Revisions to Electric Quarterly Report Filing Process, 71288-71312 [2012-28230]

Download as PDF wreier-aviles on DSK5TPTVN1PROD with 71288 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations outweighed the demand for labor and the number of requests received for CW classification in fiscal year 2012 to date provides a more appropriate baseline for the maximum number of transitional workers in the CNMI. All requests received to date were submitted during fiscal year 2012, as the final rule took effect shortly after the beginning of that fiscal year. USCIS has not completed adjudication of these requests but anticipates doing so before the end of the current calendar year. These requests, to the extent they are granted, will be counted under the fiscal year 2012 cap of 22,416. The vast majority of CW petitions were filed by CNMI employers in November 2011, shortly before the expiration of ‘‘grandfathered’’ CNMI work authorization on November 27, 2011. See 48 U.S.C. 1806(e)(2). For these reasons, DHS believes that the number of requested CW–1 workers to date in fiscal year 2012 is an accurate baseline to use in determining the likely demand in fiscal year 2013. The CNRA requires an annual reduction in the number of transitional workers (and complete elimination of the CW nonimmigrant classification by the end of the transition period) but does not mandate a specific reduction. See 48 U.S.C. 1806(d)(2). In addition, 8 CFR 214.2(w)(1)(viii)(C) provides that the numerical limitation for any fiscal year will be less than the number for the previous fiscal year, and it will be reasonably calculated to reduce the number of CW–1 nonimmigrant workers to zero by the end of the transition period. To comply with these requirements, meet the CNMI’s labor market’s needs, and provide opportunity for growth, DHS has set the numerical limitation for fiscal year 2013 at 15,000. DHS calculated this figure by first taking the number of CW–1 nonimmigrant workers needed based on fiscal year 2012 filings to date of 12,247 (or 11,927, taking into account 320 denials to date), which rounded to the nearest thousand is 12,000. DHS then added an additional 25 percent to the 12,000 to accommodate possible economic growth that might lead to a need for additional CW workers, for a total of 15,000. Accordingly, DHS reduces the number of transitional workers from the current fiscal year numerical limitation of 22,416, and establishes the maximum VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 number of CW–1 visas available for fiscal year 2013 at 15,000. This number of CW–1 workers will be available beginning on October 1, 2012. DHS may adjust the numerical limitation for a fiscal year or other period, in its discretion, at any time via notice in the Federal Register. See 8 CFR 214.2(w)(1)(viii)(D). Consistent with the rules applicable to other nonimmigrant worker visa classifications, if the numerical limitation for the fiscal year is not reached, the unused numbers do not carry over to the next fiscal year. See 8 CFR 214.2(w)(1)(viii)(E). Petitions requesting a validity start date within fiscal year 2013 will be counted against the 15,000 limit. As such, each CW–1 worker who is listed on a Form I–129CW is counted against the numerical limitation at the time USCIS receives the petition. Counting the petitions in this manner will help ensure that USCIS does not approve requests for more than 15,000 CW–1 workers. If the number of CW–1 workers approaches the 15,000 limit, USCIS will hold any subsequently-filed petition until a final determination is made on the petitions that are already included in the numerical count. Subsequentlyfiled petitions will be forwarded for adjudication in the order in which they were received until USCIS has approved petitions for the maximum number of CW workers; any remaining petitions that were held or that are newly received will be rejected. This document does not affect the status of aliens who hold CW–1 nonimmigrant status. Aliens currently holding such status, however, will be affected by this document when they apply for an extension of their CW–1 classification, or a change of status from another nonimmigrant status to CW–1 status. This document does not affect the status of any alien currently holding CW–2 status as the spouse or minor child of a CW–1 nonimmigrant. This document also does not directly affect the ability of any alien to extend or otherwise obtain CW–2 status, as the numerical limitation applies to CW–1 principals only. Aliens seeking CW–2 status may be affected indirectly by the applicability of the cap to the CW–1 PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 principals from whom their status is derived. Janet Napolitano, Secretary. [FR Doc. 2012–29025 Filed 11–29–12; 8:45 am] BILLING CODE 9111–97–P DEPARTMENT OF ENERGY Federal Energy Regulatory Commission 18 CFR Part 35 [Docket No. RM12–3–000; Order No. 770] Revisions to Electric Quarterly Report Filing Process Federal Energy Regulatory Commission, DOE. ACTION: Final rule. AGENCY: 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 Commissiondistributed software to file an EQR. Instead, the Commission adopts a webbased 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. SUMMARY: E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations Christina Switzer, Office of General Counsel, Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, (202) 502– 6379, Christina.Switzer@ferc.gov. 71289 Final Rule SUPPLEMENTARY INFORMATION: Before Commissioners: Jon Wellinghoff, Chairman; Philip D. Moeller, John R. Norris, Cheryl A. LaFleur, and Tony T. Clark. (Issued November 15, 2012) Table of Contents Paragraph Nos. I. Introduction ........................................................................................................................................................................................... II. Background ........................................................................................................................................................................................... III. Discussion ........................................................................................................................................................................................... A. Need for Changing the Current EQR Filing Process .................................................................................................................. 1. NOPR Proposal ....................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... B. Option One—Web Interface ......................................................................................................................................................... 1. NOPR Proposal ....................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... C. Option 2—XML-Formatted File ................................................................................................................................................... 1. NOPR Proposal ....................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... D. Validation ...................................................................................................................................................................................... 1. NOPR ...................................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... E. Company Registration System ..................................................................................................................................................... 1. NOPR Proposal ....................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... F. Implementation and Compliance ................................................................................................................................................. 1. NOPR Proposal ....................................................................................................................................................................... 2. Comments ............................................................................................................................................................................... 3. Commission Determination ................................................................................................................................................... IV. Information Collection Statement ...................................................................................................................................................... V. Environmental Analysis ...................................................................................................................................................................... VI. Regulatory Flexibility Act .................................................................................................................................................................. VII. Document Availability ...................................................................................................................................................................... VIII. Effective Date and Congressional Notification ............................................................................................................................... Appendix A: List of Commenters Appendix B: EQR Data Dictionary I. Introduction wreier-aviles on DSK5TPTVN1PROD with 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 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. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 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. 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 2 Revisions to Electric Quarterly Report Filing Process, Notice of Proposed Rulemaking, FERC Stats. & Regs. ¶ 32,689 (2012) (NOPR). PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 1 3 6 6 6 7 8 9 9 10 12 16 16 17 18 19 19 20 24 30 30 31 33 37 37 38 47 53 64 65 71 74 35 of the Commission’s regulations 3 as well as non-public utilities 4 that are 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 E:\FR\FM\30NOR1.SGM Continued 30NOR1 71290 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 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. II. Background 3. The purpose of the EQR is to make available for public inspection, in a convenient form and place all relevant information relating to public utility rates, terms, and conditions of service; ensure that information is available in a standardized, user friendly format; and meet the Commission’s electronic filing option obligation. [Footnote omitted.] These actions also will allow the public to better participate in and obtain the full benefits of wholesale electric power markets while minimizing the reporting burden on public utilities.7 wreier-aviles on DSK5TPTVN1PROD with 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 Nonpublic 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 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 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 nonpublic utilities. 6 The process for designating an EQR agent is discussed in detail below. See supra, section III.E. 7 Order No. 2001, FERC Stats. & Regs. ¶ 31,127 at 30,116. 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. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 agreements for cost-based and marketbased 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 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 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). 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. PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 eight comments in response to the NOPR.18 III. Discussion A. Need for Changing the Current EQR Filing Process 1. NOPR Proposal 6. In the NOPR, the Commission stated that, pursuant to the Commission’s regulations,19 EQR sellers and agents must download EQR software from the Commission’s Web site. The Commission explained that this software was built with Visual FoxPro development tools and must be installed on a Windows-based computer. The Commission identified certain disadvantages with the current filing process, such as the fact that Microsoft, the vendor of Visual FoxPro, announced in 2007 that it would no longer sell or issue new versions of Visual FoxPro and would not provide support for the software after 2015. The Commission also explained that data limitations make the EQR software outmoded, ineffective, and unsustainable.20 The Commission stated that the changes proposed in the NOPR support the goals of Executive Order 13579 21 because the Commission proposed to modify a filing process that has become outmoded and ineffective. 22 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 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 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. 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. 23 See, e.g., Idaho Power at 2; Pacific Gas and Electric at 1. 24 Pacific Gas and Electric at 1. E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 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 deviceindependent, 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. B. Option One—Web Interface 1. NOPR Proposal 9. In the NOPR, the Commission proposed to offer a web interface on the Commission’s Web site that allows EQR sellers and agents to continue to enter data in the comma-delimited text (CSV) format but without the need to download the EQR software.29 The Commission stated that this option would minimize the changes for EQR sellers and agents and streamline the filing process by eliminating the need for EQR sellers and agents to enter or import the data into a software application. 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 25 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 4. wreier-aviles on DSK5TPTVN1PROD with 26 Id. 27 Id. P 6. 28 Id. 29 Id. 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. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 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 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 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 33 EPSA at 3. 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. 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. 34 The PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 71291 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. 15. Finally, we intend to support the web interface option until such time as it is no longer needed. C. Option 2—XML-Formatted File 1. NOPR Proposal 16. In the NOPR, the Commission proposed a second EQR filing option that allows EQR sellers and agents to file EQR data via XML-formatted files.36 The Commission identified various advantages to the XML option. For example, an XML schema allows EQR sellers and agents to test whether their data is consistent with the filing standards before uploading it to the Commission, thereby improving their ability to comply with the EQR filing requirement and increasing confidence that the Commission receives the intended information.37 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 3. Commission Determination 18. We adopt the XML option as the second of two new filing options. This 36 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 7. 37 Id. 38 Pacific Gas and Electric at 6. 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. 39 Id. E:\FR\FM\30NOR1.SGM 30NOR1 71292 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations option allows EQR sellers and agents to file their EQR data in an XML-formatted file. While we find that allowing EQR sellers and agents to use the XML option offers several advantages, as highlighted by Pacific Gas and Electric, and will facilitate the filing of EQRs, we stress that using the XML option is voluntary. Alternatively, EQR sellers and agents can choose to file via the web interface. An EQR seller may use the web interface to file their EQR for one quarter and use the XML option to file their EQR in another quarter, but an EQR seller cannot use both options to file its EQR in the same quarter. D. Validation 1. NOPR 19. In the NOPR, the Commission explained that an XML schema includes rules and data checks. This allows EQR sellers and agents to test the consistency of their data with the Commission’s filing standards, thereby improving the ability to comply with EQR filing requirements and ensures that the Commission receives the intended information.43 The Commission further noted in the NOPR that these data checks are not available in a CSV file. wreier-aviles on DSK5TPTVN1PROD with 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 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 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 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 49 EEI at 5. e.g., EEI at 8; Links Technology Solutions 50 See, at 2. 43 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 7. 44 Energy Compliance Consulting at 3. 45 Id. at 2–3. 46 Id. at 3. 47 EPSA at 4–5. 48 EPSA at 5. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 51 Pacific Gas and Electric at 7. 52 Id. 53 Id. 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 3. Commission Determination 24. We find that the validation process in the web interface and XMLformat 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 54 Id. 55 Id. 56 Id. PO 00000 57 Id. at 7–8. at 8. Frm 00006 58 Id. Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 wreier-aviles on DSK5TPTVN1PROD with Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 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 intime 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 onscreen 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. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 Additionally, EQR sellers and agents may use one of many XML parser programs available free on-line to check whether their XML file is consistent with the EQR XML schema. The parser will check for data formatting errors, which an EQR seller or agent can then correct. If there are business logic errors that were undetected by the parser, a validation email will notify the EQR seller and agent contacts. 29. We decline to adopt Pacific Gas and Electric’s request to include the ability to perform batch corrections to records that contain errors. The current EQR software does not provide a way to perform batch corrections; and we are not persuaded to include that capability in the new filing options. This correction method could arbitrarily and incorrectly change the contents of an EQR. We note, however, that EQR sellers and agents who intend to file by uploading CSV or XML files can develop their own batch correction processes to respond to validation errors. E. Company Registration System 1. NOPR Proposal 30. In the NOPR, the Commission proposed to replace the PIN number identification system with the Company Registration System used for eTariff filings.59 The Commission explained that the PIN system is part of the EQR software, and as part of the transition away from this software application, the Commission must provide a new manner to identify EQR sellers. The Commission stated that, as part of the development of the eTariff system, the Commission directed each publicly regulated company to file its tariffs, rate schedules, jurisdictional contracts, and other jurisdictional agreements with a Company Identifier. Accordingly, the Commission stated that it does not anticipate that the use of a Company Identifier in the EQR filing process will create an undue burden for publicly regulated companies that file their Commission-jurisdictional tariffs and agreements because they already have Company Identifiers. The Commission also stated that it did not anticipate that the use of the Company Identifier will be unduly burdensome for an EQR filer that does not have an existing Company Identifier because the registration process on the Commission’s Web site is straightforward and no more difficult than the current filer identification process. The Commission also noted that an advantage of using the Company Identifier for EQR filings is that it will 59 NOPR, PO 00000 FERC Stats. & Regs. ¶ 32,689 at P 9. Frm 00007 Fmt 4700 Sfmt 4700 71293 make filer identification consistent with other filings.60 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 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 60 Id. 61 EEI at 3. at 4. This document is located on the Commission’s Web site at http://www.ferc.gov/docsfiling/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/companyregistration-instruct.pdf (The Commission up-dated the instructions on October 6, 2011)). 65 EPSA at 5. 66 Id. 67 Id. 62 Id. E:\FR\FM\30NOR1.SGM 30NOR1 71294 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 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 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 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 68 Id. at 6. 69 Id. F. Implementation and Compliance 70 Id. wreier-aviles on DSK5TPTVN1PROD with 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. 72 See http://www.ferc.gov/docs-filing/companyreg.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. VerDate Mar<15>2010 Online,74 and select from a list of EQR seller(s) that have designated the individual as EQR agent. 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 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 14:04 Nov 29, 2012 Jkt 229001 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. 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 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 newsystem 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 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 77 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 11. e.g., EEI at 8; Links Technology Solutions at 2; Pacific Gas and Electric at 6. 79 EEI at 8. 80 EEI at 8. 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. 78 See, 74 See http://www.ferc.gov/docs-filing/ ferconline.asp. 75 We note that Commission staff does review applications for a Company Identifier account and that review can take up to several days. 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.’’). PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations wreier-aviles on DSK5TPTVN1PROD with 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 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 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 86 See, e.g., EEI at 9–10; Energy Compliance Consulting at 2; EPSA at 6, 9–10. 87 EEI at 10. 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. 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. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 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 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 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 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 preexisting 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, 97 Pacific Gas and Electric at 9. at 7. 99 Id. at 7–8. 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. 104 CAISO at 4; Idaho Power at 4. 105 CAISO at 3; Idaho Power at 4. 106 Idaho Power at 4. 98 EEI PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 71295 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 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 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 107 CAISO at 3–4. at 3. 109 Id. at 4–5. 110 EEI at 11. 111 Id. at 11–12. 112 Id. at 12. 113 See discussion supra section III.A. 108 Id. E:\FR\FM\30NOR1.SGM 30NOR1 71296 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations through the web interface until it is able to transition to the XML option. 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. 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 prepopulate 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 wreier-aviles on DSK5TPTVN1PROD with 114 Transparency Rule, FERC Stats. & Regs. ¶ 31,336. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 publish a notice in the Federal Register every time the Commission posts new guidance on the Commission’s Web site. The Commission publishes notices when it proposes changes to existing requirements, but we do not find it necessary to publish a notice in the Federal Register whenever the Commission posts, for example, answers to frequently asked questions. IV. Information Collection Statement 52. The Office of Management and Budget (OMB) requires that OMB approve certain information collection and data retention requirements imposed by agency rules.115 Therefore, the Commission is submitting the proposed modifications to its information collection statement to OMB for review and approval in accordance with section 3507(d) of the Paperwork Reduction Act of 1995.116 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 55. Some commenters question the Commission’s burden estimate.118 CFR 1320.11(b) (2010). U.S.C. 3507(d) (2006). 117 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 13. 118 See, e.g., Energy Compliance at 5; Pacific Gas and Electric at 6. 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 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 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: 115 5 116 44 PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 119 Energy Compliance Consulting at 5. Compliance Consulting at 5. 121 Pacific Gas and Electric at 6. 122 See NOPR, Stats. & Regs. ¶ 32,689 at n.17. 120 Energy E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71297 FINAL RULE IN RM12–3–000 ON ELECTRIC QUARTERLY REPORT 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. Sub-Total—All Public Utilities (Existing Filers). Non Public Utilities (New Filers). Total—All Utilities. Number of responses per respondent per year Implementing (one-time) burden per respondent Burden hours wreier-aviles on DSK5TPTVN1PROD with Burden hours 124 Cost ($) Burden hours 405 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. 1,783 4 35,660 $2,557,713.50 no change .......... no change .......... 11,892.61 ........... $852,577.11. 53 4 ........................ ........................ no change .......... no change .......... no change .......... no change. 1,836 4 35,660 $2,557,713.50 no change .......... no change .......... 11,892.61 ........... $852,577.11. 59. The total estimated one-time implementation burden and cost for all respondents is 35,660 hours (1,783 × 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 × $478.17) 60. We recognize that there will be an initial implementation burden for current EQR sellers (filers) associated with reviewing instructions, revising filing process, obtaining a Company Identifier, designating an agent(s), and filing EQR data through the new system. We estimate a burden of 20 hours per existing respondent for this one-time, initial implementation burden. The Transparency Rule requires non-public utilities to file EQRs for the first time in Q3 of 2013, consistent with the implementation date of this Final Rule.125 Non-public utilities will file for 123 The Commission expects no change or a slight decrease in the Recurring Operating Burden per Respondent per Response under the new filing system (when compared to quarterly filings for current filers under the existing system). 124 For the current EQR software and reporting requirements, the Commission estimates the average burden per respondent per quarterly filing to be: 32 hours for Companies within non-California RTO, and large companies within the California RTO; 80 hours for medium/small Companies within the California RTO; 3 hours for Companies not within an RTO; and 0.083 hours [5 minutes] for Companies with no transactions. 125 Transparency Rule, FERC Stats. & Regs. ¶ a P 31,336. The burden on non-public utilities associated with filing EQRs was captured in the Transparency Rule. In the Transparency Rule, the Commission estimated per non-public utility 400 hours for one-time implementation, and 19 hours for recurring burden for each quarterly filing. The estimated average annual burden per non-public VerDate Mar<15>2010 Cost ($) Average annual burden per respondent (implementation averaged over years 1–3) Recurring operating burden per respondent per response 123 16:20 Nov 29, 2012 Jkt 229001 Cost ($) 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. 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 • 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. 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. utility (with implementation averaged over Years 1– 3) was 209.33 hours. 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#000000) 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. 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. PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 71298 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations Internal Review: We have reviewed the changes and determined that the changes are necessary. These requirements conform to the Commission’s need for efficient information collection, communication, and management within the energy industry. We have assured ourselves, by means of internal review, that there is specific, objective support for the burden estimates associated with the information collection requirements. 63. Interested persons may obtain information on the reporting requirements by contacting: Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426 [Attention: Ellen Brown, Office of the Executive Director, email: DataClearance@ferc.gov, Phone: (202) 502–8663, fax: (202) 273–0873]. Comments on the requirements of this rule may also be sent to the Office of Information and Regulatory Affairs, Office of Management and Budget, Washington, DC 20503 [Attention: Desk Officer for the Federal Energy Regulatory Commission]. For security reasons, comments should be sent by email to OMB at oira_submission@omb.eop.gov. Please reference OMB Control No. 1902–0255, FERC–920, and Docket No. RM12–3 in your submission. V. Environmental Analysis 64. The Commission is required to prepare an Environmental Assessment or an Environmental Impact Statement for any action that may have a significant adverse effect on the human environment.128 The actions taken here fall within categorical exclusions in the Commission’s regulations for information gathering, analysis, and dissemination.129 Therefore, an environmental assessment is unnecessary and has not been prepared in this rulemaking. wreier-aviles on DSK5TPTVN1PROD with VI. Regulatory Flexibility Act 65. The Regulatory Flexibility Act of 1980 (RFA) 130 generally requires a description and analysis of final rules that will have significant economic impact on a substantial number of small entities. The RFA mandates consideration of regulatory alternatives that accomplish the stated objectives of a proposed rule and that minimize any significant economic impact on a substantial number of small entities. The SBA’s Office of Size Standards 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). 130 5 U.S.C. 601–612. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 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 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. 67. For non-public utilities, the Commission exempts under the de minimis market presence threshold nonpublic 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. 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 131 13 CFR 121.101. CFR 121.201, Sector 22, Utilities & n.1. 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)). 134 Transparency Rule, FERC Stats. & Regs. ¶ 31,336 at P 54. 132 13 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 consideration. First, there are investorowned 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. 70. Furthermore, to ease the burden of implementation for all EQR sellers, we will minimize the changes which EQR sellers will experience because the Commission is adopting two options for filing EQRs: the Web interface and XML. The estimated one-time implementation cost per EQR seller is $1,434.50. We anticipate no change or a slight reduction in the burden for the recurring quarterly EQR filings. In addition, small entities generally have few or no transactions and corresponding minimal recurring burden. We note that EQR sellers may request, on an individual basis, waiver from the Commission’s EQR reporting requirements. Thus, we certify that this proposed rule will not have a significant impact on a substantial number of small entities. VII. Document Availability 71. In addition to publishing the full text of this document in the Federal Register, the Commission provides all interested persons an opportunity to view and/or print the contents of this document via the Internet through FERC’s Home Page (http://www.ferc.gov) and in FERC’s Public Reference Room 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. E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations during normal business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 888 First Street NE., Room 2A, Washington DC 20426. 72. From FERC’s Home Page on the Internet, this information is available on eLibrary. The full text of this document is available on eLibrary in PDF and Microsoft Word format for viewing, printing, and/or downloading. To access this document in eLibrary, type the docket number excluding the last three digits of this document in the docket number field. 73. User assistance is available for eLibrary and the FERC’s Web site during normal business hours from FERC Online Support at (202) 502–6652 (toll free at 1–866–208–3676) or email at ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502– 8371, TTY (202) 502–8659. Email the Public Reference Room at public.referenceroom@ferc.gov. VIII. Effective Date and Congressional Notification 74. These regulations are effective April 1, 2013. The Commission has determined, with the concurrence of the Administrator of the Office of Information and Regulatory Affairs of OMB, that this rule is not a ‘‘major rule’’ as defined in section 351 of the Small Business Regulatory Enforcement Fairness Act of 1996. 71299 PART 35—FILIING OF RATE SCHEDULES AND TARIFFS 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. Section 35.10b is amended by revising the second sentence to read as follow: ■ List of Subjects in 18 CFR Part 35 § 35.10b Electric power rates, Electric utilities, Reporting and recordkeeping requirements. * * * 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: By direction of the Commission. Nathaniel J. Davis, Sr., Deputy Secretary. Electric Quality Reports. In consideration of the foregoing, the Commission amends 18 CFR part 35 as follows: APPENDIX A: ABBREVIATED NAMES OF COMMENTERS Commenters Abbreviation California Independent System Operator Corporation ............................. Edison Electric Institute ............................................................................ Electric Power Supply Association ........................................................... Energy Compliance Consulting, LLC ....................................................... Energy Services Providers, Inc., .............................................................. Connecticut Gas & Electric, Inc., and Massachusetts Gas & Electric Inc.. Idaho Power Company ............................................................................. Links Technology ...................................................................................... Solutions, Inc. ........................................................................................... Pacific Gas and Electric Company ........................................................... Southern California Edison Company ...................................................... CAISO EEI EPSA Energy Compliance Consulting Energy Services Providers Idaho Power Links Technology Solutions Pacific Gas and Electric Southern California Edison Appendix B: EQR Data Dictionary Electric Quarterly Report Data Dictionary Version 2.1 (issued November 15, 2012) 136 EQR DATA DICTIONARY Field No. Field Old Required Value Definition New ID Data wreier-aviles on DSK5TPTVN1PROD with 1 ......... 1 ....... Filer Unique Identifier .. ✓ .................................. 136 This version of Appendix B replaces the version that was included with Revisions to Electric VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 FS# (where ‘‘#’’ is an integer). (Seller)—An identifier (e.g., ‘‘FS1’’, ‘‘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. Quarterly Report Filing Process, Order No. 770, 141 FERC ¶ 61,120 (2012). PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 71300 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued Field No. Field Required Value Definition 1 ....... Filer Unique Identifier .. ✓ .................................. FA1 .............................. 2 ......... 2 ....... Company Name ........... ✓ .................................. Unrestricted text (100 characters). 2 ......... 2 ....... Company Name ........... ✓ .................................. Unrestricted text (100 characters). (Agent)—An 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. (Seller)—The name of the company that is authorized to make sales as indicated in the company’s FERC tariff(s). (Agent)—The name of 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 ...... ...................................... ✓ .................................. 3 ......... 4 ....... Contact Name .............. ✓ .................................. ...................................... A 7-digit integer proceeded by the letter ‘‘C’’. Unrestricted text (50 characters). 3 ......... 4 ....... Contact Name .............. ✓ .................................. 4 ......... 5 ....... Contact Title ................ ✓ .................................. 5 ......... 6 ....... Contact Address .......... ✓ .................................. 6 ......... 7 ....... Contact City ................. ✓ .................................. 7 ......... 8 ....... Contact State ............... ✓ .................................. 8 ......... 9 ....... Contact Zip .................. ✓ .................................. 9 ......... 10 ..... Contact Country Name ✓ .................................. 10 ....... 11 ..... Contact Phone ............. ✓ .................................. 11 ....... 12 ..... Contact E-Mail ............. ✓ .................................. 12 ....... 13 ..... Transactions Reported to Index Price Publisher(s). ✓ .................................. Y (Yes) ......................... N (No) 13 ....... 14 ..... Filing Quarter ............... ✓ .................................. YYYYMM ..................... Old New 1 ......... Unrestricted text (50 characters). Unrestricted text (50 characters). Unrestricted text .......... Unrestricted text (30 characters). Unrestricted text (2 characters). Unrestricted text (10 characters). CA—Canada ................ MX—Mexico US—United States UK—United Kingdom Unrestricted text (20 characters). Unrestricted text .......... (Seller)—Identifier obtained through the Commission’s Company Registration system. (Seller)—The name of the contact for the company authorized to make sales as indicated in the company’s FERC tariff(s). (Agent)—Name of the contact for the Agent, usually the person who prepares the filing. Title of contact identified in Field Number 4. Street address for contact identified in Field Number 4. City for the contact identified in Field Number 4. Two character state or province abbreviations for the contact identified in Field Number 4. Zip code for the contact identified in Field Number 4. Country (USA, Canada, Mexico, or United Kingdom) for contact address identified in Field Number 4. Phone number of contact identified in Field Number 4. E-mail address of contact identified in Field Number 4. Filers should indicate whether they have reported their sales transactions to index price publisher(s). If they have, filers should indicate specifically which index publisher(s) in Field Number 73. 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 wreier-aviles on DSK5TPTVN1PROD with 14 ....... 15 ..... Contract Unique ID ...... ✓ .................................. 15 ....... 16 ..... Seller Company Name ✓ .................................. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00014 An integer proceeded An identifier beginning with the letter ‘‘C’’ and by the letter ‘‘C’’ followed by a number (e.g., ‘‘C1’’, ‘‘C2’’) (only used when imused to designate a record containing conporting contract data). tract 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. Unrestricted text (100 The name of the company that is authorized to characters). 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). Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71301 EQR DATA DICTIONARY—Continued Field No. Field Required Value ✓ .................................. X ....... 18 ..... Customer Company Name. ...................................... Contract Affiliate .......... ...................................... ✓ .................................. Unrestricted text (70 characters). ...................................... Y (Yes) ......................... N (No) 18 ....... 19 ..... FERC Tariff Reference ✓ .................................. Unrestricted text (60 characters). 19 ....... 20 ..... Contract Service Agreement ID. ✓ .................................. Unrestricted text (30 characters). 20 ....... 21 ..... Contract Execution Date. ✓ .................................. YYYYMMDD ................ 21 ....... 22 ..... Commencement Date of Contract Terms. ✓ .................................. YYYYMMDD ................ 22 ....... 23 ..... 24 ..... If specified in the contract. If contract terminated ... YYYYMMDD ................ 23 ....... YYYYMMDD ................ The date the contract actually terminates. 24 ....... 25 ..... ✓ .................................. Unrestricted text .......... 25 ....... 25 ....... 26 ..... 26 ..... Contract Termination Date. Actual Termination Date Extension. Extension Provision Description. Class Name ................. Class Name ................. The customer is an 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. The FERC tariff 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. Unique identifier given 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. The date the contract was signed. If the parties signed on different dates, use the most recent date signed. The date the terms of 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. The date that the contract expires. ✓ .................................. ✓ .................................. ...................................... F—Firm ........................ 25 ....... 26 ..... Class Name ................. ✓ .................................. NF—Non-firm ............... Description of terms that provide for the continuation of the contract. See definitions of each class name below. 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. 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. 17 ..... 17 ....... 17 ....... Definition New 16 ....... wreier-aviles on DSK5TPTVN1PROD with Old VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 The name of the counterparty. E:\FR\FM\30NOR1.SGM 30NOR1 71302 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued Field No. Field Required Value Definition 26 ..... Class Name ................. ✓ .................................. UP—Unit Power Sale .. 25 ....... 26 ..... Class Name ................. ✓ .................................. N/A—Not Applicable .... 26 ....... 27 ..... Term Name .................. ✓ .................................. 27 ....... 27 ....... 28 ..... 28 ..... Increment Name .......... Increment Name .......... ✓ .................................. ✓ .................................. LT—Long Term ........... ST—Short Term N/A—Not Applicable ...................................... H—Hourly .................... 27 ....... 28 ..... Increment Name .......... ✓ .................................. D—Daily ....................... 27 ....... 28 ..... Increment Name .......... ✓ .................................. W—Weekly .................. 27 ....... 28 ..... Increment Name .......... ✓ .................................. M—Monthly .................. 27 ....... 28 ..... Increment Name .......... ✓ .................................. Y—Yearly ..................... 27 ....... 28 ..... Increment Name .......... ✓ .................................. N/A—Not Applicable .... 28 ....... 29 ..... ✓ .................................. ...................................... 28 ....... 29 ..... Increment Peaking Name. Increment Peaking Name. ✓ .................................. FP—Full Period ........... 28 ....... 29 ..... Increment Peaking Name. ✓ .................................. OP—Off-Peak .............. 28 ....... 29 ..... Increment Peaking Name. ✓ .................................. P—Peak ....................... 28 ....... 29 ..... ✓ .................................. N/A—Not Applicable .... 29 ....... 29 ....... 30 ..... 30 ..... Increment Peaking Name. Product Type Name .... Product Type Name .... ✓ .................................. ✓ .................................. ...................................... CB—Cost Based ......... 29 ....... 30 ..... Product Type Name .... ✓ .................................. CR—Capacity Reassignment. 29 ....... 30 ..... Product Type Name .... ✓ .................................. MB—Market Based ..... 29 ....... 30 ..... Product Type Name .... ✓ .................................. T—Transmission .......... 29 ....... 30 ..... Product Type Name .... ✓ .................................. Other ............................ 30 ....... 31 ..... Product Name .............. ✓ .................................. 31 ....... 32 ..... Quantity ....................... 32 ....... 33 ..... Units ............................. 33 ....... 34 ..... Rate ............................. 34 ....... 35 ..... Rate Minimum ............. 35 ....... 36 ..... Rate Maximum ............ If specified in the contract. If specified in the contract. One of four rate fields (34, 35, 36, or 37) must be included. One of four rate fields (34, 35, 36, or 37) must be included. One of four rate fields (34, 35, 36, or 37) must be included. See Product Name Table, Appendix A. Number with up to 4 decimals. See Units Table, Appendix E. Number with up to 4 decimals. Designates a dedicated sale of energy and capacity from one or more than one specified generation unit(s). To be used only when the other available Class Names do not apply. Contracts with durations of one year or greater are long-term. Contracts with shorter durations are short-term. See definitions for each increment below. Terms of the contract (if specifically noted in the contract) set for up to 6 consecutive hours (≤ 6 consecutive hours). Terms of the contract (if specifically noted in the contract) set for more than 6 and up to 60 consecutive hours (>6 and ≤ 60 consecutive hours). Terms of the contract (if specifically noted in the contract) set for over 60 consecutive hours and up to 168 consecutive hours (>60 and ≤ 168 consecutive hours). Terms of the contract (if specifically noted in the contract) set for more than 168 consecutive hours up to, but not including, one year (>168 consecutive hours and < 1 year). Terms of the contract (if specifically noted in the contract) set for one year or more (≥ 1 year). Terms of the contract do not specify an increment. See definitions for each increment peaking name below. The product described may be sold during those hours designated as on-peak and offpeak in the NERC region of the point of delivery. The product described may be sold only during those hours designated as off-peak in the NERC region of the point of delivery. The product described may be sold only during those hours designated as on-peak in the NERC region of the point of delivery. To be used only when the increment peaking name is not specified in the contract. See definitions for each product type below. Energy or capacity sold under a FERC-approved cost-based rate tariff. An agreement under which a transmission provider sells, assigns or transfers all or portion of its rights to an eligible customer. Energy or capacity sold under the seller’s FERC-approved market-based rate tariff. The product is sold under a FERC-approved transmission tariff. The product cannot be characterized by the other product type names. Description of product being offered. New 25 ....... wreier-aviles on DSK5TPTVN1PROD with Old VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00016 Quantity for the contract product identified. Measure stated in the contract for the product sold. The charge for the product per unit as stated in the contract. Number with up to 4 decimals. Minimum rate to be charged per the contract, if a range is specified. Number with up to 4 decimals. Maximum rate to be charged per the contract, if a range is specified. Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71303 EQR DATA DICTIONARY—Continued Field No. Field Required Value 37 ..... Rate Description .......... One of four rate fields (34, 35, 36, or 37) must be included. 37 ....... 38 ..... Rate Units .................... 38 ....... 39 ..... Point of Receipt Balancing Authority (PORBA). If specified in the contract. If specified in the contract. 39 ....... 40 ..... Point of Receipt Specific Location (PORSL). If specified in the contract. 40 ....... 41 ..... Point of Delivery Balancing Authority (PODBA). If specified in the contract. 41 ....... 42 ..... Point of Delivery Specific Location (PODSL). If specified in the contract. 42 ....... 43 ..... Begin Date ................... 43 ....... 44 ..... End Date ...................... 45 ....... X ....... ...................................... If specified in the contract. If specified in the contract. ...................................... Definition New 36 ....... wreier-aviles on DSK5TPTVN1PROD with Old VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00017 Unrestricted text .......... Text description of rate. If the rate is currently available on 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. See Rate Units Table, Measure stated in the contract for the product Appendix F. sold. See Balancing AuthorThe registered NERC Balancing Authority (fority Table, Appendix B. merly 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. Unrestricted text (50 The specific location at which the product is recharacters). If ‘‘HUB’’ ceived if designated in the contract. If receipt is selected for occurs at a trading hub, a standardized hub PORCA, see Hub name must be used. If more points of receipt Table, Appendix C. 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. See Balancing AuthorThe registered NERC Balancing Authority (fority Table, Appendix B. merly called NERC Control Area) where a jurisdictional product is delivered and/or service ends for a transmission or transmissionrelated 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. Unrestricted text (50 The specific location at which the product is characters). If ‘‘HUB’’ delivered if designated in the contract. If reis selected for ceipt occurs at a trading hub, a standardized PODCA, see Hub hub name must be used. Table, Appendix C. YYYYMMDDHHMM ..... First date for the sale of the product at the rate specified. YYYYMMDDHHMM ..... Last date for the sale of the product at the rate specified. ...................................... Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 71304 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued Field No. Field Old Required Value Definition New Transaction Data 45 ..... Transaction Unique ID ✓ .................................. An integer proceeded by the letter ‘‘T’’ (only used when importing transaction data). 45 ....... 46 ..... Seller Company Name ✓ .................................. Unrestricted text (100 Characters). 46 ....... 47 ..... X ....... 48 ..... Customer Company Name. ...................................... FERC Tariff Reference ✓ .................................. 49 ....... 47 ....... ...................................... ✓ .................................. Unrestricted text (70 Characters). ...................................... Unrestricted text (60 Characters). 48 ....... 49 ..... Contract Service Agreement ID. ✓ .................................. Unrestricted text (30 Characters). 49 ....... 50 ..... 51 ..... Transaction Unique Identifier. Transaction Begin Date ✓ .................................. 50 ....... 51 ....... 52 ..... Transaction End Date .. ✓ .................................. 52 ....... 53 ..... Trade Date ................... ✓ .................................. 53 ....... 54 ..... Exchange/Brokerage Service. ...................................... Unrestricted text (24 Characters). YYYYMMDDHHMM (csv import); MMDDYYYYHHMM (manual entry). YYYYMMDDHHMM (csv import); MMDDYYYYHHMM (manual entry). YYYYMMDD (csv import); MMDDYYYY (manual entry). See Exchange/Brokerage Service Table, Appendix H. 54 ....... 54 ....... 54 ....... 55 ..... 55 ..... 55 ..... Type of Rate ................ Type of Rate ................ Type of Rate ................ ✓ .................................. ✓ .................................. ✓ .................................. 54 ....... 55 ..... Type of Rate ................ ✓ .................................. 54 ....... wreier-aviles on DSK5TPTVN1PROD with 44 ....... 55 ..... Type of Rate ................ ✓ .................................. 55 ....... 56 ..... Time Zone ................... ✓ .................................. 56 ....... 57 ..... Point of Delivery Balancing Authority (PODBA). ✓ .................................. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 ✓ .................................. PO 00000 Frm 00018 An identifier beginning with the letter ‘‘T’’ and followed by a number (e.g., ‘‘T1’’, ‘‘T2’’) used to 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. The name of the company 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). The name of the counterparty. The FERC tariff 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. Unique identifier given 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. Unique reference number assigned by the seller for each transaction. First date and time the product is sold during the quarter. Last date and time the product is sold during the quarter. The date upon which the parties made the legally binding agreement on the price of a transaction. If a broker service is used to consummate or 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. ...................................... See type of rate definitions below. Fixed ............................ A fixed charge per unit of consumption. Formula ........................ A calculation of a rate based upon a formula that does not contain an index component. Electric Index ............... A calculation of a rate based upon an index or a formula that contains an index component. RTO/ISO ...................... A rate that is based on an RTO/ISO published price or formula that contains an RTO/ISO price component. See Time Zone Table, The time zone in which the sales will be made Appendix D. under the contract. See Balancing AuthorThe registered NERC Balancing Authority (fority Table, Appendix B. merly called NERC Control Area) abbreviation used in OASIS applications. Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71305 EQR DATA DICTIONARY—Continued Field No. Field Required Value Definition Point of Delivery Specific Location (PODSL). ✓ .................................. The specific location at which the product is delivered. If receipt occurs at a trading hub, a standardized hub name must be used. 59 ..... 59 ..... Class Name ................. Class Name ................. ✓ .................................. ✓ .................................. Unrestricted text (50 characters). If ‘‘HUB’’ is selected for PODBA, see Hub Table, Appendix C. ...................................... F—Firm ........................ 58 ....... 59 ..... Class Name ................. ✓ .................................. NF—Non-firm ............... 58 ....... 59 ..... Class Name ................. ✓ .................................. UP—Unit Power Sale .. 58 ....... 59 ..... Class Name ................. ✓ .................................. BA—Billing Adjustment 58 ....... 59 ..... Class Name ................. ✓ .................................. 59 ....... 60 ..... Term Name .................. ✓ .................................. N/A—Not Applicable; LT—Long Term. ST—Short Term; N/A— Not Applicable. 60 ....... 60 ....... 61 ..... 61 ..... Increment Name .......... Increment Name .......... ✓ .................................. ✓ .................................. ...................................... H—Hourly .................... 60 ....... 61 ..... Increment Name .......... ✓ .................................. D—Daily ....................... 60 ....... 61 ..... Increment Name .......... ✓ .................................. W—Weekly .................. 60 ....... 61 ..... Increment Name .......... ✓ .................................. M—Monthly .................. 60 ....... 61 ..... Increment Name .......... ✓ .................................. Y—Yearly ..................... 60 ....... 61 ..... Increment Name .......... ✓ .................................. N/A—Not Applicable .... 61 ....... 62 ..... ✓ .................................. ...................................... 61 ....... 62 ..... ✓ .................................. FP—Full Period ........... 61 ....... 62 ..... Increment Peaking Name. Increment Peaking Name. Increment Peaking Name. ✓ .................................. OP—Off-Peak .............. 61 ....... 62 ..... Increment Peaking Name. ✓ .................................. P—Peak ....................... 61 ....... 62 ..... ✓ .................................. N/A—Not Applicable .... 62 ....... 63 ..... Increment Peaking Name. Product Name .............. ✓ .................................. 63 ....... 64 ..... Transaction Quantity ... ✓ .................................. See Product Names Table, Appendix A. Number with up to 4 decimals. New 57 ....... 58 ..... 58 ....... 58 ....... wreier-aviles on DSK5TPTVN1PROD with Old VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00019 Fmt 4700 Sfmt 4700 See class name definitions below. A sale, service or product that is not interruptible for economic reasons. 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. Designates a dedicated sale of energy and capacity from one or more than one specified generation unit(s). Designates an 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. To be used only when the other available class names do not apply. Power sales transactions with durations of one year or greater are long-term. Transactions with shorter durations are short-term. See increment name definitions below. Terms of the particular sale set for up to 6 consecutive hours (≤ 6 consecutive hours) Includes LMP based sales in ISO/RTO markets. Terms of the particular sale set for more than 6 and up to 60 consecutive hours (>6 and ≤ 60 consecutive hours). Includes sales over a peak or off-peak block during a single day. Terms of the particular sale set for over 60 consecutive hours and up to 168 consecutive hours (>60 and ≤ 168 consecutive hours). Includes sales for a full week and sales for peak and off-peak blocks over a particular week. Terms of the particular sale set for set for more than 168 consecutive hours up to, but not including, one year (>168 consecutive hours and < 1 year). Includes sales for full month or multi-week sales during a given month. Terms of the particular sale set for one year or more (≥ 1 year). Includes all long-term contracts with defined pricing terms (fixed-price, formula, or index). To be used only when other available increment names do not apply. See definitions for increment peaking below. The product described was sold during Peak and Off-Peak hours. The product described was sold only during those hours designated as off-peak in the NERC region of the point of delivery. The product described was sold only during those hours designated as on-peak in the NERC region of the point of delivery. To be used only when the other available increment peaking names do not apply. Description of product being offered. The quantity of the product in this transaction. E:\FR\FM\30NOR1.SGM 30NOR1 71306 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued Field No. Field Required 65 ..... Price ............................. ✓ .................................. Number with up to 6 decimals. 65 ....... 66 ..... Rate Units .................... ✓ .................................. 66 ....... 67 ..... Standardized Quantity ✓ .................................. See Rate Units Table, Appendix F. Number with up to 4 decimals. 67 ....... 68 ..... Standardized Price ...... ✓ .................................. Number with up to 6 decimals. 68 ....... 69 ..... ✓ .................................. 69 ....... 70 ..... Total Transmission Charge. Total Transaction Charge. Number with up to 2 decimals. Number with up to 2 decimals. Old 64 ....... Value Definition New ✓ .................................. Actual price charged for the product per unit. The price reported cannot be averaged or otherwise aggregated. Measure appropriate to the price of the product sold. For product names 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. For product names 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 $/MWmonth if the product is capacity. Payments received for transmission services when explicitly identified. Transaction Quantity (Field 64) times Price (Field 65) plus Total Transmission Charge (Field 69). Index Reporting Data 70 ....... 71 ..... Filer Unique Identifier .. ✓ .................................. FS# (where ‘‘#’’ is an integer). 71 ....... 72 ..... Seller Company Name ✓ .................................. Unrestricted text (100 characters). 72 ....... 73 ..... 73 ....... 74 ..... Index Price Pub✓ .................................. lisher(s) To Which Sales Transactions Have Been Reported. Transactions Reported ✓ .................................. If ‘‘Yes’’ is selected for Field 13, see Index Price Publisher, Appendix G. Unrestricted text (100 characters). The ‘‘FS’’ seller number from the ID Data table corresponding to the index reporting company. The name of the company 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). The index price publisher(s) to which sales transactions have been reported. Description of the types of transactions reported to the index publisher identified in this record. e-Tag Data 75 ..... e-Tag ID ....................... If an e-Tag ID was used to schedule the EQR transaction. Unrestricted text (30 Characters). 75 ....... 76 ..... e-Tag Begin Date ........ If an e-Tag ID was used to schedule the EQR transaction. YYYYMMDD (csv import); MMDDYYYY (manual entry). 76 ....... 77 ..... e-Tag End Date ........... If an e-Tag ID was used to schedule the EQR transaction. YYYYMMDD (csv import); MMDDYYYY (manual entry). 77 ....... wreier-aviles on DSK5TPTVN1PROD with 74 ....... 78 ..... Transaction Unique Identifier. If an e-Tag ID was used to schedule the EQR transaction. Unrestricted text (24 Characters). VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00020 Fmt 4700 Sfmt 4700 The e-Tag ID contains: The Source Balancing Authority where the generation is located; The Purchasing-Selling Balancing Authority Entity Code; the e-Tag Code; and the Sink Balancing Authority. The first date the transaction is scheduled using the e-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. The last date the transaction is scheduled using the e-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. Unique reference number assigned by the seller for each transaction that must be the same as reported in Field Number 50. E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71307 EQR DATA DICTIONARY [Appendix A. Product Names] Contract product Transaction product Definition BLACK START SERVICE ..... ✓ ✓ BOOKED OUT POWER ........ ........................ ✓ CAPACITY ............................. CUSTOMER CHARGE .......... ✓ ✓ ✓ ✓ DIRECT ASSIGNMENT FACILITIES CHARGE. EMERGENCY ENERGY ........ ✓ ........................ ✓ ........................ ENERGY ................................ ENERGY IMBALANCE .......... ✓ ✓ ✓ ✓ EXCHANGE ........................... ✓ ✓ FUEL CHARGE ..................... GENERATOR IMBALANCE .. ✓ ✓ ✓ ✓ GRANDFATHERED BUNDLED. INTERCONNECTION AGREEMENT. ✓ ✓ ✓ ........................ MEMBERSHIP AGREEMENT MUST RUN AGREEMENT .... NEGOTIATED–RATE TRANSMISSION. NETWORK ............................. NETWORK OPERATING AGREEMENT. ✓ ✓ ✓ ........................ ........................ ✓ ✓ ✓ ........................ ........................ OTHER ................................... POINT–TO–POINT AGREEMENT. REACTIVE SUPPLY & VOLTAGE CONTROL. REAL POWER TRANSMISSION LOSS. REASSIGNMENT AGREEMENT. REGULATION & FREQUENCY RESPONSE. wreier-aviles on DSK5TPTVN1PROD with Product name ✓ ✓ ✓ ........................ ✓ ✓ ✓ ✓ ✓ ........................ 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). Energy or capacity contractually committed bilaterally for delivery but not actually delivered due to some offsetting or countervailing trade (Transaction only). A quantity of demand that is charged on a $/KW or $/MW basis. Fixed contractual charges assessed on a per customer basis that could include billing service. Charges for facilities or portions of facilities that are constructed or used for the sole use/benefit of a particular customer. Contractual provisions to supply energy or capacity to another entity during critical situations. A quantity of electricity that is sold or transmitted over a period of time. 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. 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. Charge based on the cost or amount of fuel used for generation. 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. Services provided for bundled transmission, ancillary services and energy under contracts effective prior to Order No. 888’s OATTs. 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. Agreement to participate and be subject to rules of a system operator. An agreement that requires a unit to run. Transmission performed under a negotiated rate contract (applies only to merchant transmission companies). Transmission service under contract providing network service. 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. Product name not otherwise included. Transmission service under contract between specified Points of Receipt and Delivery. Production or absorption of reactive power to maintain voltage levels on transmission systems (Ancillary Service). The loss of energy, resulting from transporting power over a transmission system. Transmission capacity reassignment agreement. ✓ ✓ REQUIREMENTS SERVICE ✓ ✓ VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00021 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. 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.) Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 71308 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued [Appendix A. Product Names] Contract product Transaction product Definition SCHEDULE SYSTEM CONTROL & DISPATCH. ✓ ✓ SPINNING RESERVE ........... ✓ ✓ SUPPLEMENTAL RESERVE ✓ ✓ SYSTEM OPERATING AGREEMENTS. ✓ ........................ TOLLING ENERGY ............... ✓ ✓ TRANSMISSION OWNERS AGREEMENT. ✓ ........................ UPLIFT ................................... ✓ ✓ Scheduling, confirming and implementing an interchange schedule with other Balancing Authorities, including intermediary Balancing Authorities providing transmission service, and ensuring operational security during the interchange transaction (Ancillary Service). 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. 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 thirdparty providers (i.e., non-transmission function) are reported. 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. Energy sold from a plant whereby the buyer provides fuel to a generator (seller) and receives power in return for pre-established fees. The agreement that establishes the terms and conditions under which a transmission owner transfers operational control over designated transmission facilities. A make-whole payment by an RTO/ISO to a utility. Product name EQR DATA DICTIONARY [Appendix B. Balancing Authority] wreier-aviles on DSK5TPTVN1PROD with Balancing authority Abbreviation AESC, LLC—Wheatland CIN ............................................................................................................................... Alabama Electric Cooperative, Inc. ...................................................................................................................... Alberta Electric System Operator ......................................................................................................................... Alliant Energy Corporate Services, LLC—East .................................................................................................... Alliant Energy Corporate Services, LLC—West ................................................................................................... Ameren Transmission. Illinois ............................................................................................................................... Ameren Transmission. Missouri ........................................................................................................................... American Transmission Systems, Inc. ................................................................................................................. Aquila Networks—Kansas .................................................................................................................................... Aquila Networks—Missouri Public Service ........................................................................................................... Aquila Networks—West Plains Dispatch .............................................................................................................. Arizona Public Service Company ......................................................................................................................... Associated Electric Cooperative, Inc. ................................................................................................................... Avista Corp. .......................................................................................................................................................... Batesville Balancing Authority .............................................................................................................................. BC Hydro T & D—Grid Operations ...................................................................................................................... Big Rivers Electric Corp. ...................................................................................................................................... Board of Public Utilities ........................................................................................................................................ Bonneville Power Administration Transmission ................................................................................................... British Columbia Transmission Corporation ......................................................................................................... California Independent System Operator ............................................................................................................. Carolina Power & Light Company—CPLW .......................................................................................................... Carolina Power and Light Company—East .......................................................................................................... Central and Southwest ......................................................................................................................................... Chelan County PUD ............................................................................................................................................. Cinergy Corporation .............................................................................................................................................. City of Homestead ................................................................................................................................................ City of Independence P&L Dept. .......................................................................................................................... City of Tallahassee ............................................................................................................................................... City Water Light & Power ..................................................................................................................................... City Utilities of Springfield ..................................................................................................................................... Cleco Power LLC .................................................................................................................................................. Columbia Water & Light ....................................................................................................................................... Comision Federal de Electricidad ......................................................................................................................... Comision Federal de Electricidad ......................................................................................................................... Constellation Energy Control and Dispatch ......................................................................................................... Constellation Energy Control and Dispatch—Arkansas ....................................................................................... VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00022 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM AEWC AEC AESO ALTE ALTW AMIL AMMO FE WPEK MPS WPEC AZPS AECI AVA BBA BCHA BREC KACY BPAT BCTC CISO CPLW CPLE CSWS CHPD CIN HST INDN TAL CWLP SPRM CLEC CWLD CFE CFEN GRIF PUPP 30NOR1 Outside US* ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ✓ ........................ ........................ Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71309 EQR DATA DICTIONARY—Continued [Appendix B. Balancing Authority] wreier-aviles on DSK5TPTVN1PROD with Balancing authority Abbreviation Constellation Energy Control and Dispatch—City of Benton, AR ........................................................................ Constellation Energy Control and Dispatch—City of Ruston, LA ........................................................................ Constellation Energy Control and Dispatch—Conway, Arkansas ........................................................................ Constellation Energy Control and Dispatch—Gila River ...................................................................................... Constellation Energy Control and Dispatch—Glacier Wind Energy .................................................................... Constellation Energy Control and Dispatch—Harquehala ................................................................................... Constellation Energy Control and Dispatch—North Little Rock, AK .................................................................... Constellation Energy Control and Dispatch—Osceola Municipal Light ............................................................... Constellation Energy Control and Dispatch—Plum Point .................................................................................... Constellation Energy Control and Dispatch—Red Mesa ..................................................................................... Constellation Energy Control and Dispatch—West Memphis, Arkansas ............................................................. Dairyland Power Cooperative ............................................................................................................................... DECA, LLC—Arlington Valley .............................................................................................................................. Duke Energy Corporation ..................................................................................................................................... East Kentucky Power Cooperative, Inc. ............................................................................................................... El Paso Electric .................................................................................................................................................... Electric Energy, Inc. .............................................................................................................................................. Empire District Electric Co., The .......................................................................................................................... Entergy .................................................................................................................................................................. ERCOT ISO .......................................................................................................................................................... Florida Municipal Power Pool ............................................................................................................................... Florida Power & Light ........................................................................................................................................... Florida Power Corporation .................................................................................................................................... Gainesville Regional Utilities ................................................................................................................................ Grand River Dam Authority .................................................................................................................................. Grant County PUD No. 2 ...................................................................................................................................... Great River Energy ............................................................................................................................................... Great River Energy ............................................................................................................................................... Great River Energy ............................................................................................................................................... Great River Energy ............................................................................................................................................... GridAmerica .......................................................................................................................................................... Hoosier Energy ..................................................................................................................................................... Hydro-Quebec, TransEnergie ............................................................................................................................... Idaho Power Company ......................................................................................................................................... Imperial Irrigation District ...................................................................................................................................... Indianapolis Power & Light Company .................................................................................................................. ISO New England Inc. .......................................................................................................................................... JEA ....................................................................................................................................................................... Kansas City Power & Light, Co ............................................................................................................................ Lafayette Utilities System ..................................................................................................................................... LG&E Energy Transmission Services .................................................................................................................. Lincoln Electric System ........................................................................................................................................ Los Angeles Department of Water and Power .................................................................................................... Louisiana Energy & Power Authority .................................................................................................................... Louisiana Generating, LLC ................................................................................................................................... Louisiana Generating, LLC—City of Conway ....................................................................................................... Louisiana Generating, LLC—City of West Memphis ............................................................................................ Louisiana Generating, LLC—North Little Rock .................................................................................................... Madison Gas and Electric Company .................................................................................................................... Manitoba Hydro Electric Board, Transmission Services ...................................................................................... Michigan Electric Coordinated System ................................................................................................................. Michigan Electric Coordinated System—CONS ................................................................................................... Michigan Electric Coordinated System—DECO ................................................................................................... MidAmerican Energy Company ............................................................................................................................ Midwest ISO ......................................................................................................................................................... Minnesota Power, Inc. .......................................................................................................................................... Montana-Dakota Utilities Co. ................................................................................................................................ Muscatine Power and Water ................................................................................................................................ Nebraska Public Power District ............................................................................................................................ Nevada Power Company ...................................................................................................................................... New Brunswick System Operator ......................................................................................................................... New Horizons Electric Cooperative ...................................................................................................................... New York Independent System Operator ............................................................................................................ Northern Indiana Public Service Company .......................................................................................................... Northern States Power Company ......................................................................................................................... NorthWestern Energy ........................................................................................................................................... Ohio Valley Electric Corporation .......................................................................................................................... Oklahoma Gas and Electric .................................................................................................................................. Ontario—Independent Electricity System Operator ............................................................................................. OPPDCA/TP ......................................................................................................................................................... Otter Tail Power Company ................................................................................................................................... VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00023 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM BUBA DERS CNWY GRMA GWA HGMA DENL OMLP PLUM REDM WMUC DPC DEAA DUK EKPC EPE EEI EDE EES ERCO FMPP FPL FPC GVL GRDA GCPD GRE GREC GREN GRES GA HE HQT IPCO IID IPL ISNE JEA KCPL LAFA LGEE LES LDWP LEPA LAGN CWAY WMU NLR MGE MHEB MECS CONS DECO MEC MISO MP MDU MPW NPPD NEVP NBSO NHC1 NYIS NIPS NSP NWMT OVEC OKGE ONT OPPD OTP 30NOR1 Outside US* ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ 71310 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations EQR DATA DICTIONARY—Continued [Appendix B. Balancing Authority] Balancing authority Abbreviation P.U.D. No. 1 of Douglas County .......................................................................................................................... PacifiCorp-East ..................................................................................................................................................... PacifiCorp-West .................................................................................................................................................... PJM Interconnection ............................................................................................................................................. Portland General Electric ...................................................................................................................................... Public Service Company of Colorado .................................................................................................................. Public Service Company of New Mexico ............................................................................................................. Puget Sound Energy Transmission ...................................................................................................................... Reedy Creek Improvement District ...................................................................................................................... Sacramento Municipal Utility District .................................................................................................................... Salt River Project .................................................................................................................................................. Santee Cooper ...................................................................................................................................................... SaskPower Grid Control Centre ........................................................................................................................... Seattle City Light .................................................................................................................................................. Seminole Electric Cooperative ............................................................................................................................. Sierra Pacific Power Co.—Transmission ............................................................................................................. South Carolina Electric & Gas Company ............................................................................................................. South Mississippi Electric Power Association ...................................................................................................... South Mississippi Electric Power Association ...................................................................................................... Southeastern Power Administration—Hartwell ..................................................................................................... Southeastern Power Administration—Russell ...................................................................................................... Southeastern Power Administration—Thurmond ................................................................................................. Southern Company Services, Inc. ........................................................................................................................ Southern Illinois Power Cooperative .................................................................................................................... Southern Indiana Gas & Electric Co. ................................................................................................................... Southern Minnesota Municipal Power Agency ..................................................................................................... Southwest Power Pool ......................................................................................................................................... Southwestern Power Administration ..................................................................................................................... Southwestern Public Service Company ............................................................................................................... Sunflower Electric Power Corporation .................................................................................................................. Tacoma Power ...................................................................................................................................................... Tampa Electric Company ..................................................................................................................................... Tennessee Valley Authority ESO ......................................................................................................................... Trading Hub .......................................................................................................................................................... TRANSLink Management Company .................................................................................................................... Tucson Electric Power Company ......................................................................................................................... Turlock Irrigation District ....................................................................................................................................... Upper Peninsula Power Co. ................................................................................................................................. Utilities Commission, City of New Smyrna Beach ............................................................................................... Westar Energy—MoPEP Cities ............................................................................................................................ Western Area Power Administration—Colorado-Missouri .................................................................................... Western Area Power Administration—Lower Colorado ....................................................................................... Western Area Power Administration—Upper Great Plains East ......................................................................... Western Area Power Administration—Upper Great Plains West ........................................................................ Western Farmers Electric Cooperative ................................................................................................................ Western Resources dba Westar Energy .............................................................................................................. Wisconsin Energy Corporation ............................................................................................................................. Wisconsin Public Service Corporation ................................................................................................................. Yadkin, Inc. ........................................................................................................................................................... DOPD PACE PACW PJM PGE PSCO PNM PSEI RC SMUD SRP SC SPC SCL SEC SPPC SCEG SME SMEE SEHA SERU SETH SOCO SIPC SIGE SMP SWPP SPA SPS SECI TPWR TEC TVA HUB TLKN TEPC TIDC UPPC NSB MOWR WACM WALC WAUE WAUW WFEC WR WEC WPS YAD Outside US* ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ✓ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ ........................ * 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. The aggregated Locational Marginal Price (‘‘LMP’’) nodes defined by PJM Interconnection, LLC as the AEPGenHub. The set of delivery points along the California-Oregon commonly identified as and agreed to by the counterparties to constitute the COB Hub. The set of delivery points commonly identified as and agreed to by the counterparties to constitute delivery into the Cinergy balancing authority. The aggregated Elemental Pricing nodes (‘‘Epnodes’’) defined by the Midwest Independent Transmission System Operator, Inc., as Cinergy Hub (MISO). The set of delivery points commonly identified as and agreed to by the counterparties to constitute delivery into the Entergy balancing authority. AEPGenHub ......................... wreier-aviles on DSK5TPTVN1PROD with COB ...................................... Cinergy (into) ........................ Cinergy Hub (MISO) ............ Entergy (into) ........................ VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 PO 00000 Frm 00024 Fmt 4700 Sfmt 4700 E:\FR\FM\30NOR1.SGM 30NOR1 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations 71311 EQR DATA DICTIONARY—Continued [Appendix C. Hub] HUB Definition FE Hub ................................. The aggregated Elemental Pricing nodes (‘‘Epnodes’’) defined by the Midwest Independent Transmission System Operator, Inc., as FE Hub (MISO). 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. The aggregated Elemental Pricing nodes (‘‘Epnodes’’) defined by the Midwest Independent Transmission System Operator, Inc., as Illinois Hub (MISO). The set of delivery points at or near Hoover Dam commonly identified as and agreed to by the counterparties to constitute the Mead Hub. The aggregated Elemental Pricing nodes (‘‘Epnodes’’) defined by the Midwest Independent Transmission System Operator, Inc., as Michigan Hub (MISO). The set of delivery points along the Columbia River commonly identified as and agreed to by the counterparties to constitute the Mid-Columbia Hub. The aggregated Elemental Pricing nodes (‘‘Epnodes’’) defined by the Midwest Independent Transmission System Operator, Inc., as Minnesota Hub (MISO). The aggregated Locational Marginal Price (‘‘LMP’’) nodes defined by ISO New England Inc., as Mass Hub. The aggregated Locational Marginal Price (‘‘LMP’’) nodes defined by PJM Interconnection, LLC as the Northern Illinois Hub. The set of delivery points along the Nevada-Oregon border commonly identified as and agreed to by the counterparties to constitute the NOB Hub. 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. The set of delivery points commonly identified as and agreed to by the counterparties to constitute delivery into the Northwestern Energy Montana balancing authority. The aggregated Locational Marginal Price nodes (‘‘LMP’’) defined by PJM Interconnection, LLC as the PJM East Hub. The aggregated Locational Marginal Price (‘‘LMP’’) nodes defined by PJM Interconnection, LLC as the PJM South Hub. The aggregated Locational Marginal Price (‘‘LMP’’) nodes defined by PJM Interconnection, LLC as the PJM Western Hub. 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. The set of delivery points commonly identified as and agreed to by the counterparties to constitute delivery into the Southern Company balancing authority. 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. The set of delivery points commonly identified as and agreed to by the counterparties to constitute delivery into the Tennessee Valley Authority balancing authority. 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. Four Corners ........................ Illinois Hub (MISO) ............... Mead .................................... Michigan Hub (MISO) .......... Mid-Columbia (Mid-C) .......... Minnesota Hub (MISO) ........ NEPOOL (Mass Hub) .......... NIHUB .................................. NOB ...................................... NP15 .................................... NWMT .................................. PJM East Hub ...................... PJM South Hub .................... PJM West Hub ..................... Palo Verde ........................... SOCO (into) ......................... SP15 ..................................... TVA (into) ............................. ZP26 ..................................... EQR DATA DICTIONARY EQR DATA DICTIONARY EQR DATA DICTIONARY [Appendix D. Time Zone] [Appendix E. Units] [Appendix F. Rate Units] wreier-aviles on DSK5TPTVN1PROD with Time zone AD AP AS CD CP CS ED EP ES MD MP MS NA PD PP PS UT ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... ............... VerDate Mar<15>2010 Definition Atlantic Daylight. Atlantic Prevailing. Atlantic Standard. Central Daylight. Central Prevailing. Central Standard. Eastern Daylight. Eastern Prevailing. Eastern Standard. Mountain Daylight. Mountain Prevailing. Mountain Standard. Not Applicable. Pacific Daylight. Pacific Prevailing. Pacific Standard. Universal Time. 14:04 Nov 29, 2012 Jkt 229001 Units KV ............... KVA ............. KVR ............. KW .............. KWH ............ KW–DAY ..... KW–MO ....... KW–WK ....... KW–YR ....... MVAR–YR ... MW .............. MWH ........... MW–DAY .... MW–MO ...... MW–WK ...... MW–YR ....... RKVA .......... FLAT RATE PO 00000 Frm 00025 Definition Kilovolt. Kilovolt Amperes. Kilovar. Kilowatt. Kilowatt Hour. Kilowatt Day. Kilowatt Month. Kilowatt Week. Kilowatt Year. Megavar Year. Megawatt. Megawatt Hour. Megawatt Day. Megawatt Month. Megawatt Week. Megawatt Year. Reactive Kilovolt Amperes. Flat Rate. Fmt 4700 Sfmt 4700 Rate units Definition $/KV ............ $/KVA .......... $/KVR .......... $/KW ........... $/KWH ......... $/KW–DAY .. $/KW–MO .... $/KW–WK .... $/KW–YR .... $/MW ........... $/MWH ........ $/MW–DAY $/MW–MO ... $/MW–WK ... $/MW–YR .... $/MVAR–YR $/RKVA ....... dollars per kilovolt. dollars per kilovolt amperes. dollars per kilovar. dollars per kilowatt. dollars per kilowatt hour. dollars per kilowatt day. dollars per kilowatt month. dollars per kilowatt week. dollars per kilowatt year. dollars per megawatt. dollars per megawatt hour. dollars per megawatt day. dollars per megawatt month. dollars per megawatt week. dollars per megawatt year. dollars per megavar year. dollars per reactive kilovar amperes. cents. cents per kilovolt amperes. cents per kilowatt hour. rate not specified in any other units. CENTS ........ CENTS/KVR CENTS/KWH FLAT RATE E:\FR\FM\30NOR1.SGM 30NOR1 71312 Federal Register / Vol. 77, No. 231 / Friday, November 30, 2012 / Rules and Regulations You may submit either electronic or written objections and requests for a hearing identified by Docket No. FDA–1999–F–4617, by any of the following methods: ADDRESSES: EQR DATA DICTIONARY [Appendix G. Index Price Publisher] Index price publisher abbreviation AM ............... EIG .............. IP ................. P .................. B .................. DJ ................ Pdx .............. SNL ............. Index price publisher Electronic Submissions Argus Media. Energy Intelligence Group, Inc. Intelligence Press. Platts. Bloomberg. Dow Jones. Powerdex. SNL Energy. Submit electronic objections in the following way: • Federal eRulemaking Portal: http:// www.regulations.gov. Follow the instructions for submitting comments. Written Submissions EQR DATA DICTIONARY [Appendix H. Exchange/Broker Services] Exchange/ brokerage service BROKER ..... ICE .............. NYMEX ....... Definition A broker was used to consummate or effectuate the transaction. Intercontinental Exchange. New York Mercantile Exchange. [FR Doc. 2012–28230 Filed 11–29–12; 8:45 am] BILLING CODE 6717–01–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 179 [Docket No. FDA–1999–F–4617 (Formerly Docket No. 1999F–5321)] Irradiation in the Production, Processing and Handling of Food AGENCY: Food and Drug Administration, HHS. ACTION: FOR FURTHER INFORMATION CONTACT: Final rule. The Food and Drug Administration (FDA) is amending the food additive regulations to provide for the safe use of a 4.5 kilogray (kGy) maximum absorbed dose of ionizing radiation to treat unrefrigerated (as well as refrigerated) uncooked meat, meat byproducts, and certain meat food products to reduce levels of foodborne pathogens and extend shelf life. This action is in response to a petition filed by the U.S. Department of Agriculture, Food Safety and Inspection Service (USDA/FSIS). DATES: This rule is effective November 30, 2012. Submit either electronic or written objections and requests for a hearing by December 31, 2012. See section VIII of this document for information on the filing of objections. SUMMARY: wreier-aviles on DSK5TPTVN1PROD with Submit written objections in the following ways: • Fax: 301–827–6870. • Mail/Hand Delivery/Courier (For paper or CD–ROM submissions): Division of Dockets Management (HFA– 305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Instructions: All submissions received must include the Agency name and Docket No. FDA–1999–F–4617 for this rulemaking. All objections received will be posted without change to http:// www.regulations.gov, including any personal information provided. For detailed instructions on submitting objections, see the ‘‘Objections’’ heading of the SUPPLEMENTARY INFORMATION section of this document. Docket: For access to the docket to read background documents or objections received, go to http:// www.regulations.gov and insert the docket number, found in brackets in the heading of this document, into the ‘‘Search’’ box and follow the prompts and/or go to the Division of Dockets Management, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. VerDate Mar<15>2010 14:04 Nov 29, 2012 Jkt 229001 Lane A. Highbarger, Center for Food Safety and Applied Nutrition (HFS– 255), Food and Drug Administration, 5100 Paint Branch Pkwy., College Park, MD 20740, 240–402–1204. SUPPLEMENTARY INFORMATION: Table of Contents I. Background II. Safety Evaluation A. Radiation Chemistry B. Toxicological Considerations C. Nutritional Considerations D. Microbiological Considerations III. Labeling IV. Comments V. Conclusions VI. Paperwork Reduction Act of 1995 VII. Environmental Impact VIII. Objections IX. Section 301(ll) of the Federal Food, Drug, and Cosmetic Act X. References PO 00000 Frm 00026 Fmt 4700 Sfmt 4700 I. Background In a notice published in the Federal Register of December 22, 1999 (64 FR 71792), FDA announced that a food additive petition (FAP 9M4695) had been filed by the USDA/FSIS, 300 12th St. SW., rm. 112, Washington, DC 20250 (currently, Food Safety and Inspection Service, Stop Code 3782, Patriots Plaza III, Cubicle 8–163A, 1400 Independence Ave. SW., Washington, DC 20250– 3700). The petition proposed that the food additive regulations in part 179, Irradiation in the Production, Processing and Handling of Food (21 CFR part 179), be amended to provide for the safe use of a 4.5 kGy maximum dose of ionizing radiation to treat unrefrigerated (as well as refrigerated 1) uncooked meat, meat byproducts,2 and certain meat food products to reduce levels of foodborne pathogens and extend shelf-life. FDA’s current regulation under § 179.26(b)(8) permits the irradiation of refrigerated or frozen, uncooked products that are meat within the meaning of 9 CFR 301.2(rr), meat byproducts within the meaning of 9 CFR 301.2(tt), or meat food products within the meaning of 9 CFR 301.2(uu), with or without nonfluid seasoning, that are otherwise composed solely of intact or ground meat, meat byproducts, or both meat and meat byproducts. The foods covered under § 179.26(b)(8) are subject to the Federal Meat Inspection Act (21 U.S.C. 601, et seq.), and, as described previously in this document, are defined by the USDA/FSIS in Title 9 of the Code of Federal Regulations. In this document, the term ‘‘meat’’ will be used to refer collectively to meat, meat byproducts, and certain meat food products applicable to this notice. II. Safety Evaluation FDA has previously reviewed the irradiation of meat and meat byproducts (62 FR 64107, December 3, 1997), and concluded that the irradiation of refrigerated meat and meat byproducts is safe. The current rulemaking concerns the irradiation of meat at temperatures that are above refrigerated temperature. FDA has previously reviewed and evaluated the safety of irradiated food products in a variety of applications. Discussions of these applications have been presented in various Federal Register documents (see, e.g., 62 FR 64107 and 70 FR 48057, August 16, 2005). FDA has also updated its review 1 For the purpose of this final rule, refrigeration temperature is a maximum of 40 °F (4 °C). 2 The Agency notes that in the filing notice dated December 22, 1999 (64 FR 71792), the phrase ‘‘meat products’’ was used while the petitioner used the phrase ‘‘meat byproducts’’ in their filing request dated August 19, 1999. E:\FR\FM\30NOR1.SGM 30NOR1

Agencies

[Federal Register Volume 77, Number 231 (Friday, November 30, 2012)]
[Rules and Regulations]
[Pages 71288-71312]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-28230]


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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 35

[Docket No. RM12-3-000; Order No. 770]


Revisions to Electric Quarterly Report Filing Process

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Final rule.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) amends 
its regulations to change the process for filing Electric Quarterly 
Reports (EQR). Due to technology changes that will render the current 
filing process outmoded, ineffective, and unsustainable, the Commission 
will discontinue the use of Commission-distributed software to file an 
EQR. Instead, the Commission adopts a web-based approach to filing EQRs 
that will allow a public or non-public utility to file an EQR directly 
through the Commission's Web site, either through a web interface or by 
submitting an Extensible Mark-Up Language-formatted file. By adopting a 
process with two options for filing EQRs, the Commission seeks to 
provide the flexibility needed to accommodate a public or non-public 
utility's technical preference. The Commission also requires a public 
or non-public utility to identify itself with a company identification 
number rather than the existing software-based EQR identifier. The 
changes to the process for filing EQRs will apply to EQR filings 
beginning with the third quarter 2013 EQR, which will provide data for 
July through September 2013.

DATES: Effective date: This rule will become effective April 1, 2013.

FOR FURTHER INFORMATION CONTACT: 
Connie Caldwell, Office of Enforcement, Federal Energy Regulatory 
Commission, 888 First Street NE., Washington, DC 20426, (202) 502-6489, 
Connie.Caldwell@ferc.gov.

[[Page 71289]]

Christina Switzer, Office of General Counsel, Federal Energy Regulatory 
Commission, 888 First Street NE., Washington, DC 20426, (202) 502-6379, 
Christina.Switzer@ferc.gov.

SUPPLEMENTARY INFORMATION: 
Before Commissioners: Jon Wellinghoff, Chairman; Philip D. Moeller, 
John R. Norris, Cheryl A. LaFleur, and Tony T. Clark.

Final Rule

(Issued November 15, 2012)

Table of Contents

 
                                                               Paragraph
                                                                 Nos.
 
I. Introduction.............................................           1
II. Background..............................................           3
III. Discussion.............................................           6
    A. Need for Changing the Current EQR Filing Process.....           6
        1. NOPR Proposal....................................           6
        2. Comments.........................................           7
        3. Commission Determination.........................           8
    B. Option One--Web Interface............................           9
        1. NOPR Proposal....................................           9
        2. Comments.........................................          10
        3. Commission Determination.........................          12
    C. Option 2--XML-Formatted File.........................          16
        1. NOPR Proposal....................................          16
        2. Comments.........................................          17
        3. Commission Determination.........................          18
    D. Validation...........................................          19
        1. NOPR.............................................          19
        2. Comments.........................................          20
        3. Commission Determination.........................          24
    E. Company Registration System..........................          30
        1. NOPR Proposal....................................          30
        2. Comments.........................................          31
        3. Commission Determination.........................          33
    F. Implementation and Compliance........................          37
        1. NOPR Proposal....................................          37
        2. Comments.........................................          38
        3. Commission Determination.........................          47
IV. Information Collection Statement........................          53
V. Environmental Analysis...................................          64
VI. Regulatory Flexibility Act..............................          65
VII. Document Availability..................................          71
VIII. Effective Date and Congressional Notification.........          74
Appendix A: List of Commenters
Appendix B: EQR Data Dictionary
 

I. Introduction

    1. The Federal Energy Regulatory Commission (Commission) adopts 
changes to the method for filing Electric Quarterly Reports (EQR). Due 
to technology changes that will render the current filing process 
outmoded, ineffective, and unsustainable, the Commission will 
discontinue the use of Commission-distributed software (EQR software) 
to file an EQR. Instead, the Commission adopts a web-based approach 
that will allow a public or non-public utility to file an EQR directly 
through the Commission's Web site, either through a web interface or by 
submitting an Extensible Mark-Up Language (XML)-formatted \1\ file (XML 
option). The Commission also requires a public utility or non-public 
utility to identify itself with a company identification number 
(Company Identifier) rather than the existing software-based EQR 
identifier (Personal Identification Number (PIN)). The changes to the 
process for filing EQRs will apply to EQR filings beginning with the 
third quarter (Q3) 2013 EQR, which will provide data for July through 
September 2013.
---------------------------------------------------------------------------

    \1\ XML schemas facilitate the sharing of data across different 
information systems, particularly via the Internet, by structuring 
the data using tags to identify particular data elements. For 
example, each filed EQR will include tags for the relevant 
information. The tagged information can be extracted and separately 
searched.
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    2. Before turning to the requirements in this Final Rule, it is 
important to explain certain terms. In the Notice of Proposed 
Rulemaking (NOPR), the Commission often used the term ``filer'' in the 
description of the two new filing options.\2\ We find that using the 
term ``filer'' created confusion because it was not clear whether the 
Commission was talking about a public or non-public utility, its agent, 
or a respondent. Thus, in this Final Rule, we use the phrase ``EQR 
seller'' to mean companies that are authorized to sell power under Part 
35 of the Commission's regulations \3\ as well as non-public utilities 
\4\ that are

[[Page 71290]]

required to comply with the EQR filing requirements pursuant to the 
Electricity Market Transparency Provisions of Section 220 of the 
Federal Power Act, Order No. 768.\5\ We use the phrase ``EQR agent'' to 
mean an entity that an EQR seller designates to file on its behalf. An 
EQR seller will be able to designate multiple EQR agents.\6\ Even when 
an EQR agent files on an EQR seller's behalf, the legal obligation for 
complying with the EQR requirements remains with the companies that are 
authorized to sell power under Part 35 of the Commission's regulations 
and non-public utilities, and any inaccuracies are their 
responsibility.
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    \2\ Revisions to Electric Quarterly Report Filing Process, 
Notice of Proposed Rulemaking, FERC Stats. & Regs. ] 32,689 (2012) 
(NOPR).
    \3\ See Revised Public Utility Filing Requirements, Order No. 
2001, 67 FR 31044 (May 8, 2002), FERC Stats. & Regs. ] 31,127 at 
30,116, reh'g denied, Order No. 2001-A, 100 FERC ] 61,074, reh'g 
denied, Order No. 2001-B, 100 FERC ] 61,342, order directing filing, 
Order No. 2001-C, 101 FERC ] 61,314 (2002), order directing filing, 
Order No. 2001-D, 102 FERC ] 61,334, order refining filing 
requirements, Order No. 2001-E, 105 FERC ] 61,352 (2003), order on 
clarification, Order No. 2001-F, 106 FERC ] 61,060 (2004), order 
revising filing requirements, Order No. 2001-G, 72 FR 56735 (Oct. 4, 
2007), 120 FERC ] 61,270, at PP 10-11, order on reh'g and 
clarification, Order No. 2001-H, 73 FR 1876 (Jan. 10, 2008), 121 
FERC ] 61,289 (2007), order revising filing requirements, Order No. 
2001-I, 73 FR 65526 (Nov. 4, 2008), FERC Stats. & Regs. ] 32,282 
(2008).
    \4\ ``Non-public utility'' refers to a market participant that 
is not a public utility under section 201(f) of the FPA. FPA section 
201(f) provides: No provision in this Part shall apply to, or be 
deemed to include, the United States, a State or any political 
subdivision of a State, an electric cooperative that receives 
financing under the Rural Electrification Act of 1936 (7 U.S.C. 901 
et seq.) or that sells less than 4,000,000 megawatt hours of 
electricity per year, or any agency, authority, or instrumentality 
of any one or more of the foregoing, or any corporation which is 
wholly owned, directly or indirectly, by any one or more of the 
foregoing, or any officer, agent, employee of any of the foregoing 
acting as such in the course of his official duty, unless such 
provision makes specific reference thereto. 16 U.S.C. 824(f).
    \5\ 77 FR 61896 (Oct. 11, 2012), FERC Stats. & Regs. ] 31,336 
(2012)(Transparency Rule). In that rulemaking, the Commission 
extended the EQR filing requirements to non-public utilities above a 
de minimis market presence threshold and adopted new filing 
requirements for both public and non-public utilities.
    \6\ The process for designating an EQR agent is discussed in 
detail below. See supra, section III.E.
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II. Background

    3. The purpose of the EQR is to

make available for public inspection, in a convenient form and place 
all relevant information relating to public utility rates, terms, 
and conditions of service; ensure that information is available in a 
standardized, user friendly format; and meet the Commission's 
electronic filing option obligation. [Footnote omitted.] These 
actions also will allow the public to better participate in and 
obtain the full benefits of wholesale electric power markets while 
minimizing the reporting burden on public utilities.\7\
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    \7\ Order No. 2001, FERC Stats. & Regs. ] 31,127 at 30,116.

    The EQR allows public utilities to fulfill their responsibility 
under section 205(c) \8\ of the FPA to have rates on file in a 
convenient form and place.\9\ Non-public utilities will file EQRs to 
meet the requirements under section 220 of the FPA,\10\ as explained in 
the Electricity Market Transparency Provisions of Section 220 of the 
Federal Power Act, Order No. 768.\11\
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    \8\ 16 U.S.C. 824d(c).
    \9\ Order No. 2001, FERC Stats. & Regs. ] 31,127 at P 31.
    \10\ EPAct 2005, Public Law 109-58, 119 Stat. 594 (2005).
    \11\ Transparency Rule, FERC Stats. & Regs. ] 31,336. In that 
rulemaking, the Commission extended the EQR filing requirements to 
non-public utilities above a de minimis market presence threshold 
and adopted new filing requirements for both public and non-public 
utilities.
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    4. Prior to the issuance of Order No. 2001, the Commission required 
all public utilities to file in paper format all short-term and long-
term service agreements for cost-based and market-based power sales as 
well as service agreements for generally applicable services (such as 
point-to-point transmission service). In Order No. 2001, the Commission 
replaced the paper filing requirement with an electronic filing 
requirement.\12\
    The Commission specified that EQRs should ``be prepared in 
conformance with the Commission's software and guidance posted and 
available for downloading from the FERC Web site (http://www.ferc.gov).'' \13\ Since the fourth quarter of 2002, the Commission 
has posted on its Web site a Commission-developed Visual FoxPro 
application for filing EQRs (EQR software) that runs on Microsoft 
Windows-based computers.\14\
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

III. Discussion

A. Need for Changing the Current EQR Filing Process

1. NOPR Proposal
    6. In the NOPR, the Commission stated that, pursuant to the 
Commission's regulations,\19\ EQR sellers and agents must download EQR 
software from the Commission's Web site. The Commission explained that 
this software was built with Visual FoxPro development tools and must 
be installed on a Windows-based computer. The Commission identified 
certain disadvantages with the current filing process, such as the fact 
that Microsoft, the vendor of Visual FoxPro, announced in 2007 that it 
would no longer sell or issue new versions of Visual FoxPro and would 
not provide support for the software after 2015. The Commission also 
explained that data limitations make the EQR software outmoded, 
ineffective, and unsustainable.\20\ The Commission stated that the 
changes proposed in the NOPR support the goals of Executive Order 13579 
\21\ because the Commission proposed to modify a filing process that 
has become outmoded and ineffective. \22\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \23\ See, e.g., Idaho Power at 2; Pacific Gas and Electric at 1.
    \24\ Pacific Gas and Electric at 1.
---------------------------------------------------------------------------

3. Commission Determination
    8. We conclude that the proposed changes to the method for filing 
EQRs are appropriate. As explained in the NOPR, continuing to rely on 
the current EQR software is unsustainable because Microsoft will no 
longer sell or issue

[[Page 71291]]

new versions of Visual FoxPro.\25\ Further, the data limitations of the 
current software make it untenable for use going forward.\26\ As the 
Commission also explained, the move from a software-based approach to a 
web-based approach will eliminate the need for EQR sellers and agents 
to download software from the Commission's Web site.\27\ In addition, a 
web-based approach for EQR filing is device-independent, which 
eliminates the need for EQR sellers and agents to use a Windows-based 
computer to file an EQR.\28\ We also note that the new filing process 
will allow EQR sellers and agents to access and revise EQR data filed 
prior to Q3 2013.
---------------------------------------------------------------------------

    \25\ NOPR, FERC Stats. & Regs. ] 32,689 at P 4.
    \26\ Id.
    \27\ Id. P 6.
    \28\ Id.
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B. Option One--Web Interface

1. NOPR Proposal
    9. In the NOPR, the Commission proposed to offer a web interface on 
the Commission's Web site that allows EQR sellers and agents to 
continue to enter data in the comma-delimited text (CSV) format but 
without the need to download the EQR software.\29\ The Commission 
stated that this option would minimize the changes for EQR sellers and 
agents and streamline the filing process by eliminating the need for 
EQR sellers and agents to enter or import the data into a software 
application.
---------------------------------------------------------------------------

    \29\ Id.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \33\ EPSA at 3.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    15. Finally, we intend to support the web interface option until 
such time as it is no longer needed.

C. Option 2--XML-Formatted File

1. NOPR Proposal
    16. In the NOPR, the Commission proposed a second EQR filing option 
that allows EQR sellers and agents to file EQR data via XML-formatted 
files.\36\ The Commission identified various advantages to the XML 
option. For example, an XML schema allows EQR sellers and agents to 
test whether their data is consistent with the filing standards before 
uploading it to the Commission, thereby improving their ability to 
comply with the EQR filing requirement and increasing confidence that 
the Commission receives the intended information.\37\
---------------------------------------------------------------------------

    \36\ NOPR, FERC Stats. & Regs. ] 32,689 at P 7.
    \37\ Id.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

3. Commission Determination
    18. We adopt the XML option as the second of two new filing 
options. This

[[Page 71292]]

option allows EQR sellers and agents to file their EQR data in an XML-
formatted file. While we find that allowing EQR sellers and agents to 
use the XML option offers several advantages, as highlighted by Pacific 
Gas and Electric, and will facilitate the filing of EQRs, we stress 
that using the XML option is voluntary. Alternatively, EQR sellers and 
agents can choose to file via the web interface. An EQR seller may use 
the web interface to file their EQR for one quarter and use the XML 
option to file their EQR in another quarter, but an EQR seller cannot 
use both options to file its EQR in the same quarter.

D. Validation

1. NOPR
    19. In the NOPR, the Commission explained that an XML schema 
includes rules and data checks. This allows EQR sellers and agents to 
test the consistency of their data with the Commission's filing 
standards, thereby improving the ability to comply with EQR filing 
requirements and ensures that the Commission receives the intended 
information.\43\ The Commission further noted in the NOPR that these 
data checks are not available in a CSV file.
---------------------------------------------------------------------------

    \43\ NOPR, FERC Stats. & Regs. ] 32,689 at P 7.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \44\ Energy Compliance Consulting at 3.
    \45\ Id. at 2-3.
    \46\ Id. at 3.
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \51\ Pacific Gas and Electric at 7.
    \52\ Id.
    \53\ Id.
    \54\ Id.
    \55\ Id. at 7-8.
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \56\ Id. at 8.
    \57\ Id.
    \58\ Id.
---------------------------------------------------------------------------

3. Commission Determination
    24. We find that the validation process in the web interface and 
XML-format options will be similar to or better than the validation 
process in the current EQR software. We further find that the 
validation processes strike an appropriate balance between the needs 
identified by commenters and the Commission's resources. We appreciate 
Energy Compliance Consulting's request that all the criteria which will 
be used to validate an EQR filing prior to its acceptance be made 
available as soon as possible. The validation criteria are currently 
under development, and the Commission will make these available to the 
public as soon as they are complete. As for the discrepancy between the 
posted draft XML schema and FAQ document, we note that the draft XML 
schema mistakenly included additional data elements that were not 
included in the NOPR.
    25. Under both of the new EQR filing options, EQR sellers and 
agents will be able to log into their eRegistration accounts, load data 
and run the validation check. Once an EQR is submitted, the EQR seller 
or agent that submitted the EQR will receive the following three 
emails: (1) A receipt email that acknowledges that the EQR has been 
received; (2) a validation email that will list any business rule 
errors, such as listing a transaction under a contract without entering 
the contract in the contract section; and (3) an acceptance/rejection 
email stating that the EQR is accepted if all validations are passed or 
is rejected if any validations fail. The EQR seller and all of its 
designated EQR agents will receive the validation email and the 
acceptance/rejection email. The validation email will provide a list of 
the errors that are contained in submitted data. The system will review 
the entire submission prior to creating and sending the validation 
report. Due to the number of potential occurrences, the report may not 
list all instances of the error, but the EQR seller or agent will be 
alerted that that type of error has occurred. Once the EQR seller or 
agent has found and corrected all errors in the submission, the EQR 
data will be accepted for filing.
    26. In addition, both filing options will include a ``Test Only'' 
option so

[[Page 71293]]

that EQR sellers and agents can submit their filing for data validation 
prior to final submission. With respect to the web interface option, we 
also have taken steps to address EPSA's request for in-time validation 
checks by including some validation checks that will appear on-screen 
as the EQR seller or agent inputs the data. These validation checks are 
the same as or similar to the validation checks that appear when an EQR 
seller or agent uses the current EQR software. For example, an on-
screen error message will appear if a field is left empty that must be 
filled, or if an alphabetical character is entered in a numeric field. 
After the EQR seller or agent submits its filing, it will receive a 
validation email that will provide business logic and data format 
errors and line numbers within the body of the email.
    27. Pacific Gas and Electric expressed concern that the issuance of 
validation emails after the occurrence of each critical error may slow 
the filing process. We are not able to avoid the additional time that 
the detection of multiple critical errors will add to the filing 
process. Validating for business logic errors after a filing is 
submitted will allow the Commission to maintain the system during high 
volumes of filings. However, we note that EQR sellers and agents will 
have the option to run a data validation check prior to submitting the 
EQR to the Commission using the ``Test Only'' feature, which should 
help alleviate Pacific Gas and Electric's concerns. Moreover, the 
Commission expects that the new EQR filing process will be able to 
process revised EQR data more quickly and efficiently because it will 
have the ability to process only revised data, rather than needing to 
process the entire data set to overwrite the previously submitted data, 
as currently is the case. By decreasing the amount of processing 
capability needed for data updates, the Commission will increase the 
available computer capacity for processing the simultaneous filing of 
EQRs, resulting in quicker processing of both EQRs and revised EQRs. We 
also encourage EQR sellers and agents to submit EQRs early in the 
filing period, which starts on the first day after the end of the 
quarter providing an entire month to validate the data.
    28. With respect to the XML option, we do not find an eTariff type 
sandbox is necessary because the ability to test an EQR filing is 
integrated into the new system. Specifically, XML files can be imported 
into the Web interface, where the EQR seller or agent can select the 
``Test Only'' option to receive the validation email for that EQR 
filing. Additionally, EQR sellers and agents may use one of many XML 
parser programs available free on-line to check whether their XML file 
is consistent with the EQR XML schema. The parser will check for data 
formatting errors, which an EQR seller or agent can then correct. If 
there are business logic errors that were undetected by the parser, a 
validation email will notify the EQR seller and agent contacts.
    29. We decline to adopt Pacific Gas and Electric's request to 
include the ability to perform batch corrections to records that 
contain errors. The current EQR software does not provide a way to 
perform batch corrections; and we are not persuaded to include that 
capability in the new filing options. This correction method could 
arbitrarily and incorrectly change the contents of an EQR. We note, 
however, that EQR sellers and agents who intend to file by uploading 
CSV or XML files can develop their own batch correction processes to 
respond to validation errors.

E. Company Registration System

1. NOPR Proposal
    30. In the NOPR, the Commission proposed to replace the PIN number 
identification system with the Company Registration System used for 
eTariff filings.\59\ The Commission explained that the PIN system is 
part of the EQR software, and as part of the transition away from this 
software application, the Commission must provide a new manner to 
identify EQR sellers. The Commission stated that, as part of the 
development of the eTariff system, the Commission directed each 
publicly regulated company to file its tariffs, rate schedules, 
jurisdictional contracts, and other jurisdictional agreements with a 
Company Identifier. Accordingly, the Commission stated that it does not 
anticipate that the use of a Company Identifier in the EQR filing 
process will create an undue burden for publicly regulated companies 
that file their Commission-jurisdictional tariffs and agreements 
because they already have Company Identifiers. The Commission also 
stated that it did not anticipate that the use of the Company 
Identifier will be unduly burdensome for an EQR filer that does not 
have an existing Company Identifier because the registration process on 
the Commission's Web site is straightforward and no more difficult than 
the current filer identification process. The Commission also noted 
that an advantage of using the Company Identifier for EQR filings is 
that it will make filer identification consistent with other 
filings.\60\
---------------------------------------------------------------------------

    \59\ NOPR, FERC Stats. & Regs. ] 32,689 at P 9.
    \60\ Id.
---------------------------------------------------------------------------

2. Comments
    31. EEI supports the Commission's plan to continue to accommodate a 
wide variety of EQR filing arrangements, including (1) filings 
submitted on behalf of respondents that are not registered companies 
(i.e., entities that do not have Company Identifiers); (2) a single 
respondent filing on behalf of multiple sellers; (3) a single seller 
submitting multiple EQRs for the same quarter through different 
respondents; (4) a seller that consists of multiple registered 
companies or an unregistered service company; and (5) law-firm 
personnel and others filing as agents for respondents.\61\ However, EEI 
states that the Commission may need to provide additional flexibility 
as to individuals and entities that can register and obtain a Company 
Identifier using the eRegistration system.\62\ EEI asks the Commission 
to allow filings by anyone who has the necessary Company Identifier and 
password without limiting filings to a pre-approved list of specific 
individuals.\63\ EEI urges the Commission to post instructions for 
company registration similar to the instructions that the Commission 
posted for company registration for eTariff.\64\
---------------------------------------------------------------------------

    \61\ EEI at 3.
    \62\ Id. at 4. This document is located on the Commission's Web 
site at http://www.ferc.gov/docs-filing/company-registration-instruct.pdf, and the current version is dated October 6, 2011.
    \63\ Id.
    \64\ Id. (citing FERC Secretary of the Commission, eTariff 
Instructions for Company Registration (2009), http://www.ferc.gov/docs-filing/company-registration-instruct.pdf (The Commission up-
dated the instructions on October 6, 2011)).
---------------------------------------------------------------------------

    32. Based on information provided at the technical conference, EPSA 
asks the Commission to reconsider requiring companies to designate in 
advance of making a filing who is authorized to make EQR filings.\65\ 
EPSA states that its members have cautioned that requiring companies to 
designate in advance who is permitted to file their EQRs may prove more 
unwieldy than anticipated.\66\ EPSA states that its members own 
numerous project companies and that the administrative burden 
associated with initially designating agents and back-up agents on what 
could be over fifty company registrations and changing each of those 
delegations in anticipation of staffing changes or in case of 
emergencies is unnecessary.\67\ EPSA further states that

[[Page 71294]]

there are already security protections in place to ensure an authorized 
person is making filings with the Commission.\68\ Finally, EPSA asserts 
that, because Commission staff's approval of modifications to a 
company's registration can take up to 24 hours to become effective, a 
company's filing may become untimely.\69\ EPSA states that, in the 
eTariff context, where delegations are not needed and thus 
modifications to company registration are not routine, the modification 
of company registrations has delayed filings.\70\
---------------------------------------------------------------------------

    \65\ EPSA at 5.
    \66\ Id.
    \67\ Id.
    \68\ Id. at 6.
    \69\ Id.
    \70\ Id.
---------------------------------------------------------------------------

3. Commission Determination
    33. The Commission adopts the requirement for EQR sellers to 
identify themselves using a Company Identifier. As explained in the 
NOPR, the PIN system is part of the current EQR software. Therefore, as 
part of the transition away from the EQR software, the Commission must 
provide a new manner to identify EQR sellers. Instead of building a new 
identification system for submitting EQRs, we will utilize the company 
registration system that was created for eTariff. Using the company 
registration system to identify EQR sellers allows the Commission to 
make filer identification consistent with other Commission filings and 
is familiar to public utilities that use eTariff. Under the new EQR 
filing system, all EQR sellers will be identified in EQR filings by 
their Company Identifier.\71\
---------------------------------------------------------------------------

    \71\ The current PIN system requires an EQR seller to share its 
PIN and password with all individuals that it wants to allow to file 
on its behalf, and we do not consider this to be a safe practice. We 
believe that this creates the potential for unanticipated problems 
and that it is not the most secure method of filing.
---------------------------------------------------------------------------

    34. To make an EQR filing, the EQR seller will request a Company 
Identifier through the Commission's Company Registration System.\72\ 
The EQR seller will be able to maintain a list of eRegistered EQR 
agents whom the EQR seller has authorized to submit EQR filings on its 
behalf.\73\ An EQR seller can designate multiple individuals as its 
agents. The EQR agent will use its eRegistration account to log onto 
FERC Online,\74\ and select from a list of EQR seller(s) that have 
designated the individual as EQR agent.
---------------------------------------------------------------------------

    \72\ See http://www.ferc.gov/docs-filing/company-reg.asp. Many 
EQR sellers have a Company Identifier and do not need to request a 
new Company Identifier. If an EQR seller is not sure whether it 
already has a Company Identifier, it can check the list of Company 
Identifiers on the Commission's Web site at http://www.ferc.gov/industries/electric/gen-info/reg-ent.asp.
    \73\ An individual must eRegister before an EQR seller can 
designate that person as an EQR agent. See http://www.ferc.gov/docs-filing/eregistration.asp.
    \74\ See http://www.ferc.gov/docs-filing/ferconline.asp.
---------------------------------------------------------------------------

    35. We understand that requiring EQR sellers to designate agents 
that have eRegistered is more burdensome than the current system. 
However, after the initial burden of designating EQR agents, we 
anticipate that it will be minimally burdensome for an EQR seller to 
manage its EQR agent list. For instance, since an EQR seller may 
designate an unlimited number of agents, if one agent is unable to file 
in a given quarter, another agent will be able to make the filing. 
Finally, in response to EPSA's concern, Commission staff will not 
review changes that a company makes to the list of EQR agents 
associated with its Company Identifier account. These changes will be 
instantaneous.\75\
---------------------------------------------------------------------------

    \75\ We note that Commission staff does review applications for 
a Company Identifier account and that review can take up to several 
days.
---------------------------------------------------------------------------

    36. We note that the new identification system will provide an 
electronic record of the EQR agent(s) that have filed an EQR on behalf 
of an EQR seller. Accordingly, we will eliminate the respondent fields 
from the EQR data dictionary because it no longer provides useful 
information to the Commission or the public. We are aware that some 
companies use the respondent field to indicate that a service company 
or parent company is filing on behalf of several operating companies or 
affiliates that are the EQR sellers. While a parent company or service 
company may file EQRs on behalf of EQR sellers, an individual will need 
to be eRegistered and designated as an agent of the EQR sellers. The 
designated agent may then file an EQR on behalf of the EQR seller. EEI 
also suggests that an EQR seller could be a service company. We note 
that a service company may be listed as an EQR seller if the service 
company is authorized to sell power under Part 35 of the Commission's 
regulations, or if a public utility's tariff authorizes the service 
company to act on its behalf.\76\
---------------------------------------------------------------------------

    \76\ See Order No. 2001-G, 120 FERC ] 61,270 at PP 10-11 (``the 
agent may be identified as the Seller if the company's tariff 
authorizes the agent to make the sales.'').
---------------------------------------------------------------------------

F. Implementation and Compliance

1. NOPR Proposal
    37. In the NOPR, the Commission proposed that implementation of any 
changes to the process for filing EQRs will apply to EQR filings 
beginning with the Q3 2013 EQR, providing data for July through 
September 2013.\77\ The Commission stated that implementing the changes 
within that time period should provide EQR sellers with sufficient time 
to weigh the two options and file their Q3 2013 EQR in a timely manner.
---------------------------------------------------------------------------

    \77\ NOPR, FERC Stats. & Regs. ] 32,689 at P 11.
---------------------------------------------------------------------------

2. Comments
    38. Some commenters request that the Commission extend the 
compliance date.\78\ For example, EEI requests that the compliance date 
be at least one full year after the Commission issues a Final Rule and 
the EQR filing web interface is pre-tested, corrected, and available 
for general use before withdrawing the current FoxPro-based software 
filing option.\79\ EEI states that this time would give companies a 
chance to test the new web interface and iron out any problems before 
the current FoxPro-based software is no longer an option.\80\
---------------------------------------------------------------------------

    \78\ See, e.g., EEI at 8; Links Technology Solutions at 2; 
Pacific Gas and Electric at 6.
    \79\ EEI at 8.
    \80\ EEI at 8.
---------------------------------------------------------------------------

    39. As for the XML filing option, commenters argue that it takes at 
least 12 months to develop and test software to file in XML and to 
train staff on using the software.\81\ Pacific Gas and Electric states 
that software vendors cannot design and offer products to customers 
until they have a final XML schema document.\82\ Pacific Gas and 
Electric asserts that it is only after vendors make their products 
available that customers can evaluate and purchase products, and begin 
retooling their internal business processes to accommodate the new EQR 
requirements.\83\ Thus, Pacific Gas and Electric requests that the 
Commission give regulated entities one year from the date a Final Rule 
is published in the Federal Register to make the necessary internal 
data collection changes and to acquire, install, and test the software 
to file new-system EQR submittals.\84\ Similarly, EEI requests that the 
Commission provide a full year after it issues a final XML Data 
Structure and XML Data Values, holds a technical conference to discuss 
the XML filing option, and issues a Final Rule in this proceeding 
before withdrawing the current software.\85\
---------------------------------------------------------------------------

    \81\ See, e.g., EEI at 8; Pacific Gas and Electric at 6.
    \82\ Pacific Gas and Electric at 6.
    \83\ Pacific Gas and Electric at 6.
    \84\ Pacific Gas and Electric at 6.
    \85\ EEI at 8.
---------------------------------------------------------------------------

    40. Several commenters assert that the Commission should conclude 
any other EQR-related rulemakings before changing the EQR filing 
process so that filers do not need to modify their system

[[Page 71295]]

multiple times.\86\ In addition, EEI also states that the Commission 
will need to keep the web interface and XML schema up-to-date to 
accommodate any future changes to the EQR, providing adequate notice of 
such changes and time for EQR filers and software vendors to adopt the 
changes.\87\
---------------------------------------------------------------------------

    \86\ See, e.g., EEI at 9-10; Energy Compliance Consulting at 2; 
EPSA at 6, 9-10.
    \87\ EEI at 10.
---------------------------------------------------------------------------

    41. EEI and Idaho Power recommend that the Commission allow filers 
to file their EQR in the current software and proposed new web 
interface during the transition period.\88\ Idaho Power recommends that 
the Commission do so for a minimum of two reporting periods after the 
proposed implementation date listed in the NOPR.\89\ EEI asserts that 
this time would ensure that filers will not be penalized because of 
problems with the web interface or XML option.\90\ Idaho Power states 
that this grace period will give filers time to transition, train, and 
modify existing internal systems.\91\ In the alternative, Idaho Power 
recommends and supports thorough testing by a representative sample of 
filers prior to the proposed implementation date in the NOPR to 
identify and correct system issues.\92\
---------------------------------------------------------------------------

    \88\ See, e.g., EEI at 9; Idaho Power at 3-4.
    \89\ Idaho Power at 3.
    \90\ EEI at 9.
    \91\ Idaho Power at 3.
    \92\ Id. at 4.
---------------------------------------------------------------------------

    42. Several commenters request that the Commission hold a second 
technical conference that includes a live demonstration of the new 
filing options.\93\ Idaho Power states that Commission staff should 
provide a thorough live demonstration of the proposed web interface, 
including but not limited to walking through the steps of a complete 
start to finish EQR filing.\94\ Energy Compliance Consulting states 
that the demonstration should show more completely how filers will 
interact with the software and include the submission of very large 
files and files with numerous errors so that prospective users will 
know how the system will present those errors and what the time will be 
compared to the current EQR software.\95\ EEI states that the 
demonstration should be available by computers and should accommodate 
questions and provide answers in real time, similar to an EQR user 
group conference call.\96\ Pacific Gas and Electric requests that the 
Commission schedule another technical conference in the near future to 
further present system functionalities and capabilities because a Final 
Rule in this matter may establish a level of certainty about the 
technical functions and behavior of the new system on both the server 
and client side of the equation.\97\
---------------------------------------------------------------------------

    \93\ See, e.g., EEI at 6; Energy Compliance Consulting at 4; 
Idaho Power at 4; Pacific Gas and Electric at 9.
    \94\ Idaho Power at 4.
    \95\ Energy Compliance Consulting at 4.
    \96\ EEI at 7.
    \97\ Pacific Gas and Electric at 9.
---------------------------------------------------------------------------

    43. EEI asserts that filers and vendors may have questions about 
adopting the structure and values for use in filing EQR data in XML 
format.\98\ Therefore, EEI encourages the Commission to hold a 
conference call/meeting to discuss the XML option only so that the 
Commission can answer questions about use of the data structure and 
values, correct problems, and help avoid errors in use of the 
option.\99\
---------------------------------------------------------------------------

    \98\ EEI at 7.
    \99\ Id. at 7-8.
---------------------------------------------------------------------------

    44. Some commenters recommend that the Commission work with 
companies and software vendors to test the proposed new web interface 
before it goes public.\100\ EEI states that problems may include 
missing functions that the software currently provides, inability to 
upload data required in various columns or rows, errors in how the web 
interface handles data being uploaded, or unclear filing 
instructions.\101\ EEI encourages the Commission to ensure that the new 
web interface is fully tested for anomalies and corrected to remove 
problems before it is made available for general use.\102\ EEI offers 
to ask for volunteers for this effort from among its members.\103\
---------------------------------------------------------------------------

    \100\ See, e.g., EEI at 6; Energy Compliance Consulting at 5.
    \101\ EEI at 6.
    \102\ Id. at 5-6.
    \103\ Id. at 6.
---------------------------------------------------------------------------

    45. CAISO and Idaho Power state that, based on the technical 
conference and FAQ document, it appears as though the copy forward 
function will not be available for the initial Q3 2013 EQR filing so 
that respondents will be responsible for transferring all data to the 
new web interface.\104\ CAISO and Idaho Power assert that requiring 
respondents to enter all of the pre-existing data manually rather than 
through an automated procedure would be burdensome and strain filers' 
time and resources.\105\ Idaho Power requests that the Commission 
develop an automated method, or provide detailed instructions on how to 
load or transfer the existing data from the FoxPro system into the new 
system for the initial web interface filing.\106\ Similarly, CAISO 
argues that the Commission should be responsible for populating the 
database that underlies the new web interface with the data from the 
EQR respondents' Q2 2013 EQR.\107\ CAISO asserts that the Commission 
already will possess all of the data submitted by respondents for Q2 
2013 EQR, and thus be better situated to perform the necessary data 
transfer.\108\ CAISO also asserts that it is concerned that errors may 
be introduced into the data if the process of incorporating previously 
submitted data is made more complicated than the current copy forward 
method.\109\
---------------------------------------------------------------------------

    \104\ CAISO at 4; Idaho Power at 4.
    \105\ CAISO at 3; Idaho Power at 4.
    \106\ Idaho Power at 4.
    \107\ CAISO at 3-4.
    \108\ Id. at 3.
    \109\ Id. at 4-5.
---------------------------------------------------------------------------

    46. EEI states that the proposed changes to the regulatory text are 
too ambiguous, particularly the reference to ``as otherwise provided to 
the public'' because it does not specify where and how the Commission 
will provide such guidance.\110\ EEI also suggests that the Commission 
publish notices in the Federal Register anytime the Commission posts 
generally applicable guidance or similar documents on the Commission's 
Web site to ensure that the regulated community has prompt and adequate 
notices of the new information.\111\ Thus, EEI recommends that the 
Commission modify the proposed regulatory text to read, ``Electric 
Quarterly Reports must be prepared in conformance with Commission 
guidance being published in the Federal Register.'' \112\
---------------------------------------------------------------------------

    \110\ EEI at 11.
    \111\ Id. at 11-12.
    \112\ Id. at 12.
---------------------------------------------------------------------------

3. Commission Determination
    47. We direct EQR sellers to comply with the changes to the process 
for filing EQRs beginning with the Q3 2013 EQR, providing data for July 
through September 2013. We find that this time period provides EQR 
sellers with sufficient time to choose between the two filing options, 
transition to the new filing process, and file their Q3 2013 EQR in a 
timely manner. We disagree with commenters that argue that EQR sellers 
will need up to a year to adapt to the new filing options. As explained 
above,\113\ the web interface option will operate similar to the 
current software and should not require significant changes to an EQR 
seller's existing internal system. An EQR seller that would like to 
file using the XML option, but is not prepared to do so by the filing 
deadline for Q3 2013 EQR, can file

[[Page 71296]]

through the web interface until it is able to transition to the XML 
option.
---------------------------------------------------------------------------

    \113\ See discussion supra section III.A.
---------------------------------------------------------------------------

    48. Starting with Q3 of 2013, we will no longer be able to accept 
EQR filings submitted through the current EQR software. In the 
Transparency Rule, the Commission revised the EQR filing requirements, 
adding some fields and deleting others.\114\ Due to technical 
limitations, the Commission cannot add the new fields to the current 
EQR software. Therefore, consistent with the compliance deadline in the 
Transparency Rule, EQR sellers must file using the new filing process 
beginning with Q3 of 2013.
---------------------------------------------------------------------------

    \114\ Transparency Rule, FERC Stats. & Regs. ] 31,336.
---------------------------------------------------------------------------

    49. As explained throughout this Final Rule, the Commission will 
assist EQR sellers and agents in transitioning to the new filing 
process. The Commission directs staff to hold technical conferences to 
explain the new filing process as needed. However, the Commission will 
not offer a live demonstration of the new EQR filing options because 
the technology is still in development and will not be completed until 
after the rulemaking process is complete.
    50. The Commission cannot pre-populate the new filing Web interface 
with Q2 2013 EQR data because the Web interface will include new fields 
that will not be present in the Q2 2013 EQR. However, we remind EQR 
sellers and agents that the current EQR software includes the ability 
to export a CSV file. EQR sellers and agents can export a CSV file from 
the EQR software that companies could then use, after revisions have 
been made to accommodate new requirements, to import into the new web-
based system.
    51. We agree with EEI that the reference to ``as otherwise provided 
to the public'' in the proposed regulatory text is ambiguous. 
Accordingly, we have removed that phrase from the regulatory text 
adopted in this Final Rule, and adopt text that states that ``Electric 
Quarterly Reports must be prepared in conformance with the Commission's 
guidance posted on the FERC Web site (http://www.ferc.gov).'' We 
disagree with EEI that the Commission should publish a notice in the 
Federal Register every time the Commission posts new guidance on the 
Commission's Web site. The Commission publishes notices when it 
proposes changes to existing requirements, but we do not find it 
necessary to publish a notice in the Federal Register whenever the 
Commission posts, for example, answers to frequently asked questions.

IV. Information Collection Statement

    52. The Office of Management and Budget (OMB) requires that OMB 
approve certain information collection and data retention requirements 
imposed by agency rules.\115\ Therefore, the Commission is submitting 
the proposed modifications to its information collection statement to 
OMB for review and approval in accordance with section 3507(d) of the 
Paperwork Reduction Act of 1995.\116\
---------------------------------------------------------------------------

    \115\ 5 CFR 1320.11(b) (2010).
    \116\ 44 U.S.C. 3507(d) (2006).
---------------------------------------------------------------------------

    53. OMB's regulations require approval of certain information 
collection requirements imposed by agency rules. Upon approval of a 
collection(s) of information, OMB will assign an OMB control number and 
an expiration date. Respondents subject to the filing requirements of a 
rule will not be penalized for failing to respond to these collections 
of information unless the collections of information display a valid 
OMB control number.
    54. The Commission is submitting these reporting requirements to 
OMB for its review and approval under section 3507(d) of the Paperwork 
Reduction Act. Comments were solicited on the Commission's need for 
this information; whether the information will have practical utility; 
the accuracy of provided burden estimates; ways to enhance the quality, 
utility, and clarity of the information to be collected; and any 
suggested methods for minimizing the respondent's burden, including the 
use of automated information techniques.\117\
---------------------------------------------------------------------------

    \117\ NOPR, FERC Stats. & Regs. ] 32,689 at P 13.
---------------------------------------------------------------------------

    55. Some commenters question the Commission's burden estimate.\118\ 
Energy Compliance Consulting states that there is no explanation of why 
a utility's membership in a regional transmission organization (RTO) 
would affect its filing burden.\119\ Energy Compliance Consulting also 
states that it is unclear whether the burden estimate assumes how many, 
if any, utilities will move to the new XML format.\120\ Pacific Gas and 
Electric asserts that the Commission's burden estimates fall short of 
the cost of transitioning to the XML option.\121\
---------------------------------------------------------------------------

    \118\ See, e.g., Energy Compliance at 5; Pacific Gas and 
Electric at 6.
    \119\ Energy Compliance Consulting at 5.
    \120\ Energy Compliance Consulting at 5.
    \121\ Pacific Gas and Electric at 6.
---------------------------------------------------------------------------

    56. We find that a public utility's membership in an RTO or 
independent transmission system operator (ISO) should not affect the 
burden of complying with the Final Rule. Consequently, for this Final 
Rule, we estimate that the one-time burden hours, the recurring burden 
hours, and the average annual burden hours will be the same for all EQR 
sellers, irrespective of membership in an RTO or ISO. We have broken 
out EQR sellers by RTO/ISO membership status simply to be consistent 
with the way that the Commission estimated the average burden per 
respondent associated with the existing EQR system in a separate filing 
submitted to OMB.\122\
---------------------------------------------------------------------------

    \122\ See NOPR, Stats. & Regs. ] 32,689 at n.17.
---------------------------------------------------------------------------

    57. In the NOPR, the Commission estimated the number of hours 
required for public utilities to comply with the minimum requirements 
included in the NOPR. While public utilities may opt to use the XML 
option, we consider the move to the Web interface to be a less 
burdensome option for public utilities because it builds upon the 
automated systems that they have developed to enter data into the 
current EQR software. Thus, the Commission's burden estimate did not 
estimate how many public utilities will voluntarily transition to the 
XML option or the number of hours required for a public utility to 
transition to the XML option.
    58. The Commission's estimates of the average public reporting 
burden and cost related to the proposed rule in Docket RM12-3-000 are 
as follows:

[[Page 71297]]



                                                                      Final Rule in RM12-3-000 on Electric Quarterly Report
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                      Number of   Implementing (one-time) burden   Recurring operating burden per respondent per       Average annual burden per respondent
                                                      responses           per respondent                          response \123\                     (implementation averaged over years 1-3)
                                        Number of        per     -------------------------------------------------------------------------------------------------------------------------------
                                       respondents   respondent
                                                      per year     Burden hours      Cost ($)       Burden hours \124\           Cost ($)              Burden hours              Cost ($)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Companies within non-California RTO,           405             4              20       $1,434.50  no change.............  no change.............  6.67..................  $478.17.
 and large cos. within Cal. RTO.
Medium/small companies within Cal.              20             4              20       $1,434.50  no change.............  no change.............  6.67..................  $478.17.
 RTO.
Companies not within RTO............           663             4              20       $1,434.50  no change.............  no change.............  6.67..................  $478.17.
Companies with no transactions......           695             4              20       $1,434.50  no change.............  no change.............  6.67..................  $478.17.
Sub-Total--All Public Utilities              1,783             4          35,660   $2,557,713.50  no change.............  no change.............  11,892.61.............  $852,577.11.
 (Existing Filers).
Non Public Utilities (New Filers)...            53             4  ..............  ..............  no change.............  no change.............  no change.............  no change.
    Total--All Utilities............         1,836             4          35,660   $2,557,713.50  no change.............  no change.............  11,892.61.............  $852,577.11.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

    59. The  total estimated one-time implementation burden and cost 
for all respondents is 35,660 hours (1,783 x 20 hours), and 
$2,557,713.50 (1,783 x $1,434.50). Averaging this one-time 
implementation burden and cost over Years 1-3 yields an annual total 
burden of 11,892.61 hours (1,783 x 6.67) and an annual total cost of 
$852,577.11 (1,783 x $478.17)
---------------------------------------------------------------------------

    \123\ The Commission expects no change or a slight decrease in 
the Recurring Operating Burden per Respondent per Response under the 
new filing system (when compared to quarterly filings for current 
filers under the existing system).
    \124\ For the current EQR software and reporting requirements, 
the Commission estimates the average burden per respondent per 
quarterly filing to be: 32 hours for Companies within non-California 
RTO, and large companies within the California RTO; 80 hours for 
medium/small Companies within the California RTO; 3 hours for 
Companies not within an RTO; and 0.083 hours [5 minutes] for 
Companies with no transactions.
---------------------------------------------------------------------------

    60. We recognize that there will be an initial implementation 
burden for current EQR sellers (filers) associated with reviewing 
instructions, revising filing process, obtaining a Company Identifier, 
designating an agent(s), and filing EQR data through the new system. We 
estimate a burden of 20 hours per existing respondent for this one-
time, initial implementation burden. The Transparency Rule requires 
non-public utilities to file EQRs for the first time in Q3 of 2013, 
consistent with the implementation date of this Final Rule.\125\ Non-
public utilities will file for the first time using the new filing 
options and will not need to transition from the current EQR software. 
Therefore, we estimate no change for non-public utilities.
---------------------------------------------------------------------------

    \125\ Transparency Rule, FERC Stats. & Regs. ] a P 31,336. The 
burden on non-public utilities associated with filing EQRs was 
captured in the Transparency Rule. In the Transparency Rule, the 
Commission estimated per non-public utility 400 hours for one-time 
implementation, and 19 hours for recurring burden for each quarterly 
filing. The estimated average annual burden per non-public utility 
(with implementation averaged over Years 1-3) was 209.33 hours.
---------------------------------------------------------------------------

    61. To help with the implementation of this Final Rule, we will 
direct Commission staff to convene a staff-led technical conference for 
industry participants to demonstrate the two new options for filing 
EQRs. The conference will be available by webcast, which should 
minimize travel and other costs associated with participation in the 
conference. We will also direct staff to assist in transitioning to the 
new process. Commission staff's technical conference and assistance 
should minimize the initial implementation burden.
    62. For the recurring effort involved in electronically submitting 
EQR data on a quarterly basis to the Commission, we anticipate that 
there will be no change or a slight burden reduction for current filers 
compared to the burden of making quarterly filings under the current 
system.
    Information Collection Costs: We estimate the cost of compliance 
per existing respondent will be $1,434.50, for one-time implementation 
of the changes proposed in this Final Rule. We estimate that the 
implementation costs will be as follows: \126\
---------------------------------------------------------------------------

    \126\ Hourly average wage is an average and was calculated using 
Bureau of Labor Statistics (BLS), Occupational Employment Statistics 
data for May 2011 (for NAICS 221100--Electric Power Generation, 
Transmission and Distribution, at http://bls.gov/oes/current/naics4_221100.htm#00-0000) for the senior accountant, financial 
analyst, information technology analyst, and support staff. The 
average hourly figure for legal staff is a composite from BLS and 
other resources.
---------------------------------------------------------------------------

     Legal staff (at $250/hour), for 2 hours, costing $500
     Senior accountant (at $51.38/hr.), financial analyst (at 
$68.12/hr.), and/or support staff (at $35.99/hr.), averaged at $51.83/
hr., for a total of 2 hours, costing $103.66
     Information technology analyst (at $57.24/hour), for 12 
hours, costing $686.88
     Support staff (at $35.99/hr), for 4 hours, costing 
$143.96.
    TITLE: FERC-920,\127\ Electric Quarterly Report, OMB Control No. 
1902-0255.
---------------------------------------------------------------------------

    \127\ The Commission is separating the EQR reporting 
requirements from the remaining reporting requirements under FERC-
516 (Electric Rate Schedules and Tariff Filings, OMB Control No. 
1902-0096). After implementation of this Final Rule and issuance of 
an OMB decision, the EQR burden figures will be removed from FERC-
516.
---------------------------------------------------------------------------

    Action: Proposed new EQR filing system and associated additional 
reporting requirements.
    Respondents: Electric utilities.
    Frequency of Responses: Initial implementation and quarterly 
filings (beginning Q3 of 2013).
    Need For Information: We are implementing changes to the method for 
filing EQRs. We are replacing a filing system that requires the use of 
Commission software with a system that would allow an EQR seller to 
file EQR data directly through the Commission's Web site, either 
through a Web interface or by submitting an XML-formatted file. We are 
also requiring the EQR seller to identify itself with a Company 
Identifier that will be assigned through the Commission's Company 
Registration System.

[[Page 71298]]

    Internal Review: We have reviewed the changes and determined that 
the changes are necessary. These requirements conform to the 
Commission's need for efficient information collection, communication, 
and management within the energy industry. We have assured ourselves, 
by means of internal review, that there is specific, objective support 
for the burden estimates associated with the information collection 
requirements.
    63. Interested persons may obtain information on the reporting 
requirements by contacting: Federal Energy Regulatory Commission, 888 
First Street NE., Washington, DC 20426 [Attention: Ellen Brown, Office 
of the Executive Director, email: DataClearance@ferc.gov, Phone: (202) 
502-8663, fax: (202) 273-0873]. Comments on the requirements of this 
rule may also be sent to the Office of Information and Regulatory 
Affairs, Office of Management and Budget, Washington, DC 20503 
[Attention: Desk Officer for the Federal Energy Regulatory Commission]. 
For security reasons, comments should be sent by email to OMB at oira_submission@omb.eop.gov. Please reference OMB Control No. 1902-0255, 
FERC-920, and Docket No. RM12-3 in your submission.

V. Environmental Analysis

    64. The Commission is required to prepare an Environmental 
Assessment or an Environmental Impact Statement for any action that may 
have a significant adverse effect on the human environment.\128\ The 
actions taken here fall within categorical exclusions in the 
Commission's regulations for information gathering, analysis, and 
dissemination.\129\ Therefore, an environmental assessment is 
unnecessary and has not been prepared in this rulemaking.
---------------------------------------------------------------------------

    \128\ Regulations Implementing the National Environmental Policy 
Act, Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. 
Preambles 1986-1990 ] 30,783 (1987).
    \129\ 18 CFR 380.4(a)(5).
---------------------------------------------------------------------------

VI. Regulatory Flexibility Act

    65. The Regulatory Flexibility Act of 1980 (RFA) \130\ generally 
requires a description and analysis of final rules that will have 
significant economic impact on a substantial number of small entities. 
The RFA mandates consideration of regulatory alternatives that 
accomplish the stated objectives of a proposed rule and that minimize 
any significant economic impact on a substantial number of small 
entities. The SBA's Office of Size Standards develops the numerical 
definition of a small business.\131\ The SBA has established a size 
standard for electric utilities, stating that a firm is small if, 
including its affiliates, it is primarily engaged in the transmission, 
generation and/or distribution of electric energy for sale and its 
total electric output for the preceding twelve months did not exceed 
4,000,000 MWh.\132\
---------------------------------------------------------------------------

    \130\ 5 U.S.C. 601-612.
    \131\ 13 CFR 121.101.
    \132\ 13 CFR 121.201, Sector 22, Utilities & n.1.
---------------------------------------------------------------------------

    66. As discussed in Order No. 2000,\133\ in making this 
determination, the Commission is required to examine only the direct 
compliance costs that a rulemaking imposes upon small businesses. It is 
not required to consider indirect economic consequences, nor is it 
required to consider costs that an entity incurs voluntarily.
---------------------------------------------------------------------------

    \133\ See Regional Transmission Organizations, Order No. 2000, 
65 FR 809 (Jan. 6, 2000), FERC Stats. & Regs. ] 31,089, at 31,237 & 
n.754 (1999), order on reh'g, Order No. 2000-A, 65 FR 12,088 (Mar. 
8, 2000), FERC Stats. & Regs. ] 31,092 (2000), aff'd sub nom. Pub. 
Util. Dist. No. 1 of Snohomish, County Washington v. FERC, 272 F.3d 
607, 348 U.S. App. DC 205 (DC Cir. 2001) (citing Mid-Tex Elec. Coop. 
v. FERC, 773 F.2d 327 (DC Cir. 1985) (Commission need only consider 
small entities ``that would be directly regulated''); Colorado State 
Banking Bd. v. RTC, 926 F.2d 931 (10th Cir. 1991) (Regulatory 
Flexibility Act not implicated where regulation simply added an 
option for affected entities and did not impose any costs)).
---------------------------------------------------------------------------

    67. For non-public utilities, the Commission exempts under the de 
minimis market presence threshold non-public utilities that make 
4,000,000 MWh or less of annual wholesale sales (based on an average of 
the wholesale sales it made in the preceding three years).\134\ This de 
minimis threshold excludes small, non-public utilities. Therefore, this 
Final Rule will not have a significant economic impact on any small, 
non-public utility.
---------------------------------------------------------------------------

    \134\ Transparency Rule, FERC Stats. & Regs. ] 31,336 at P 54.
---------------------------------------------------------------------------

    68. For public utilities, based on analysis of the EQR filings made 
in the four quarters of 2011, there are 1,783 entities that currently 
file an EQR, but given clearly identifiable affiliate relationships 
that number is reduced to 1,215 entities. Of those, 97 reported more 
than 4,000,000 MWh of wholesale sales in the EQR. Of the remaining 
1,118 entities that reported less than 4,000,000 MWh of wholesales 
sales in the EQR, 641 filed transactions in the EQR. The rest that 
would be subject to this Final Rule, 477 entities, did not file 
transactions in any quarter of 2011; we conclude that this Final Rule 
will minimally affect them.
    69. As for the remaining 641 entities, we note that there are two 
types of companies among those currently filing EQRs that merit 
additional consideration. First, there are investor-owned public 
utilities that make both wholesale and retail sales. The SBA's 
definition of a small utility is based on a utility's total electric 
output for the preceding twelve months, which includes a public 
utility's retail sales. However, our estimate in this section is based 
on information available in the EQR, which includes annual wholesale 
sales but not retail sales. If we were able to include retail sales, we 
believe that most investor-owned public utilities that currently file 
EQRs make more than 4,000,000 MWh annual wholesale and retail sales and 
thus would not be classified as small. Second, there are power 
marketers that often do not own or control generation or transmission 
and may be affiliated with companies that are not primarily engaged in 
the sale of electric energy (such as financial institutions or hedge 
funds).\135\ However, information regarding whether a power marketer is 
affiliated with another company is generally not included in an EQR 
filing, making it difficult to determine the number of small entities 
that are affiliated with a larger company, thereby leading to an 
inflated estimate of the number of companies affected by this Final 
Rule that are truly small.
---------------------------------------------------------------------------

    \135\ Some of these such as Google, Occidental Chemical and 
ONEOK may not qualify as small in their primary area of business and 
are participating in the electric market as part of an overall 
corporate strategy.
---------------------------------------------------------------------------

    70. Furthermore, to ease the burden of implementation for all EQR 
sellers, we will minimize the changes which EQR sellers will experience 
because the Commission is adopting two options for filing EQRs: the Web 
interface and XML. The estimated one-time implementation cost per EQR 
seller is $1,434.50. We anticipate no change or a slight reduction in 
the burden for the recurring quarterly EQR filings. In addition, small 
entities generally have few or no transactions and corresponding 
minimal recurring burden. We note that EQR sellers may request, on an 
individual basis, waiver from the Commission's EQR reporting 
requirements. Thus, we certify that this proposed rule will not have a 
significant impact on a substantial number of small entities.

VII. Document Availability

    71. In addition to publishing the full text of this document in the 
Federal Register, the Commission provides all interested persons an 
opportunity to view and/or print the contents of this document via the 
Internet through FERC's Home Page (http://www.ferc.gov) and in FERC's 
Public Reference Room

[[Page 71299]]

during normal business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 
888 First Street NE., Room 2A, Washington DC 20426.
    72. From FERC's Home Page on the Internet, this information is 
available on eLibrary. The full text of this document is available on 
eLibrary in PDF and Microsoft Word format for viewing, printing, and/or 
downloading. To access this document in eLibrary, type the docket 
number excluding the last three digits of this document in the docket 
number field.
    73. User assistance is available for eLibrary and the FERC's Web 
site during normal business hours from FERC Online Support at (202) 
502-6652 (toll free at 1-866-208-3676) or email at 
ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502-
8371, TTY (202) 502-8659. Email the Public Reference Room at 
public.referenceroom@ferc.gov.

VIII. Effective Date and Congressional Notification

    74. These regulations are effective April 1, 2013. The Commission 
has determined, with the concurrence of the Administrator of the Office 
of Information and Regulatory Affairs of OMB, that this rule is not a 
``major rule'' as defined in section 351 of the Small Business 
Regulatory Enforcement Fairness Act of 1996.

List of Subjects in 18 CFR Part 35

    Electric power rates, Electric utilities, Reporting and 
recordkeeping requirements.

    By direction of the Commission.
Nathaniel J. Davis, Sr.,
Deputy Secretary.

    In consideration of the foregoing, the Commission amends 18 CFR 
part 35 as follows:

PART 35--FILIING OF RATE SCHEDULES AND TARIFFS

0
1. The authority citation for Part 35 continues to read as follows:

    Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 
U.S.C. 7101-7352.
0
2. Section 35.10b is amended by revising the second sentence to read as 
follow:


Sec.  35.10b  Electric Quality Reports.

    * * * Electric Quarterly Reports must be prepared in conformance 
with the Commission's guidance posted on the FERC Web site (http://www.ferc.gov).
    Note: The following appendices A and B will not appear in the Code 
of Federal Regulations:

               Appendix A: Abbreviated Names of Commenters
------------------------------------------------------------------------
               Commenters                          Abbreviation
------------------------------------------------------------------------
California Independent System Operator   CAISO
 Corporation.
Edison Electric Institute..............  EEI
Electric Power Supply Association......  EPSA
Energy Compliance Consulting, LLC......  Energy Compliance Consulting
Energy Services Providers, Inc.,.......  Energy Services Providers
Connecticut Gas & Electric, Inc., and    ...............................
 Massachusetts Gas & Electric Inc..
Idaho Power Company....................  Idaho Power
Links Technology.......................  Links
Solutions, Inc.........................  Technology Solutions
Pacific Gas and Electric Company.......  Pacific Gas and Electric
Southern California Edison Company.....  Southern California Edison
------------------------------------------------------------------------

Appendix B: EQR Data Dictionary


Electric Quarterly Report Data Dictionary Version 2.1 (issued November 
15, 2012) \136\


---------------------------------------------------------------------------

    \136\ This version of Appendix B replaces the version that was 
included with Revisions to Electric Quarterly Report Filing Process, 
Order No. 770, 141 FERC ] 61,120 (2012).

                                               EQR Data Dictionary
----------------------------------------------------------------------------------------------------------------
         Field No.
---------------------------        Field              Required              Value               Definition
     Old           New
----------------------------------------------------------------------------------------------------------------
                                                     ID Data
----------------------------------------------------------------------------------------------------------------
1...........  1...........  Filer Unique         [check]...........  FS (where  (Seller)--An identifier
                             Identifier.                              ``'' is    (e.g., ``FS1'',
                                                                      an integer).        ``FS2'') used to
                                                                                          designate a record
                                                                                          containing Seller
                                                                                          identification
                                                                                          information in a comma-
                                                                                          delimited (csv) file
                                                                                          that is imported into
                                                                                          the EQR filing. One
                                                                                          record for each seller
                                                                                          company may be
                                                                                          imported into an EQR
                                                                                          for a given quarter.

[[Page 71300]]

 
1...........  1...........  Filer Unique         [check]...........  FA1...............  (Agent)--An identifier
                             Identifier.                                                  (i.e., ``FA1'') used
                                                                                          to designate a record
                                                                                          containing Agent
                                                                                          identification
                                                                                          information in a comma-
                                                                                          delimited (csv) file
                                                                                          that is imported into
                                                                                          the EQR filing. Only
                                                                                          one record with the
                                                                                          FA1 identifier may be
                                                                                          imported into an EQR
                                                                                          for a given quarter.
2...........  2...........  Company Name.......  [check]...........  Unrestricted text   (Seller)--The name of
                                                                      (100 characters).   the company that is
                                                                                          authorized to make
                                                                                          sales as indicated in
                                                                                          the company's FERC
                                                                                          tariff(s).
2...........  2...........  Company Name.......  [check]...........  Unrestricted text   (Agent)--The name of
                                                                      (100 characters).   the entity completing
                                                                                          the EQR filing. The
                                                                                          Agent's Company Name
                                                                                          need not be the name
                                                                                          of the company under
                                                                                          Commission
                                                                                          jurisdiction.
3...........  X...........  ...................  ..................  ..................  .......................
              3...........  Company Identifier.  [check]...........  A 7-digit integer   (Seller)--Identifier
                                                                      proceeded by the    obtained through the
                                                                      letter ``C''.       Commission's Company
                                                                                          Registration system.
3...........  4...........  Contact Name.......  [check]...........  Unrestricted text   (Seller)--The name of
                                                                      (50 characters).    the contact for the
                                                                                          company authorized to
                                                                                          make sales as
                                                                                          indicated in the
                                                                                          company's FERC
                                                                                          tariff(s).
3...........  4...........  Contact Name.......  [check]...........  Unrestricted text   (Agent)--Name of the
                                                                      (50 characters).    contact for the Agent,
                                                                                          usually the person who
                                                                                          prepares the filing.
4...........  5...........  Contact Title......  [check]...........  Unrestricted text   Title of contact
                                                                      (50 characters).    identified in Field
                                                                                          Number 4.
5...........  6...........  Contact Address....  [check]...........  Unrestricted text.  Street address for
                                                                                          contact identified in
                                                                                          Field Number 4.
6...........  7...........  Contact City.......  [check]...........  Unrestricted text   City for the contact
                                                                      (30 characters).    identified in Field
                                                                                          Number 4.
7...........  8...........  Contact State......  [check]...........  Unrestricted text   Two character state or
                                                                      (2 characters).     province abbreviations
                                                                                          for the contact
                                                                                          identified in Field
                                                                                          Number 4.
8...........  9...........  Contact Zip........  [check]...........  Unrestricted text   Zip code for the
                                                                      (10 characters).    contact identified in
                                                                                          Field Number 4.
9...........  10..........  Contact Country      [check]...........  CA--Canada........  Country (USA, Canada,
                             Name.                                   MX--Mexico........   Mexico, or United
                                                                     US--United States.   Kingdom) for contact
                                                                     UK--United Kingdom   address identified in
                                                                                          Field Number 4.
10..........  11..........  Contact Phone......  [check]...........  Unrestricted text   Phone number of contact
                                                                      (20 characters).    identified in Field
                                                                                          Number 4.
11..........  12..........  Contact E-Mail.....  [check]...........  Unrestricted text.  E-mail address of
                                                                                          contact identified in
                                                                                          Field Number 4.
12..........  13..........  Transactions         [check]...........  Y (Yes)...........  Filers should indicate
                             Reported to Index                       N (No)............   whether they have
                             Price Publisher(s).                                          reported their sales
                                                                                          transactions to index
                                                                                          price publisher(s). If
                                                                                          they have, filers
                                                                                          should indicate
                                                                                          specifically which
                                                                                          index publisher(s) in
                                                                                          Field Number 73.
13..........  14..........  Filing Quarter.....  [check]...........  YYYYMM............  A six digit reference
                                                                                          number used by the EQR
                                                                                          software to indicate
                                                                                          the quarter and year
                                                                                          of the filing for the
                                                                                          purpose of importing
                                                                                          data from csv files.
                                                                                          The first 4 numbers
                                                                                          represent the year
                                                                                          (e.g., 2007). The last
                                                                                          2 numbers represent
                                                                                          the last month of the
                                                                                          quarter (e.g., 03=1st
                                                                                          quarter; 06=2nd
                                                                                          quarter, 09=3rd
                                                                                          quarter, 12=4th
                                                                                          quarter).
----------------------------------------------------------------------------------------------------------------
                                        EQR Data Dictionary Contract Data
----------------------------------------------------------------------------------------------------------------
14..........  15..........  Contract Unique ID.  [check]...........  An integer          An identifier beginning
                                                                      proceeded by the    with the letter ``C''
                                                                      letter ``C''        and followed by a
                                                                      (only used when     number (e.g., ``C1'',
                                                                      importing           ``C2'') used to
                                                                      contract data).     designate a record
                                                                                          containing contract
                                                                                          information in a comma-
                                                                                          delimited (csv) file
                                                                                          that is imported into
                                                                                          the EQR filing. One
                                                                                          record for each
                                                                                          contract product may
                                                                                          be imported into an
                                                                                          EQR for a given
                                                                                          quarter.
15..........  16..........  Seller Company Name  [check]...........  Unrestricted text   The name of the company
                                                                      (100 characters).   that is authorized to
                                                                                          make sales as
                                                                                          indicated in the
                                                                                          company's FERC
                                                                                          tariff(s). This name
                                                                                          must match the name
                                                                                          provided as a Seller's
                                                                                          ``Company Name'' in
                                                                                          Field Number 2 of the
                                                                                          ID Data (Seller Data).

[[Page 71301]]

 
16..........  17..........  Customer Company     [check]...........  Unrestricted text   The name of the
                             Name.                                    (70 characters).    counterparty.
17..........  X...........  ...................  ..................  ..................  .......................
17..........  18..........  Contract Affiliate.  [check]...........  Y (Yes)...........  The customer is an
                                                                     N (No)............   affiliate if it
                                                                                          controls, is
                                                                                          controlled by or is
                                                                                          under common control
                                                                                          with the seller. This
                                                                                          includes a division
                                                                                          that operates as a
                                                                                          functional unit. A
                                                                                          customer of a seller
                                                                                          who is an Exempt
                                                                                          Wholesale Generator
                                                                                          may be defined as an
                                                                                          affiliate under the
                                                                                          Public Utility Holding
                                                                                          Company Act and the
                                                                                          FPA.
18..........  19..........  FERC Tariff          [check]...........  Unrestricted text   The FERC tariff
                             Reference.                               (60 characters).    reference cites the
                                                                                          document that
                                                                                          specifies the terms
                                                                                          and conditions under
                                                                                          which a Seller is
                                                                                          authorized to make
                                                                                          transmission sales,
                                                                                          power sales or sales
                                                                                          of related
                                                                                          jurisdictional
                                                                                          services at cost-based
                                                                                          rates or at market-
                                                                                          based rates. If the
                                                                                          sales are market-
                                                                                          based, the tariff that
                                                                                          is specified in the
                                                                                          FERC order granting
                                                                                          the Seller Market
                                                                                          Based Rate Authority
                                                                                          must be listed.
19..........  20..........  Contract Service     [check]...........  Unrestricted text   Unique identifier given
                             Agreement ID.                            (30 characters).    to each service
                                                                                          agreement that can be
                                                                                          used by the filing
                                                                                          company to produce the
                                                                                          agreement, if
                                                                                          requested. The
                                                                                          identifier may be the
                                                                                          number assigned by
                                                                                          FERC for those service
                                                                                          agreements that have
                                                                                          been filed with and
                                                                                          accepted by the
                                                                                          Commission, or it may
                                                                                          be generated as part
                                                                                          of an internal
                                                                                          identification system.
20..........  21..........  Contract Execution   [check]...........  YYYYMMDD..........  The date the contract
                             Date.                                                        was signed. If the
                                                                                          parties signed on
                                                                                          different dates, use
                                                                                          the most recent date
                                                                                          signed.
21..........  22..........  Commencement Date    [check]...........  YYYYMMDD..........  The date the terms of
                             of Contract Terms.                                           the contract reported
                                                                                          in fields 18, 23 and
                                                                                          25 through 44 (as
                                                                                          defined in the data
                                                                                          dictionary) became
                                                                                          effective. If those
                                                                                          terms became effective
                                                                                          on multiple dates
                                                                                          (i.e.: due to one or
                                                                                          more amendments), the
                                                                                          date to be reported in
                                                                                          this field is the date
                                                                                          the most recent
                                                                                          amendment became
                                                                                          effective. If the
                                                                                          contract or the most
                                                                                          recent reported
                                                                                          amendment does not
                                                                                          have an effective
                                                                                          date, the date when
                                                                                          service began pursuant
                                                                                          to the contract or
                                                                                          most recent reported
                                                                                          amendment may be used.
                                                                                          If the terms reported
                                                                                          in fields 18, 23 and
                                                                                          25 through 44 have not
                                                                                          been amended since
                                                                                          January 1, 2009, the
                                                                                          initial date the
                                                                                          contract became
                                                                                          effective (or absent
                                                                                          an effective date the
                                                                                          initial date when
                                                                                          service began) may be
                                                                                          used.
22..........  23..........  Contract             If specified in     YYYYMMDD..........  The date that the
                             Termination Date.    the contract.                           contract expires.
23..........  24..........  Actual Termination   If contract         YYYYMMDD..........  The date the contract
                             Date Extension.      terminated.                             actually terminates.
24..........  25..........  Extension Provision  [check]...........  Unrestricted text.  Description of terms
                             Description.                                                 that provide for the
                                                                                          continuation of the
                                                                                          contract.
25..........  26..........  Class Name.........  [check]...........  ..................  See definitions of each
                                                                                          class name below.
25..........  26..........  Class Name.........  [check]...........  F--Firm...........  For transmission sales,
                                                                                          a service or product
                                                                                          that always has
                                                                                          priority over non-firm
                                                                                          service. For power
                                                                                          sales, a service or
                                                                                          product that is not
                                                                                          interruptible for
                                                                                          economic reasons.
25..........  26..........  Class Name.........  [check]...........  NF--Non-firm......  For transmission sales,
                                                                                          a service that is
                                                                                          reserved and/or
                                                                                          scheduled on an as-
                                                                                          available basis and is
                                                                                          subject to curtailment
                                                                                          or interruption at a
                                                                                          lesser priority
                                                                                          compared to Firm
                                                                                          service. For an energy
                                                                                          sale, a service or
                                                                                          product for which
                                                                                          delivery or receipt of
                                                                                          the energy may be
                                                                                          interrupted for any
                                                                                          reason or no reason,
                                                                                          without liability on
                                                                                          the part of either the
                                                                                          buyer or seller.

[[Page 71302]]

 
25..........  26..........  Class Name.........  [check]...........  UP--Unit Power      Designates a dedicated
                                                                      Sale.               sale of energy and
                                                                                          capacity from one or
                                                                                          more than one
                                                                                          specified generation
                                                                                          unit(s).
25..........  26..........  Class Name.........  [check]...........  N/A--Not            To be used only when
                                                                      Applicable.         the other available
                                                                                          Class Names do not
                                                                                          apply.
26..........  27..........  Term Name..........  [check]...........  LT--Long Term.....  Contracts with
                                                                     ST--Short Term....   durations of one year
                                                                     N/A--Not             or greater are long-
                                                                      Applicable.         term. Contracts with
                                                                                          shorter durations are
                                                                                          short-term.
27..........  28..........  Increment Name.....  [check]...........  ..................  See definitions for
                                                                                          each increment below.
27..........  28..........  Increment Name.....  [check]...........  H--Hourly.........  Terms of the contract
                                                                                          (if specifically noted
                                                                                          in the contract) set
                                                                                          for up to 6
                                                                                          consecutive hours (<=
                                                                                          6 consecutive hours).
27..........  28..........  Increment Name.....  [check]...........  D--Daily..........  Terms of the contract
                                                                                          (if specifically noted
                                                                                          in the contract) set
                                                                                          for more than 6 and up
                                                                                          to 60 consecutive
                                                                                          hours (>6 and <= 60
                                                                                          consecutive hours).
27..........  28..........  Increment Name.....  [check]...........  W--Weekly.........  Terms of the contract
                                                                                          (if specifically noted
                                                                                          in the contract) set
                                                                                          for over 60
                                                                                          consecutive hours and
                                                                                          up to 168 consecutive
                                                                                          hours (>60 and <= 168
                                                                                          consecutive hours).
27..........  28..........  Increment Name.....  [check]...........  M--Monthly........  Terms of the contract
                                                                                          (if specifically noted
                                                                                          in the contract) set
                                                                                          for more than 168
                                                                                          consecutive hours up
                                                                                          to, but not including,
                                                                                          one year (>168
                                                                                          consecutive hours and
                                                                                          < 1 year).
27..........  28..........  Increment Name.....  [check]...........  Y--Yearly.........  Terms of the contract
                                                                                          (if specifically noted
                                                                                          in the contract) set
                                                                                          for one year or more
                                                                                          (>= 1 year).
27..........  28..........  Increment Name.....  [check]...........  N/A--Not            Terms of the contract
                                                                      Applicable.         do not specify an
                                                                                          increment.
28..........  29..........  Increment Peaking    [check]...........  ..................  See definitions for
                             Name.                                                        each increment peaking
                                                                                          name below.
28..........  29..........  Increment Peaking    [check]...........  FP--Full Period...  The product described
                             Name.                                                        may be sold during
                                                                                          those hours designated
                                                                                          as on-peak and off-
                                                                                          peak in the NERC
                                                                                          region of the point of
                                                                                          delivery.
28..........  29..........  Increment Peaking    [check]...........  OP--Off-Peak......  The product described
                             Name.                                                        may be sold only
                                                                                          during those hours
                                                                                          designated as off-peak
                                                                                          in the NERC region of
                                                                                          the point of delivery.
28..........  29..........  Increment Peaking    [check]...........  P--Peak...........  The product described
                             Name.                                                        may be sold only
                                                                                          during those hours
                                                                                          designated as on-peak
                                                                                          in the NERC region of
                                                                                          the point of delivery.
28..........  29..........  Increment Peaking    [check]...........  N/A--Not            To be used only when
                             Name.                                    Applicable.         the increment peaking
                                                                                          name is not specified
                                                                                          in the contract.
29..........  30..........  Product Type Name..  [check]...........  ..................  See definitions for
                                                                                          each product type
                                                                                          below.
29..........  30..........  Product Type Name..  [check]...........  CB--Cost Based....  Energy or capacity sold
                                                                                          under a FERC-approved
                                                                                          cost-based rate
                                                                                          tariff.
29..........  30..........  Product Type Name..  [check]...........  CR--Capacity        An agreement under
                                                                      Reassignment.       which a transmission
                                                                                          provider sells,
                                                                                          assigns or transfers
                                                                                          all or portion of its
                                                                                          rights to an eligible
                                                                                          customer.
29..........  30..........  Product Type Name..  [check]...........  MB--Market Based..  Energy or capacity sold
                                                                                          under the seller's
                                                                                          FERC-approved market-
                                                                                          based rate tariff.
29..........  30..........  Product Type Name..  [check]...........  T--Transmission...  The product is sold
                                                                                          under a FERC-approved
                                                                                          transmission tariff.
29..........  30..........  Product Type Name..  [check]...........  Other.............  The product cannot be
                                                                                          characterized by the
                                                                                          other product type
                                                                                          names.
30..........  31..........  Product Name.......  [check]...........  See Product Name    Description of product
                                                                      Table, Appendix A.  being offered.
31..........  32..........  Quantity...........  If specified in     Number with up to   Quantity for the
                                                  the contract.       4 decimals.         contract product
                                                                                          identified.
32..........  33..........  Units..............  If specified in     See Units Table,    Measure stated in the
                                                  the contract.       Appendix E.         contract for the
                                                                                          product sold.
33..........  34..........  Rate...............  One of four rate    Number with up to   The charge for the
                                                  fields (34, 35,     4 decimals.         product per unit as
                                                  36, or 37) must                         stated in the
                                                  be included.                            contract.
34..........  35..........  Rate Minimum.......  One of four rate    Number with up to   Minimum rate to be
                                                  fields (34, 35,     4 decimals.         charged per the
                                                  36, or 37) must                         contract, if a range
                                                  be included.                            is specified.
35..........  36..........  Rate Maximum.......  One of four rate    Number with up to   Maximum rate to be
                                                  fields (34, 35,     4 decimals.         charged per the
                                                  36, or 37) must                         contract, if a range
                                                  be included.                            is specified.

[[Page 71303]]

 
36..........  37..........  Rate Description...  One of four rate    Unrestricted text.  Text description of
                                                  fields (34, 35,                         rate. If the rate is
                                                  36, or 37) must                         currently available on
                                                  be included.                            the FERC Web site, a
                                                                                          citation of the FERC
                                                                                          Accession Number and
                                                                                          the relevant FERC
                                                                                          tariff including page
                                                                                          number or section may
                                                                                          be included instead of
                                                                                          providing the entire
                                                                                          rate algorithm. If the
                                                                                          rate is not available
                                                                                          on the FERC Web site,
                                                                                          include the rate
                                                                                          algorithm, if rate is
                                                                                          calculated. If the
                                                                                          algorithm would exceed
                                                                                          the 150 character
                                                                                          field limit, it may be
                                                                                          provided in a
                                                                                          descriptive summary
                                                                                          (including bases and
                                                                                          methods of
                                                                                          calculations) with a
                                                                                          detailed citation of
                                                                                          the relevant FERC
                                                                                          tariff including page
                                                                                          number and section. If
                                                                                          more than 150
                                                                                          characters are
                                                                                          required, the contract
                                                                                          product may be
                                                                                          repeated in a
                                                                                          subsequent line of
                                                                                          data until the rate is
                                                                                          adequately described.
37..........  38..........  Rate Units.........  If specified in     See Rate Units      Measure stated in the
                                                  the contract.       Table, Appendix F.  contract for the
                                                                                          product sold.
38..........  39..........  Point of Receipt     If specified in     See Balancing       The registered NERC
                             Balancing            the contract.       Authority Table,    Balancing Authority
                             Authority (PORBA).                       Appendix B.         (formerly called NERC
                                                                                          Control Area) where
                                                                                          service begins for a
                                                                                          transmission or
                                                                                          transmission-related
                                                                                          jurisdictional sale.
                                                                                          The Balancing
                                                                                          Authority will be
                                                                                          identified with the
                                                                                          abbreviation used in
                                                                                          OASIS applications. If
                                                                                          receipt occurs at a
                                                                                          trading hub specified
                                                                                          in the EQR software,
                                                                                          the term ``Hub''
                                                                                          should be used.
39..........  40..........  Point of Receipt     If specified in     Unrestricted text   The specific location
                             Specific Location    the contract.       (50 characters).    at which the product
                             (PORSL).                                 If ``HUB'' is       is received if
                                                                      selected for        designated in the
                                                                      PORCA, see Hub      contract. If receipt
                                                                      Table, Appendix C.  occurs at a trading
                                                                                          hub, a standardized
                                                                                          hub name must be used.
                                                                                          If more points of
                                                                                          receipt are listed in
                                                                                          the contract than can
                                                                                          fit into the 50
                                                                                          character space, a
                                                                                          description of the
                                                                                          collection of points
                                                                                          may be used.
                                                                                          `Various,' alone, is
                                                                                          unacceptable unless
                                                                                          the contract itself
                                                                                          uses that terminology.
40..........  41..........  Point of Delivery    If specified in     See Balancing       The registered NERC
                             Balancing            the contract.       Authority Table,    Balancing Authority
                             Authority (PODBA).                       Appendix B.         (formerly called NERC
                                                                                          Control Area) where a
                                                                                          jurisdictional product
                                                                                          is delivered and/or
                                                                                          service ends for a
                                                                                          transmission or
                                                                                          transmission-related
                                                                                          jurisdictional sale.
                                                                                          The Balancing
                                                                                          Authority will be
                                                                                          identified with the
                                                                                          abbreviation used in
                                                                                          OASIS applications. If
                                                                                          delivery occurs at the
                                                                                          interconnection of two
                                                                                          control areas, the
                                                                                          control area that the
                                                                                          product is entering
                                                                                          should be used. If
                                                                                          delivery occurs at a
                                                                                          trading hub specified
                                                                                          in the EQR software,
                                                                                          the term ``Hub''
                                                                                          should be used.
41..........  42..........  Point of Delivery    If specified in     Unrestricted text   The specific location
                             Specific Location    the contract.       (50 characters).    at which the product
                             (PODSL).                                 If ``HUB'' is       is delivered if
                                                                      selected for        designated in the
                                                                      PODCA, see Hub      contract. If receipt
                                                                      Table, Appendix C.  occurs at a trading
                                                                                          hub, a standardized
                                                                                          hub name must be used.
42..........  43..........  Begin Date.........  If specified in     YYYYMMDDHHMM......  First date for the sale
                                                  the contract.                           of the product at the
                                                                                          rate specified.
43..........  44..........  End Date...........  If specified in     YYYYMMDDHHMM......  Last date for the sale
                                                  the contract.                           of the product at the
                                                                                          rate specified.
45..........  X...........  ...................  ..................  ..................  .......................
----------------------------------------------------------------------------------------------------------------

[[Page 71304]]

 
                                                Transaction Data
----------------------------------------------------------------------------------------------------------------
44..........  45..........  Transaction Unique   [check]...........  An integer          An identifier beginning
                             ID.                                      proceeded by the    with the letter ``T''
                                                                      letter ``T''        and followed by a
                                                                      (only used when     number (e.g., ``T1'',
                                                                      importing           ``T2'') used to
                                                                      transaction data).  designate a record
                                                                                          containing transaction
                                                                                          information in a comma-
                                                                                          delimited (csv) file
                                                                                          that is imported into
                                                                                          the EQR filing. One
                                                                                          record for each
                                                                                          transaction record may
                                                                                          be imported into an
                                                                                          EQR for a given
                                                                                          quarter. A new
                                                                                          transaction record
                                                                                          must be used every
                                                                                          time a price changes
                                                                                          in a sale.
45..........  46..........  Seller Company Name  [check]...........  Unrestricted text   The name of the company
                                                                      (100 Characters).   that is authorized to
                                                                                          make sales as
                                                                                          indicated in the
                                                                                          company's FERC
                                                                                          tariff(s). This name
                                                                                          must match the name
                                                                                          provided as a Seller's
                                                                                          ``Company Name'' in
                                                                                          Field 2 of the ID Data
                                                                                          (Seller Data).
46..........  47..........  Customer Company     [check]...........  Unrestricted text   The name of the
                             Name.                                    (70 Characters).    counterparty.
49..........  X...........  ...................  ..................  ..................  .......................
47..........  48..........  FERC Tariff          [check]...........  Unrestricted text   The FERC tariff
                             Reference.                               (60 Characters).    reference cites the
                                                                                          document that
                                                                                          specifies the terms
                                                                                          and conditions under
                                                                                          which a Seller is
                                                                                          authorized to make
                                                                                          transmission sales,
                                                                                          power sales or sales
                                                                                          of related
                                                                                          jurisdictional
                                                                                          services at cost-based
                                                                                          rates or at market-
                                                                                          based rates. If the
                                                                                          sales are market-
                                                                                          based, the tariff that
                                                                                          is specified in the
                                                                                          FERC order granting
                                                                                          the Seller Market
                                                                                          Based Rate Authority
                                                                                          must be listed.
48..........  49..........  Contract Service     [check]...........  Unrestricted text   Unique identifier given
                             Agreement ID.                            (30 Characters).    to each service
                                                                                          agreement that can be
                                                                                          used by the filing
                                                                                          company to produce the
                                                                                          agreement, if
                                                                                          requested. The
                                                                                          identifier may be the
                                                                                          number assigned by
                                                                                          FERC for those service
                                                                                          agreements that have
                                                                                          been filed and
                                                                                          approved by the
                                                                                          Commission, or it may
                                                                                          be generated as part
                                                                                          of an internal
                                                                                          identification system.
49..........  50..........  Transaction Unique   [check]...........  Unrestricted text   Unique reference number
                             Identifier.                              (24 Characters).    assigned by the seller
                                                                                          for each transaction.
50..........  51..........  Transaction Begin    [check]...........  YYYYMMDDHHMM (csv   First date and time the
                             Date.                                    import);            product is sold during
                                                                      MMDDYYYYHHMM        the quarter.
                                                                      (manual entry).
51..........  52..........  Transaction End      [check]...........  YYYYMMDDHHMM (csv   Last date and time the
                             Date.                                    import);            product is sold during
                                                                      MMDDYYYYHHMM        the quarter.
                                                                      (manual entry).
52..........  53..........  Trade Date.........  [check]...........  YYYYMMDD (csv       The date upon which the
                                                                      import); MMDDYYYY   parties made the
                                                                      (manual entry).     legally binding
                                                                                          agreement on the price
                                                                                          of a transaction.
53..........  54..........  Exchange/Brokerage   ..................  See Exchange/       If a broker service is
                             Service.                                 Brokerage Service   used to consummate or
                                                                      Table, Appendix H.  effectuate a
                                                                                          transaction, the term
                                                                                          ``Broker'' shall be
                                                                                          selected from the
                                                                                          Commission-provided
                                                                                          list. If an exchange
                                                                                          is used, the specific
                                                                                          exchange that is used
                                                                                          shall be selected from
                                                                                          the Commission-
                                                                                          provided list.
54..........  55..........  Type of Rate.......  [check]...........  ..................  See type of rate
                                                                                          definitions below.
54..........  55..........  Type of Rate.......  [check]...........  Fixed.............  A fixed charge per unit
                                                                                          of consumption.
54..........  55..........  Type of Rate.......  [check]...........  Formula...........  A calculation of a rate
                                                                                          based upon a formula
                                                                                          that does not contain
                                                                                          an index component.
54..........  55..........  Type of Rate.......  [check]...........  Electric Index....  A calculation of a rate
                                                                                          based upon an index or
                                                                                          a formula that
                                                                                          contains an index
                                                                                          component.
54..........  55..........  Type of Rate.......  [check]...........  RTO/ISO...........  A rate that is based on
                                                                                          an RTO/ISO published
                                                                                          price or formula that
                                                                                          contains an RTO/ISO
                                                                                          price component.
55..........  56..........  Time Zone..........  [check]...........  See Time Zone       The time zone in which
                                                                      Table, Appendix D.  the sales will be made
                                                                                          under the contract.
56..........  57..........  Point of Delivery    [check]...........  See Balancing       The registered NERC
                             Balancing                                Authority Table,    Balancing Authority
                             Authority (PODBA).                       Appendix B.         (formerly called NERC
                                                                                          Control Area)
                                                                                          abbreviation used in
                                                                                          OASIS applications.

[[Page 71305]]

 
57..........  58..........  Point of Delivery    [check]...........  Unrestricted text   The specific location
                             Specific Location                        (50 characters).    at which the product
                             (PODSL).                                 If ``HUB'' is       is delivered. If
                                                                      selected for        receipt occurs at a
                                                                      PODBA, see Hub      trading hub, a
                                                                      Table, Appendix C.  standardized hub name
                                                                                          must be used.
58..........  59..........  Class Name.........  [check]...........  ..................  See class name
                                                                                          definitions below.
58..........  59..........  Class Name.........  [check]...........  F--Firm...........  A sale, service or
                                                                                          product that is not
                                                                                          interruptible for
                                                                                          economic reasons.
58..........  59..........  Class Name.........  [check]...........  NF--Non-firm......  A sale for which
                                                                                          delivery or receipt of
                                                                                          the energy may be
                                                                                          interrupted for any
                                                                                          reason or no reason,
                                                                                          without liability on
                                                                                          the part of either the
                                                                                          buyer or seller.
58..........  59..........  Class Name.........  [check]...........  UP--Unit Power      Designates a dedicated
                                                                      Sale.               sale of energy and
                                                                                          capacity from one or
                                                                                          more than one
                                                                                          specified generation
                                                                                          unit(s).
58..........  59..........  Class Name.........  [check]...........  BA--Billing         Designates an
                                                                      Adjustment.         incremental material
                                                                                          change to one or more
                                                                                          transactions due to a
                                                                                          change in settlement
                                                                                          results. ``BA'' may be
                                                                                          used in a refiling
                                                                                          after the next
                                                                                          quarter's filing is
                                                                                          due to reflect the
                                                                                          receipt of new
                                                                                          information. It may
                                                                                          not be used to correct
                                                                                          an inaccurate filing.
58..........  59..........  Class Name.........  [check]...........  N/A--Not            To be used only when
                                                                      Applicable; LT--    the other available
                                                                      Long Term.          class names do not
                                                                                          apply.
59..........  60..........  Term Name..........  [check]...........  ST--Short Term; N/  Power sales
                                                                      A--Not Applicable.  transactions with
                                                                                          durations of one year
                                                                                          or greater are long-
                                                                                          term. Transactions
                                                                                          with shorter durations
                                                                                          are short-term.
60..........  61..........  Increment Name.....  [check]...........  ..................  See increment name
                                                                                          definitions below.
60..........  61..........  Increment Name.....  [check]...........  H--Hourly.........  Terms of the particular
                                                                                          sale set for up to 6
                                                                                          consecutive hours (<=
                                                                                          6 consecutive hours)
                                                                                          Includes LMP based
                                                                                          sales in ISO/RTO
                                                                                          markets.
60..........  61..........  Increment Name.....  [check]...........  D--Daily..........  Terms of the particular
                                                                                          sale set for more than
                                                                                          6 and up to 60
                                                                                          consecutive hours (>6
                                                                                          and <= 60 consecutive
                                                                                          hours). Includes sales
                                                                                          over a peak or off-
                                                                                          peak block during a
                                                                                          single day.
60..........  61..........  Increment Name.....  [check]...........  W--Weekly.........  Terms of the particular
                                                                                          sale set for over 60
                                                                                          consecutive hours and
                                                                                          up to 168 consecutive
                                                                                          hours (>60 and <= 168
                                                                                          consecutive hours).
                                                                                          Includes sales for a
                                                                                          full week and sales
                                                                                          for peak and off-peak
                                                                                          blocks over a
                                                                                          particular week.
60..........  61..........  Increment Name.....  [check]...........  M--Monthly........  Terms of the particular
                                                                                          sale set for set for
                                                                                          more than 168
                                                                                          consecutive hours up
                                                                                          to, but not including,
                                                                                          one year (>168
                                                                                          consecutive hours and
                                                                                          < 1 year). Includes
                                                                                          sales for full month
                                                                                          or multi-week sales
                                                                                          during a given month.
60..........  61..........  Increment Name.....  [check]...........  Y--Yearly.........  Terms of the particular
                                                                                          sale set for one year
                                                                                          or more (>= 1 year).
                                                                                          Includes all long-term
                                                                                          contracts with defined
                                                                                          pricing terms (fixed-
                                                                                          price, formula, or
                                                                                          index).
60..........  61..........  Increment Name.....  [check]...........  N/A--Not            To be used only when
                                                                      Applicable.         other available
                                                                                          increment names do not
                                                                                          apply.
61..........  62..........  Increment Peaking    [check]...........  ..................  See definitions for
                             Name.                                                        increment peaking
                                                                                          below.
61..........  62..........  Increment Peaking    [check]...........  FP--Full Period...  The product described
                             Name.                                                        was sold during Peak
                                                                                          and Off-Peak hours.
61..........  62..........  Increment Peaking    [check]...........  OP--Off-Peak......  The product described
                             Name.                                                        was sold only during
                                                                                          those hours designated
                                                                                          as off-peak in the
                                                                                          NERC region of the
                                                                                          point of delivery.
61..........  62..........  Increment Peaking    [check]...........  P--Peak...........  The product described
                             Name.                                                        was sold only during
                                                                                          those hours designated
                                                                                          as on-peak in the NERC
                                                                                          region of the point of
                                                                                          delivery.
61..........  62..........  Increment Peaking    [check]...........  N/A--Not            To be used only when
                             Name.                                    Applicable.         the other available
                                                                                          increment peaking
                                                                                          names do not apply.
62..........  63..........  Product Name.......  [check]...........  See Product Names   Description of product
                                                                      Table, Appendix A.  being offered.
63..........  64..........  Transaction          [check]...........  Number with up to   The quantity of the
                             Quantity.                                4 decimals.         product in this
                                                                                          transaction.

[[Page 71306]]

 
64..........  65..........  Price..............  [check]...........  Number with up to   Actual price charged
                                                                      6 decimals.         for the product per
                                                                                          unit. The price
                                                                                          reported cannot be
                                                                                          averaged or otherwise
                                                                                          aggregated.
65..........  66..........  Rate Units.........  [check]...........  See Rate Units      Measure appropriate to
                                                                      Table, Appendix F.  the price of the
                                                                                          product sold.
66..........  67..........  Standardized         [check]...........  Number with up to   For product names
                             Quantity.                                4 decimals.         energy, capacity, and
                                                                                          booked out power only.
                                                                                          Specify the quantity
                                                                                          in MWh if the product
                                                                                          is energy or booked
                                                                                          out power and specify
                                                                                          the quantity in MW if
                                                                                          the product is
                                                                                          capacity.
67..........  68..........  Standardized Price.  [check]...........  Number with up to   For product names
                                                                      6 decimals.         energy, capacity, and
                                                                                          booked out power only.
                                                                                          Specify the price in $/
                                                                                          MWh if the product is
                                                                                          energy or booked out
                                                                                          power and specify the
                                                                                          price in $/MW-month if
                                                                                          the product is
                                                                                          capacity.
68..........  69..........  Total Transmission   [check]...........  Number with up to   Payments received for
                             Charge.                                  2 decimals.         transmission services
                                                                                          when explicitly
                                                                                          identified.
69..........  70..........  Total Transaction    [check]...........  Number with up to   Transaction Quantity
                             Charge.                                  2 decimals.         (Field 64) times Price
                                                                                          (Field 65) plus Total
                                                                                          Transmission Charge
                                                                                          (Field 69).
----------------------------------------------------------------------------------------------------------------
                                              Index Reporting Data
----------------------------------------------------------------------------------------------------------------
70..........  71..........  Filer Unique         [check]...........  FS (where  The ``FS'' seller
                             Identifier.                              ``'' is    number from the ID
                                                                      an integer).        Data table
                                                                                          corresponding to the
                                                                                          index reporting
                                                                                          company.
71..........  72..........  Seller Company Name  [check]...........  Unrestricted text   The name of the company
                                                                      (100 characters).   that is authorized to
                                                                                          make sales as
                                                                                          indicated in the
                                                                                          company's FERC
                                                                                          tariff(s). This name
                                                                                          must match the name
                                                                                          provided as a Seller's
                                                                                          ``Company Name'' in
                                                                                          Field Number 2 of the
                                                                                          ID Data (Seller Data).
72..........  73..........  Index Price          [check]...........  If ``Yes'' is       The index price
                             Publisher(s) To                          selected for        publisher(s) to which
                             Which Sales                              Field 13, see       sales transactions
                             Transactions Have                        Index Price         have been reported.
                             Been Reported.                           Publisher,
                                                                      Appendix G.
73..........  74..........  Transactions         [check]...........  Unrestricted text   Description of the
                             Reported.                                (100 characters).   types of transactions
                                                                                          reported to the index
                                                                                          publisher identified
                                                                                          in this record.
----------------------------------------------------------------------------------------------------------------
                                                   e-Tag Data
----------------------------------------------------------------------------------------------------------------
74..........  75..........  e-Tag ID...........  If an e-Tag ID was  Unrestricted text   The e-Tag ID contains:
                                                  used to schedule    (30 Characters).    The Source Balancing
                                                  the EQR                                 Authority where the
                                                  transaction.                            generation is located;
                                                                                          The Purchasing-Selling
                                                                                          Balancing Authority
                                                                                          Entity Code; the e-Tag
                                                                                          Code; and the Sink
                                                                                          Balancing Authority.
75..........  76..........  e-Tag Begin Date...  If an e-Tag ID was  YYYYMMDD (csv       The first date the
                                                  used to schedule    import); MMDDYYYY   transaction is
                                                  the EQR             (manual entry).     scheduled using the e-
                                                  transaction.                            Tag ID reported in
                                                                                          Field Number 75. Begin
                                                                                          Date must not be
                                                                                          before the Transaction
                                                                                          Begin Date specified
                                                                                          in Field Number 51 and
                                                                                          must be reported in
                                                                                          the same time zone
                                                                                          specified in Field
                                                                                          Number 56.
76..........  77..........  e-Tag End Date.....  If an e-Tag ID was  YYYYMMDD (csv       The last date the
                                                  used to schedule    import); MMDDYYYY   transaction is
                                                  the EQR             (manual entry).     scheduled using the e-
                                                  transaction.                            Tag ID reported in
                                                                                          Field Number 75. End
                                                                                          Date must not be after
                                                                                          the Transaction End
                                                                                          Date specified in
                                                                                          Field Number 52 and
                                                                                          must be reported in
                                                                                          the same time zone
                                                                                          specified in Field
                                                                                          Number 56.
77..........  78..........  Transaction Unique   If an e-Tag ID was  Unrestricted text   Unique reference number
                             Identifier.          used to schedule    (24 Characters).    assigned by the seller
                                                  the EQR                                 for each transaction
                                                  transaction.                            that must be the same
                                                                                          as reported in Field
                                                                                          Number 50.
----------------------------------------------------------------------------------------------------------------


[[Page 71307]]


                                               EQR Data Dictionary
                                           [Appendix A. Product Names]
----------------------------------------------------------------------------------------------------------------
                                      Contract       Transaction
          Product name                product          product                       Definition
----------------------------------------------------------------------------------------------------------------
BLACK START SERVICE.............         [check]          [check]   Service available after a system-wide
                                                                     blackout where a generator participates in
                                                                     system restoration activities without the
                                                                     availability of an outside electric supply
                                                                     (Ancillary Service).
BOOKED OUT POWER................  ...............         [check]   Energy or capacity contractually committed
                                                                     bilaterally for delivery but not actually
                                                                     delivered due to some offsetting or
                                                                     countervailing trade (Transaction only).
CAPACITY........................         [check]          [check]   A quantity of demand that is charged on a $/
                                                                     KW or $/MW basis.
CUSTOMER CHARGE.................         [check]          [check]   Fixed contractual charges assessed on a per
                                                                     customer basis that could include billing
                                                                     service.
DIRECT ASSIGNMENT FACILITIES             [check]   ...............  Charges for facilities or portions of
 CHARGE.                                                             facilities that are constructed or used for
                                                                     the sole use/benefit of a particular
                                                                     customer.
EMERGENCY ENERGY................         [check]   ...............  Contractual provisions to supply energy or
                                                                     capacity to another entity during critical
                                                                     situations.
ENERGY..........................         [check]          [check]   A quantity of electricity that is sold or
                                                                     transmitted over a period of time.
ENERGY IMBALANCE................         [check]          [check]   Service provided when a difference occurs
                                                                     between the scheduled and the actual
                                                                     delivery of energy to a load obligation
                                                                     (Ancillary Service). For Contracts,
                                                                     reported if the contract provides for sale
                                                                     of the product. For Transactions, sales by
                                                                     third-party providers (i.e., non-
                                                                     transmission function) are reported.
EXCHANGE........................         [check]          [check]   Transaction whereby the receiver accepts
                                                                     delivery of energy for a supplier's account
                                                                     and returns energy at times, rates, and in
                                                                     amounts as mutually agreed if the receiver
                                                                     is not an RTO/ISO.
FUEL CHARGE.....................         [check]          [check]   Charge based on the cost or amount of fuel
                                                                     used for generation.
GENERATOR IMBALANCE.............         [check]          [check]   Service provided when a difference occurs
                                                                     between the output of a generator located
                                                                     in the Transmission Provider's Control Area
                                                                     and a delivery schedule from that generator
                                                                     to (1) another Control Area or (2) a load
                                                                     within the Transmission Provider's Control
                                                                     Area over a single hour (Ancillary
                                                                     Service). For Contracts, reported if the
                                                                     contract provides for sale of the product.
                                                                     For Transactions, sales by third-party
                                                                     providers (i.e., non-transmission function)
                                                                     are reported.
GRANDFATHERED BUNDLED...........         [check]          [check]   Services provided for bundled transmission,
                                                                     ancillary services and energy under
                                                                     contracts effective prior to Order No.
                                                                     888's OATTs.
INTERCONNECTION AGREEMENT.......         [check]   ...............  Contract that provides the terms and
                                                                     conditions for a generator, distribution
                                                                     system owner, transmission owner,
                                                                     transmission provider, or transmission
                                                                     system to physically connect to a
                                                                     transmission system or distribution system.
MEMBERSHIP AGREEMENT............         [check]   ...............  Agreement to participate and be subject to
                                                                     rules of a system operator.
MUST RUN AGREEMENT..............         [check]   ...............  An agreement that requires a unit to run.
NEGOTIATED-RATE TRANSMISSION....         [check]          [check]   Transmission performed under a negotiated
                                                                     rate contract (applies only to merchant
                                                                     transmission companies).
NETWORK.........................         [check]   ...............  Transmission service under contract
                                                                     providing network service.
NETWORK OPERATING AGREEMENT.....         [check]   ...............  An executed agreement that contains the
                                                                     terms and conditions under which a network
                                                                     customer operates its facilities and the
                                                                     technical and operational matters
                                                                     associated with the implementation of
                                                                     network integration transmission service.
OTHER...........................         [check]          [check]   Product name not otherwise included.
POINT-TO-POINT AGREEMENT........         [check]   ...............  Transmission service under contract between
                                                                     specified Points of Receipt and Delivery.
REACTIVE SUPPLY & VOLTAGE                [check]          [check]   Production or absorption of reactive power
 CONTROL.                                                            to maintain voltage levels on transmission
                                                                     systems (Ancillary Service).
REAL POWER TRANSMISSION LOSS....         [check]          [check]   The loss of energy, resulting from
                                                                     transporting power over a transmission
                                                                     system.
REASSIGNMENT AGREEMENT..........         [check]   ...............  Transmission capacity reassignment
                                                                     agreement.
REGULATION & FREQUENCY RESPONSE.         [check]          [check]   Service providing for continuous balancing
                                                                     of resources (generation and interchange)
                                                                     with load, and for maintaining scheduled
                                                                     interconnection frequency by committing on-
                                                                     line generation where output is raised or
                                                                     lowered and by other non-generation
                                                                     resources capable of providing this service
                                                                     as necessary to follow the moment-by-moment
                                                                     changes in load (Ancillary Service). For
                                                                     Contracts, reported if the contract
                                                                     provides for sale of the product. For
                                                                     Transactions, sales by third-party
                                                                     providers (i.e., non-transmission function)
                                                                     are reported.
REQUIREMENTS SERVICE............         [check]          [check]   Firm, load-following power supply necessary
                                                                     to serve a specified share of customer's
                                                                     aggregate load during the term of the
                                                                     agreement. Requirements service may include
                                                                     some or all of the energy, capacity and
                                                                     ancillary service products. (If the
                                                                     components of the requirements service are
                                                                     priced separately, they should be reported
                                                                     separately in the transactions tab.)

[[Page 71308]]

 
SCHEDULE SYSTEM CONTROL &                [check]          [check]   Scheduling, confirming and implementing an
 DISPATCH.                                                           interchange schedule with other Balancing
                                                                     Authorities, including intermediary
                                                                     Balancing Authorities providing
                                                                     transmission service, and ensuring
                                                                     operational security during the interchange
                                                                     transaction (Ancillary Service).
SPINNING RESERVE................         [check]          [check]   Unloaded synchronized generating capacity
                                                                     that is immediately responsive to system
                                                                     frequency and that is capable of being
                                                                     loaded in a short time period or non-
                                                                     generation resources capable of providing
                                                                     this service (Ancillary Service). For
                                                                     Contracts, reported if the contract
                                                                     provides for sale of the product. For
                                                                     Transactions, sales by third-party
                                                                     providers (i.e., non-transmission function)
                                                                     are reported.
SUPPLEMENTAL RESERVE............         [check]          [check]   Service needed to serve load in the event of
                                                                     a system contingency, available with
                                                                     greater delay than SPINNING RESERVE. This
                                                                     service may be provided by generating units
                                                                     that are on-line but unloaded, by quick-
                                                                     start generation, or by interruptible load
                                                                     or other non-generation resources capable
                                                                     of providing this service (Ancillary
                                                                     Service). For Contracts, reported if the
                                                                     contract provides for sale of the product.
                                                                     For Transactions, sales by third-party
                                                                     providers (i.e., non-transmission function)
                                                                     are reported.
SYSTEM OPERATING AGREEMENTS.....         [check]   ...............  An executed agreement that contains the
                                                                     terms and conditions under which a system
                                                                     or network customer shall operate its
                                                                     facilities and the technical and
                                                                     operational matters associated with the
                                                                     implementation of network.
TOLLING ENERGY..................         [check]          [check]   Energy sold from a plant whereby the buyer
                                                                     provides fuel to a generator (seller) and
                                                                     receives power in return for pre-
                                                                     established fees.
TRANSMISSION OWNERS AGREEMENT...         [check]   ...............  The agreement that establishes the terms and
                                                                     conditions under which a transmission owner
                                                                     transfers operational control over
                                                                     designated transmission facilities.
UPLIFT..........................         [check]          [check]   A make-whole payment by an RTO/ISO to a
                                                                     utility.
----------------------------------------------------------------------------------------------------------------


                           EQR Data Dictionary
                    [Appendix B. Balancing Authority]
------------------------------------------------------------------------
      Balancing authority             Abbreviation         Outside US*
------------------------------------------------------------------------
AESC, LLC--Wheatland CIN.......  AEWC                    ...............
Alabama Electric Cooperative,    AEC                     ...............
 Inc..
Alberta Electric System          AESO                           [check]
 Operator.
Alliant Energy Corporate         ALTE                    ...............
 Services, LLC--East.
Alliant Energy Corporate         ALTW                    ...............
 Services, LLC--West.
Ameren Transmission. Illinois..  AMIL                    ...............
Ameren Transmission. Missouri..  AMMO                    ...............
American Transmission Systems,   FE                      ...............
 Inc..
Aquila Networks--Kansas........  WPEK                    ...............
Aquila Networks--Missouri        MPS                     ...............
 Public Service.
Aquila Networks--West Plains     WPEC                    ...............
 Dispatch.
Arizona Public Service Company.  AZPS                    ...............
Associated Electric              AECI                    ...............
 Cooperative, Inc..
Avista Corp....................  AVA                     ...............
Batesville Balancing Authority.  BBA                     ...............
BC Hydro T & D--Grid Operations  BCHA                           [check]
Big Rivers Electric Corp.......  BREC                    ...............
Board of Public Utilities......  KACY                    ...............
Bonneville Power Administration  BPAT                    ...............
 Transmission.
British Columbia Transmission    BCTC                           [check]
 Corporation.
California Independent System    CISO                    ...............
 Operator.
Carolina Power & Light Company-- CPLW                    ...............
 CPLW.
Carolina Power and Light         CPLE                    ...............
 Company--East.
Central and Southwest..........  CSWS                    ...............
Chelan County PUD..............  CHPD                    ...............
Cinergy Corporation............  CIN                     ...............
City of Homestead..............  HST                     ...............
City of Independence P&L Dept..  INDN                    ...............
City of Tallahassee............  TAL                     ...............
City Water Light & Power.......  CWLP                    ...............
City Utilities of Springfield..  SPRM                    ...............
Cleco Power LLC................  CLEC                    ...............
Columbia Water & Light.........  CWLD                    ...............
Comision Federal de              CFE                            [check]
 Electricidad.
Comision Federal de              CFEN                           [check]
 Electricidad.
Constellation Energy Control     GRIF                    ...............
 and Dispatch.
Constellation Energy Control     PUPP                    ...............
 and Dispatch--Arkansas.

[[Page 71309]]

 
Constellation Energy Control     BUBA                    ...............
 and Dispatch--City of Benton,
 AR.
Constellation Energy Control     DERS                    ...............
 and Dispatch--City of Ruston,
 LA.
Constellation Energy Control     CNWY                    ...............
 and Dispatch--Conway, Arkansas.
Constellation Energy Control     GRMA                    ...............
 and Dispatch--Gila River.
Constellation Energy Control     GWA                     ...............
 and Dispatch--Glacier Wind
 Energy.
Constellation Energy Control     HGMA                    ...............
 and Dispatch--Harquehala.
Constellation Energy Control     DENL                    ...............
 and Dispatch--North Little
 Rock, AK.
Constellation Energy Control     OMLP                    ...............
 and Dispatch--Osceola
 Municipal Light.
Constellation Energy Control     PLUM                    ...............
 and Dispatch--Plum Point.
Constellation Energy Control     REDM                    ...............
 and Dispatch--Red Mesa.
Constellation Energy Control     WMUC                    ...............
 and Dispatch--West Memphis,
 Arkansas.
Dairyland Power Cooperative....  DPC                     ...............
DECA, LLC--Arlington Valley....  DEAA                    ...............
Duke Energy Corporation........  DUK                     ...............
East Kentucky Power              EKPC                    ...............
 Cooperative, Inc..
El Paso Electric...............  EPE                     ...............
Electric Energy, Inc...........  EEI                     ...............
Empire District Electric Co.,    EDE                     ...............
 The.
Entergy........................  EES                     ...............
ERCOT ISO......................  ERCO                    ...............
Florida Municipal Power Pool...  FMPP                    ...............
Florida Power & Light..........  FPL                     ...............
Florida Power Corporation......  FPC                     ...............
Gainesville Regional Utilities.  GVL                     ...............
Grand River Dam Authority......  GRDA                    ...............
Grant County PUD No. 2.........  GCPD                    ...............
Great River Energy.............  GRE                     ...............
Great River Energy.............  GREC                    ...............
Great River Energy.............  GREN                    ...............
Great River Energy.............  GRES                    ...............
GridAmerica....................  GA                      ...............
Hoosier Energy.................  HE                      ...............
Hydro-Quebec, TransEnergie.....  HQT                            [check]
Idaho Power Company............  IPCO                    ...............
Imperial Irrigation District...  IID                     ...............
Indianapolis Power & Light       IPL                     ...............
 Company.
ISO New England Inc............  ISNE                    ...............
JEA............................  JEA                     ...............
Kansas City Power & Light, Co..  KCPL                    ...............
Lafayette Utilities System.....  LAFA                    ...............
LG&E Energy Transmission         LGEE                    ...............
 Services.
Lincoln Electric System........  LES                     ...............
Los Angeles Department of Water  LDWP                    ...............
 and Power.
Louisiana Energy & Power         LEPA                    ...............
 Authority.
Louisiana Generating, LLC......  LAGN                    ...............
Louisiana Generating, LLC--City  CWAY                    ...............
 of Conway.
Louisiana Generating, LLC--City  WMU                     ...............
 of West Memphis.
Louisiana Generating, LLC--      NLR                     ...............
 North Little Rock.
Madison Gas and Electric         MGE                     ...............
 Company.
Manitoba Hydro Electric Board,   MHEB                           [check]
 Transmission Services.
Michigan Electric Coordinated    MECS                    ...............
 System.
Michigan Electric Coordinated    CONS                    ...............
 System--CONS.
Michigan Electric Coordinated    DECO                    ...............
 System--DECO.
MidAmerican Energy Company.....  MEC                     ...............
Midwest ISO....................  MISO                    ...............
Minnesota Power, Inc...........  MP                      ...............
Montana-Dakota Utilities Co....  MDU                     ...............
Muscatine Power and Water......  MPW                     ...............
Nebraska Public Power District.  NPPD                    ...............
Nevada Power Company...........  NEVP                    ...............
New Brunswick System Operator..  NBSO                           [check]
New Horizons Electric            NHC1                    ...............
 Cooperative.
New York Independent System      NYIS                    ...............
 Operator.
Northern Indiana Public Service  NIPS                    ...............
 Company.
Northern States Power Company..  NSP                     ...............
NorthWestern Energy............  NWMT                    ...............
Ohio Valley Electric             OVEC                    ...............
 Corporation.
Oklahoma Gas and Electric......  OKGE                    ...............
Ontario--Independent             ONT                            [check]
 Electricity System Operator.
OPPDCA/TP......................  OPPD                    ...............
Otter Tail Power Company.......  OTP                     ...............

[[Page 71310]]

 
P.U.D. No. 1 of Douglas County.  DOPD                    ...............
PacifiCorp-East................  PACE                    ...............
PacifiCorp-West................  PACW                    ...............
PJM Interconnection............  PJM                     ...............
Portland General Electric......  PGE                     ...............
Public Service Company of        PSCO                    ...............
 Colorado.
Public Service Company of New    PNM                     ...............
 Mexico.
Puget Sound Energy Transmission  PSEI                    ...............
Reedy Creek Improvement          RC                      ...............
 District.
Sacramento Municipal Utility     SMUD                    ...............
 District.
Salt River Project.............  SRP                     ...............
Santee Cooper..................  SC                      ...............
SaskPower Grid Control Centre..  SPC                            [check]
Seattle City Light.............  SCL                     ...............
Seminole Electric Cooperative..  SEC                     ...............
Sierra Pacific Power Co.--       SPPC                    ...............
 Transmission.
South Carolina Electric & Gas    SCEG                    ...............
 Company.
South Mississippi Electric       SME                     ...............
 Power Association.
South Mississippi Electric       SMEE                    ...............
 Power Association.
Southeastern Power               SEHA                    ...............
 Administration--Hartwell.
Southeastern Power               SERU                    ...............
 Administration--Russell.
Southeastern Power               SETH                    ...............
 Administration--Thurmond.
Southern Company Services, Inc.  SOCO                    ...............
Southern Illinois Power          SIPC                    ...............
 Cooperative.
Southern Indiana Gas & Electric  SIGE                    ...............
 Co..
Southern Minnesota Municipal     SMP                     ...............
 Power Agency.
Southwest Power Pool...........  SWPP                    ...............
Southwestern Power               SPA                     ...............
 Administration.
Southwestern Public Service      SPS                     ...............
 Company.
Sunflower Electric Power         SECI                    ...............
 Corporation.
Tacoma Power...................  TPWR                    ...............
Tampa Electric Company.........  TEC                     ...............
Tennessee Valley Authority ESO.  TVA                     ...............
Trading Hub....................  HUB                     ...............
TRANSLink Management Company...  TLKN                    ...............
Tucson Electric Power Company..  TEPC                    ...............
Turlock Irrigation District....  TIDC                    ...............
Upper Peninsula Power Co.......  UPPC                    ...............
Utilities Commission, City of    NSB                     ...............
 New Smyrna Beach.
Westar Energy--MoPEP Cities....  MOWR                    ...............
Western Area Power               WACM                    ...............
 Administration--Colorado-
 Missouri.
Western Area Power               WALC                    ...............
 Administration--Lower Colorado.
Western Area Power               WAUE                    ...............
 Administration--Upper Great
 Plains East.
Western Area Power               WAUW                    ...............
 Administration--Upper Great
 Plains West.
Western Farmers Electric         WFEC                    ...............
 Cooperative.
Western Resources dba Westar     WR                      ...............
 Energy.
Wisconsin Energy Corporation...  WEC                     ...............
Wisconsin Public Service         WPS                     ...............
 Corporation.
Yadkin, Inc....................  YAD                     ...............
------------------------------------------------------------------------
* Balancing authorities outside the United States may only be used in
  the Contract Data section to identify specified receipt/delivery
  points in jurisdictional transmission contracts.


                           EQR Data Dictionary
                            [Appendix C. Hub]
------------------------------------------------------------------------
             HUB                               Definition
------------------------------------------------------------------------
ADHUB........................  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by PJM
                                Interconnection, LLC as the AEP/Dayton
                                Hub.
AEPGenHub....................  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by PJM
                                Interconnection, LLC as the AEPGenHub.
COB..........................  The set of delivery points along the
                                California-Oregon commonly identified as
                                and agreed to by the counterparties to
                                constitute the COB Hub.
Cinergy (into)...............  The set of delivery points commonly
                                identified as and agreed to by the
                                counterparties to constitute delivery
                                into the Cinergy balancing authority.
Cinergy Hub (MISO)...........  The aggregated Elemental Pricing nodes
                                (``Epnodes'') defined by the Midwest
                                Independent Transmission System
                                Operator, Inc., as Cinergy Hub (MISO).
Entergy (into)...............  The set of delivery points commonly
                                identified as and agreed to by the
                                counterparties to constitute delivery
                                into the Entergy balancing authority.

[[Page 71311]]

 
FE Hub.......................  The aggregated Elemental Pricing nodes
                                (``Epnodes'') defined by the Midwest
                                Independent Transmission System
                                Operator, Inc., as FE Hub (MISO).
Four Corners.................  The set of delivery points at the Four
                                Corners power plant commonly identified
                                as and agreed to by the counterparties
                                to constitute the Four Corners Hub.
Illinois Hub (MISO)..........  The aggregated Elemental Pricing nodes
                                (``Epnodes'') defined by the Midwest
                                Independent Transmission System
                                Operator, Inc., as Illinois Hub (MISO).
Mead.........................  The set of delivery points at or near
                                Hoover Dam commonly identified as and
                                agreed to by the counterparties to
                                constitute the Mead Hub.
Michigan Hub (MISO)..........  The aggregated Elemental Pricing nodes
                                (``Epnodes'') defined by the Midwest
                                Independent Transmission System
                                Operator, Inc., as Michigan Hub (MISO).
Mid-Columbia (Mid-C).........  The set of delivery points along the
                                Columbia River commonly identified as
                                and agreed to by the counterparties to
                                constitute the Mid-Columbia Hub.
Minnesota Hub (MISO).........  The aggregated Elemental Pricing nodes
                                (``Epnodes'') defined by the Midwest
                                Independent Transmission System
                                Operator, Inc., as Minnesota Hub (MISO).
NEPOOL (Mass Hub)............  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by ISO New
                                England Inc., as Mass Hub.
NIHUB........................  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by PJM
                                Interconnection, LLC as the Northern
                                Illinois Hub.
NOB..........................  The set of delivery points along the
                                Nevada-Oregon border commonly identified
                                as and agreed to by the counterparties
                                to constitute the NOB Hub.
NP15.........................  The set of delivery points north of Path
                                15 on the California transmission grid
                                commonly identified as and agreed to by
                                the counterparties to constitute the
                                NP15 Hub.
NWMT.........................  The set of delivery points commonly
                                identified as and agreed to by the
                                counterparties to constitute delivery
                                into the Northwestern Energy Montana
                                balancing authority.
PJM East Hub.................  The aggregated Locational Marginal Price
                                nodes (``LMP'') defined by PJM
                                Interconnection, LLC as the PJM East
                                Hub.
PJM South Hub................  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by PJM
                                Interconnection, LLC as the PJM South
                                Hub.
PJM West Hub.................  The aggregated Locational Marginal Price
                                (``LMP'') nodes defined by PJM
                                Interconnection, LLC as the PJM Western
                                Hub.
Palo Verde...................  The switch yard at the Palo Verde nuclear
                                power station west of Phoenix in
                                Arizona. Palo Verde Hub includes the
                                Hassayampa switchyard 2 miles south of
                                Palo Verde.
SOCO (into)..................  The set of delivery points commonly
                                identified as and agreed to by the
                                counterparties to constitute delivery
                                into the Southern Company balancing
                                authority.
SP15.........................  The set of delivery points south of Path
                                15 on the California transmission grid
                                commonly identified as and agreed to by
                                the counterparties to constitute the
                                SP15 Hub.
TVA (into)...................  The set of delivery points commonly
                                identified as and agreed to by the
                                counterparties to constitute delivery
                                into the Tennessee Valley Authority
                                balancing authority.
ZP26.........................  The set of delivery points associated
                                with Path 26 on the California
                                transmission grid commonly identified as
                                and agreed to by the counterparties to
                                constitute the ZP26 Hub.
------------------------------------------------------------------------


                           EQR Data Dictionary
                         [Appendix D. Time Zone]
------------------------------------------------------------------------
              Time zone                           Definition
------------------------------------------------------------------------
AD..................................  Atlantic Daylight.
AP..................................  Atlantic Prevailing.
AS..................................  Atlantic Standard.
CD..................................  Central Daylight.
CP..................................  Central Prevailing.
CS..................................  Central Standard.
ED..................................  Eastern Daylight.
EP..................................  Eastern Prevailing.
ES..................................  Eastern Standard.
MD..................................  Mountain Daylight.
MP..................................  Mountain Prevailing.
MS..................................  Mountain Standard.
NA..................................  Not Applicable.
PD..................................  Pacific Daylight.
PP..................................  Pacific Prevailing.
PS..................................  Pacific Standard.
UT..................................  Universal Time.
------------------------------------------------------------------------


                           EQR Data Dictionary
                           [Appendix E. Units]
------------------------------------------------------------------------
                Units                             Definition
------------------------------------------------------------------------
KV..................................  Kilovolt.
KVA.................................  Kilovolt Amperes.
KVR.................................  Kilovar.
KW..................................  Kilowatt.
KWH.................................  Kilowatt Hour.
KW-DAY..............................  Kilowatt Day.
KW-MO...............................  Kilowatt Month.
KW-WK...............................  Kilowatt Week.
KW-YR...............................  Kilowatt Year.
MVAR-YR.............................  Megavar Year.
MW..................................  Megawatt.
MWH.................................  Megawatt Hour.
MW-DAY..............................  Megawatt Day.
MW-MO...............................  Megawatt Month.
MW-WK...............................  Megawatt Week.
MW-YR...............................  Megawatt Year.
RKVA................................  Reactive Kilovolt Amperes.
FLAT RATE...........................   Flat Rate.
------------------------------------------------------------------------


                           EQR Data Dictionary
                        [Appendix F. Rate Units]
------------------------------------------------------------------------
             Rate units                           Definition
------------------------------------------------------------------------
$/KV................................  dollars per kilovolt.
$/KVA...............................  dollars per kilovolt amperes.
$/KVR...............................  dollars per kilovar.
$/KW................................  dollars per kilowatt.
$/KWH...............................  dollars per kilowatt hour.
$/KW-DAY............................  dollars per kilowatt day.
$/KW-MO.............................  dollars per kilowatt month.
$/KW-WK.............................  dollars per kilowatt week.
$/KW-YR.............................  dollars per kilowatt year.
$/MW................................  dollars per megawatt.
$/MWH...............................  dollars per megawatt hour.
$/MW-DAY............................  dollars per megawatt day.
$/MW-MO.............................  dollars per megawatt month.
$/MW-WK.............................  dollars per megawatt week.
$/MW-YR.............................  dollars per megawatt year.
$/MVAR-YR...........................  dollars per megavar year.
$/RKVA..............................  dollars per reactive kilovar
                                       amperes.
CENTS...............................  cents.
CENTS/KVR...........................  cents per kilovolt amperes.
CENTS/KWH...........................  cents per kilowatt hour.
FLAT RATE...........................  rate not specified in any other
                                       units.
------------------------------------------------------------------------


[[Page 71312]]


                           EQR Data Dictionary
                   [Appendix G. Index Price Publisher]
------------------------------------------------------------------------
 Index price publisher abbreviation          Index price publisher
------------------------------------------------------------------------
AM..................................  Argus Media.
EIG.................................  Energy Intelligence Group, Inc.
IP..................................  Intelligence Press.
P...................................  Platts.
B...................................  Bloomberg.
DJ..................................  Dow Jones.
Pdx.................................  Powerdex.
SNL.................................  SNL Energy.
------------------------------------------------------------------------


                           EQR Data Dictionary
                 [Appendix H. Exchange/Broker Services]
------------------------------------------------------------------------
     Exchange/brokerage service                   Definition
------------------------------------------------------------------------
BROKER..............................  A broker was used to consummate or
                                       effectuate the transaction.
ICE.................................  Intercontinental Exchange.
NYMEX...............................  New York Mercantile Exchange.
------------------------------------------------------------------------

[FR Doc. 2012-28230 Filed 11-29-12; 8:45 am]
BILLING CODE 6717-01-P