Document ID: FERC-2014-1659-0001
Agency: ferc
Document Type: Proposed Rule
Title: Public Utility Filing Requirements
Posted Date: 2014-12-31T05:00Z

[Federal Register Volume 79, Number 250 (Wednesday, December 31, 2014)]
[Proposed Rules]
[Pages 78739-78742]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-30366]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 46

[Docket No. RM15-3-000]

Revisions to Public Utility Filing Requirements

AGENCY: Federal Energy Regulatory Commission, Energy.

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 March 2, 2015.

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-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:

Notice of Proposed Rulemaking

Table of Contents

 
                                                               Paragraph
                                                                 Nos.
 
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
 

    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\
---------------------------------------------------------------------------

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

    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 principal business address, and shall

[[Page 78740]]

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\
---------------------------------------------------------------------------

    \2\ 18 CFR part 46 (2014).
    \3\ 18 CFR 46.3.
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \7\ Id. at 8.
---------------------------------------------------------------------------

    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, 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.
---------------------------------------------------------------------------

    \8\ 16 U.S.C. 825(c)(2)(D).
---------------------------------------------------------------------------

B. EWGs

    8. Similarly, the Commission proposes to eliminate the requirement 
to submit FERC-566 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 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.
---------------------------------------------------------------------------

    \9\ 18 CFR 336.1 (emphasis added).
---------------------------------------------------------------------------

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. 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

[[Page 78741]]

collections of information display a valid OMB control number.
---------------------------------------------------------------------------

    \10\ 44 U.S.C. 3507(d).
    \11\ 5 CFR 1320.11.
---------------------------------------------------------------------------

    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.
    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:

----------------------------------------------------------------------------------------------------------------
                                                                                                       Total
                                                  Annual  number                   Reduction in    reduction in
                                     Number of     of  responses   Total number       average     annual  burden
       Respondent category          respondents         per        of responses    burden hours   hours  & total
                                                    respondent                      & cost per     annual  cost
                                                                                   response \12\       \13\
                                             (1)             (2)     (1)*(2)=(3)             (4)     (3)*(4)=(5)
----------------------------------------------------------------------------------------------------------------
RTOs/ISOs.......................               6               1               6               6              36
                                                                                            $423          $2,538
Filers with No Purchasers                    880               1             880               6           5,280
 (including EWGs)...............                                                            $423        $372,240
                                 -------------------------------------------------------------------------------
    Total Reduction.............  ..............  ..............             886  ..............           5,316
                                                                                                        $374,778
----------------------------------------------------------------------------------------------------------------

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

    \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.
---------------------------------------------------------------------------

    Action: Revision to existing collection.
    OMB Control No: 1902-0114.
    Respondents: Business or other for profit, and not for profit 
institutions.
    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, email: 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 email to OMB at the 
following email 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.

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\
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

    \16\ 5 U.S.C. 601-12.
---------------------------------------------------------------------------

    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.
    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 March 2, 2015. 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

[[Page 78742]]

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.

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 
Web site 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. Email the Public Reference Room at 
public.referenceroom@ferc.gov.

List of Subjects in 18 CFR Part 46

    Electric utilities; Reporting and recordkeeping requirements.

    By direction of the Commission.

    Dated: December 18, 2014.
Nathaniel J. Davis, Sr.,
Deputy Secretary.

    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

0
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.

0
2. Section 46.3 is amended by revising paragraph (a) to read as 
follows:

Sec.  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 paragraph (a)(1) of this section, public 
utilities that are defined as Regional Transmission Operators, as 
defined in Sec.  35.34(b)(1) of this chapter, and public utilities that 
are defined as Independent System Operators, as defined in Sec.  
35.46(d) of this chapter, are exempt from the requirement to file.
    (3) Notwithstanding paragraph (a)(1) of this section, public 
utilities that meet the criteria for exempt wholesale generators, as 
defined in Sec.  366.1 of this chapter, and are certified as such 
pursuant to Sec.  366.7 of this chapter, are exempt from the 
requirement to file.
    (4) Notwithstanding paragraph (a)(1) of this section, 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 paragraph (a)(1) of this section, individual 
residential customers on the list may be identified as ``Residential 
Customer,'' and with a zip code in lieu of an address.
* * * * *
[FR Doc. 2014-30366 Filed 12-30-14; 8:45 am]
BILLING CODE 6717-01-P