149 FERC ¶ 61,229

DEPARTMENT OF ENERGY

FEDERAL ENERGY REGULATORY COMMISSION

18 CFR Part 46

[Docket No. RM15-3-000]

Revisions to Part 46 Filing Requirements

(December 18, 2014)

AGENCY: Federal Energy Regulatory Commission.

ACTION: Notice of proposed rulemaking.

SUMMARY: The Commission is proposing to revise its regulations to eliminate the 

requirement to submit FERC-566 (Annual Report of a Utility’s 20 Largest Customers) 

for regional transmission organizations (RTOs), independent system operators (ISOs), 

and exempt wholesale generators (EWGs). The Commission is also proposing to revise 

its regulations to eliminate the requirement to submit FERC-566 for public utilities that 

have not made any reportable sales under FERC-566 in any of the three preceding years. 

The Commission further proposes to eliminate the requirement for public utilities 

submitting FERC-566 to identify individual residential customers by name and address. 

DATES: Comments are due [Insert date 60 days after publication in the FEDERAL 

REGISTER].

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

ways: 

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

using word processing software should be filed in native applications or print-to-
Docket No. RM15-3-000 - 2 -

PDF format and not in a scanned format.

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

comments to: Federal Energy Regulatory Commission, Secretary of the 

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

Instructions: For detailed instructions on submitting comments and additional 

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

document.

FOR FURTHER INFORMATION CONTACT:

Mary LaFave (Technical Information)

Office of Energy Market Regulation

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426

(202) 502-6060

Lina Naik (Legal Information)

Office of the General Counsel

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426

(202) 502-8882

SUPPLEMENTARY INFORMATION:
UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Revisions to Part 46 Filing Requirements Docket No. RM15-3-000

NOTICE OF PROPOSED RULEMAKING

TABLE OF CONTENTS

Paragraph Numbers

I. Discussion ..............................................................................................................................7.

A. RTOs and ISOs.................................................................................................................7.

B. EWGs ...............................................................................................................................8.

C. Public utilities that have not made sales...........................................................................9.

D. Identification requirement................................................................................................10.

II. Information Collection Statement.........................................................................................11.

III. Environmental Analysis ......................................................................................................16.

IV. Regulatory Flexibility Act ..................................................................................................17.

V. Comment Procedures............................................................................................................20.

VI. Document Availability ........................................................................................................24.
149 FERC ¶ 61,229

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Revisions to Part 46 Filing Requirements Docket No. RM15-3-000

NOTICE OF PROPOSED RULEMAKING

(December 18, 2014)

1. Section 305(c) of the Federal Power Act (FPA) requires, among other things, that, 

on or before January 31 of each calendar year, each public utility shall publish a list, 

pursuant to rules prescribed by the Commission, of any company, firm, or organization 

that is one of the 20 purchasers of electric energy which purchased (for purposes other 

than resale) one of the 20 largest annual amounts of electric energy sold by such public 

utility (or by any public utility which is part of the same holding company system) during 

any one of the three calendar years immediately preceding the filing date.1

2. The Commission implemented Congress’ mandate in part 46 of the Commission’s 

regulations.2

 Section 46.3 of the regulations thus provides, in relevant part, that on or 

before January 31 of each year, each public utility shall compile a list of purchasers of 

electric energy (other than for resale), and shall identify each purchaser by name and 

 1 16 U.S.C. 825d(c) (2012).

2 18 CFR part 46 (2014).
Docket No. RM15-3-000 - 2 -

principal business address, and shall submit the list to the Secretary and make the list 

publicly available. The list identifies each purchaser who, during any of the three 

preceding calendar years, purchased (for purposes other than resale) from a public utility 

one of the twenty largest amounts of electric energy by such public utility, and the public 

utility is required to notify each purchaser which has been identified on the list.3

3. On February 26, 2014, in compliance with the requirements of the Paperwork 

Reduction Act of 1995,4 the Commission issued a request for comments on, among other 

things, the currently-approved information collection FERC-566 (Annual Report of a 

Utility’s 20 Largest Customers). Specifically, the Commission sought comment on: 

(1) whether the collection of information is necessary for the proper performance of the 

functions of the Commission, including whether the information will have practical 

utility; (2) the accuracy of the agency's estimate of the burden and cost of the collection 

of information, including the validity of the methodology and assumptions used; (3) ways 

to enhance the quality, utility and clarity of the information collection; and (4) ways to 

minimize the burden of the collection of information on those who are to respond, 

including the use of automated collection techniques or other forms of information 

technology.5

 3 18 CFR 46.3.

4 44 U.S.C. 3506 (c)(2)(A).

5 See Commission Information Collection Activities (FERC-520, FERC-561, 

FERC-566); Comment Request; Extension, Docket No. IC14-9-000 (Feb. 26, 2014). 
Docket No. RM15-3-000 - 3 -

4. The Commission received four comments. With respect to the FERC-566, 

commenters recommended that the Commission eliminate the requirement to file

FERC-566 for public utilities that do not make any reportable sales; that certain Regional 

Transmission Organizations (RTOs) and Independent System Operators (ISOs) should be 

exempted from the requirement to submit FERC-566; and that the Commission should 

exempt exempt wholesale generators (EWGs) from the FERC-566 filing requirement.6

 

5. On July 1, 2014, the Commission issued a further notice addressing the comments. 

Specifically, the Commission stated that it shared commenters’ interest in identifying and 

implementing burden reductions to the benefit of filers as well as the Commission, but 

that commenters’ suggestions raised issues that required additional study. The 

Commission stated that should it determine after further study to pursue changes to these 

information collections, those changes would be more appropriately addressed in a forum 

and through a process that is better suited to full public identification of and deliberation 

on possible proposed changes. The Commission noted that any changes to the 

Commission’s regulations would need to be made through the Commission’s formal 

rulemaking process.7

6. In this Notice of Proposed Rulemaking (NOPR), the Commission proposes to 

revise its regulations to reduce the regulatory burden of compliance on public utilities,

 6 See Commission Information Collection Activities (FERC-520, FERC-561, 

FERC-566); Comment Request, Docket No. IC14-9-000, at 7-8 (July 1, 2014). 

7 Id. at 8. 
Docket No. RM15-3-000 - 4 -

while meeting the statutory standards set forth in the FPA. Such modifications would 

enhance the quality, utility, and clarity of the information collected. Specifically, the 

Commission proposes to eliminate the requirement to submit FERC-566 for RTOs, ISOs, 

and EWGs. The Commission also proposes to eliminate the requirement to submit 

FERC-566 for public utilities that have not made any reportable sales in any of the three 

preceding years. The Commission further proposes to eliminate the requirements for 

public utilities submitting FERC-566 to identify individual residential customers by name 

and address. 

I. Discussion

A. RTOs and ISOs

7. The Commission proposes to eliminate the requirement to submit FERC-566 for

RTOs and ISOs. By their nature, RTOs and ISOs are focused primarily on sales of 

electric energy for resale. The statute expressly seeks to acquire information about 

purchasers of electric energy who purchased “for purposes other than for resale.”8

 

Accordingly, the Commission proposes to revise the current regulation to eliminate the 

requirement to submit FERC-566 for RTOs and ISOs.

B. EWGs

8. Similarly, the Commission proposes to eliminate the requirement to submit FERC566 for EWGs. The term exempt wholesale generator is defined as “any person engaged 

directly, or indirectly through one or more affiliates ... and exclusively in the business of 

 8 16 U.S.C. 825(c)(2)(D).
Docket No. RM15-3-000 - 5 -

owning or operating, or both owning and operating, all or part of one or more eligible 

facilities and selling electric energy at wholesale.”9

 Thus, by definition, EWGs do not 

have retail customers. As discussed above regarding RTOs and ISOs, the statute seeks to 

acquire information about purchasers of electric energy who purchased for purposes other 

than for resale. Because EWGs are defined as entities that only sell energy at wholesale, 

the Commission believes FERC-566 should not be required to be submitted by such 

entities. 

C. Public Utilities That Have Not Made Sales

9. The Commission proposes to eliminate the requirement to submit FERC-566 for 

those public utilities that have not made any reportable sales in any of the three preceding 

years. Section 305(c) requires public utilities to publish a list of purchasers; it does not 

require a report of the absence of purchasers. Thus, the Commission proposes to 

eliminate the requirement to submit FERC-566 for those public utilities that have not 

made any reportable sales in any of the three preceding years. 

D. Identification Requirement

10. The Commission proposes to eliminate the requirement for public utilities 

submitting FERC-566 to identify individual residential customers by name and address. 

Currently, section 46.3(d) requires that each public utility identify each purchaser on the 

list of the twenty largest purchasers by name and principal business address. However, it 

may not be necessary to have such detailed information about residential customers. 

 9 18 CFR 336.1 (emphasis added).
Docket No. RM15-3-000 - 6 -

Thus, the Commission proposes to allow public utilities to identify individual residential 

customers as “Residential Customer,” and provide only a zip code in lieu of an address. 

II. Information Collection Statement

11. The collection of information addressed in this Notice of Proposed Rulemaking is 

subject to review by the Office of Management and Budget (OMB) under section 3507(d) 

of the Paperwork Reduction Act of 1995.10 OMB’s regulations require approval of 

certain information collection requirements imposed by agency rules.11 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. 

12. We solicit comments on the need for this information, whether the information 

will have practical utility, the accuracy of the burden estimates, ways to enhance the 

quality, utility, and clarity of the information to be collected or retained, and any 

suggested methods for minimizing respondents’ burden, including the use of automated 

information techniques. Specifically, the Commission asks that any revised burden or 

cost estimates submitted by commenters be supported by sufficient detail to understand 

how the estimates are generated.

 10 44 U.S.C. 3507(d).

11 5 CFR 1320.11.
Docket No. RM15-3-000 - 7 -

13. Public Reporting Burden: The burden and cost estimates below are based on the 

estimated reduction in burden for certain entities that would no longer have to file the 

annual report of twenty largest purchasers. The Commission estimates the annual report 

to require (on average) six hours to prepare and to file. The Commission estimates that 

there are six RTOs/ISOs and an additional 880 filers that report no purchasers. The latter 

category includes EWGs. The following table illustrates the burden reductions to be 

applied to the information collection:

Respondent 

Category

Number of 

Respondents

(1)

Annual 

Number of 

Responses per 

Respondent

(2)

Total Number 

of Responses 

(1)*(2)=(3)

Reduction in 

Average 

Burden Hours 

& Cost per 

Response12

(4)

Total Reduction in 

Annual Burden 

Hours & Total 

Annual Cost13

(3)*(4)=(5)

RTOs/ISOs 6 1

6

6

$423

36

$2,538 

Filers with No 

Purchasers 

(including 

EWGs)

880 1

880

6

$423

5,280

$372,240

Total 

Reduction 886

5,316

$374,778

 

Title: Annual Report of Twenty Largest Purchasers (FERC-566).

Action: Revision to existing collection.

OMB Control No: 1902-0114.

Respondents: Business or other for profit, and not for profit institutions.

 12 The estimates for cost per response are derived using the following formula: 

Burden Hours per Response * $70.50/hour = Cost per Response. The $70.50/hour figure 

is based on the average salary plus benefits for a FERC employee. We assume that 

industry respondents earn at a similar rate. 

13 Total Annual Burden Hours * $70.50.
Docket No. RM15-3-000 - 8 -

Frequency of Responses: Annually.

Necessity of the Information: The Commission is required by the Federal Power Act to 

collect information on public utilities’ twenty largest retail purchasers. This information 

helps the Commission understand electric energy markets and transactions, in order to 

better safeguard public and private interests. Upon review, the Commission proposes that 

certain entities no longer need to make the annual filing. 

Internal review: The Commission has assured itself, by means of its internal review, that 

there is specific, objective support for the burden estimates associated with the 

information requirements.

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

contacting the Federal Energy Regulatory Commission, Office of the Executive Director, 

888 First Street, NE, Washington, DC 20426 [Attention: Ellen Brown, e-mail: 

DataClearance@ferc.gov, phone: (202) 502-8663, fax: (202) 273-0873]. 

15. Comments concerning the information collection proposed in this NOPR and the 

associated burden estimates, should be sent to the Commission in this docket and may 

also be sent to the Office of Management and Budget, Office of Information and 

Regulatory Affairs [Attention: Desk Officer for the Federal Energy Regulatory 

Commission]. For security reasons, comments should be sent by e-mail to OMB at the 

following e-mail address: oira_submission@omb.eop.gov. Please reference the docket 

numbers of this Notice of Proposed Rulemaking (Docket No. RM15-3-000) in your 

submission.
Docket No. RM15-3-000 - 9 -

III. Environmental Analysis

16. 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.14 This action has been categorically excluded under section 

380.4(a)(2)(ii), addressing the collection of information.

15

IV. Regulatory Flexibility Act 

17. The Regulatory Flexibility Act of 1980 (RFA)16 generally requires a description 

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

number of small entities. This NOPR proposes to revise the Commission’s regulations to 

reduce reporting burdens. Specifically, the Commission proposes to eliminate the 

requirement to submit FERC-566 for RTOs and ISOs, EWGs, and those public utilities 

that did not make retail sales in the preceding three years. The Commission is also 

simplifying the requirements for existing filers, as they will no longer have to identify 

individual residential customers by name and address. 

18. The Commission estimates that, on average, each of the entities that will no longer 

have to file the FERC-566 will experience a reduction in cost of $423 per year. 

 14 Regulations Implementing the National Environmental Policy Act of 1969, 

Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. Preambles 1986-

1990 ¶ 30,783 (1987).

15 18 CFR 380.4(a)(2)(ii).

16 5 U.S.C. 601-12.
Docket No. RM15-3-000 - 10 -

19. Accordingly, the Commission certifies that this NOPR, if adopted, will not have a 

significant economic impact on a substantial number of small entities.

V. Comment Procedures

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

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

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

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

Docket No. RM15-3-000, and must include the commenter's name, the organization they 

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

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

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

most standard word processing formats. Documents created electronically using word 

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

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

filing.

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

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

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

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

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

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

on other commenters.
Docket No. RM15-3-000 - 11 -

VI. Document Availability

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

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

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

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

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

Washington DC 20426.

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

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

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

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

document in the docket number field.

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

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

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

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

at public.referenceroom@ferc.gov.
Docket No. RM15-3-000 - 12 -

List of subjects in 18 CFR Part 46 

Electric utilities; Reporting and recordkeeping requirements

By direction of the Commission.

( S E A L )

Nathaniel J. Davis, Sr.,

Deputy Secretary.
Docket No. RM15-3-000 - 13 -

In consideration of the foregoing, the Commission proposes to amend Part 46, 

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

PART 46 – PUBLIC UTILITY FILING REQUIREMENTS AND FILING 

REQUIREMENTS FOR PERSONS HOLDING INTERLOCKING POSITIONS

1. The authority citation for Part 46 continues to read as follows:

Authority: 16 U.S.C. 792-828c; 16 U.S.C. 2601-2645; 42 U.S.C. 7101-7352; E.O. 

12009, 3 CFR 142.

2. Section 46.3 is revised as follows:

a. Paragraph (a) is revised as drafted below;

b. New paragraph (2) is added as drafted below;

c. New paragraph (3) is added as drafted below;

d. New paragraph (4) is added as drafted below;

e. New paragraph (5) is added as drafted below.

. § 46.3 Purchaser list.

(a)(1) Compilation and filing list. On or before January 31 of each year, except as 

provided below, each public utility shall compile a list of the purchasers described in 

paragraph (b) of this section and shall identify each purchaser by name and principal 

business address. The public utility must submit the list to the Secretary of the 

Commission in accordance with filing procedures posted on the Commission’s Web site 

at http://www.ferc.gov and make the list publicly available through its principal business 

office.

(2) Notwithstanding section (a)(1), public utilities that are defined as Regional 

Transmission Operators, as defined in § 35.34(b)(1) of this chapter, and public utilities 
Docket No. RM15-3-000 - 14 -

that are defined as Independent System Operators, as defined in § 35.46(d) of this 

chapter, are exempt from the requirement to file. 

(3) Notwithstanding section (a)(1), public utilities that meet the criteria for exempt 

wholesale generators, as defined in § 366.1 of this chapter, and are certified as such

pursuant to § 366.7 of this chapter, are exempt from the requirement to file.

(4) Notwithstanding section (a)(1), public utilities that have no reportable sales as 

defined in section (b) in any of the three preceding years are exempt from the 

requirement to file.

(5) Notwithstanding section (a)(1), individual residential customers on the list may 

be identified as “Residential Customer,” and with a zip code in lieu of an address.

* * * * *