
6.67
$478.17
20
4
20
1,434.50
no change .......
no change .......
6.67
478.17
663
4
20
1,434.50
no change .......
no change .......
6.67
478.17
695
4
20
1,434.50
no change .......
no change .......
6.67
478.17
13 5
CFR 1320.8.
U.S.C. 3501–3520.
15 OMB’s regulations at 5 CFR 1320.3(c)(4)(i)
require that ‘‘[a]ny recordkeeping, reporting, or
disclosure requirement contained in a rule of
general applicability is deemed to involve ten or
more persons.’’
16 The Commission expects no change or a slight
decrease in the Recurring Operating Burden per
Respondent per Response under the new filing
system (when compared to quarterly filings under
the existing system).
14 44
16:04 Jul 02, 2012
Cost ($)
Average annual burden per respondent
(implementation
averaged over Years
1–3)
405
15. The one-time implementation
burden and cost for all 1,783
respondents are 35,660 hours (1,783 ×
20 hours), and $2,557,713.50 (1,783 ×
$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 × 6.67) and an
annual total cost of $852,577.11 (1,783
× $478.17)
16. The Commission recognizes that
there will be an initial implementation
burden associated with reviewing the
instructions, revising the filing process,
adding the agent to the respondent’s
eRegistration data, obtaining a Company
Identifier, and filing EQR data through
the new system. The Commission
estimates a burden of 20 hours per
respondent for the one-time
implementation. To help with this
initial implementation, the Commission
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hours
Recurring operating burden per
respondent per
response 16
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will convene a staff-led technical
conference to demonstrate the two new
options for filing EQRs to industry
participants. The conference will be
available by webcast, which should
minimize travel and other costs
associated with participation in the
conference. The Commission also
proposes to direct staff to assist in
transitioning to the new process. The
demonstration and staff assistance
should minimize the initial
implementation burden.
17. For the recurring effort involved
in electronically submitting EQR data
on a quarterly basis to the Commission,
the Commission anticipates that there
will be no change or a slight burden
reduction, when compared to the
burden of making quarterly filings
under the current system. The
Commission seeks comments on the
burden estimates related to the recurring
quarterly filings.
Information Collection Costs: The
Commission has estimated the cost of
compliance per respondent to be
$1,434.50, for one-time implementation
of the changes proposed in this NOPR.
The Commission has estimated the
implementation cost as follows: 18
• 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–516,19 Electric Rate
Schedules and Tariff Filings.
17 For the existing EQR system, 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.
18 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
https://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.
19 The Commission plans to separate the EQR
reporting requirements from the remaining
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Federal Register / Vol. 77, No. 128 / Tuesday, July 3, 2012 / Proposed Rules
sroberts on DSK5SPTVN1PROD with PROPOSALS
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: The
Commission proposes changes to the
method for filing EQRs. The
Commission proposes to replace a filing
system that requires an EQR filer to
download Commission software with a
system that would allow an EQR filer to
file EQR data directly through the
Commission’s Web site, either through a
web interface or by submitting an XMLformatted file. The Commission also
proposes to require the EQR filer to
identify itself with a Company
Identifier. The Company Identifiers
would be assigned through the
Commission’s Company Registration
System.
Internal Review: The Commission has
reviewed the proposed changes and has
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. The Commission has assured
itself, by means of internal review, that
there is specific, objective support for
the burden estimates associated with the
information collection requirements.
18. 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. 1902–0096,
FERC–516, and Docket No. RM12–3 in
your submission.
IV. Environmental Analysis
19. The Commission is required to
prepare an Environmental Assessment
or an Environmental Impact Statement
for any action that may have a
reporting requirements under FERC–516 (OMB
Control No. 1902–0096). The Commission expects
to move the EQR reporting requirements to the new
FERC–920 (OMB Control No. 1902–0255) at the
final rule stage.
VerDate Mar<15>2010
16:04 Jul 02, 2012
Jkt 226001
39451
significant adverse effect on the human
environment.20 The actions taken here
fall within categorical exclusions in the
Commission’s regulations for
information gathering, analysis, and
dissemination.21 Therefore, an
environmental assessment is
unnecessary and has not been prepared
in this rulemaking.
and corresponding minimal recurring
burden. Furthermore, we note that
public utilities may request, on an
individual basis, waiver from the EQR
reporting requirements.26 Thus, the
Commission certifies that this proposed
rule will not have a significant impact
on a substantial number of small
entities.
V. Regulatory Flexibility Act
Certification
VI. Comment Procedures
24. The Commission invites interested
persons to submit comments on the
matters and issues proposed in this
notice to be adopted, including any
related matters or alternative proposals
that commenters may wish to discuss.
Comments are due September 4, 2012.
Comments must refer to Docket No.
RM12–3–000, and must include the
commenter’s name, the organization
they represent, if applicable, and their
address in their comments.
25. The Commission encourages
comments to be filed electronically via
the eFiling link on the Commission’s
web site at https://www.ferc.gov. The
Commission accepts most standard
word processing formats. Documents
created electronically using word
processing software should be filed in
native applications or print-to-PDF
format and not in a scanned format.
Commenters filing electronically do not
need to make a paper filing.
26. Commenters that are not able to
file comments electronically must send
an original of their comments to:
Federal Energy Regulatory Commission,
Secretary of the Commission, 888 First
Street NE., Washington, DC 20426.
27. All comments will be placed in
the Commission’s public files and may
be viewed, printed, or downloaded
remotely as described in the Document
Availability section below. Commenters
on this proposal are not required to
serve copies of their comments on other
commenters.
20. The Regulatory Flexibility Act of
1980 (RFA) 22 generally requires a
description and analysis of proposed
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 Small Business
Administration’s (SBA) Office of Size
Standards develops the numerical
definition of a small business.23 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 four million
MWh.24
21. Of the 1,783 filers,25
approximately 1,194 filers had total
electric output for the preceding twelve
months that did not exceed four million
MWh. However, when combined with
their affiliates, 414 of those 1,194 filers
no longer meet the definition of
‘‘small.’’ The Commission estimates that
the remaining 780 filers are ‘‘small.’’
22. To ease the burden of
implementation for all filers, the
Commission is minimizing the changes
which respondents will experience and
giving two options for filing (using
either comma-separated values or XML).
The estimated one-time implementation
cost per respondent is $1,434.50.
23. The Commission anticipates no
change or a slight reduction in the
burden for the recurring quarterly
filings. In addition, small entities
generally have few or no transactions
20 Regulations Implementing the National
Environmental Policy Act of 1969, Order No. 486,
52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs.,
Regulations Preambles 1986–1990 ¶ 30,783 (1987).
21 18 CFR 380.4(a)(5).
22 5 U.S.C. 601–612.
23 13 CFR 121.101.
24 13 CFR 121.201, Sector 22, Utilities & n.1.
25 Of the 1,783 respondents, approximately 695
submit filings showing they had no transactions.
The burden for these filings is minimal.
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VII. Document Availability
28. In addition to publishing the full
text of this document in the Federal
Register, the Commission provides all
interested persons an opportunity to
view and/or print the contents of this
document via the Internet through the
Commission’s Home Page (https://
www.ferc.gov) and in the Commission’s
Public Reference Room 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.
26 The Commission has granted requests for
waiver of the EQR filing requirements. See Bridger
Valley Elect. Assoc., Inc., 101 FERC ¶ 61,146 (2002).
Entities with a waiver will continue to have a
waiver and will not need to file a new request for
waiver.
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Federal Register / Vol. 77, No. 128 / Tuesday, July 3, 2012 / Proposed Rules
29. From the Commission’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.
30. User assistance is available for
eLibrary and the Commission’s Web site
during normal business hours from the
Commission’s 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.
List of Subjects in 18 CFR Part 35
Electric power rates, Electric utilities,
Reporting and recordkeeping
requirements.
By direction of the Commission.
Commissioner Clark voting present.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
2. § 35.10b is revised to read as
follows:
Electric Quarterly Reports.
* * * Electric Quarterly Reports must
be prepared in conformance with the
Commission’s guidance posted on the
FERC Web site (https://www.ferc.gov) or
as otherwise provided to the public.
[FR Doc. 2012–15734 Filed 7–2–12; 8:45 am]
BILLING CODE P
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
24 CFR Chapter IX
[Docket No. FR–5650–N–01]
sroberts on DSK5SPTVN1PROD with PROPOSALS
Native American Housing Assistance
and Self-Determination Act of 1996:
Notice of Intent To Initiate Negotiated
Rulemaking
Office of Assistant Secretary for
Public and Indian Housing, HUD.
ACTION: Notice of intent to initiate
Negotiated Rulemaking.
AGENCY:
This document announces
HUD’s intention to initiate Negotiated
Rulemaking under the Negotiated
VerDate Mar<15>2010
16:04 Jul 02, 2012
Jkt 226001
Rodger J. Boyd, Deputy Assistant
Secretary for Native American
Programs, Office of Public and Indian
Housing, Department of Housing and
Urban Development, 451 7th Street SW.,
Room 4126, Washington, DC 20410–
5000, telephone at 202–401–7914 (this
is not a toll-free number). Persons with
hearing or speech impediments may
access this number through TTY by
calling the toll-free Federal Relay
Service at 800–877–8339 (this is a tollfree number).
I. Background
Authority. 16 U.S.C. 791a–825r, 2601–
2645; 31 U.S.C. 9701; 42 U.S.C. 7101–7352.
SUMMARY:
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
In consideration of the foregoing, the
Commission proposes to amend 18 CFR
part 35, Chapter I, Title 18,as follows:
1. The authority citation for part 35
continues to read as follows:
§ 35.10b
Rulemaking Act for the purpose of
developing regulatory changes to the
funding formula for the Indian Housing
Block Grant (IHBG) program authorized
under the Native American Housing
Assistance and Self-Determination Act
of 1996 (NAHASDA). This document
provides background information on the
NAHASDA program and describes the
steps in the negotiated rulemaking
process.
The Native American Housing
Assistance and Self-Determination Act
of 1996 (25 U.S.C. 4101 et seq.)
(NAHASDA) changed the way that
housing assistance is provided to Native
Americans. NAHASDA eliminated
several separate assistance programs
and replaced them with a single block
grant program, known as the Indian
Housing Block Grant (IHBG) program.
The regulations governing the IHBG
formula allocation are codified in
subpart D of part 1000 of HUD’s
regulations in title 24 of the Code of
Federal Regulations. In accordance with
section 106 of NAHASDA, HUD
developed the regulations with active
tribal participation and using the
procedures of the Negotiated
Rulemaking Act of 1990 (5 U.S.C. 561–
570).
Under the IHBG program, HUD makes
assistance available to eligible Indian
tribes for affordable housing activities.
The amount of assistance made
available to each Indian tribe is
determined using a formula that was
developed as part of the NAHASDA
negotiated rulemaking process. Based
on the amount of funding appropriated
for the IHBG program, HUD calculates
the annual grant for each Indian tribe
and provides this information to the
Indian tribes. An Indian Housing Plan
for the Indian tribe is then submitted to
HUD. If the Indian Housing Plan is
found to be in compliance with
statutory and regulatory requirements,
the grant is made.
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Through this document, HUD
announces its intent to initiate
Negotiated Rulemaking to review the
IHBG formula as required by program
regulations. This document also
provides an overview of the next steps
in the negotiated rulemaking process.
II. Negotiated Rulemaking
The basic concept of negotiated
rulemaking is to have the agency that is
developing a regulation bring together
representatives of affected interests for
face-to-face negotiations. The give-andtake of the negotiation process is
expected to foster constructive, creative
and acceptable solutions to difficult
problems.
Section 564 of the Negotiated
Rulemaking Act of 1990 requires that an
agency publish document(s) in the
Federal Register to do the following:
announce its intent to establish a
negotiated rulemaking committee; to
solicit nominations for selection to the
committee; to provide a list of the
proposed committee membership, and
to provide certain other information
regarding the formation of the
committee. HUD intends to publish
such documents in the near future.
Dated: June 26, 2012.
Sandra Henriquez,
Assistant Secretary for Public and Indian
Housing.
[FR Doc. 2012–16146 Filed 7–2–12; 8:45 am]
BILLING CODE 4210–67–P
DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 1
[REG–107889–12]
RIN 1545–BK85
Substantial Business Activities;
Correction
Internal Revenue Service (IRS),
Treasury.
ACTION: Correction to a notice of
proposed rulemaking by cross-reference
to temporary regulations.
AGENCY:
This document corrects a
notice of proposed rulemaking by crossreference to temporary regulations
(REG–107889–12) that was published in
the Federal Register on Tuesday, June
12, 2012 (77 FR 34887) regarding
whether a foreign corporation has
substantial business activities in a
foreign country.
FOR FURTHER INFORMATION CONTACT:
Concerning the proposed regulations,
SUMMARY:
E:\FR\FM\03JYP1.SGM
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]]>Agencies
[Federal Register Volume 77, Number 128 (Tuesday, July 3, 2012)]
[Proposed Rules]
[Pages 39447-39452]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-15734]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
18 CFR Part 35
Revisions to Electric Quarterly Report Filing Process
AGENCY: Federal Energy Regulatory Commission, DOE.
ACTION: Notice of Proposed Rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Federal Energy Regulatory Commission (Commission) proposes
to amend a Rule which governs the filing of Electric Quarterly Reports
(EQRs), to change the process for filing EQRs. Currently, EQRs are
filed by downloading EQR software from the Commission's Web site,
installing it on the filer's Microsoft Windows-based computer, entering
the EQR data into the software, and then submitting the EQR data to the
Commission. The EQR software is designed in Microsoft Visual FoxPro.
Technological changes and limitations will render the current filing
process outmoded, ineffective, and unsustainable. Microsoft has
discontinued Visual FoxPro and will not support the software after
2015. Visual FoxPro also is constrained by data size limitations that
will soon restrict the Commission's ability to add data fields in the
EQR. Therefore, the Commission proposes a new filing system that will
provide EQR filers with two new options for filing EQRs.
One option would allow an EQR filer to use a web interface on the
Commission's Web site to file its EQR. This web interface would look
and operate like the current EQR software that uses Visual FoxPro.
However, an EQR filer would not need to download and install software
from the Commission's Web site to file because the data would be filed
directly with the Commission through the web interface. The other
option would allow an EQR filer to file its EQR in an Extensible Mark-
Up Language (XML) format via the Commission's Web site. By proposing a
process with two options for filing
[[Page 39448]]
EQRs, the Commission seeks to provide the flexibility needed to
accommodate EQR filers' technical preferences. Under both options, the
Commission proposes to require EQR filers to use the company
identification number (Company Identifier) assigned through the
Commission's Company Registration System, which was developed for the
Commission's eTariff system. The Company Identifier would replace the
personal identification numbers that are currently used and that are
unique to the existing EQR filing process. The Commission also proposes
that implementation of any changes to the process for filing EQRs will
apply to EQR filings beginning with the third quarter 2013 EQR,
providing data for July through September 2013.
The Commission will convene a staff-led public conference on
Wednesday, July 11, 2012 to demonstrate the two new options for filing
EQRs to industry participants and assist participants in preparing
their comments to this Notice of Proposed Rulemaking.
DATES: Comments are due September 4, 2012.
ADDRESSES: Comments, identified by docket number, may be filed in the
following ways:
Electronic Filing through https://www.ferc.gov. Documents
created electronically using word processing software should be filed
in native applications or print-to-PDF format and not in a scanned
format.
Mail/Hand Delivery: Those unable to file electronically
may mail or hand-deliver comments to: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
Instructions: For detailed instructions on submitting comments and
additional information on the rulemaking process, see the Comment
Procedures Section of this document.
FOR FURTHER INFORMATION CONTACT: Connie Caldwell, Office of
Enforcement, Federal Energy Regulatory Commission, 888 First Street
NE., Washington, DC 20426, (202) 502-6208, Connie.Caldwell@ferc.gov.
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:
[Docket No. RM12-3-000]
June 21, 2012.
1. The Federal Energy Regulatory Commission (Commission) proposes
changes to the method for filing Electric Quarterly Reports (EQRs). Due
to technological changes that will render the current filing process
outmoded, ineffective, and unsustainable, the Commission proposes to
discontinue the use of Commission software to file an EQR. Instead, the
Commission proposes to allow an EQR filer to file EQR data directly
through the Commission's Web site, either through a web interface or by
submitting an Extensible Mark-Up Language (XML)-formatted \1\ file. The
Commission also proposes to require the EQR filer to identify itself
with a company identification number (Company Identifier) rather than
the existing software-based EQR identifiers.
---------------------------------------------------------------------------
\1\ XML is a set of standards for describing and communicating
data.
---------------------------------------------------------------------------
I. Background
2. Prior to the issuance of Order No. 2001,\2\ the Commission
required public utilities to file in paper format all short-term and
long-term service agreements for market-based sales of electric energy
and service agreements for generally applicable services (such as
point-to-point transmission service), in Quarterly Transaction Reports.
In Order No. 2001, the Commission replaced the paper filing requirement
with an electronic filing requirement. The Commission stated that the
purpose of the EQR filing requirements is to:
---------------------------------------------------------------------------
\2\ Revised Public Utility Filing Requirements, Order No. 2001,
67 FR 31043 (May 8, 2002), FERC Stats. & Regs. ] 31,127, 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, 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).
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.\3\
---------------------------------------------------------------------------
\3\ Order No. 2001, FERC Stats. & Regs. ] 31,127 at 30,116.
In addition, the Commission noted that the EQR allows public
utilities to better fulfill their responsibility under section 205(c)
of the Federal Power Act (FPA) to have rates on file in a convenient
form and place.\4\ An EQR file must include, for the most recent
calendar quarter: (1) a summary of the terms and conditions in all
agreements to provide jurisdictional services (including market-based
and cost-based power sales, as well as transmission service); and (2)
transaction information for all short-term and long-term market-based
and cost-based power sales.\5\
---------------------------------------------------------------------------
\4\ 16 U.S.C. 824d(c).
\5\ Since the Commission issued Order No. 2001, it has refined
and clarified the EQR filing requirements in response to changes in
the industry and the Commission's rules and regulations. For
example, the Commission has required EQR filers 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). The Commission has also proposed new filing
requirements for all EQR filers and extending the EQR filing
requirements to non-public utilities above a de minimis market
presence threshold. Electricity Market Transparency Provisions of
Section 220 of the Federal Power Act, Notice of Proposed Rulemaking,
76 FR 24188 (Apr. 29, 2011), FERC Stats. & Regs. ] 32,676 (2011).
---------------------------------------------------------------------------
3. In Order No. 2001, the Commission promulgated 18 CFR 35.10b
(2011), which reads, in pertinent part: ``* * * Electric Quarterly
Reports must be prepared in conformance with the Commission's software
and guidance posted and available for downloading from the FERC Web
site (https://www.ferc.gov).'' \6\ Consistent with this portion of the
regulation, the Commission's Web site provides public utilities with
software and guidance for filing an EQR.
---------------------------------------------------------------------------
\6\ 18 CFR 35.10b.
---------------------------------------------------------------------------
II. Discussion
4. Pursuant to section 35.10b of the Commission's Regulations,\7\
EQR filers must first download the EQR software application that is
available on the Commission's Web site. The EQR software application
was built with Visual FoxPro development tools and must be installed on
a Windows-based computer. This software has certain disadvantages.
Microsoft, the Visual FoxPro vendor, announced in 2007 that it would no
longer sell or issue new versions of Visual FoxPro and would provide
support for it only through 2015. Also, over time, the Commission
[[Page 39449]]
has found that it is difficult to maintain quarterly transactions in a
single table in the face of changes in the Commission's jurisdictional
markets because Visual FoxPro does not allow data tables to exceed two
gigabytes. These data size limitations will soon restrict the
Commission's ability to add data fields in the EQR. These limitations
make the EQR software application outmoded, ineffective, and
unsustainable.
---------------------------------------------------------------------------
\7\ 18 CFR 35.10b.
---------------------------------------------------------------------------
5. To ensure an ongoing, reliable mechanism for filing EQR data,
the Commission proposes to replace the Visual FoxPro-based EQR software
with two new filing options. The Commission recognizes the need to
facilitate a smooth transition to these new filing options. In
addition, on July 11, 2011, the President issued Executive Order 13579,
requesting that independent agencies issue public plans for periodic
retrospective analysis of existing regulations.\8\ Retrospective
analysis should identify regulations that may be outmoded, ineffective,
insufficient, or excessively burdensome and to modify, streamline,
expand, or repeal them in order to achieve the agency's regulatory
objective. The Commission believes that the changes proposed in this
Notice of Proposed Rulemaking (NOPR) support the goals of this
Executive Order by modifying a filing process that has become outmoded,
ineffective and unsustainable.
---------------------------------------------------------------------------
\8\ Regulation and Independent Regulatory Agencies, Exec. Order
13579, 76 FR 41587 (2011).
---------------------------------------------------------------------------
6. Under the proposed process, the first new filing option that the
Commission proposes builds upon the automated systems that EQR filers
have developed to enter data into the current EQR software. The EQR
software application allows EQR filers to enter quarterly data by hand
or by importing the data in comma-delimited text files. EQR filers have
built automated systems to generate the comma-delimited text files.
Therefore, the Commission proposes to offer a web interface on the
Commission's Web site that allows EQR filers to continue to enter data
in the comma-delimited text format but without the need to download
software. This option would minimize the changes for an EQR filer and
streamline the filing process by eliminating the need for filers to
enter or import the data into a software application. The proposed web
interface will be device-independent; therefore, this method would
eliminate the need for the EQR filer to use a Windows-based computer.
7. Under the proposed new filing process, EQR filers can elect a
second option if they prefer, which allows them to file EQR data via
XML-formatted files. This proposed method has various advantages. An
XML schema includes rules and data checks that are unavailable in a
comma-delimited file. For example, an EQR filer using XML would be able
to tag each data element to ensure that it reaches the Commission with
an accurate description; a comma-delimited file does not provide that
assurance. Therefore, this proposed filing option allows EQR filers to
test the consistency of their data with the Commission's filing
standards, improving the ability to comply with the EQR filing
requirement and increasing confidence that the Commission receives the
intended information. However, as discussed above, use of the XML
format is optional, and filers are free to choose to file via the web-
based interface option.
8. The Commission also proposes to change the manner in which an
EQR filer is identified. In the current EQR software, an EQR filer
applies for a ``PIN'' number when it first contacts the Commission
about filing an EQR. To receive a PIN number, a representative of the
filer must confirm via email that the request is made via the EQR
filer's email address. Once it receives the PIN number, the EQR filer
identifies itself in its filing by ``retrieving'' its listing,
downloading the applicable files (including past filings), and entering
the ``PIN'' number when ready to submit the filing to the Commission.
This PIN number system is part of the EQR software application.
Therefore, as part of the transition away from this software
application, the Commission must provide a new manner to identify EQR
filers.
9. To assure consistency and the ability to cross-reference
Commission filings, the Commission proposes to replace the PIN number
identification system with the Company Registration System used for
eTariff filings. As part of the development of the eTariff system,\9\
the Commission directed each publicly regulated company to file its
tariffs, rate schedules, jurisdictional contracts, and other
jurisdictional agreements with a ``Company Identifier.'' The Commission
developed a registration system to permit a publicly regulated company
to request a Company Identifier, modify information associated with an
existing Company Identifier, and request a new password.'' \10\ The
data is used by the Commission to identify the company making a tariff
filing, to notify the publicly regulated company that a filing has been
made in its name, and to create a list of publicly regulated companies.
The Commission proposes to require EQR filers to use these Company
Identifiers to identify themselves.\11\ Because the publicly regulated
companies that file their Commission-jurisdictional tariffs and
agreements have Company Identifiers, the Commission does not anticipate
that the use of a Company Identifier in the EQR filing process will
create an undue burden for these companies. Rather, it provides
publicly regulated companies that file an EQR a consistent and,
therefore, more controllable method to demonstrate that it is the
appropriate EQR filer. We also anticipate that the use of the Company
Identifier will not 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.\12\ The use of the Company
Identifier for EQR filings will allow the Commission to make filer
identification consistent across all Commission filings.
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\9\ Electronic Tariff Filings, Order No. 714, 73 FR 57515 (Oct.
3, 2008), FERC Stats. & Regs. ] 31,276 (2008).
\10\ See Implementation Guide for Electronic Filing of Parts 35,
154, 284, 300, and 341 Tariff Filings (Jan. 23, 2012 version),
available at https://www.ferc.gov/docs-filing/company-reg.asp.
\11\ The Commission recognizes that there are instances when a
company uses an agent to file on its behalf. If the Commission
adopts the proposal to require EQR filers to identify themselves
using the Company Identifier system, then the Commission proposes to
ensure that the new filing process continues to allow an agent to
file on behalf of a company.
\12\ Id.
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10. The Commission will convene a staff-led public conference on
Wednesday, July 11, 2012 to demonstrate the two new options for filing
EQRs to industry participants. The demonstration will assist
participants in preparing their comments to this NOPR. The conference
will be available by webcast.
11. The Commission also proposes that implementation of any changes
to the process for filing EQRs will apply to EQR filings beginning with
the third quarter (Q3) 2013 EQR, providing data for July through
September 2013. Implementing the changes within that time period should
provide EQR filers with sufficient time to weigh the two options and
file their Q3 2013 report in a timely manner.
III. Information Collection Statement
12. The Office of Management and Budget (OMB) regulations require
[[Page 39450]]
approval of certain information collection requirements imposed by
agency rules.\13\ 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 an agency 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. The Paperwork Reduction Act (PRA) \14\ requires each federal
agency to seek and obtain OMB approval before undertaking a collection
of information directed to ten or more persons or contained in a rule
of general applicability.\15\
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\13\ 5 CFR 1320.8.
\14\ 44 U.S.C. 3501-3520.
\15\ OMB's regulations at 5 CFR 1320.3(c)(4)(i) require that
``[a]ny recordkeeping, reporting, or disclosure requirement
contained in a rule of general applicability is deemed to involve
ten or more persons.''
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13. The Commission is submitting these reporting and recordkeeping
requirements to OMB for its review and approval under section 3507(d)
of the PRA. The subject of this NOPR is FERC's proposed changes to the
method for filing EQRs and how an EQR filer identifies itself. The
Commission solicits comments on these modifications, the accuracy of
burden estimates, ways to enhance quality, utility, and clarity of the
information to be collected, and any suggested methods for minimizing
respondents' burden
14. The Commission's estimates of the average public reporting
burden and cost related to the proposed rule in Docket RM12-3-000
follow:
NOPR in RM12-3-000 on Electric Quarterly Report
--------------------------------------------------------------------------------------------------------------------------------------------------------
Implementing (one- Recurring operating burden per Average annual
time) burden per respondent per response \16\ burden per
respondent ------------------------------------------ respondent
Number of ------------------------ (implementation
Number of responses per averaged over Years
respondents respondent per 1-3)
year Burden Cost ($) Burden hours \17\ Cost ($) ---------------------
hours Burden
hours Cost ($)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Companies within non-California 405 4 20 $1,434.50 no change.......... no change.......... 6.67 $478.17
RTO, and large cos. within Cal.
RTO.
Medium/small companies within 20 4 20 1,434.50 no change.......... no change.......... 6.67 478.17
Cal. 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
--------------------------------------------------------------------------------------------------------------------------------------------------------
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\16\ 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 under the
existing system).
\17\ For the existing EQR system, 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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15. The one-time implementation burden and cost for all 1,783
respondents are 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)
16. The Commission recognizes that there will be an initial
implementation burden associated with reviewing the instructions,
revising the filing process, adding the agent to the respondent's
eRegistration data, obtaining a Company Identifier, and filing EQR data
through the new system. The Commission estimates a burden of 20 hours
per respondent for the one-time implementation. To help with this
initial implementation, the Commission will convene a staff-led
technical conference to demonstrate the two new options for filing EQRs
to industry participants. The conference will be available by webcast,
which should minimize travel and other costs associated with
participation in the conference. The Commission also proposes to direct
staff to assist in transitioning to the new process. The demonstration
and staff assistance should minimize the initial implementation burden.
17. For the recurring effort involved in electronically submitting
EQR data on a quarterly basis to the Commission, the Commission
anticipates that there will be no change or a slight burden reduction,
when compared to the burden of making quarterly filings under the
current system. The Commission seeks comments on the burden estimates
related to the recurring quarterly filings.
Information Collection Costs: The Commission has estimated the cost
of compliance per respondent to be $1,434.50, for one-time
implementation of the changes proposed in this NOPR. The Commission has
estimated the implementation cost as follows: \18\
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\18\ 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 https://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-516,\19\ Electric Rate Schedules and Tariff Filings.
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\19\ The Commission plans to separate the EQR reporting
requirements from the remaining reporting requirements under FERC-
516 (OMB Control No. 1902-0096). The Commission expects to move the
EQR reporting requirements to the new FERC-920 (OMB Control No.
1902-0255) at the final rule stage.
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[[Page 39451]]
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: The Commission proposes changes to the method
for filing EQRs. The Commission proposes to replace a filing system
that requires an EQR filer to download Commission software with a
system that would allow an EQR filer to file EQR data directly through
the Commission's Web site, either through a web interface or by
submitting an XML-formatted file. The Commission also proposes to
require the EQR filer to identify itself with a Company Identifier. The
Company Identifiers would be assigned through the Commission's Company
Registration System.
Internal Review: The Commission has reviewed the proposed changes
and has 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. The
Commission has assured itself, by means of internal review, that there
is specific, objective support for the burden estimates associated with
the information collection requirements.
18. 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. 1902-0096,
FERC-516, and Docket No. RM12-3 in your submission.
IV. Environmental Analysis
19. 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.\20\ The
actions taken here fall within categorical exclusions in the
Commission's regulations for information gathering, analysis, and
dissemination.\21\ Therefore, an environmental assessment is
unnecessary and has not been prepared in this rulemaking.
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\20\ Regulations Implementing the National Environmental Policy
Act of 1969, Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats.
& Regs., Regulations Preambles 1986-1990 ] 30,783 (1987).
\21\ 18 CFR 380.4(a)(5).
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V. Regulatory Flexibility Act Certification
20. The Regulatory Flexibility Act of 1980 (RFA) \22\ generally
requires a description and analysis of proposed 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 Small Business Administration's (SBA) Office of Size
Standards develops the numerical definition of a small business.\23\
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 four million MWh.\24\
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\22\ 5 U.S.C. 601-612.
\23\ 13 CFR 121.101.
\24\ 13 CFR 121.201, Sector 22, Utilities & n.1.
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21. Of the 1,783 filers,\25\ approximately 1,194 filers had total
electric output for the preceding twelve months that did not exceed
four million MWh. However, when combined with their affiliates, 414 of
those 1,194 filers no longer meet the definition of ``small.'' The
Commission estimates that the remaining 780 filers are ``small.''
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\25\ Of the 1,783 respondents, approximately 695 submit filings
showing they had no transactions. The burden for these filings is
minimal.
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22. To ease the burden of implementation for all filers, the
Commission is minimizing the changes which respondents will experience
and giving two options for filing (using either comma-separated values
or XML). The estimated one-time implementation cost per respondent is
$1,434.50.
23. The Commission anticipates no change or a slight reduction in
the burden for the recurring quarterly filings. In addition, small
entities generally have few or no transactions and corresponding
minimal recurring burden. Furthermore, we note that public utilities
may request, on an individual basis, waiver from the EQR reporting
requirements.\26\ Thus, the Commission certifies that this proposed
rule will not have a significant impact on a substantial number of
small entities.
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\26\ The Commission has granted requests for waiver of the EQR
filing requirements. See Bridger Valley Elect. Assoc., Inc., 101
FERC ] 61,146 (2002). Entities with a waiver will continue to have a
waiver and will not need to file a new request for waiver.
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VI. Comment Procedures
24. The Commission invites interested persons to submit comments on
the matters and issues proposed in this notice to be adopted, including
any related matters or alternative proposals that commenters may wish
to discuss. Comments are due September 4, 2012. Comments must refer to
Docket No. RM12-3-000, and must include the commenter's name, the
organization they represent, if applicable, and their address in their
comments.
25. The Commission encourages comments to be filed electronically
via the eFiling link on the Commission's web site at https://www.ferc.gov. The Commission accepts most standard word processing
formats. Documents created electronically using word processing
software should be filed in native applications or print-to-PDF format
and not in a scanned format. Commenters filing electronically do not
need to make a paper filing.
26. Commenters that are not able to file comments electronically
must send an original of their comments to: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
27. All comments will be placed in the Commission's public files
and may be viewed, printed, or downloaded remotely as described in the
Document Availability section below. Commenters on this proposal are
not required to serve copies of their comments on other commenters.
VII. Document Availability
28. In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
Internet through the Commission's Home Page (https://www.ferc.gov) and
in the Commission's Public Reference Room 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.
[[Page 39452]]
29. From the Commission'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.
30. User assistance is available for eLibrary and the Commission's
Web site during normal business hours from the Commission's 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.
List of Subjects in 18 CFR Part 35
Electric power rates, Electric utilities, Reporting and
recordkeeping requirements.
By direction of the Commission. Commissioner Clark voting
present.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
In consideration of the foregoing, the Commission proposes to amend
18 CFR part 35, Chapter I, Title 18,as follows:
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.
2. Sec. 35.10b is revised to read as follows:
Sec. 35.10b Electric Quarterly Reports.
* * * Electric Quarterly Reports must be prepared in conformance
with the Commission's guidance posted on the FERC Web site (https://www.ferc.gov) or as otherwise provided to the public.
[FR Doc. 2012-15734 Filed 7-2-12; 8:45 am]
BILLING CODE P
