139 FERC ¶ 61,234 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

18 CFR Part 35 

[Docket No. RM12-3-000] 

Revisions to Electric Quarterly Report Filing Process 

(June 21, 2012) 

AGENCY: Federal Energy Regulatory Commission. 

ACTION: Notice of Proposed Rulemaking. 

SUMMARY: The Federal Energy Regulatory Commission (Commission) proposes to 

amend Rule 35.10b of its Regulations, 18 CFR Part 35, which governs the filing of 

Electric Quarterly Reports (EQRs), to change the process for filing EQRs. Currently, 

EQRs are filed by downloading EQR software from the Commission’s website, installing 

it on the filer’s Microsoft Windows-based computer, entering the EQR data into the 

software, and then submitting the EQR data to the Commission. The EQR software is 

designed in Microsoft Visual FoxPro. Technological changes and limitations will render 

the current filing process outmoded, ineffective, and unsustainable. Microsoft has 

discontinued Visual FoxPro and will not support the software after 2015. Visual FoxPro 

also is constrained by data size limitations that will soon restrict the Commission’s ability 

to add data fields in the EQR. Therefore, the Commission proposes a new filing system 

that will provide EQR filers with two new options for filing EQRs. 

 
Docket No. RM12-3-000 - 2 - 

One option would allow an EQR filer to use a web interface on the Commission’s 

website to file its EQR. This web interface would look and operate like the current EQR 

software that uses Visual FoxPro. However, an EQR filer would not need to download 

and install software from the Commission’s website to file because the data would be 

filed directly with the Commission through the web interface. The other option would 

allow an EQR filer to file its EQR in an Extensible Mark-Up Language (XML) format

via the Commission’s website. By proposing a process with two options for filing EQRs, 

the Commission seeks to provide the flexibility needed to accommodate EQR filers’ 

technical preferences. Under both options, the Commission proposes to require EQR 

filers to use the company identification number (Company Identifier) assigned through 

the Commission’s Company Registration System, which was developed for the 

Commission’s eTariff system. The Company Identifier would replace the personal 

identification numbers that are currently used and that are unique to the existing EQR 

filing process. The Commission also proposes that implementation of any changes to the 

process for filing EQRs will apply to EQR filings beginning with the third quarter 2013 

EQR, providing data for July through September 2013. 

 The Commission will convene a staff-led public conference on Wednesday, 

July 11, 2012 to demonstrate the two new options for filing EQRs to industry participants 

and assist participants in preparing their comments to this Notice of Proposed 

Rulemaking. 

DATES: Comments are due [INSERT DATE 60 days after publication in the 

FEDERAL REGISTER] 
Docket No. RM12-3-000 - 3 - 

ADDRESSES: Comments, identified by docket number, may be filed in the following 

ways: 

 Electronic Filing through http://www.ferc.gov. Documents created electronically 

using word processing software should be filed in native applications or print-toPDF format and not in a scanned format. 

 Mail/Hand Delivery: Those unable to file electronically may mail or hand-deliver 

comments to: Federal Energy Regulatory Commission, Secretary of the 

Commission, 888 First Street, NE, Washington, DC 20426. 

Instructions: For detailed instructions on submitting comments and additional 

information on the rulemaking process, see the Comment Procedures Section of this 

document 

FOR FURTHER INFORMATION CONTACT: 

Connie Caldwell 

Office of Enforcement 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

(202) 502-6208 

Connie.Caldwell@ferc.gov

Christina Switzer 

Office of General Counsel 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

(202) 502-6379 

Christina.Switzer@ferc.gov

SUPPLEMENTARY INFORMATION:
139 FERC ¶ 61,234 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Revisions to Electric Quarterly Report Filing Process Docket No. RM12-3-000 

NOTICE OF PROPOSED RULEMAKING 

(June 21, 2012) 

1. The Federal Energy Regulatory Commission (Commission) proposes changes to 

the method for filing Electric Quarterly Reports (EQRs). Due to technological changes 

that will render the current filing process outmoded, ineffective, and unsustainable, the 

Commission proposes to discontinue the use of Commission software to file an EQR. 

Instead, the Commission proposes to allow an EQR filer to file EQR data directly 

through the Commission’s website, either through a web interface or by submitting an 

Extensible Mark-Up Language (XML)-formatted1

 file. The Commission also proposes 

to require the EQR filer to identify itself with a company identification number 

(Company Identifier) rather than the existing software-based EQR identifiers.

 1

 XML is a set of standards for describing and communicating data. 
Docket No. RM12-3-000 - 2 - 

I. Background

2. Prior to the issuance of Order No. 2001,2

 the Commission required public utilities 

to file in paper format all short-term and long-term service agreements for market-based 

sales of electric energy and service agreements for generally applicable services (such 

as point-to-point transmission service), in Quarterly Transaction Reports. In Order 

No. 2001, the Commission replaced the paper filing requirement with an electronic filing 

requirement. The Commission stated that the purpose of the EQR filing requirements is 

to: 

make available for public inspection, in a convenient form and place 

all relevant information relating to public utility rates, terms, and 

conditions of service; ensure that information is available in a 

standardized, user friendly format; and meet the Commission's 

electronic filing option obligation. [Footnote omitted.] These 

actions also will allow the public to better participate in and obtain 

the full benefits of wholesale electric power markets while 

minimizing the reporting burden on public utilities.3

 2

 Revised Public Utility Filing Requirements, Order No. 2001, 67 FR 31043 

(May 8, 2002), FERC Stats. & Regs. ¶ 31,127, reh’g denied, Order No. 2001-A, 

100 FERC ¶ 61,074, reh’g denied, Order No. 2001-B, 100 FERC ¶ 61,342, order 

directing filing, Order No. 2001-C, 101 FERC ¶ 61,314 (2002), order directing filing, 

Order No. 2001-D, 102 FERC ¶ 61,334, order refining filing requirements, Order 

No. 2001-E, 105 FERC ¶ 61,352 (2003), order on clarification, Order No. 2001-F, 

106 FERC ¶ 61,060 (2004), order revising filing requirements, Order No. 2001-G, 

72 FR 56735 (Oct. 4, 2007), 120 FERC ¶ 61,270, order on reh’g and clarification, 

Order No. 2001-H, 73 FR 1876 (Jan. 10, 2008), 121 FERC ¶ 61,289 (2007), order 

revising filing requirements, Order No. 2001-I, 73 FR 65526 (Nov. 4, 2008), FERC Stats. 

& Regs. ¶ 32,282 (2008). 

3

 Order No. 2001, FERC Stats. & Regs. ¶ 31,127 at 30,116. 
Docket No. RM12-3-000 - 3 - 

In addition, the Commission noted that the EQR allows public utilities to better fulfill 

their responsibility under section 205(c) of the Federal Power Act (FPA) to have rates on 

file in a convenient form and place.4

 An EQR file must include, for the most recent 

calendar quarter: (1) a summary of the terms and conditions in all agreements to provide 

jurisdictional services (including market-based and cost-based power sales, as well as 

transmission service); and (2) transaction information for all short-term and long-term 

market-based and cost-based power sales.5

 

3. In Order No. 2001, the Commission promulgated 18 CFR 35.10b (2011), which 

reads, in pertinent part: “... Electric Quarterly Reports must be prepared in conformance 

with the Commission's software and guidance posted and available for downloading from 

 4

 16 U.S.C. 824d(c). 

5

 Since the Commission issued Order No. 2001, it has refined and clarified the 

EQR filing requirements in response to changes in the industry and the Commission’s 

rules and regulations. For example, the Commission has required EQR filers to report all 

transmission capacity reassignments and proposed to revise the EQR Data Dictionary to 

add “Simultaneous Exchange” to the list of available product names. See Preventing 

Undue Discrimination and Preference in Transmission Service, Order No. 890, 

72 FR 12266 (Mar. 15, 2007), FERC Stats. & Regs. ¶ 31,241, at P 817, order on reh'g,

Order No. 890-A, 73 FR 2984 (Jan. 16, 2008), FERC Stats. & Regs. ¶ 31,261 (2007), 

order on reh'g and clarification, Order No. 890-B, 73 FR 39092 (July 8, 2008), 

123 FERC ¶ 61,299 (2008), order on reh’g, Order No. 890-C, 74 FR 12540 (Mar. 25, 

2009),126 FERC ¶ 61,228 (2009), order on clarification, Order No. 890-D, 74 FR 61511 

(Nov. 25, 2009), 129 FERC ¶ 61,126 (2009); Revised Public Utility Filing Requirements 

for Electric Quarterly Reports, Notice of Proposed Rulemaking, 77 FR 16494 

(Mar. 21, 2012), FERC Stats. & Regs. ¶ 32,687 (2012). The Commission has also 

proposed new filing requirements for all EQR filers and extending the EQR filing 

requirements to non-public utilities above a de minimis market presence threshold. 

Electricity Market Transparency Provisions of Section 220 of the Federal Power Act, 

Notice of Proposed Rulemaking, 76 FR 24188 (Apr. 29, 2011), FERC Stats. & Regs. 

¶ 32,676 (2011).
Docket No. RM12-3-000 - 4 - 

the FERC Web site (http://www.ferc.gov ).”6

 Consistent with this portion of the 

regulation, the Commission’s website provides public utilities with software and 

guidance for filing an EQR. 

II. Discussion

4. Pursuant to section 35.10b of the Commission’s Regulations,7

 EQR filers must 

first download the EQR software application that is available on the Commission’s 

website. The EQR software application was built with Visual FoxPro development tools 

and must be installed on a Windows-based computer. This software has certain 

disadvantages. Microsoft, the Visual FoxPro vendor, announced in 2007 that it would no 

longer sell or issue new versions of Visual FoxPro and would provide support for it only 

through 2015. Also, over time, the Commission has found that it is difficult to maintain 

quarterly transactions in a single table in the face of changes in the Commission’s 

jurisdictional markets because Visual FoxPro does not allow data tables to exceed two 

gigabytes. These data size limitations will soon restrict the Commission’s ability to add 

data fields in the EQR. These limitations make the EQR software application outmoded, 

ineffective, and unsustainable. 

5. To ensure an ongoing, reliable mechanism for filing EQR data, the Commission 

proposes to replace the Visual FoxPro-based EQR software with two new filing options. 

The Commission recognizes the need to facilitate a smooth transition to these new filing 

 6

 18 CFR 35.10b. 

7

 18 CFR 35.10b. 
Docket No. RM12-3-000 - 5 - 

options. In addition, on July 11, 2011, the President issued Executive Order 13579, 

requesting that independent agencies issue public plans for periodic retrospective analysis 

of existing regulations.8

 Retrospective analysis should identify regulations that may be 

outmoded, ineffective, insufficient, or excessively burdensome and to modify, streamline, 

expand, or repeal them in order to achieve the agency’s regulatory objective. The 

Commission believes that the changes proposed in this Notice of Proposed Rulemaking 

(NOPR) support the goals of this Executive Order by modifying a filing process that has 

become outmoded, ineffective and unsustainable. 

6. Under the proposed process, the first new filing option that the Commission 

proposes builds upon the automated systems that EQR filers have developed to enter data 

into the current EQR software. The EQR software application allows EQR filers to enter 

quarterly data by hand or by importing the data in comma-delimited text files. EQR filers 

have built automated systems to generate the comma-delimited text files. Therefore, the 

Commission proposes to offer a web interface on the Commission’s website that allows 

EQR filers to continue to enter data in the comma-delimited text format but without the 

need to download software. This option would minimize the changes for an EQR filer 

and streamline the filing process by eliminating the need for filers to enter or import the 

data into a software application. The proposed web interface will be device-independent; 

 8 Regulation and Independent Regulatory Agencies, Exec. Order 13579, 76 

FR 41587 (2011). 
Docket No. RM12-3-000 - 6 - 

therefore, this method would eliminate the need for the EQR filer to use a Windowsbased computer. 

7. Under the proposed new filing process, EQR filers can elect a second option if 

they prefer, which allows them to file EQR data via XML-formatted files. This proposed 

method has various advantages. An XML schema includes rules and data checks that are 

unavailable in a comma-delimited file. For example, an EQR filer using XML would be 

able to tag each data element to ensure that it reaches the Commission with an accurate 

description; a comma-delimited file does not provide that assurance. Therefore, this 

proposed filing option allows EQR filers to test the consistency of their data with the 

Commission’s filing standards, improving the ability to comply with the EQR filing 

requirement and increasing confidence that the Commission receives the intended 

information. However, as discussed above, use of the XML format is optional, and filers 

are free to choose to file via the web-based interface option. 

8. The Commission also proposes to change the manner in which an EQR filer is 

identified. In the current EQR software, an EQR filer applies for a “PIN” number when it 

first contacts the Commission about filing an EQR. To receive a PIN number, a 

representative of the filer must confirm via e-mail that the request is made via the EQR 

filer’s e-mail address. Once it receives the PIN number, the EQR filer identifies itself in 

its filing by “retrieving” its listing, downloading the applicable files (including past 

filings), and entering the “PIN” number when ready to submit the filing to the 

Commission. This PIN number system is part of the EQR software application. 
Docket No. RM12-3-000 - 7 - 

Therefore, as part of the transition away from this software application, the Commission 

must provide a new manner to identify EQR filers. 

9. To assure consistency and the ability to cross-reference Commission filings, the 

Commission proposes to replace the PIN number identification system with the Company 

Registration System used for eTariff filings. As part of the development of the eTariff 

system,9

 the Commission directed each publicly regulated company to file its tariffs, rate 

schedules, jurisdictional contracts, and other jurisdictional agreements with a “Company 

Identifier.” The Commission developed a registration system to permit a publicly 

regulated company to request a Company Identifier, modify information associated with 

an existing Company Identifier, and request a new password.”10 The data is used by the 

Commission to identify the company making a tariff filing, to notify the publicly 

regulated company that a filing has been made in its name, and to create a list of publicly 

regulated companies. The Commission proposes to require EQR filers to use these 

Company Identifiers to identify themselves.11 Because the publicly regulated companies 

 9 Electronic Tariff Filings, Order No. 714, 73 FR 57515 (Oct. 3, 2008), FERC 

Stats. & Regs. ¶ 31,276 (2008). 

10 See Implementation Guide for Electronic Filing of Parts 35, 154, 284, 300, and 

341 Tariff Filings (Jan. 23, 2012 version), available at http://www.ferc.gov/docsfiling/company-reg.asp. 

11 The Commission recognizes that there are instances when a company uses an 

agent to file on its behalf. If the Commission adopts the proposal to require EQR filers to 

identify themselves using the Company Identifier system, then the Commission proposes 

to ensure that the new filing process continues to allow an agent to file on behalf of a 

company. 
Docket No. RM12-3-000 - 8 - 

that file their Commission-jurisdictional tariffs and agreements have Company 

Identifiers, the Commission does not anticipate that the use of a Company Identifier in 

the EQR filing process will create an undue burden for these companies. Rather, it 

provides publicly regulated companies that file an EQR a consistent and, therefore, more 

controllable method to demonstrate that it is the appropriate EQR filer. We also 

anticipate that the use of the Company Identifier will not be unduly burdensome for an 

EQR filer that does not have an existing Company Identifier because the registration 

process on the Commission’s website is straightforward and no more difficult than the 

current filer identification process.12 The use of the Company Identifier for EQR filings 

will allow the Commission to make filer identification consistent across all Commission 

filings. 

10. The Commission will convene a staff-led public conference on Wednesday, 

July 11, 2012 to demonstrate the two new options for filing EQRs to industry 

participants. The demonstration will assist participants in preparing their comments to 

this NOPR. The conference will be available by webcast. 

11. The Commission also proposes that implementation of any changes to the process 

for filing EQRs will apply to EQR filings beginning with the third quarter (Q3) 2013 

EQR, providing data for July through September 2013. Implementing the changes within 

that time period should provide EQR filers with sufficient time to weigh the two options 

and file their Q3 2013 report in a timely manner. 

 12 Id.
Docket No. RM12-3-000 - 9 - 

III. Information Collection Statement

12. The Office of Management and Budget (OMB) regulations require approval of 

certain information collection requirements imposed by agency rules.13 Upon approval 

of a collection(s) of information, OMB will assign an OMB control number and a

expiration date. Respondents subject to the filing requirements of an agency rule will not 

be penalized for failing to respond to these collections of information unless the 

collections of information display a valid OMB control number. The Paperwork 

Reduction Act (PRA)

n 

 

14 requires each federal agency to seek and obtain OMB approval 

before undertaking a collection of information directed to ten or more persons or 

contained in a rule of general applicability.15 

13. The Commission is submitting these reporting and recordkeeping requirements to 

OMB for its review and approval under section 3507(d) of the PRA. The subject of this 

NOPR is FERC’s proposed changes to the method for filing EQRs and how an EQR filer 

identifies itself. The Commission solicits comments on these modifications, the accuracy 

of burden estimates, ways to enhance quality, utility, and clarity of the information to be 

collected, and any suggested methods for minimizing respondents’ burden 

13 5 CFR 1320.8. 

14 44 U.S.C. 3501-3520. 

15 OMB’s regulations at 5 CFR 1320.3(c)(4)(i) require that “[a]ny recordkeeping, 

reporting, or disclosure requirement contained in a rule of general applicability is deemed 

to involve ten or more persons.” 
Docket No. RM12-3-000 - 10 - 

14. The Commission’s estimates of the average public reporting burden and cost 

related to the proposed rule in Docket RM12-3-000 follow: 

NOPR in RM12-3-000 on Electric Quarterly Report 

Implementing (One-time) 

Burden per Respondent 

Recurring 

Operating Burden 

per Respondent 

per Response 

16

Average Annual 

Burden Per 

Respondent 

(implementation 

averaged over Years 1-

3) 

No. of 

Respondents 

No. of 

Responses 

per 

Respondent 

per Year 

Burden 

Hours Cost ($) 

Burden 

Hours 

17

Cost ($) 

Burden 

Hours Cost ($) 

Companies 

within nonCalifornia 

RTO, and 

large cos. 

within Cal. 

RTO 405 4 20 $1,434.50 

no 

change 

no 

change 6.67 $478.17 

Medium/small 

companies 

within Cal. 

RTO 20 4 20 $1,434.50 

no 

change 

no 

change 6.67 $478.17 

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 

15. The one-time implementation burden and cost for all 1,783 respondents are 35,660 

hours (1,783 X 20 hours), and $2,557,713.50 (1,783 X $1,434.50). Averaging this onetime implementation burden and cost over Years 1-3 yields an annual total burden of 

 16 The Commission expects no change or a slight decrease in the Recurring 

Operating Burden per Respondent per Response under the new filing system (when 

compared to quarterly filings under the existing system). 

17 For the existing EQR system, the Commission estimates the average burden per 

respondent per quarterly filing to be: 32 hours for Companies within non-California 

RTO, and large companies within the California RTO; 80 hours for medium/small 

Companies within the California RTO; 3 hours for Companies not within an RTO; and 

0.083 hours [5 minutes] for Companies with no transactions. 
Docket No. RM12-3-000 - 11 - 

11,892.61 hours (1,783 X 6.67) and an annual total cost of $852,577.11 (1,783 X 

$478.17) 

16. The Commission recognizes that there will be an initial implementation burden 

associated with reviewing the instructions, revising the filing process, adding the agent to 

the respondent’s eRegistration data, obtaining a Company Identifier, and filing EQR data 

through the new system. The Commission estimates a burden of 20 hours per respondent 

for the one-time implementation. To help with this initial implementation, the 

Commission will convene a staff-led technical conference to demonstrate the two new 

options for filing EQRs to industry participants. The conference will be available by 

webcast, which should minimize travel and other costs associated with participation in 

the conference. The Commission also proposes to direct staff to assist in transitioning to 

the new process. The demonstration and staff assistance should minimize the initial 

implementation burden. 

17. For the recurring effort involved in electronically submitting EQR data on a 

quarterly basis to the Commission, the Commission anticipates that there will be no 

change or a slight burden reduction, when compared to the burden of making quarterly 

filings under the current system. The Commission seeks comments on the burden 

estimates related to the recurring quarterly filings.
Docket No. RM12-3-000 - 12 - 

Information Collection Costs: The Commission has estimated the cost of compliance per 

respondent to be $1,434.50, for one-time implementation of the changes proposed in this 

NOPR. The Commission has estimated the implementation cost as follows:18

 legal staff (at $250/hour), for 2 hours, costing $500 

 senior accountant (at $51.38/hr.), financial analyst (at $68.12/hr.), and/or support 

staff (at $35.99/hr.), averaged at $51.83/hr., for a total of 2 hours, costing $103.66 

 information technology analyst (at $57.24/hour), for 12 hours, costing $686.88 

 support staff (at $35.99/hr), for 4 hours, costing $143.96. 

TITLE: FERC-516,19 Electric Rate Schedules and Tariff Filings. 

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). 

 18 Hourly average wage is an average and was calculated using Bureau of Labor 

Statistics (BLS), Occupational Employment Statistics data for May 2011 (for NAICS 

221100 - Electric Power Generation, Transmission and Distribution, at 

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. 

19 The Commission plans to separate the EQR reporting requirements from the 

remaining reporting requirements under FERC-516 (OMB Control No. 1902-0096). The 

Commission expects to move the EQR reporting requirements to the new FERC-920 

(OMB Control No. 1902-0255) at the final rule stage. 
Docket No. RM12-3-000 - 13 - 

NEED FOR INFORMATION: The Commission proposes changes to the method for 

filing EQRs. The Commission proposes to replace a filing system that requires an EQR 

filer to download Commission software with a system that would allow an EQR filer to 

file EQR data directly through the Commission’s website, either through a web interface 

or by submitting an XML-formatted file. The Commission also proposes to require the 

EQR filer to identify itself with a Company Identifier. The Company Identifiers would 

be assigned through the Commission’s Company Registration System. 

INTERNAL REVIEW: The Commission has reviewed the proposed changes and has 

determined that the changes are necessary. These requirements conform to the 

Commission’s need for efficient information collection, communication, and 

management within the energy industry. The Commission has assured itself, by means of 

internal review, that there is specific, objective support for the burden estimates 

associated with the information collection requirements. 

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

contacting: Federal Energy Regulatory Commission, 888 First Street, NE, Washington, 

DC 20426 [Attention: Ellen Brown, Office of the Executive Director, e-mail: 

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 e-mail to OMB at oira_submission@omb.eop.gov. Please reference 

OMB Control No. 1902-0096, FERC-516, and Docket No. RM12-3 in your submission. 
Docket No. RM12-3-000 - 14 - 

IV. Environmental Analysis

19. The Commission is required to prepare an Environmental Assessment or an 

Environmental Impact Statement for any action that may have a significant adverse effect 

on the human environment.20 The actions taken here fall within categorical exclusions in 

the Commission’s regulations for information gathering, analysis, and dissemination.21 

Therefore, an environmental assessment is unnecessary and has not been prepared in this 

rulemaking. 

V. Regulatory Flexibility Act Certification

20. The Regulatory Flexibility Act of 1980 (RFA)22 generally requires a description 

and analysis of proposed rules that will have significant economic impact on a substantial 

number of small entities. The RFA mandates consideration of regulatory alternatives that 

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

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

Administration’s (SBA) Office of Size Standards develops the numerical definition of a 

small business.23 The SBA has established a size standard for electric utilities, stating 

that a firm is small if, including its affiliates, it is primarily engaged in the transmission, 

 20 Regulations Implementing the National Environmental Policy Act of 1969, 

Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs., Regulations 

Preambles 1986-1990 ¶ 30,783 (1987). 

21 18 CFR 380.4(a)(5). 

22 5 U.S.C. 601-612. 

23 13 CFR 121.101. 
Docket No. RM12-3-000 - 15 - 

generation and/or distribution of electric energy for sale and its total electric output for 

the preceding twelve months did not exceed four million MWh.24 

21. Of the 1,783 filers,25 approximately 1,194 filers had total electric output for the 

preceding twelve months that did not exceed four million MWh. However, when 

combined with their affiliates, 414 of those 1,194 filers no longer meet the definition of 

“small.” The Commission estimates that the remaining 780 filers are “small.” 

22. To ease the burden of implementation for all filers, the Commission is minimizing 

the changes which respondents will experience and giving two options for filing (using 

either comma-separated values or XML). The estimated one-time implementation cost 

per respondent is $1,434.50. 

23. The Commission anticipates no change or a slight reduction in the burden for the 

recurring quarterly filings. In addition, small entities generally have few or no 

transactions and corresponding minimal recurring burden. Furthermore, we note that 

public utilities may request, on an individual basis, waiver from the EQR reporting 

requirements.26 Thus, the Commission certifies that this proposed rule will not have a 

significant impact on a substantial number of small entities. 

 24 13 CFR 121.201, Sector 22, Utilities & n.1. 

25 Of the 1,783 respondents, approximately 695 submit filings showing they had 

no transactions. The burden for these filings is minimal. 

26 The Commission has granted requests for waiver of the EQR filing 

requirements. See Bridger Valley Elect. Assoc., Inc., 101 FERC ¶ 61,146 (2002). 

Entities with a waiver will continue to have a waiver and will not need to file a new 

request for waiver. 
Docket No. RM12-3-000 - 16 - 

VI. Comment Procedures

24. The Commission invites interested persons to submit comments on the matters and 

issues proposed in this notice to be adopted, including any related matters or alternative 

proposals that commenters may wish to discuss. Comments are due [INSERT DATE 60 

days after publication in the FEDERAL REGISTER]. Comments must refer to 

Docket No. RM12-3-000, and must include the commenter's name, the organization they 

represent, if applicable, and their address in their comments. 

25. The Commission encourages comments to be filed electronically via the eFiling 

link on the Commission's web site at http://www.ferc.gov. The Commission accepts 

most standard word processing formats. Documents created electronically using word 

processing software should be filed in native applications or print-to-PDF format and not 

in a scanned format. Commenters filing electronically do not need to make a paper 

filing. 

26. Commenters that are not able to file comments electronically must send an 

original of their comments to: Federal Energy Regulatory Commission, Secretary of the 

Commission, 888 First Street NE, Washington, DC 20426. 

27. All comments will be placed in the Commission's public files and may be viewed, 

printed, or downloaded remotely as described in the Document Availability section 

below. Commenters on this proposal are not required to serve copies of their comments 

on other commenters. 
Docket No. RM12-3-000 - 17 - 

VII. Document Availability

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

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

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

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

business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 888 First Street, NE, Room 2A, 

Washington, DC 20426. 

29. From the Commission's Home Page on the Internet, this information is available 

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

Microsoft Word format for viewing, printing, and/or downloading. To access this 

document in eLibrary, type the docket number excluding the last three digits of this 

document in the docket number field. 

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

normal business hours from the Commission’s Online Support at 202-502-6652 (toll free 

at 1-866-208-3676) or email at ferconlinesupport@ferc.gov, or the Public Reference 

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

public.referenceroom@ferc.gov. 

List of subjects in 18 CFR Part 35 

By direction of the Commission. Commissioner Clark voting present. 

( S E A L ) 

Nathaniel J. Davis, Sr., 

Deputy Secretary. 
Docket No. RM12-3-000 - 18 - 

 In consideration of the foregoing, the Commission proposes to amend Part 18 

C.F.R. Part 35, Chapter I, Title 18, Code of Federal Regulations, as follows: 

Chapter I, Title 18, Code of Federal Regulations, as follows: 

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. 

 § 35.10b is revised to read as follows: 

§ 35.10b Electric Quarterly Reports.

... Electric Quarterly Reports must be prepared in conformance with the Commission’s 

guidance posted on the FERC Web site (http://www.ferc.gov) or as otherwise provided to 

the public.