141 FERC ¶ 61,120

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

18 CFR Part 35

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

Revisions to Electric Quarterly Report Filing Process

(Issued November 15, 2012)

AGENCY: Federal Energy Regulatory Commission.

ACTION: Final Rule.

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 website, 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.
Docket No. RM12-3-000 - 2 -

EFFECTIVE DATE: This rule will become effective [insert date 120 days after 

publication in the FEDERAL REGISTER]

COMPLIANCE DATE: 

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

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:
141 FERC ¶ 61,120

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Before Commissioners: Jon Wellinghoff, Chairman;

 Philip D. Moeller, John R. Norris,

Cheryl A. LaFleur, and Tony T. Clark.

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

ORDER NO. 770

FINAL RULE

(Issued November 15, 2012)

TABLE OF CONTENTS

Paragraph Numbers

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.
Docket No. RM12-3-000 - 2 -

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 

website, either through a web interface or by submitting an Extensible Mark-Up 

Language (XML)-formatted1 file (XML option). The Commission also requires a public 

 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 

(continued...)
Docket No. RM12-3-000 - 3 -

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.

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 regulations3 as well as non-public utilities4 that 

 

elements. For example, each filed EQR will include tags for the relevant information. 

The tagged information can be extracted and separately searched. 

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 

(continued...)
Docket No. RM12-3-000 - 4 -

are 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 

 

(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.
Docket No. RM12-3-000 - 5 -

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

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

 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, Pub. L. No. 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 

(continued...)
Docket No. RM12-3-000 - 6 -

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 costbased 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 website a Commission-developed Visual FoxPro 

 

public and non-public utilities. 

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.
Docket No. RM12-3-000 - 7 -

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 website 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 website in 

response to questions raised at the July 11 technical conference.

17 The Commission 

received eight comments in response to the NOPR.

18

 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 website at 

http://www.ferc.gov/docs-filing/eqr.asp.

17 The Frequently Asked Questions document is also available on the 

Commission’s website 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.
Docket No. RM12-3-000 - 8 -

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 website. 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 

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

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 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 

 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.

25 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 4.

26 Id.
Docket No. RM12-3-000 - 10 -

download software from the Commission’s website.

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.

B. Option One – Web Interface

1. NOPR Proposal

9. In the NOPR, the Commission proposed to offer a web interface on the 

Commission’s website 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.

 27 Id. P 6.

28 Id.

29 Id.
Docket No. RM12-3-000 - 11 -

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

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

 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.

33 EPSA at 3.
Docket No. RM12-3-000 - 12 -

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 website 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

 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.
Docket No. RM12-3-000 - 13 -

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.

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

longer needed.

 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.
Docket No. RM12-3-000 - 14 -

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 

 36 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 7.

37 Id.

38 Pacific Gas and Electric at 6.
Docket No. RM12-3-000 - 15 -

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 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.

 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.
Docket No. RM12-3-000 - 16 -

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.

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 website contains data elements that EQR filers are not currently required 

 43 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 7.

44 Energy Compliance Consulting at 3.
Docket No. RM12-3-000 - 17 -

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

 45 Id. at 2-3.

46 Id. at 3.

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

22. Based on information provided during the technical conference, Pacific Gas and 

Electric argues that providing e-mail 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 userfriendly 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 

 51 Pacific Gas and Electric at 7.

52 Id.

53 Id.
Docket No. RM12-3-000 - 19 -

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 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 XML-format options 

will be similar to or better than the validation process in the current EQR software. We 

 54 Id.

55 Id. at 7-8.

56 Id. at 8.

57 Id.

58 Id.
Docket No. RM12-3-000 - 20 -

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 
Docket No. RM12-3-000 - 21 -

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 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 
Docket No. RM12-3-000 - 22 -

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.
Docket No. RM12-3-000 - 23 -

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 

 59 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 9.
Docket No. RM12-3-000 - 24 -

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 website 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

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 

 60 Id.

61 EEI at 3.
Docket No. RM12-3-000 - 25 -

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 

 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-registrationinstruct.pdf (The Commission up-dated the instructions on October 6, 2011)).

65 EPSA at 5.

66 Id.
Docket No. RM12-3-000 - 26 -

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 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

 67 Id.

68 Id. at 6.

69 Id.

70 Id.
Docket No. RM12-3-000 - 27 -

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 Online,

74 and 

select from a list of EQR seller(s) that have designated the individual as EQR agent.

 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/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.
Docket No. RM12-3-000 - 28 -

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. 

 75 We note that Commission staff does review applications for a Company 

Identifier account and that review can take up to several days.
Docket No. RM12-3-000 - 29 -

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

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.

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 

 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.”).

77 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 11.

78 See, e.g., EEI at 8; Links Technology Solutions at 2; Pacific Gas and Electric 

at 6.
Docket No. RM12-3-000 - 30 -

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 

 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.
Docket No. RM12-3-000 - 31 -

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 

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

modify their system 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 

 84 Pacific Gas and Electric at 6.

85 EEI at 8.

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.
Docket No. RM12-3-000 - 32 -

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 

 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.
Docket No. RM12-3-000 - 33 -

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 

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

 95 Energy Compliance Consulting at 4.

96 EEI at 7.

97 Pacific Gas and Electric at 9.

98 EEI at 7.

99 Id. at 7-8.
Docket No. RM12-3-000 - 34 -

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 pre-existing data manually rather than through an automated procedure 

 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.
Docket No. RM12-3-000 - 35 -

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

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 

 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.
Docket No. RM12-3-000 - 36 -

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 website 

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 

 110 EEI at 11.

111 Id. at 11-12.

112 Id. at 12.

113 See discussion supra section III.A..
Docket No. RM12-3-000 - 37 -

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 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 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 

 114 Transparency Rule, FERC Stats. & Regs. ¶ 31,336.
Docket No. RM12-3-000 - 38 -

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 website. 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 

 115 5 CFR § 1320.11(b) (2010).
Docket No. RM12-3-000 - 39 -

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

 116 44 U.S.C. § 3507(d) (2006).

117 NOPR, FERC Stats. & Regs. ¶ 32,689 at P 13.
Docket No. RM12-3-000 - 40 -

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

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 

 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.
Docket No. RM12-3-000 - 41 -

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:

 122 See NOPR, Stats. & Regs. ¶ 32,689 at n.17. 
Docket No. RM12-3-000 - 42 -

 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.

Final Rule in RM12-3-000 on Electric Quarterly Report 

No. of 

Respon

dents

No. of 

Responses per 

Respondent per 

Year 

Implementing (One-time) 

Burden per Respondent

Recurring Operating 

Burden per Respondent 

per Response 

123

Av erage Annual Burden 

Per Respondent 

(implementation 

av eraged over Years 1-3)

Burden 

Hours Cost ($)

Burden 

Hours 

124

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

Sub-Total –

All Public 

Utilities 

(Existing 

Filers) 1,783 4 35,660 $2,557,713.50 no change no change 11,892.61 $852,577.11

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
Docket No. RM12-3-000 - 43 -

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)

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 nonpublic 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.
Docket No. RM12-3-000 - 44 -

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

 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.
Docket No. RM12-3-000 - 45 -

• 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 website, either through a web interface or by submitting an XMLformatted 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. 

 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.
Docket No. RM12-3-000 - 46 -

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, 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. 1902-0255, 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 

 128 Regulations Implementing the National Environmental Policy Act, Order No. 

(continued...)
Docket No. RM12-3-000 - 47 -

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.

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

 

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.

131 13 CFR 121.101.

132 13 CFR 121.201, Sector 22, Utilities & n.1. 
Docket No. RM12-3-000 - 48 -

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 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, nonpublic 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 

 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. D.C. 205 (D.C. Cir. 2001) (citing Mid-Tex Elec. Coop. v. FERC, 773 

F.2d 327 (D.C. 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.
Docket No. RM12-3-000 - 49 -

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, 

 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.
Docket No. RM12-3-000 - 50 -

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 onetime 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 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.
Docket No. RM12-3-000 - 51 -

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 website 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. E-mail the Public Reference Room at 

public.referenceroom@ferc.gov.

VIII. Effective Date and Congressional Notification

74. These regulations are effective [insert date 120 days from publication in Federal 

Register]. 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. 

( S E A L )
Docket No. RM12-3-000 - 52 -

Nathaniel J. Davis, Sr.,

Deputy Secretary.
Docket No. RM12-3-000 - 53 -

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.

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.

§ 35.10b is revised to read as follows:

2. Section 35.10b Electric Quarterly Reports.

Revise § 35.10b by removing the second sentence and add in its place “Electric Quarterly 

Reports must be prepared in conformance with the Commission’s guidance posted on the 

FERC Web site (http://www.ferc.gov)”.
Docket No. RM12-3-000 - 54 -

Appendix A: Abbreviated Names of Commenters

Commenter Abbreviation

California Independent 

System Operator 

Corporation

CAISO

Edison Electric Institute EEI

Electric Power Supply 

Association

EPSA

Energy Compliance 

Consulting, LLC

Energy 

Compliance 

Consulting

Energy Services 

Providers, Inc., 

Connecticut Gas & 

Electric, Inc., and 

Massachusetts Gas & 

Electric Inc.

Energy Services 

Providers

Idaho Power Company Idaho Power

Links Technology 

Solutions, Inc.

Links 

Technology 

Solutions

Pacific Gas and Electric 

Company

Pacific Gas and 

Electric

Southern California 

Edison Company 

Southern 

California Edison
Docket No. RM12-3-000 - 55 -

Appendix B: EQR Data Dictionary

Note: Appendix B will not be published in the Code of Federal Regulations.

Electric Quarterly Report Data Dictionary

Version 2.1 (issued July November 15, 2012)
Docket No. RM12-3-000 - 56 -

EQR Data Dictionary

ID Data

Field # Field Required Value Definition

Old New

1 1 Filer Unique 

Identifier  FR1

(Respondent) – An identifier (i.e., “FR1”) used to designate a record 

containing Respondent identification information in a comma-delimited 

(csv) file that is imported into the EQR filing. Only one record with the 

FR1 identifier may be imported into an EQR for a given quarter.

1 1 Filer Unique 

Identifier

 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.

1 1 Filer Unique 

Identifier

 FA1

(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.

2 2 Company Name  Unrestricted text 

(100 characters)

(Respondent) – The name of the company taking responsibility for 

complying with the Commission's regulations related to the EQR.

2 2 Company Name  Unrestricted text 

(100 characters)

(Seller) – The name of the company that is authorized to make sales as 

indicated in the company's FERC tariff(s). This name may be the same as 

the Company Name of the Respondent.

2 2 Company Name  Unrestricted text 

(100 characters)

(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
Docket No. RM12-3-000 - 57 -

EQR Data Dictionary

ID Data

Field # Field Required Value Definition

Old New

3 Company Identifier 

A 7-digit integer 

proceeded by the 

letter “C”

(Seller) – Identifier obtained through the Commission’s Company 

Registration system.

4 3 Contact Name  Unrestricted text 

(50 characters)

(Respondent) – Name of the person at the Respondent’s company taking 

responsibility for compliance with the Commission's EQR regulations.

34 43 Contact Name  Unrestricted text 

(50 characters)

(Seller) – The name of the contact for the company authorized to make 

sales as indicated in the company's FERC tariff(s). This name may be the 

same as the Contact Name of the Respondent.

34 43 Contact Name  Unrestricted text 

(50 characters)

(Agent) – Name of the contact for the Agent, usually the person who 

prepares the filing.

45 45 Contact Title  Unrestricted text 

(50 characters) Title of contact identified in Field Number 43.

56 56 Contact Address  Unrestricted text Street address for contact identified in Field Number 43.

67 67 Contact City  Unrestricted text 

(30 characters) City for the contact identified in Field Number 43.

78 87 Contact State  Unrestricted text 

(2 characters)

Two character state or province abbreviations for the contact identified in 

Field Number 43.

89 98 Contact Zip  Unrestricted text 

(10 characters) Zip code for the contact identified in Field Number 43.
Docket No. RM12-3-000 - 58 -

EQR Data Dictionary

ID Data

Field # Field Required Value Definition

Old New

910 109 Contact Country 

Name



CA - Canada

MX - Mexico

US – United 

States

UK – United 

Kingdom

Country (USA, Canada, Mexico, or United Kingdom) for contact address 

identified in Field Number 43.

1110 1011 Contact Phone  Unrestricted text 

(20 characters) Phone number of contact identified in Field Number 43.

1112 1112 Contact E-Mail  Unrestricted text E-mail address of contact identified in Field Number 34.

12 1312

Transactions 

Reported to Index 

Price Publisher(s)



Y (Yes)

N (No)

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 732.

13 143 Filing Quarter  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). 
Docket No. RM12-3-000 - 59 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

14 1415 Contract Unique ID 

An integer proceeded 

by the letter “C” (only 

used when importing 

contract data) 

An identifier beginning with the letter “C” and followed by a 

number (e.g., “C1”, “C2”) used to 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.

15 165 Seller Company 

Name  Unrestricted text (100 characters)

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).

16 176 Customer 

Company Name

 Unrestricted text (70 

characters) The name of the counterparty.

17 X

1718 1817 Contract Affiliate  Y (Yes)

N (No)

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.

1918 198 FERC Tariff 

Reference

 Unrestricted text (60 

characters)

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.
Docket No. RM12-3-000 - 60 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

1920 2019 Contract Service 

Agreement ID  Unrestricted text (30 characters)

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.

2021 2120 Contract Execution 

Date

 YYYYMMDD The date the contract was signed. If the parties signed on different 

dates, use the most recent date signed.

212 221

Commencement 

Date of Contract 

Terms

 YYYYMMDD

The date the terms of the contract reported in fields 18, 23 and 25 

through 445 (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 445 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.

223 232 Contract 

Termination Date

If specified 

in the 

contract.

YYYYMMDD The date that the contract expires.

234 243 Actual Termination 

Date

If contract 

terminated. YYYYMMDD The date the contract actually terminates.
Docket No. RM12-3-000 - 61 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

245 254

Extension 

Provision 

Description

 Unrestricted text Description of terms that provide for the continuation of the contract.

2526 2625 Class Name  --- See definitions of each class name below.

2526 265 Class Name  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.

2526 265 Class Name  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.

2526 265 Class Name  UP - Unit Power Sale Designates a dedicated sale of energy and capacity from one or more 

than one specified generation unit(s).

256 265 Class Name  N/A - Not Applicable To be used only when the other available Class Names do not apply.

267 276 Term Name 

LT - Long Term

ST - Short Term

N/A - Not Applicable

Contracts with durations of one year or greater are long-term. 

Contracts with shorter durations are short-term.

278 287 Increment Name  --- See definitions for each increment below.

2728 2827 Increment Name  H - Hourly Terms of the contract (if specifically noted in the contract) set for up 

to 6 consecutive hours (≤ 6 consecutive hours).
Docket No. RM12-3-000 - 62 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

2728 2827 Increment Name  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). 

2728 2827 Increment Name  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). 

2728 2827 Increment Name  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).

2728 2827 Increment Name  Y - Yearly Terms of the contract (if specifically noted in the contract) set for 

one year or more (≥ 1 year).

2728 2827 Increment Name  N/A - Not Applicable Terms of the contract do not specify an increment.

2829 298 Increment Peaking 

Name  --- See definitions for each increment peaking name below.

2829 2928 Increment Peaking 

Name

 FP - Full Period The product described may be sold during those hours designated as 

on-peak and off-peak in the NERC region of the point of delivery. 

2829 2928 Increment Peaking 

Name

 OP - Off-Peak The product described may be sold only during those hours 

designated as off-peak in the NERC region of the point of delivery.

2829 2928 Increment Peaking 

Name  P - Peak The product described may be sold only during those hours 

designated as on-peak in the NERC region of the point of delivery.

2829 2928 Increment Peaking 

Name

 N/A - Not Applicable To be used only when the increment peaking name is not specified in 

the contract.
Docket No. RM12-3-000 - 63 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

2930 2930 Product Type 

Name

 --- See definitions for each product type below.

2930 3029 Product Type 

Name  CB - Cost Based Energy or capacity sold under a FERC-approved cost-based rate tariff.

2930 3029 Product Type 

Name

 CR - Capacity 

Reassignment

An agreement under which a transmission provider sells, assigns or 

transfers all or portion of its rights to an eligible customer.

2930 3029 Product Type 

Name

 MB - Market Based Energy or capacity sold under the seller’s FERC-approved marketbased rate tariff.

2930 3029 Product Type 

Name  T - Transmission The product is sold under a FERC-approved transmission tariff.

2930 3029 Product Type 

Name

 Other The product cannot be characterized by the other product type 

names.

301 310 Product Name  See Product Name 

Table, Appendix A. Description of product being offered.

3231 3132 Quantity

If specified 

in the 

contract

Number with up to 4 

decimals Quantity for the contract product identified.

3332 3233 Units

If specified 

in the 

contract

See Units Table, 

Appendix E. Measure stated in the contract for the product sold.
Docket No. RM12-3-000 - 64 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

3433 3334 Rate

One of 

four rate 

fields (34, 

35, 36, or 

37) must 

be 

included.

Number with up to 4 

decimals The charge for the product per unit as stated in the contract.

3534 3435 Rate Minimum

One of 

four rate 

fields (34, 

35, 36, or

37) must 

be 

included

Number with up to 4 

decimals Minimum rate to be charged per the contract, if a range is specified.

3635 3536 Rate Maximum

One of 

four rate 

fields (34, 

35, 36, or 

37) must 

be 

included

Number with up to 4 

decimals Maximum rate to be charged per the contract, if a range is specified.
Docket No. RM12-3-000 - 65 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

3736 3637 Rate Description

One of 

four rate 

fields (34, 

35, 36, or 

37) must 

be 

included

Unrestricted text

Text description of rate. If the rate is currently available on the 

FERC website, 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 website, 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.

3837 3738 Rate Units

If specified 

in the 

contract

See Rate Units Table, 

Appendix F. Measure stated in the contract for the product sold.

3938 3839

Point of Receipt 

Balancing 

Authority(PORBA)

If specified 

in the 

contract

See Balancing 

Authority Table, 

Appendix B.

The registered NERC Balancing Authority (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.

4039 3940

Point of Receipt 

Specific Location 

(PORSL)

If specified 

in the 

contract

Unrestricted text (50 

characters). If “HUB”

is selected for 

PORCA, see Hub 

Table, Appendix C.

The specific location at which the product is received if designated 

in the contract. If receipt 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.
Docket No. RM12-3-000 - 66 -

EQR Data Dictionary

Contract Data

Field # Field Required Value Definition Old New

4140 4041

Point of Delivery 

Balancing 

Authority(PODBA)

If specified 

in the 

contract

See Balancing 

Authority Table, 

Appendix B.

The registered NERC Balancing Authority (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. 

4241 4142

Point of Delivery 

Specific Location 

(PODSL)

If specified 

in the 

contract

Unrestricted text (50 

characters). If “HUB”

is selected for 

PODCA, see Hub 

Table, Appendix C.

The specific location at which the product is delivered if designated 

in the contract. If receipt occurs at a trading hub, a standardized hub 

name must be used. 

4342 4243 Begin Date

If specified 

in the 

contract

YYYYMMDDHHMM First date for the sale of the product at the rate specified.

4443 4344 End Date

If specified 

in the 

contract

YYYYMMDDHHMM Last date for the sale of the product at the rate specified.

45 X
Docket No. RM12-3-000 - 67 -

EQR Data Dictionary

Transaction Data

Field # Field Required Value Definition Old New

4644 4445 Transaction Unique 

ID 

An integer proceeded 

by the letter “T” (only 

used when importing 

transaction data)

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.

4745 4546 Seller Company 

Name  Unrestricted text (100 Characters)

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).

4846 4647 Customer Company 

Name

 Unrestricted text (70 

Characters) The name of the counterparty.

49 X

5047 4748 FERC Tariff 

Reference

 Unrestricted text (60 

Characters)

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.

5148 4849 Contract Service 

Agreement ID

 Unrestricted text (30 

Characters)

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.

5249 4950 Transaction Unique 

Identifier

 Unrestricted text (24 

Characters) Unique reference number assigned by the seller for each transaction.
Docket No. RM12-3-000 - 68 -

EQR Data Dictionary

Transaction Data

Field # Field Required Value Definition

Old New

5350 5051 Transaction Begin 

Date



YYYYMMDDHHMM 

(csv import)

MMDDYYYYHHMM 

(manual entry)

First date and time the product is sold during the quarter. 

5451 5152 Transaction End 

Date



YYYYMMDDHHMM 

(csv import)

MMDDYYYYHHMM 

(manual entry)

Last date and time the product is sold during the quarter. 

52 5253 Trade Date 

YYYYMMDD (csv 

import)

MMDDYYYY 

(manual entry)

The date upon which the parties made the legally binding agreement 

on the price of a transaction.

53 5354 Exchange/Brokerage 

Service

See 

Exchange/Brokerage 

Service Table, 

Appendix H.

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.

54 5554 Type of Rate  --- See type of rate definitions below.

54 5554 Type of Rate  Fixed A fixed charge per unit of consumption.

54 5554 Type of Rate  Formula A calculation of a rate based upon a formula that does not contain an 

index component.

54 5554 Type of Rate  Electric Index A calculation of a rate based upon an index or a formula that contains 

an index component. 

54 5554 Type of Rate  RTO/ISO A rate that is based on an RTO/ISO published price or formula that 

contains an RTO/ISO price component.

55 565 Time Zone  See Time Zone Table, 

Appendix D. The time zone in which the sales will be made under the contract.
Docket No. RM12-3-000 - 69 -

EQR Data Dictionary

Transaction Data

Field # Field Required Value Definition

Old New

56 576

Point of Delivery 

Balancing Authority 

(PODBA)



See Balancing 

Authority Table, 

Appendix B.

The registered NERC Balancing Authority (formerly called NERC 

Control Area) abbreviation used in OASIS applications.

57 587

Point of Delivery 

Specific Location 

(PODSL)



Unrestricted text (50 

characters). If “HUB”

is selected for 

PODBA, see Hub 

Table, Appendix C.

The specific location at which the product is delivered. If receipt 

occurs at a trading hub, a standardized hub name must be used.

58 598 Class Name  --- See class name definitions below.

58 598 Class Name  F - Firm A sale, service or product that is not interruptible for economic 

reasons.

58 598 Class Name  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.

58 598 Class Name  UP - Unit Power Sale Designates a dedicated sale of energy and capacity from one or more 

than one specified generation unit(s).

58 598 Class Name  BA - Billing 

Adjustment

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.

58 598 Class Name  N/A - Not Applicable To be used only when the other available class names do not apply.

59 5960 Term Name 

LT - Long Term

ST - Short TermN/A -

Not Applicable

Power sales transactions with durations of one year or greater are 

long-term. Transactions with shorter durations are short-term.

60 610 Increment Name  --- See increment name definitions below.
Docket No. RM12-3-000 - 70 -

EQR Data Dictionary

Transaction Data

Field # Field Required Value Definition

Old New

60 610 Increment Name  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.

60 610 Increment Name  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.

60 610 Increment Name  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. 

60 610 Increment Name  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.

60 610 Increment Name  Y - Yearly

Terms of the particular sale set for one year or more (≥ 1 year). 

Includes all long-term contracts with defined pricing terms (fixedprice, formula, or index).

60 610 Increment Name  N/A - Not Applicable To be used only when other available increment names do not apply.

61 621 Increment Peaking 

Name  --- See definitions for increment peaking below.

61 621 Increment Peaking 

Name

 FP - Full Period The product described was sold during Peak and Off-Peak hours.

61 621 Increment Peaking 

Name

 OP - Off-Peak The product described was sold only during those hours designated 

as off-peak in the NERC region of the point of delivery.

61 621 Increment Peaking 

Name

 P - Peak The product described was sold only during those hours designated 

as on-peak in the NERC region of the point of delivery.
Docket No. RM12-3-000 - 71 -

EQR Data Dictionary

Transaction Data

Field # Field Required Value Definition

Old New

61 621 Increment Peaking 

Name

 N/A - Not Applicable To be used only when the other available increment peaking names 

do not apply.

62 6263 Product Name  See Product Names 

Table, Appendix A. Description of product being offered.

63 643 Transaction 

Quantity  Number with up to 4 decimals. The quantity of the product in this transaction.

64 654 Price  Number with up to 6 

decimals.

Actual price charged for the product per unit. The price reported 

cannot be averaged or otherwise aggregated

65 665 Rate Units  See Rate Units Table,

Appendix F Measure appropriate to the price of the product sold. 

66 6766 Standardized 

Quantity

 Number with up to 4 

decimals.

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.

67 6867 Standardized Price  Number with up to 6 

decimals.

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 $/MW-month if the product is 

capacity.

6866 6968 Total Transmission 

Charge

 Number with up to 2 

decimals

Payments received for transmission services when explicitly 

identified.

6967 7069 Total Transaction 

Charge  Number with up to 2 decimals

Transaction Quantity (Field 643) times Price (Field 654) plus Total 

Transmission Charge (Field 696).
Docket No. RM12-3-000 - 72 -

EQR Data Dictionary

Index Reporting Data

Field # Field Required Value Definition O ld New

70 7170 Filer Unique 

Identifier

 FS# (where “#” is an 

integer)

The “FS” seller number from the ID Data table corresponding to the 

index reporting company.

71 7271 Seller Company 

Name

 Unrestricted text (100 

characters)

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).

72 7372

Index Price 

Publisher(s) To 

Which Sales 

Transactions Have 

Been Reported



If "Yes" is selected for 

Field 123, see Index 

Price Publisher, 

Appendix G.

The index price publisher(s) to which sales transactions have been 

reported.

73 7473 Transactions 

Reported

 Unrestricted text (100 

characters)

Description of the types of transactions reported to the index 

publisher identified in this record.
Docket No. RM12-3-000 - 73 -

EQR Data Dictionary

e-Tag Data

Field # Field Required Value Definition O ld New

74 7574 e-Tag ID

If an eTag ID 

was used 

to 

schedule 

the EQR 

transaction

Unrestricted text (30 

Characters)

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. 

75 7675 e-Tag Begin Date

If an eTag ID 

was used 

to 

schedule 

the EQR 

transaction

YYYYMMDD (csv 

import)

MMDDYYYY 

(manual entry)

The first date the transaction is scheduled using the e-Tag ID 

reported in Field Number 7541. 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 7776 e-Tag End Date

If an eTag ID 

was used 

to 

schedule 

the EQR 

transaction

YYYYMMDD (csv 

import)

MMDDYYYY 

(manual entry)

The last date the transaction is scheduled using the e-Tag ID reported 

in Field Number 77541. 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 7877 Transaction Unique 

Identifier

If an eTag ID 

was used 

to

schedule 

the EQR 

transaction

Unrestricted text (24 

Characters)

Unique reference number assigned by the seller for each transaction

that must be the same as reported in Field Number 50.
Docket No. RM12-3-000 - 74 -

EQR Data Dictionary

Appendix A. Product Names

Product Name

Contract

Product

Transaction 

Product Definition

BLACK START SERVICE   

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  

Energy or capacity contractually committed bilaterally for delivery but not 

actually delivered due to some offsetting or countervailing trade (Transaction 

only).

CAPACITY   A quantity of demand that is charged on a $/KW or $/MW basis.

CUSTOMER CHARGE   Fixed contractual charges assessed on a per customer basis that could include 

billing service.

DIRECT ASSIGNMENT 

FACILITIES CHARGE  Charges for facilities or portions of facilities that are constructed or used for the sole use/benefit of a particular customer.

EMERGENCY ENERGY  Contractual provisions to supply energy or capacity to another entity during 

critical situations.

ENERGY   A quantity of electricity that is sold or transmitted over a period of time.

ENERGY IMBALANCE   

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   

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   Charge based on the cost or amount of fuel used for generation.
Docket No. RM12-3-000 - 75 -

EQR Data Dictionary

Appendix A. Product Names

Product Name

Contract

Product

Transaction 

Product Definition

GENERATOR IMBALANCE   

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   Services provided for bundled transmission, ancillary services and energy under contracts effective prior to Order No. 888's OATTs.

INTERCONNECTION 

AGREEMENT 

 

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 

 Agreement to participate and be subject to rules of a system operator.

MUST RUN AGREEMENT  An agreement that requires a unit to run.

NEGOTIATED-RATE 

TRANSMISSION

  Transmission performed under a negotiated rate contract (applies only to 

merchant transmission companies).

NETWORK  Transmission service under contract providing network service.

NETWORK OPERATING 

AGREEMENT 

 

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   Product name not otherwise included.

POINT-TO-POINT 

AGREEMENT  Transmission service under contract between specified Points of Receipt and Delivery.

REACTIVE SUPPLY & 

VOLTAGE CONTROL 

  Production or absorption of reactive power to maintain voltage levels on 

transmission systems (Ancillary Service).
Docket No. RM12-3-000 - 76 -

EQR Data Dictionary

Appendix A. Product Names

Product Name

Contract

Product

Transaction 

Product Definition

REAL POWER 

TRANSMISSION LOSS 

  The loss of energy, resulting from transporting power over a transmission system.

REASSIGNMENT 

AGREEMENT  Transmission capacity reassignment agreement.

REGULATION & 

FREQUENCY RESPONSE 

  

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   

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.)

SCHEDULE SYSTEM 

CONTROL & DISPATCH 

  

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).

SPINNING RESERVE   

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.
Docket No. RM12-3-000 - 77 -

EQR Data Dictionary

Appendix A. Product Names

Product Name

Contract

Product

Transaction 

Product Definition

SUPPLEMENTAL RESERVE   

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., nontransmission function) are reported.

SYSTEM OPERATING 

AGREEMENTS 

 

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   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 

 

The agreement that establishes the terms and conditions under which a 

transmission owner transfers operational control over designated transmission 

facilities.

UPLIFT   A make-whole payment by an RTO/ISO to a utility.
Docket No. RM12-3-000 - 78 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

AESC, LLC - Wheatland CIN AEWC

Alabama Electric Cooperative, Inc. AEC

Alberta Electric System Operator AESO 

Alliant Energy Corporate Services, LLC - East ALTE

Alliant Energy Corporate Services, LLC- West ALTW

Ameren Transmission. Illinois AMIL

Ameren Transmission. Missouri AMMO

American Transmission Systems, Inc. FE

Aquila Networks – Kansas WPEK

Aquila Networks - Missouri Public Service MPS

Aquila Networks - West Plains Dispatch WPEC

Arizona Public Service Company AZPS

Associated Electric Cooperative, Inc. AECI

Avista Corp. AVA

Batesville Balancing Authority BBA

BC Hydro T & D - Grid Operations BCHA 

Big Rivers Electric Corp. BREC

Board of Public Utilities KACY

Bonneville Power Administration Transmission BPAT

British Columbia Transmission Corporation BCTC 

California Independent System Operator CISO

Carolina Power & Light Company - CPLW CPLW

Carolina Power and Light Company - East CPLE

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
Docket No. RM12-3-000 - 79 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

Cleco Power LLC CLEC

Columbia Water & Light CWLD

Comision Federal de Electricidad CFE 

Comision Federal de Electricidad CFEN 

Constellation Energy Control and Dispatch GRIF

Constellation Energy Control and Dispatch - Arkansas PUPP

Constellation Energy Control and Dispatch - City of Benton, AR BUBA

Constellation Energy Control and Dispatch - City of Ruston, LA DERS

Constellation Energy Control and Dispatch - Conway, Arkansas CNWY

Constellation Energy Control and Dispatch - Gila River GRMA

Constellation Energy Control and Dispatch - Glacier Wind Energy GWA

Constellation Energy Control and Dispatch - Harquehala HGMA

Constellation Energy Control and Dispatch - North Little Rock, AK DENL

Constellation Energy Control and Dispatch - Osceola Municipal Light OMLP

Constellation Energy Control and Dispatch - Plum Point PLUM

Constellation Energy Control and Dispatch – Red Mesa REDM

Constellation Energy Control and Dispatch - West Memphis, Arkansas WMUC

Dairyland Power Cooperative DPC

DECA, LLC - Arlington Valley DEAA

Duke Energy Corporation DUK

East Kentucky Power Cooperative, Inc. EKPC

El Paso Electric EPE

Electric Energy, Inc. EEI

Empire District Electric Co., The EDE

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
Docket No. RM12-3-000 - 80 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

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 

Idaho Power Company IPCO

Imperial Irrigation District IID

Indianapolis Power & Light Company IPL

ISO New England Inc. ISNE

JEA JEA

Kansas City Power & Light, Co KCPL

Lafayette Utilities System LAFA

LG&E Energy Transmission Services LGEE

Lincoln Electric System LES

Los Angeles Department of Water and Power LDWP

Louisiana Energy & Power Authority LEPA

Louisiana Generating, LLC LAGN

Louisiana Generating, LLC - City of Conway CWAY

Louisiana Generating, LLC - City of West Memphis WMU

Louisiana Generating, LLC - North Little Rock NLR

Madison Gas and Electric Company MGE

Manitoba Hydro Electric Board, Transmission Services MHEB 

Michigan Electric Coordinated System MECS

Michigan Electric Coordinated System - CONS CONS

Michigan Electric Coordinated System - DECO DECO

MidAmerican Energy Company MEC

Midwest ISO MISO

Minnesota Power, Inc. MP
Docket No. RM12-3-000 - 81 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

Montana-Dakota Utilities Co. MDU

Muscatine Power and Water MPW

Nebraska Public Power District NPPD

Nevada Power Company NEVP

New Brunswick System Operator NBSO 

New Horizons Electric Cooperative NHC1

New York Independent System Operator NYIS

Northern Indiana Public Service Company NIPS

Northern States Power Company NSP

NorthWestern Energy NWMT

Ohio Valley Electric Corporation OVEC

Oklahoma Gas and Electric OKGE

Ontario - Independent Electricity System Operator ONT 

OPPD CA/TP OPPD

Otter Tail Power Company OTP

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 Colorado PSCO

Public Service Company of New Mexico PNM

Puget Sound Energy Transmission PSEI

Reedy Creek Improvement District RC

Sacramento Municipal Utility District SMUD

Salt River Project SRP

Santee Cooper SC

SaskPower Grid Control Centre SPC 

Seattle City Light SCL

Seminole Electric Cooperative SEC

Sierra Pacific Power Co. - Transmission SPPC
Docket No. RM12-3-000 - 82 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

South Carolina Electric & Gas Company SCEG

South Mississippi Electric Power Association SME

South Mississippi Electric Power Association SMEE

Southeastern Power Administration - Hartwell SEHA

Southeastern Power Administration - Russell SERU

Southeastern Power Administration - Thurmond SETH

Southern Company Services, Inc. SOCO

Southern Illinois Power Cooperative SIPC

Southern Indiana Gas & Electric Co. SIGE

Southern Minnesota Municipal Power Agency SMP

Southwest Power Pool SWPP

Southwestern Power Administration SPA

Southwestern Public Service Company SPS

Sunflower Electric Power Corporation SECI

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 New Smyrna Beach NSB

Westar Energy - MoPEP Cities MOWR

Western Area Power Administration - Colorado-Missouri WACM

Western Area Power Administration - Lower Colorado WALC

Western Area Power Administration - Upper Great Plains East WAUE

Western Area Power Administration - Upper Great Plains West WAUW

Western Farmers Electric Cooperative WFEC

Western Resources dba Westar Energy WR

Wisconsin Energy Corporation WEC
Docket No. RM12-3-000 - 83 -

EQR Data Dictionary

Appendix B. Balancing Authority

Balancing Authority Abbreviation Outside US*

Wisconsin Public Service Corporation WPS

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.

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).
Docket No. RM12-3-000 - 2 -

EQR Data Dictionary

Appendix C. Hub

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.
Docket No. RM12-3-000 - 3 -

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
Docket No. RM12-3-000 - 4 -

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
Docket No. RM12-3-000 - 5 -

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
Docket No. RM12-3-000 - 6 -

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
Docket No. RM12-3-000 - 7 -

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