[Federal Register Volume 67, Number 110 (Friday, June 7, 2002)]
[Rules and Regulations]
[Pages 39272-39286]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-14282]
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DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
18 CFR Part 35
[Docket No. RM01-8-000]
Revised Public Utility Filing Requirements
Issued May 31, 2002.
AGENCY: Federal Energy Regulatory Commission.
ACTION: Order Issuing Interim Instruction Manual for Electronic Filing
of Electric Quarterly Reports.
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SUMMARY: In this order, the Federal Energy Regulatory Commission (the
Commission) issues an instruction manual for public utilities to use to
file their Electric Quarterly Reports on or before July 31, 2002 and
October 31, 2002.
FOR FURTHER INFORMATION CONTACT: H. Keith Pierce (Technical
Information), Office of Markets, Tariffs, and Rates, Federal Energy
Regulatory Commission, 888 First Street, NE, Washington, DC 20426.
(202) 208-0525.
Barbara D. Bourque (Information Technology Information), Office of
Markets, Tariffs, and Rates, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426. (202) 208-2338.
Gary D. Cohen (Legal Information), Office of the General Counsel,
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426. (202) 208-0321.
SUPPLEMENTARY INFORMATION:
Before Commissioners: Pat Wood, III, Chairman; William L.
Massey, Linda Breathitt, And Nora Mead Brownell.
Order Issuing Instruction Manual for Public Utilities To Use To File
Their Electric Quarterly Reports
Issued May 31, 2002.
In Revised Public Utility Filing Requirements, Final Rule, Order
No. 2001, 67 FR 31043, FERC Stats. & Regs. [para] 31,127 (April 25,
2002), the Commission stated that, in the near future, it would issue
an instruction manual to govern the filing of the Electric Quarterly
Reports covering the second and third calendar quarters of 2002. In
this order, the Commission does so.
Order No. 2001 also explained that, for the reports public
utilities file on or before July 31, 2002 and October 31, 2002,
respondents will use the FERC electronic filing system (available on
the FERC Internet site, www.ferc.gov) using the link labeled e-Filing.
``Contract data'' for agreements entered into and under which service
was first rendered between April 1, 2002 and June 30, 2002 will be
reported in the filing due by July 31, 2002, and will be reported
thereafter until the contracts expire.\1\ Contract data for agreements
entered into and under which service was first rendered between July 1,
2002 and September 30, 2002 will be reported in the filing due by
October 31, 2002, and will be reported thereafter until the contracts
expire. Electric Quarterly Reports filed by July 31, 2002 will include
``transaction data'' for all power sales made between April 1, 2002 and
June 30, 2002. Electric Quarterly Reports filed by October 31, 2002
will include transaction data for all power sales made between July 1,
2002 and September 30, 2002.\2\ The public will be able to view and
download filed documents from the FERC Internet site using either the
RIMS or FERRIS document management systems.\3\
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\1\ Order No. 2001, Attachment C, specifies the contract data
elements to be included in Electric Quarterly Reports.
\2\ Order No. 2001, Attachment C, also specifies the Transaction
data elements to be included in Electric Quarterly Reports.
\3\ The RIMS option may be superseded by FERRIS before July 31,
2002.
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When making the first two Electric Quarterly Reports, respondents
must go to the FERC Web site (www.ferc.gov) select ``e-Filing,'' and
log in.\4\ At the ``Filing Type Selection'' page, filers must select
the option for ``Electric Quarterly Report'' from the file types listed
under ``Other.'' Respondents will, at the ``Enter Docket Number'' page,
specify Docket No. ER02-2001-000. Respondents will file a single
document in either Microsoft Excel or ASCII Comma Separated Values
(CSV) format exactly as detailed in the attached ``Instruction Manual
for Electronic Filing of Electric Quarterly Reports for the Reporting
Periods Ending on June 30, 2002 and September 30, 2002.'' Respondents
providing large amounts of data may wish to file separately for each
corporate entity to avoid the 5 megabyte e-filing size constraint.
Concurrent with the issuance of this order, the Commission will post a
sample Microsoft Excel template file on the FERC Internet site that may
be used in preparing the filings due on or before July 31, 2002 and
October 31, 2002. Filed documents must not contain computer formulas or
macros.
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\4\ Filers who have never made an electronic filing with FERC
must register on-line at the e-filing page.
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For reports filed after October 31, 2002, this interim filing
format will be replaced by an automated Electric Quarterly Report
filing system now under development. Utilities wishing to
[[Page 39273]]
participate in beta testing should e-mail Barbara Bourque at
[email protected]. The final format will be implemented in a
subsequent order. The final format will incorporate the same data sets
adopted in Order No. 2001.
The Commission orders:
The attached ``Instruction Manual for Electronic Filing of Electric
Quarterly Reports for the Reporting Periods Ending on June 30, 2002 and
September 30, 2002'' is hereby adopted for use by public utilities in
preparing their Electric Quarterly Reports to be filed on or before
July 31, 2002 and October 31, 2002, as discussed in the body of this
order.
By the Commission.
Magalie R. Salas,
Secretary.
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I. Purpose
In Order No. 2001,\1\ the Commission revised its regulations to add
18 CFR 35.10b,\2\ which requires each public utility to file
electronically with the Commission an Electric Quarterly Report each
calendar quarter, in accordance with the schedule prescribed in the
regulation.\3\ As provided in Order No. 2001, all of a public utility's
transmission services, cost-based power sales, market-based power sales
and other services will be covered in its Electric Quarterly Reports.
Electric Quarterly Reports will summarize the pertinent terms and
conditions of a public utility's current contractual agreements and
provide specified data (e.g., price, quantity, parties, etc.) about the
power sale transactions the public utility made during the reporting
period.
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\1\ Revised Public Utility Filing Requirements, Final Rule,
Order No. 2001, 67 FR 31043, FERC Stats. & Regs. [para] 31,127
(2002).
\2\ Under the authority of the Federal Power Act, 16 U.S.C.
791a, et seq.
\3\ 18 CFR 35.10b prescribes the following schedule for the
filing of Electric Quarterly Reports: for the period from January
1st through March 31st of each year, each public utility must file
its Electric Quarterly Report by the following April 30th; for the
period from April 1st through June 30th of each yer, each public
utility must file its Electric Quarterly Report by the following
July 31st; for the period July 1st through September 30th of each
year, each public utility must file its Electric Quarterly Report by
the following October 31st; and, for the period October 1st through
December 31st of each year, each public utility must file its
Electric Quarterly Report by the following January 31st.
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Order No. 2001 provides that the first two Electric Quarterly
Reports (i.e., those to be filed by July 31, 2002 and October 31, 2002)
will be governed by interim reporting requirements. Thus, these
instructions apply to these first two reporting periods only. The
Commission expects to complete its development of an automated Electric
Quarterly Report filing system in time for use in Electric Quarterly
Reports filed after October 31, 2002.
The Electric Quarterly Report will include two groups of data,
contracts and power sale transactions:
Contract data about each agreement (including, but not
limited to, electric power sales agreements and other services under 18
CFR part 35, such as transmission agreements and interconnection
agreements) not previously filed with the Commission under which
service was first rendered between April 1, 2002 and June 30, 2002 will
be reported in the filing due by July 31, 2002, and thereafter until
the contracts expire. Contract data about
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each agreement not previously filed with the Commission under which
service was first rendered between July 1, 2002 and September 30, 2002
will be reported in the filing due by October 31, 2002, and thereafter
until the contracts expire.\4\
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\4\ The final system will include all contracts under Part 35
purusant to electric service.
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Pertinent data about each wholesale power sale transaction
made by the public utility during the respective reporting periods will
be included in the filings.
A public utility may also report contract data for its other
effective contracts.
II. Who Must Submit
Each public utility as defined in section 201(e) of the Federal
Power Act, 16 U.S.C. 824 (e) and subject to Part 35 of the Commission's
regulations must comply with the requirement to file Electric Quarterly
Reports.
III. What To Submit
The Electric Quarterly Report is an electronic file that is
classified as a ``qualified document.'' As a qualified document, no
paper copy version of the filing is required. The internal structure of
the file is described below for files submitted in an ASCII Comma
Separated Values (CSV) format. Additionally, a template is provided at
www.ferc.gov for files submitted using Microsoft Excel.
As explained in Order No. 2001,\5\ the information required to be
reported in Electric Quarterly Reports must be made public to achieve
the purposes for which it is collected.
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\5\ Order No. 2001 at n.81.
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There is no paper format required for data reported in Electric
Quarterly Reports. If a respondent submits a revised filing, the
respondent must restate the original file with all additions,
deletions, revisions, and corrections incorporated.
IV. When To Submit
As explained in Order No. 2001, a public utility must submit its
Electric Quarterly Report for the period April 1, 2002 through June 30,
2002 by July 31, 2002. In addition, a public utility must submit its
Electric Quarterly Report for the period July 1, 2002 through September
30, 2002 by October 31, 2002. The filing dates for subsequent filings
will be governed by 18 CFR 35.10b.
V. Where To Submit Electric Quarterly Report Filings
Submit the electronic filing to www.ferc.gov using the e-filing
link.
VI. General Instructions
The Commission defined the data elements to be used in Electric
Quarterly Reports in Order No. 2001, Attachment C. These data elements
are applicable to the Electric Quarterly Reports to be filed by July
31, 2002 and October 31, 2002.
The information required for Electric Quarterly Reports to be filed
by July 31, 2002 and October 31, 2002 must be recorded in either ASCII
Comma Separated Values (CSV) or Microsoft Excel format. CSV formatted
data consists of ASCII text separated by commas. Text containing commas
must be enclosed within quotes. Numeric values shall not contain any
commas and do not require leading zeroes. Records are separated by a
carriage return plus line feed. If a data item is not applicable, the
data item must be omitted, but the associated comma character for that
item must be recorded. An example CSV file that adheres to the
prescribed electronic filing formats is provided as the Appendix to
this manual.
All information required to be filed should be recorded in one
file. The file name must not be longer than 25 characters, must not
contain spaces or ampersands, and must be appended with ``.csv'' (for
CSV format files) or ``.xls'' or ``.xlb'' (for Microsoft Excel files).
Instructions for filing using the FERC e-Filing system are publicly
posted at www.ferc.gov at the e-Filing link and are titled ``User
Guide.'' At the FERC e-Filing ``Enter Docket Number'' page, respondents
must enter ER02-2001-000 and click the ``Add Docket to List'' link.
Comments may be filed via the internet in WordPerfect, MS Word,
Portable Document Format, or ASCII format. To file the document, access
the Commission's Web site at www.ferc.gov and click on ``e-Filing,''
and then follow the instructions for each screen. First time users will
have to establish a user name and password. The Commission will send an
automatic acknowledgment to the sender's e-mail address upon receipt of
comments.
Electric Quarterly Reports documents filed with the FERC e-Filing
system will be indexed in the FERC RIMS or FERRIS system with the title
``Electric Quarterly Report of
under ER02-2001-000.'' If it is necessary to file a revised report,
respondents shall file the revised document using the FERC e-Filing
system, changing the filing title at the ``Electric Quarterly Report''
page from ``Electric Quarterly Report of under ER02-2001-000'' to ``Electric Quarterly Report of
under ER02-2001-000 Revision
' where is a sequential numeric or character
identifier such as 1, 2, 3 or A, B, C.
User assistance for electronic filing is available at 202-208-0258
or by e-mail to [email protected]. Comments should not be submitted to
the e-mail address. All comments will be placed in the Commission's
public files and will be available for inspection in the Commission's
Public Reference Room at 888 First Street, NE., Washington DC 20426,
during regular business hours. Additionally, all comments may be
viewed, printed, or downloaded remotely via the Internet through FERC's
home page using the RIMS link. User assistance for RIMS is available at
202-208-2222, or by e-mail to [email protected].
VII. Data Specifications
The information below is intended to clarify the data elements
listed in the sample CSV format attached and the sample Excel
spreadsheet template posted on the FERC Web site, www.ferc.gov.
The first field listed in the Header Information is ``FA'' on the
first line, ``FR'' on the second line, and ``FS1'' on the third line.
FA denotes Filing Agent, and the data entered on that line
should be applicable to the filing agent;
FR denotes Filing Respondent, and the data entered on that
line should be applicable to the respondent; and
FS denotes Filing Seller and the number immediately
following the ``FS'' will differentiate multiple sellers. Filers should
begin at FS1 and increment the numbers (i.e., FS2, FS3, etc.) for each
additional seller they are listing.
Filing agent, respondent, and seller may be identical. Contact name and
address information is mandatory for the respondent, but may also be
entered for the agent and/or seller.
Similarly, the first field listed in the Contract Information is
the Contract Identifier (``C1'' on the first line, and incremented for
other contracts listed). Each contract product must be listed
separately on its own line with the unique product specifications
detailed. All products sold under a contract must have the same
Contract Identifier as the rest of the products sold under that
contract.
The same format is used to distinguish unique transactions. Since a
transaction can be composed of numerous transaction products (power,
ancillary services, etc.), each transaction is given a unique
Transaction Identifier (TR1, TR2, TR3, etc.). Each transaction
[[Page 39276]]
product should be listed separately on its own line with the unique
specifications detailed. All transaction products sold under a single
transaction should have the same Transaction Identifier as the rest of
the transaction components.
To identify the respondent, seller and customer, use of the unique
Data Universal Numbering System (D-U-N-S[reg]) Number assigned by the
Dunn & Bradstreet Corporation is a mandatory field. The DUNS number is
optional for identifying the filing agent.
Numerous fields are identified as mandatory fields in the attached
format. If a data element is not pertinent to a contract or
transaction, filers should enter N/A in the field. Additionally, if
there is a list of restricted values, to the greatest extent possible,
filers should enter one of the values listed. Restricted values are
listed on the attached CSV format template in the Appendix. In the
restricted values lists, the term {registered{time} is used. This term
indicates that the Commission expects additional values to be entered
into this category. When the full system becomes available, entries
will be limited to those values that are listed as being available for
that field. If filers wish to include other values, they will need to
register them as provided for in Order No. 2001. In the interim filers
are requested to list the suggested values in a document and file the
document as a Comment in Docket ER02-2001-000 via the Internet; this
will help staff develop a comprehensive list for the ultimate system.
Comments may be filed via the internet in WordPerfect, MS Word,
Portable Document Format, or ASCII format.
All rate fields (rate, rate minimum, and rate maximum) must be
reported to a minimum of two decimal places, and a maximum of four
decimal places. Total transmission charge and total transaction charge
must be reported to two decimal places. The units field on the
transaction report must define the pricing quantity units for the
transaction.
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Legend
*--in the Data Type column indicates a value must be supplied;
*D--in the Data Type column indicates a value must be supplied for
all records (rows) reported except records (rows) reporting the agent
submitting the filing (FA);
*C--in the Data Type column indicates a value must be supplied for
the first Contract record for a given contract;
*T--in the Data Type column indicates a value must be supplied for
the first Transaction record for a given transaction;
{registered{time} in ``Format or Acceptable Values'' in a list of
valid values means a filer may supply a value not included in the field
description (FERC will subsequently consider including the value in the
list ). The following is the current list for the product name field:
Cost-Based Power Sales:
Cost-Based Power/Capacity
Economy Power/Capacity
Emergency Energy/Capacity
General Purpose Energy
Unit Power Sale
Exchange
Non-Displacement
Displacement
Peaking
Sale with exchange
Supplemental
Capacity
Energy
Back-up Power
System Black Start Capability
Energy furnished without charge
Fuel Replacement Energy
Interchange Power
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer
Market-Based Power Sales:
Load Following
Marginal Peaking
Indexed Peaking
Capacity
Energy
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer
Transmission:
Point-to-Point
Network
Capacity
Installed Capacity
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer
Real Power Transmission Tx Loss
System Black Start Capability
Must Run
Specialized affiliate transactions
System Impact and/or Facilities Study Charge(s)
Direct Assignment Facilities Charge
Interconnection Agreement
Standards of Conduct
Network Operating Agreement
Services--Other:
Return in Kind Transactions Between Control Areas
System Operating Agreements
Reliability Agreement
Transmission Owners Agreement.
[FR Doc. 02-14282 Filed 6-6-02; 8:45 am]
BILLING CODE 6717-01-P