[Federal Register: June 7, 2002 (Volume 67, Number 110)]
[Rules and Regulations]               
[Page 39272-39286]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07jn02-12]                         

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 35

[Docket No. RM01-8-000]

 
Revised Public Utility Filing Requirements

Issued May 31, 2002.
AGENCY: Federal Energy Regulatory Commission.

ACTION: Order Issuing Interim Instruction Manual for Electronic Filing 
of Electric Quarterly Reports.

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SUMMARY: In this order, the Federal Energy Regulatory Commission (the 
Commission) issues an instruction manual for public utilities to use to 
file their Electric Quarterly Reports on or before July 31, 2002 and 
October 31, 2002.

FOR FURTHER INFORMATION CONTACT: H. Keith Pierce (Technical 
Information), Office of Markets, Tariffs, and Rates, Federal Energy 
Regulatory Commission, 888 First Street, NE, Washington, DC 20426. 
(202) 208-0525.
    Barbara D. Bourque (Information Technology Information), Office of 
Markets, Tariffs, and Rates, Federal Energy Regulatory Commission, 888 
First Street, NE., Washington, DC 20426. (202) 208-2338.
    Gary D. Cohen (Legal Information), Office of the General Counsel, 
Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426. (202) 208-0321.

SUPPLEMENTARY INFORMATION:

    Before Commissioners: Pat Wood, III, Chairman; William L. 
Massey, Linda Breathitt, And Nora Mead Brownell.

Order Issuing Instruction Manual for Public Utilities To Use To File 
Their Electric Quarterly Reports

Issued May 31, 2002.
    In Revised Public Utility Filing Requirements, Final Rule, Order 
No. 2001, 67 FR 31043, FERC Stats. & Regs. [para] 31,127 (April 25, 
2002), the Commission stated that, in the near future, it would issue 
an instruction manual to govern the filing of the Electric Quarterly 
Reports covering the second and third calendar quarters of 2002. In 
this order, the Commission does so.
    Order No. 2001 also explained that, for the reports public 
utilities file on or before July 31, 2002 and October 31, 2002, 
respondents will use the FERC electronic filing system (available on 
the FERC Internet site, www.ferc.gov) using the link labeled e-Filing. 
``Contract data'' for agreements entered into and under which service 
was first rendered between April 1, 2002 and June 30, 2002 will be 
reported in the filing due by July 31, 2002, and will be reported 
thereafter until the contracts expire.\1\ Contract data for agreements 
entered into and under which service was first rendered between July 1, 
2002 and September 30, 2002 will be reported in the filing due by 
October 31, 2002, and will be reported thereafter until the contracts 
expire. Electric Quarterly Reports filed by July 31, 2002 will include 
``transaction data'' for all power sales made between April 1, 2002 and 
June 30, 2002. Electric Quarterly Reports filed by October 31, 2002 
will include transaction data for all power sales made between July 1, 
2002 and September 30, 2002.\2\ The public will be able to view and 
download filed documents from the FERC Internet site using either the 
RIMS or FERRIS document management systems.\3\
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    \1\ Order No. 2001, Attachment C, specifies the contract data 
elements to be included in Electric Quarterly Reports.
    \2\ Order No. 2001, Attachment C, also specifies the Transaction 
data elements to be included in Electric Quarterly Reports.
    \3\ The RIMS option may be superseded by FERRIS before July 31, 
2002.
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    When making the first two Electric Quarterly Reports, respondents 
must go to the FERC Web site (www.ferc.gov) select ``e-Filing,'' and 
log in.\4\ At the ``Filing Type Selection'' page, filers must select 
the option for ``Electric Quarterly Report'' from the file types listed 
under ``Other.'' Respondents will, at the ``Enter Docket Number'' page, 
specify Docket No. ER02-2001-000. Respondents will file a single 
document in either Microsoft Excel or ASCII Comma Separated Values 
(CSV) format exactly as detailed in the attached ``Instruction Manual 
for Electronic Filing of Electric Quarterly Reports for the Reporting 
Periods Ending on June 30, 2002 and September 30, 2002.'' Respondents 
providing large amounts of data may wish to file separately for each 
corporate entity to avoid the 5 megabyte e-filing size constraint. 
Concurrent with the issuance of this order, the Commission will post a 
sample Microsoft Excel template file on the FERC Internet site that may 
be used in preparing the filings due on or before July 31, 2002 and 
October 31, 2002. Filed documents must not contain computer formulas or 
macros.
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    \4\ Filers who have never made an electronic filing with FERC 
must register on-line at the e-filing page.
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    For reports filed after October 31, 2002, this interim filing 
format will be replaced by an automated Electric Quarterly Report 
filing system now under development. Utilities wishing to

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participate in beta testing should e-mail Barbara Bourque at 
Barbara.Bourque@ferc.gov. The final format will be implemented in a 
subsequent order. The final format will incorporate the same data sets 
adopted in Order No. 2001.
    The Commission orders:
    The attached ``Instruction Manual for Electronic Filing of Electric 
Quarterly Reports for the Reporting Periods Ending on June 30, 2002 and 
September 30, 2002'' is hereby adopted for use by public utilities in 
preparing their Electric Quarterly Reports to be filed on or before 
July 31, 2002 and October 31, 2002, as discussed in the body of this 
order.

    By the Commission.
Magalie R. Salas,
Secretary.

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BILLING CODE 6717-01-C

I. Purpose

    In Order No. 2001,\1\ the Commission revised its regulations to add 
18 CFR 35.10b,\2\ which requires each public utility to file 
electronically with the Commission an Electric Quarterly Report each 
calendar quarter, in accordance with the schedule prescribed in the 
regulation.\3\ As provided in Order No. 2001, all of a public utility's 
transmission services, cost-based power sales, market-based power sales 
and other services will be covered in its Electric Quarterly Reports. 
Electric Quarterly Reports will summarize the pertinent terms and 
conditions of a public utility's current contractual agreements and 
provide specified data (e.g., price, quantity, parties, etc.) about the 
power sale transactions the public utility made during the reporting 
period.
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    \1\ Revised Public Utility Filing Requirements, Final Rule, 
Order No. 2001, 67 FR 31043, FERC Stats. & Regs. [para] 31,127 
(2002).
    \2\ Under the authority of the Federal Power Act, 16 U.S.C. 
791a, et seq.
    \3\ 18 CFR 35.10b prescribes the following schedule for the 
filing of Electric Quarterly Reports: for the period from January 
1st through March 31st of each year, each public utility must file 
its Electric Quarterly Report by the following April 30th; for the 
period from April 1st through June 30th of each yer, each public 
utility must file its Electric Quarterly Report by the following 
July 31st; for the period July 1st through September 30th of each 
year, each public utility must file its Electric Quarterly Report by 
the following October 31st; and, for the period October 1st through 
December 31st of each year, each public utility must file its 
Electric Quarterly Report by the following January 31st.
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    Order No. 2001 provides that the first two Electric Quarterly 
Reports (i.e., those to be filed by July 31, 2002 and October 31, 2002) 
will be governed by interim reporting requirements. Thus, these 
instructions apply to these first two reporting periods only. The 
Commission expects to complete its development of an automated Electric 
Quarterly Report filing system in time for use in Electric Quarterly 
Reports filed after October 31, 2002.
    The Electric Quarterly Report will include two groups of data, 
contracts and power sale transactions:
     Contract data about each agreement (including, but not 
limited to, electric power sales agreements and other services under 18 
CFR part 35, such as transmission agreements and interconnection 
agreements) not previously filed with the Commission under which 
service was first rendered between April 1, 2002 and June 30, 2002 will 
be reported in the filing due by July 31, 2002, and thereafter until 
the contracts expire. Contract data about

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each agreement not previously filed with the Commission under which 
service was first rendered between July 1, 2002 and September 30, 2002 
will be reported in the filing due by October 31, 2002, and thereafter 
until the contracts expire.\4\
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    \4\ The final system will include all contracts under Part 35 
purusant to electric service.
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     Pertinent data about each wholesale power sale transaction 
made by the public utility during the respective reporting periods will 
be included in the filings.
    A public utility may also report contract data for its other 
effective contracts.

II. Who Must Submit

    Each public utility as defined in section 201(e) of the Federal 
Power Act, 16 U.S.C. 824 (e) and subject to Part 35 of the Commission's 
regulations must comply with the requirement to file Electric Quarterly 
Reports.

III. What To Submit

    The Electric Quarterly Report is an electronic file that is 
classified as a ``qualified document.'' As a qualified document, no 
paper copy version of the filing is required. The internal structure of 
the file is described below for files submitted in an ASCII Comma 
Separated Values (CSV) format. Additionally, a template is provided at 
www.ferc.gov for files submitted using Microsoft Excel.
    As explained in Order No. 2001,\5\ the information required to be 
reported in Electric Quarterly Reports must be made public to achieve 
the purposes for which it is collected.
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    \5\ Order No. 2001 at n.81.
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    There is no paper format required for data reported in Electric 
Quarterly Reports. If a respondent submits a revised filing, the 
respondent must restate the original file with all additions, 
deletions, revisions, and corrections incorporated.

IV. When To Submit

    As explained in Order No. 2001, a public utility must submit its 
Electric Quarterly Report for the period April 1, 2002 through June 30, 
2002 by July 31, 2002. In addition, a public utility must submit its 
Electric Quarterly Report for the period July 1, 2002 through September 
30, 2002 by October 31, 2002. The filing dates for subsequent filings 
will be governed by 18 CFR 35.10b.

V. Where To Submit Electric Quarterly Report Filings

    Submit the electronic filing to www.ferc.gov using the e-filing 
link.

VI. General Instructions

    The Commission defined the data elements to be used in Electric 
Quarterly Reports in Order No. 2001, Attachment C. These data elements 
are applicable to the Electric Quarterly Reports to be filed by July 
31, 2002 and October 31, 2002.
    The information required for Electric Quarterly Reports to be filed 
by July 31, 2002 and October 31, 2002 must be recorded in either ASCII 
Comma Separated Values (CSV) or Microsoft Excel format. CSV formatted 
data consists of ASCII text separated by commas. Text containing commas 
must be enclosed within quotes. Numeric values shall not contain any 
commas and do not require leading zeroes. Records are separated by a 
carriage return plus line feed. If a data item is not applicable, the 
data item must be omitted, but the associated comma character for that 
item must be recorded. An example CSV file that adheres to the 
prescribed electronic filing formats is provided as the Appendix to 
this manual.
    All information required to be filed should be recorded in one 
file. The file name must not be longer than 25 characters, must not 
contain spaces or ampersands, and must be appended with ``.csv'' (for 
CSV format files) or ``.xls'' or ``.xlb'' (for Microsoft Excel files).
    Instructions for filing using the FERC e-Filing system are publicly 
posted at www.ferc.gov at the e-Filing link and are titled ``User 
Guide.'' At the FERC e-Filing ``Enter Docket Number'' page, respondents 
must enter ER02-2001-000 and click the ``Add Docket to List'' link. 
Comments may be filed via the internet in WordPerfect, MS Word, 
Portable Document Format, or ASCII format. To file the document, access 
the Commission's Web site at www.ferc.gov and click on ``e-Filing,'' 
and then follow the instructions for each screen. First time users will 
have to establish a user name and password. The Commission will send an 
automatic acknowledgment to the sender's e-mail address upon receipt of 
comments.
    Electric Quarterly Reports documents filed with the FERC e-Filing 
system will be indexed in the FERC RIMS or FERRIS system with the title 
``Electric Quarterly Report of  
under ER02-2001-000.'' If it is necessary to file a revised report, 
respondents shall file the revised document using the FERC e-Filing 
system, changing the filing title at the ``Electric Quarterly Report'' 
page from ``Electric Quarterly Report of  under ER02-2001-000'' to ``Electric Quarterly Report of 
 under ER02-2001-000 Revision 
' where  is a sequential numeric or character 
identifier such as 1, 2, 3 or A, B, C.
    User assistance for electronic filing is available at 202-208-0258 
or by e-mail to efiling@ferc.gov. Comments should not be submitted to 
the e-mail address. All comments will be placed in the Commission's 
public files and will be available for inspection in the Commission's 
Public Reference Room at 888 First Street, NE., Washington DC 20426, 
during regular business hours. Additionally, all comments may be 
viewed, printed, or downloaded remotely via the Internet through FERC's 
home page using the RIMS link. User assistance for RIMS is available at 
202-208-2222, or by e-mail to RimsMaster@ferc.gov.

VII. Data Specifications

    The information below is intended to clarify the data elements 
listed in the sample CSV format attached and the sample Excel 
spreadsheet template posted on the FERC Web site, www.ferc.gov.
    The first field listed in the Header Information is ``FA'' on the 
first line, ``FR'' on the second line, and ``FS1'' on the third line.
     FA denotes Filing Agent, and the data entered on that line 
should be applicable to the filing agent;
     FR denotes Filing Respondent, and the data entered on that 
line should be applicable to the respondent; and
     FS denotes Filing Seller and the number immediately 
following the ``FS'' will differentiate multiple sellers. Filers should 
begin at FS1 and increment the numbers (i.e., FS2, FS3, etc.) for each 
additional seller they are listing.

Filing agent, respondent, and seller may be identical. Contact name and 
address information is mandatory for the respondent, but may also be 
entered for the agent and/or seller.
    Similarly, the first field listed in the Contract Information is 
the Contract Identifier (``C1'' on the first line, and incremented for 
other contracts listed). Each contract product must be listed 
separately on its own line with the unique product specifications 
detailed. All products sold under a contract must have the same 
Contract Identifier as the rest of the products sold under that 
contract.
    The same format is used to distinguish unique transactions. Since a 
transaction can be composed of numerous transaction products (power, 
ancillary services, etc.), each transaction is given a unique 
Transaction Identifier (TR1, TR2, TR3, etc.). Each transaction

[[Page 39276]]

product should be listed separately on its own line with the unique 
specifications detailed. All transaction products sold under a single 
transaction should have the same Transaction Identifier as the rest of 
the transaction components.
    To identify the respondent, seller and customer, use of the unique 
Data Universal Numbering System (D-U-N-S[reg]) Number assigned by the 
Dunn & Bradstreet Corporation is a mandatory field. The DUNS number is 
optional for identifying the filing agent.
    Numerous fields are identified as mandatory fields in the attached 
format. If a data element is not pertinent to a contract or 
transaction, filers should enter N/A in the field. Additionally, if 
there is a list of restricted values, to the greatest extent possible, 
filers should enter one of the values listed. Restricted values are 
listed on the attached CSV format template in the Appendix. In the 
restricted values lists, the term {registered{time}  is used. This term 
indicates that the Commission expects additional values to be entered 
into this category. When the full system becomes available, entries 
will be limited to those values that are listed as being available for 
that field. If filers wish to include other values, they will need to 
register them as provided for in Order No. 2001. In the interim filers 
are requested to list the suggested values in a document and file the 
document as a Comment in Docket ER02-2001-000 via the Internet; this 
will help staff develop a comprehensive list for the ultimate system. 
Comments may be filed via the internet in WordPerfect, MS Word, 
Portable Document Format, or ASCII format.
    All rate fields (rate, rate minimum, and rate maximum) must be 
reported to a minimum of two decimal places, and a maximum of four 
decimal places. Total transmission charge and total transaction charge 
must be reported to two decimal places. The units field on the 
transaction report must define the pricing quantity units for the 
transaction.

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Legend

    *--in the Data Type column indicates a value must be supplied;
    *D--in the Data Type column indicates a value must be supplied for 
all records (rows) reported except records (rows) reporting the agent 
submitting the filing (FA);
    *C--in the Data Type column indicates a value must be supplied for 
the first Contract record for a given contract;
    *T--in the Data Type column indicates a value must be supplied for 
the first Transaction record for a given transaction;

{registered{time}  in ``Format or Acceptable Values'' in a list of 
valid values means a filer may supply a value not included in the field 
description (FERC will subsequently consider including the value in the 
list ). The following is the current list for the product name field:

Cost-Based Power Sales:
Cost-Based Power/Capacity
Economy Power/Capacity
Emergency Energy/Capacity
General Purpose Energy
Unit Power Sale
Exchange
Non-Displacement
Displacement
Peaking
Sale with exchange
Supplemental
Capacity
Energy
Back-up Power
System Black Start Capability
Energy furnished without charge
Fuel Replacement Energy
Interchange Power
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer

Market-Based Power Sales:
Load Following
Marginal Peaking
Indexed Peaking
Capacity
Energy
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer

Transmission:
Point-to-Point
Network
Capacity
Installed Capacity
SC--Schedule System Control & Dispatch
RV--Reactive Supply & Voltage Control
RF--Regulation & Frequency Response
EI--Energy Imbalance
SP--Spinning Reserve
SU--Supplemental Reserve
DT--Dynamic Transfer
Real Power Transmission Tx Loss
System Black Start Capability
Must Run
Specialized affiliate transactions
System Impact and/or Facilities Study Charge(s)
Direct Assignment Facilities Charge
Interconnection Agreement
Standards of Conduct
Network Operating Agreement

Services--Other:
Return in Kind Transactions Between Control Areas
System Operating Agreements
Reliability Agreement
Transmission Owners Agreement.
[FR Doc. 02-14282 Filed 6-6-02; 8:45 am]
BILLING CODE 6717-01-P