129 FERC ¶ 61,223 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

18 CFR Part 40 

(Docket No. RM09-8-000; Order No. 730) 

Revised Mandatory Reliability Standards for Interchange Scheduling and Coordination 

(Issued December 17, 2009) 

AGENCY: Federal Energy Regulatory Commission. 

ACTION: Final Rule. 

SUMMARY: Pursuant to section 215 of the Federal Power Act, the Federal Energy 

Regulatory Commission hereby approves the North American Electric Reliability 

Corporation’s revision of three Commission-approved Reliability Standards, designated 

INT-005-3, Interchange Authority Distributes Arranged Interchange; INT-006-3, 

Response to Interchange Authority; and INT-008-3, Interchange Authority Distributes 

Status. 

EFFECTIVE DATE: The Final Rule will become effective [insert date that is 30 days 

from the date that the Final Rule is published in the FEDERAL REGISTER]. 
Docket No. RM09-8-000 ii 

FOR FURTHER INFORMATION CONTACT: 

Danny Johnson (Technical Information) 

Office of Electric Reliability, Division of Reliability Standards 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

Telephone: (202) 502-8892 

Rheta Johnson (Technical Information) 

Office of Electric Reliability, Division of Reliability Standards 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

Telephone: (202) 502-6503 

Richard M. Wartchow (Legal Information) 

Office of the General Counsel 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

Telephone: (202) 502-8744 

SUPPLEMENTARY INFORMATION:
129 FERC ¶ 61,223 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Before Commissioners: Jon Wellinghoff, Chairman; 

 Suedeen G. Kelly, Marc Spitzer, 

 and Philip D. Moeller. 

Revised Mandatory Reliability Standards for 

Interchange Scheduling and Coordination 

Docket No. RM09-8-000 

ORDER NO. 730 

FINAL RULE 

(Issued December 17, 2009) 

1. Pursuant to section 215 of the Federal Power Act (FPA), the Commission hereby 

approves three revised Interchange Scheduling and Coordination (INT) Reliability 

Standards developed by the North American Electric Reliability Corporation (NERC): 

INT-005-3, Interchange Authority Distributes Arranged Interchange; INT-006-3, 

Response to Interchange Authority; and INT-008-3, Interchange Authority Distribution 

of Information.1

 The approved changes provide consistency in responding to interchange 

requests by clarifying timing requirements for all affected entities, and facilitate the 

reliable operation of the Bulk-Power System by providing Western Electricity 

Coordinating Council (WECC) entities sufficient time to assess and respond to requests 

for interchange service. 

 1

 16 U.S.C. 824o. The Commission is not adding any new or modified text to its 

regulations. 
Docket No. RM09-8-000 - 2 - 

I. Background

A. EPAct 2005 and Mandatory Reliability Standards

2. Section 215 of the FPA requires a Commission-certified Electric Reliability 

Organization (ERO) to develop mandatory and enforceable Reliability Standards, which 

are subject to Commission review and approval. Section 215(d)(2) of the FPA states that 

the Commission may approve, by rule or order, a proposed Reliability Standard or 

modification to a Reliability Standard if it determines that the Standard is just, 

reasonable, not unduly discriminatory or preferential, and in the public interest.2

 If the 

Commission disapproves of the proposed Standard in whole or in part, it must remand the 

proposed Standard to the ERO for further consideration.3

 Section 215(d)(5) grants the 

Commission authority, upon its own motion or upon complaint, to order the ERO to 

submit to the Commission a proposed Reliability Standard or a modification to a 

Reliability Standard that addresses a specific matter if the Commission considers such a 

modified Reliability Standard appropriate to carry out section 215. Once approved, the 

Reliability Standards may be enforced by the ERO, subject to Commission oversight, or 

by the Commission independently.4

 2

 16 U.S.C. 824o(d)(2). 

3

 16 U.S.C. 824o(d)(4). 

4

 See 16 U.S.C. 824o(e)(3). 
Docket No. RM09-8-000 - 3 - 

3. Pursuant to section 215 of the FPA, the Commission established a process to select 

and certify an ERO5

 and, subsequently, certified NERC as the ERO.6 On April 4, 2006, 

as modified on August 28, 2006, NERC submitted to the Commission a petition seeking 

approval of 107 proposed Reliability Standards. On March 16, 2007, the Commission 

issued a Final Rule, Order No. 693, approving 83 of these 107 Reliability Standards and 

directing other action related to these Reliability Standards.7

 In addition, pursuant to 

section 215(d)(5) of the FPA, the Commission directed NERC to develop modifications 

to 56 of the 83 approved Reliability Standards.8

B. Order No. 713

4. In response to a February 7, 2007 urgent action request from WECC, NERC 

developed the version 2 INT Reliability Standards, which were approved by the 

 5

 Rules Concerning Certification of the Electric Reliability Organization; and 

Procedures for the Establishment, Approval and Enforcement of Electric Reliability 

Standards, Order No. 672, FERC Stats. & Regs. ¶ 31,204, order on reh’g, Order 

No. 672-A, FERC Stats. & Regs. ¶ 31,212 (2006). 

6

 North American Electric Reliability Corp., 116 FERC ¶ 61,062, order on reh’g 

& compliance, 117 FERC ¶ 61,126 (2006), aff’d Alcoa, Inc. v. FERC, 564 F.3d 1342 

(D.C. Cir. 2009). 

7

 Mandatory Reliability Standards for the Bulk-Power System, Order No. 693, 

FERC Stats. & Regs. ¶ 31,242, order on reh’g, Order No. 693-A, 120 FERC ¶ 61,053 

(2007). 

8

 16 U.S.C. 824o(d)(5). 
Docket No. RM09-8-000 - 4 - 

Commission in Order No. 713.9

 The version 2 changes increased from five to ten 

minutes the time for entities in the Western Interconnection to assess interchange requests 

submitted from 30 to 60 minutes before the requested start time.10 The approved version 

2 Reliability Standards responded to a problem that balancing authorities and 

transmission service providers in WECC were unable to review certain interchange 

service requests during the then universal five minute assessment time.11 This inability 

caused the e-Tag requests to be denied, requiring resubmission and creating both 

frustration and inefficiencies.12 

5. NERC’s action in response to an urgent action request must be made permanent, 

through a full vetting in the regular standards-development process. Shortly after 

 9

 Modification of Interchange and Transmission Loading Relief Reliability 

Standards; and Electric Reliability Organization Interpretation of Specific Requirements 

of Four Reliability Standards, Order No. 713, 124 FERC ¶ 61,071, at P 58-67 (2008). 

10 Interchange service refers to requests for energy transfers that cross balancing 

authority boundaries. See NERC Glossary of Terms Used in Reliability Standards (as 

revised) (glossary), Interchange (2009). The glossary was originally filed with NERC’s 

April 4, 2006 Request for Approval of Reliability Standards in Docket No. RM06-16-000 

and was affirmed in Order No. 693, FERC Stats. and Regs. ¶ 31,242. The glossary is 

appended to the Reliability Standards and is available on the NERC website, 

www.nerc.com . 

11 It was originally anticipated that different practices in the Western 

Interconnection would be reflected in a regional difference. However the regional 

difference was withdrawn, making WECC entities subject to the same practices in effect 

for the Eastern Interconnection. See NERC, Compliance Filing, RM08-16-000 

(Jun. 14, 2007) (responding to Commission directive in Order No. 693, FERC Stats. and 

Regs. ¶ 31,242 at P 825, and withdrawing request for approval of regional difference for 

the Western Interconnection). 

12 Order No. 713, 124 FERC ¶ 61,071 at P 63. 
Docket No. RM09-8-000 - 5 - 

receiving the urgent action request, WECC and a joint NERC/NAESB13 work group 

submitted a Standards Authorization Request to NERC seeking permanent revisions to 

the INT Reliability Standards to accommodate the expanded WECC timing requirements. 

In response, NERC developed the permanent revisions embodied in the version 2 INT 

Reliability Standards, along with new glossary terms, discussed more fully below.14 

C. NERC Filing

6. On February 5, 2009, NERC filed a petition for Commission approval of the 

version 3 INT Reliability Standards, INT-005-3; INT-006-3 and INT-008-3.15 Reliability 

Standard INT-005-3 applies to interchange authorities and is intended to “ensure that the 

implementation of Interchange between Source and Sink Balancing Authorities is 

distributed by an Interchange Authority such that Interchange information is available for 

reliability assessments.”16 Reliability Standard INT-006-3 applies to balancing 

authorities and transmission service providers and is intended to “ensure that each 

 13 North American Energy Standards Board. 

14 As with Reliability Standards, the Commission also reviews and approves 

revisions to the NERC glossary pursuant to FPA section 215(d)(2). Further, the 

Commission may direct a modification to address a specific matter identified by the 

Commission pursuant to section 215(d)(5). See, e.g., Order No. 693, FERC Stats. and 

Regs. ¶ 31,242 at P 1893-98. 

15 The revised INT Reliability Standards are provided in the petition and are 

available on the Commission’s eLibrary document retrieval system in Docket No. RM09-

8-000 and also on NERC’s website, http://www.nerc.com. 

16 INT-005-3, Purpose Statement. 
Docket No. RM09-8-000 - 6 - 

Arranged Interchange is checked for reliability before it is implemented.”17 Reliability 

Standard INT-008-3 applies to interchange authorities and is intended to “ensure that the 

implementation of Interchange between Source and Sink Balancing Authorities is 

coordinated by an Interchange Authority.”18 Thus, INT-008-3 contains requirements 

establishing an interchange authority’s responsibilities to oversee and coordinate the 

interchange of electricity from one balancing authority to another. 

7. The revised INT Reliability Standards incorporate separate timing tables for the 

Western Interconnection and the Eastern Interconnection, which includes Electric 

Reliability Council of Texas (ERCOT) and Hydro-Quebec. Consistent with Order 

No. 713, these tables affirm and clarify the increase in the reliability assessment times for 

WECC from five minutes to ten minutes for requests submitted less than 60 minutes and 

no less than 15 minutes prior to ramp start time. The tables specify Western 

Interconnection response times and clarify that balancing authorities and transmission 

service providers may submit on-time e-Tags19 up to 20 minutes prior to the operating 

hour. NERC also makes minor textual modifications to clarify that all entities subject to 

 17 INT-006-3, Purpose Statement. 

18 INT-008-3, Purpose Statement. 

19 Electronic Tagging, or e-Tag, is a request to implement a new interchange 

transaction as a physical energy flow, i.e., an RFI. The e-Tag documents the requested 

physical interchange transaction and identifies participants. E-Tags include expected 

flows, and the information provided may be used in mitigating constraints, when needed. 

See NERC’s Joint Interchange Scheduling Work Group, Electronic Tagging Functional 

Specification Version 1.8.0 (Nov. 7, 2007); see also Order No. 693, FERC Stats. & Regs. 

¶ 31,242 at P 795. 
Docket No. RM09-8-000 - 7 - 

the INT Reliability Standards must respond to “on-time” requests, as well as to all 

requests for emergency and reliability adjustment interchange service.20 NERC revises 

the version 3 tables to accommodate regions in which a response to arranged interchange 

is required, and clarifies INT-006-3, Measure M1 to correspond more closely to 

Requirement R1. 

8. Revised Requirement R1 of INT-006-003 clarifies that balancing authorities and 

transmission service providers in all interconnections must respond to “on-time” requests 

for interchange service, as well as to each request for Emergency and Reliability 

Adjustment interchange services. To implement these requirements, NERC proposes 

three related definitions for its glossary: “After the Fact,” “Emergency Request for 

Interchange (RFI),” and “Reliability Adjustment RFI,” and specifies appropriate 

responses for “Late,” “On-time” and “After the Fact” requests for service referenced in 

the timing tables:

After the Fact: A time classification assigned to a Request for 

Interchange (RFI) when the submittal time is greater than one 

hour after the start time of the RFI. 

Emergency Request for Interchange: RFI to be initiated [for] 

Emergency or Energy Emergency conditions. 

Reliability Adjustment RFI: Request to modify an 

Implemented Interchange Schedule for reliability purposes. 

9. NERC states that the version 3 INT Reliability Standards (INT-005-3, INT-006-3, 

and INT-008-3) ensure the safe and reliable operation of the Bulk-Power System. 

 20 INT-006-003, Requirement R1. 
Docket No. RM09-8-000 - 8 - 

According to NERC, the Reliability Standards improve Bulk-Power System reliability by 

providing WECC entities sufficient time to assess and respond to requests for interchange 

service. In addition, establishing a separate timing table for WECC clarifies the timing 

requirements for the Western Interconnection. The timing requirements for the Eastern 

Interconnections (including ERCOT and Hydro-Quebec) are also modified by adopting 

the on-time, late, and after-the-fact classifications and proposing appropriate responses 

under the Reliability Standards. NERC reports that the new terms incorporated in the 

timing tables are consistent with existing industry e-Tag specifications, which are used to 

request and arrange interchange service, and use of these terms will ensure uniform 

treatment for all entities subject to the INT Reliability Standards. 

10. Consistent with the NERC Rules, a NERC-assembled ballot body, consisting of 

industry stakeholders, developed the revisions using the NERC Reliability Standards 

Development Procedure.21 The NERC Board of Trustees (Board) approved the 

revisions.22 NERC requests that the revised INT Reliability Standards be effective on the 

first day of the quarter, three months after regulatory approval is granted.23 

 21 See NERC’s Rules of Procedures, Appendix 3A. 

22 NERC petition at 3. 

23 The petition makes no modification to the violation risk factors or violation 

severity levels for the revised INT Reliability Standards. Therefore, the currently 

effective violation risk factors and violation severity levels will continue to apply. 
Docket No. RM09-8-000 - 9 - 

D. Notice of Proposed Rulemaking (NOPR) and Comment

11. On June 18, 2009, the Commission issued a NOPR seeking comment on its 

proposal to approve NERC’s revisions to Reliability Standards INT-005-3, INT-006-3 

and INT-008-3.24 

12. No participant filed comments opposing the Commission’s proposal to approve 

NERC’s revised INT Reliability Standards. In fact, Ameren Services Co. filed the sole 

comment, requesting clarification that a NOPR reference to “transmission operators” was 

not intended to modify the Reliability Standard requirements, which apply to 

transmission service providers. The reference is corrected to refer to “transmission 

service providers” in the discussion in this order. 

II. Discussion

13. Pursuant to section 215(d) of the FPA, the Commission approves Reliability 

Standards INT-005-3, INT-006-3 and INT-008-3 and the related glossary terms as 

mandatory and enforceable. The revised INT Reliability Standards facilitate the reliable 

operation of the Bulk-Power System by providing WECC entities sufficient time to 

assess and respond to requests for interchange service before the underlying e-Tags for 

these requests expire, and by clarifying timing requirements for all affected entities. 

14. These version 3 INT Reliability Standards finalize and improve upon the version 2 

changes approved in Order No. 713. The Commission agrees that separating the WECC- 

 24 Electric Reliability Organization Revised Mandatory Reliability Standards for 

Interchange Scheduling and Coordination, Notice of Proposed Rulemaking, 74 FR 30027 

(Jun. 24, 2009), FERC Stats. & Regs. ¶ 32,643 (2009) (NOPR). 
Docket No. RM09-8-000 - 10 - 

and Eastern-Interconnection/ERCOT requirements in the timing tables adds clarity for 

entities operating in the WECC system. In addition, retaining the slightly modified 

versions of the prior timing tables for the Eastern Interconnection and ERCOT helps to 

ensure consistency in responding to interchange requests in those areas. 

15. Accordingly, the Commission finds that the ERO’s revisions are just, reasonable, 

not unduly discriminatory or preferential, and in the public interest. Therefore, the 

Commission approves the revised INT Reliability Standards as mandatory and 

enforceable, effective as requested.25 While we are accepting the revised INT Reliability 

Standards, the Commission will discuss below specific issues, in particular the changes to 

Reliability Standard INT-006-3 to highlight the effect on reliability. 

Specific Issues

16. INT-006-3, Requirement R1 requires communication between balancing 

authorities, transmission service providers, and an interchange authority regarding when 

to respond to a request for interchange service: 

Requirement R1: Prior to the expiration of the reliability 

assessment period defined in the timing requirements tables 

in this standard, Column B, the Balancing Authority and the 

Transmission Service Provider shall respond to each On-time 

Request for Interchange (RFI), and to each Emergency RFI 

and Reliability Adjustment RFI from an Interchange 

Authority to transition an Arranged Interchange to a 

Confirmed Interchange. 

 25 The petition makes no modification to the violation risk factors or violation 

severity levels for the revised INT Reliability Standards. Therefore, the currently 

effective violation risk factors and violation severity levels will continue to apply. 
Docket No. RM09-8-000 - 11 - 

17. Balancing authorities and transmission service providers must review proposed 

interchange transactions to ensure that transmission service is available and system limits 

are not violated and must inform the interchange authority whether a request may be 

confirmed.26 Reliability coordinators and transmission service providers must review 

composite energy interchange transaction information to ensure that their systems can 

accommodate the energy, generation is available based on start-up characteristics, and the 

scheduling path is available on both local and adjacent systems. 

18. NERC’s proposal incorporates one important change from the version 2 

requirements. The prior revision, reflected in version 2, requires responsible entities to 

“respond to a request from an Interchange Authority to transition an Arranged 

Interchange to a Confirmed Interchange.” This language suggests that a response is 

required for requests within the designated time periods. In version 3, Requirement R1 is 

clarified, directing the applicable entity to respond to “on-time” requests for interchange 

service within a given time period, and also to all Emergency and Reliability Adjustment 

requests for interchange service.27 Entities are required to respond to each of these latter 

two requests regardless of the timelines identified in the timing tables, with paperwork to 

follow later. Time classifications and deadlines apply to both initial arranged interchange 

submittals and any subsequent modifications to the arranged interchange. 

 26 See INT-005-3, Requirement R1; INT-006-3, Requirement R1 (Response to 

Interchange Authority). 

27 See INT-006-3, Measure M1. 
Docket No. RM09-8-000 - 12 - 

19. The Commission finds the clarification to INT-006-3, Requirement R1 acceptable. 

Responsible entities are still required to respond to all on-time requests for interchange 

service, as well as all requests for Emergency interchange service and Reliability 

Adjustment interchange service. 

20. In Order No. 713, the Commission approved version 2 of the INT Reliability 

Standards, noting that NERC’s compliance with the Order No. 693 directive to modify 

Reliability Standard INT-006-1 is ongoing.28 While we accept the current changes, in 

light of NERC’s efforts to modify the Reliability Standards, we remind NERC to ensure 

the Commission’s outstanding directives are addressed in future changes to the INT 

Reliability Standards. 

21. Consistent with the NOPR, the Commission finds the revisions to the three revised 

INT Reliability Standards, INT-005-3, INT-006-3 and INT-008-3, and the associated 

glossary terms reasonable in providing consistent and clear rules for responding to 

interchange service requests. The Commission accepts the revised INT Reliability 

Standards as mandatory and enforceable and the related glossary terms, as discussed. 

III. Information Collection Statement

22. The Office of Management and Budget (OMB) regulations require that OMB 

approve certain reporting and recordkeeping (collections of information) imposed by an 

 28 Order No. 713, 124 FERC ¶ 61,071 at P 67 (citing Order No. 693, FERC Stats. 

& Regs. ¶ 31,242 at P 866). 
Docket No. RM09-8-000 - 13 - 

agency.29 The information contained here is also subject to review under section 3507(d) 

of the Paperwork Reduction Act of 1995.30 

23. As stated above, the Commission previously approved, in Order No. 693, each of 

the Reliability Standards that are the subject of the current rulemaking. This Final Rule 

approves revisions to three previously approved Reliability Standards (as revised) 

developed by NERC as the ERO. The approved revisions relate to existing Reliability 

Standards and do not substantially change the requirements or reporting obligations 

established by these standards; therefore, they do not add to or otherwise increase 

entities’ current reporting burden. Thus, the Final Rule does not materially and adversely 

affect the burden estimates relating to the currently effective version of the Reliability 

Standards presented in Order No. 693. 

24. Reliability Standards INT-005-3, INT-006-3, and INT-008-3 that are the subject of 

the approved revisions were approved in Order No. 693, and the related information 

collection requirements were reviewed and approved, accordingly.31 The approved 

revisions do not modify or otherwise affect the collection of information already in place. 

With respect to the INT Reliability Standards, the revisions are mainly concerned with 

 29 5 CFR 1320.11. 

30 44 U.S.C. 3507(d). 

31 See Order No. 693, FERC Stats. & Regs. ¶ 31,242 at P 1901-07. 
Docket No. RM09-8-000 - 14 - 

the timing of responses to requests for service rather than the required documentation.32 

Under the existing requirements, affected entities were required to respond to all requests 

for service covered by the INT Reliability Standards, while the approved revisions clarify 

that entities need not respond to late requests for service (with exceptions for services 

needed for emergency or reliability purposes). As we noted above, the revisions continue 

to be consistent with existing industry e-Tag specifications used to request and arrange 

interchange service and will ensure uniform treatment for all entities subject to the INT 

Reliability Standards. The revised provisions apply to processing requests for service in 

the next hour, typically for economy energy exchanges, and should not result in a 

noticeable change in the e-Tagging practices for power sales or in the fulfillment of 

exchanges or ability to attain cost savings. In fact, the revisions should facilitate cost 

saving by affirming that utilities must respond to all emergency or reliability exchange 

services requests, providing parties submitting late requests with an opportunity to correct 

their error. 

25. Finally, the revisions do not establish any significant reporting obligations. The 

Commission does not consider this a significant burden. We did not receive any 

comments on our determination in the NOPR with respect to the reporting burden. We 

will submit this Final Rule to OMB for informational purposes. 

 32 The OMB control number used in this analysis was issued in Docket 

No. RM06-16-000, Order No. 693, FERC Stats. and Regs. ¶ 31,242 at P 1907 and 

incorporated to support the information collection statement in Order No. 713, 124 FERC 

¶ 61,071 at P 69. 
Docket No. RM09-8-000 - 15 - 

Title: FERC-725A, Electric Reliability Organization Revised Mandatory Reliability 

Standards for Interchange Scheduling and Coordination 

Action: Final Rule 

OMB Control No.: 1902-0244 

Respondents: Businesses or other for-profit institutions; not-for-profit institutions 

Frequency of Responses: On Occasion 

Necessity of the Information: This Final Rule approves revisions of three Commissionapproved Reliability Standards. The Final Rule finds that the revisions promote reliable 

operation of the Bulk-Power System; are just, reasonable, not unduly discriminatory or 

preferential; and in the public interest. 

26. Interested persons may obtain information on the reporting requirements by 

contacting the following: Federal Energy Regulatory Commission, 888 First Street, NE 

Washington, DC 20426 [Attention: Michael Miller, Office of the Executive Director, 

Phone: (202) 502-8415, fax: (202) 273-0873, e-mail: michael.miller@ferc.gov]. 

27. For submitting comments concerning the collection(s) of information and the 

associated burden estimate(s), please send your comments to the contact listed above and 

to the Office of Information and Regulatory Affairs, Office of Information and 

Regulatory Affairs, Washington, DC 20503 [Attention: Desk Officer for the Federal 

Energy Regulatory Commission, phone (202) 395-4638, fax: (202) 395-7285, e-mail: 

oira_submission@omb.eop.gov]. 
Docket No. RM09-8-000 - 16 - 

IV. Environmental Analysis

28. 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.33 The Commission has categorically excluded certain 

actions from this requirement as not having a significant effect on the human 

environment. Included in the exclusion are rules that are clarifying, corrective, or 

procedural or that do not substantially change the effect of the regulations being 

amended.34 The actions proposed herein fall within this categorical exclusion in the 

Commission’s regulations.

V. Regulatory Flexibility Act Analysis

29. The Regulatory Flexibility Act of 1980 (RFA)35 generally requires a descriptio

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 

accomplish the stated objectives of a proposed rule and that minimize any signifi

economic impact on a substantial number of small entities. The Small Business 

Administration’s Office of Size Standards develops the numerical definition of a small 

n 

that 

cant 

 33 Regulations Implementing National Environmental Policy Act of 1969, 

Order gs. ¶ 30,783 (1987). 

)(ii). 

No. 486, FERC Stats. & Re

34 18 CFR 380.4(a)(2

35 5 U.S.C. 601-12. 
Docket No. RM09-8-000 - 17 - 

business.36 For electric utilities, a firm is small if, including its affiliates, it is primar

engaged in the transmission, generation and/or distribution of electric energy for sale a

its total electric output for the preceding twelve months did not exceed four million 

megawatt hour

ily 

nd 

s. The RFA is not implicated by this Final Rule because the revisions 

f 

e 

. 

s, 

terial 

tity 

d 

discussed herein will not have a significant economic impact on a substantial number o

small entities. 

30. In Order No. 693, the Commission adopted policies to minimize the burden on 

small entities, including approving the ERO compliance registry process to identify thos

entities responsible for complying with mandatory and enforceable Reliability Standards

The ERO registers only those distribution providers or load serving entities that have a 

peak load of 25 MW or greater and are directly connected to the bulk electric system or 

are designated as a responsible entity as part of a required under-frequency load shedding 

program or a required under-voltage load shedding program. Similarly, for generator

the ERO registers only individual units of 20 MVA or greater that are directly connected 

to the bulk electric system, generating plants with an aggregate rating of 75 MVA or 

greater, any blackstart unit material to a restoration plan, or any generator that is ma

to the reliability of the Bulk-Power System. Further, the ERO will not register an en

that meets the above criteria if it has transferred responsibility for compliance with 

mandatory Reliability Standards to a joint action agency or other organization. The 

Commission estimated that the Reliability Standards approved in Order No. 693 woul

 36 See 13 CFR 121.201. 
Docket No. RM09-8-000 - 18 - 

apply to approximately 682 small entities (excluding entities in Alaska and Hawaii), but

also pointed out that the ERO’s Compliance Registry Criteria allow for a joint action 

red with the ERO will diminish and, 

pact on small entities.37 

ate 

agency, generation and transmission (G&T) cooperative or similar organization to accept

compliance responsibility on behalf of its members. Once these organizations register 

with the ERO, the number of small entities registe

thus, significantly reduce the im

31. Finally, as noted above, this Final Rule addresses revisions of the INT Reliability 

Standards, which were already approved in Order No. 693, and, therefore, do not cre

an additional regulatory impact on small entities. 

VI. Document Availability

32. In addition to publishing the full text of this document in the Federal Register, the

Commission provides all interested persons an opportunity to view and/or print the 

contents of this document via the Internet through the Commission’s Home Page 

(http://www.ferc.gov) and in the Commission’s Public Reference Room during n

business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 888 First Street, NE, Room 

Washington, DC 20426. 

33. From the Commission’s Home P

ormal 

2A, 

age on the Internet, this information is available 

on eLibrary. The full text of this document is available on eLibrary in PDF and 

 37 To be included in the compliance registry, the ERO determines whether a 

specific small entity has a material impact on the Bulk-Power System. If these small 

entities should have such an impact then their compliance is justifiable as necessary for 

Bulk-Power System reliability. 
Docket No. RM09-8-000 - 19 - 

during 

 Online Support at (202) 502-6652 (toll free at 1-866-

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. 

34. User assistance is available for eLibrary and the Commission’s website 

normal business hours from FERC

208-3676) or e-mail at ferconlinesupport@ferc.gov, or the Public Reference Room at 

(202) 502-8371, TTY (202) 502-8659. E-mail the Public Reference Room at 

public.referenceroom@ferc.gov. 

VII. Effective Date and Congressional Notification

35. These regulations are effective [insert date that is 30 days from the date the Final 

Rule is published in the FEDERAL REGISTER]. The Commission has determined, 

strator of the Office of Information and Regulatory 

f the Small 

nforcement Fairness Act of 1996. 

with the concurrence of the Admini

Affairs of OMB, that this rule is not a “major rule” as defined in section 351 o

Business Regulatory E

List of subjects in 18 CFR Part 40 

lectric power, Electric utilities, Reporting and recordkeeping requirements. 

By the Commission. 

( S E A L ) 

Nathaniel J. Davis, Sr., 

Deputy Secretary. 

E