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Frequently Asked Questions

Electric Quarterly Reports (EQRs) for 3rd Quarter 2013 and Beyond


These Frequently Asked Questions are being provided by FERC staff to assist filers in complying with the requirements set forth in Commission rules and orders for EQRs filed for the third quarter of 2013 and later. Questions and answers may be added or updated from time to time.

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Company Registration

Q.1 What option do I choose in Company Registration for a non-public utility? (As of 06/26/2017)

If your entity is a non-public utility that is required to file an EQR but does not have an eTariff, you should select the “public utilities with cost-based rates” option in Company Registration. Your selection of this option is solely for system administration purposes and does not reflect how the non-public utility sets its rates. Please see Company Registration Manual PDF

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Contract Data

Q.1 When are contracts required to be reported in the EQR? (As of 06/26/2017)

Contracts must be reported in the EQR once service under the contract begins. (Source: Order No. 2001 at PP 215-217).

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Q.2 What should be reported in FERC Tariff Reference (Field No. 19) and FERC Tariff Reference (Field No. 48)? (As of 06/26/2017)

These FERC Tariff Reference fields refer to 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 market-based rates. If the sales are market-based, the Seller’s market based rate tariff must be listed. Cost-based sales made under the WSPP Agreement should cite the WSPP tariff, and market-based sales made under the WSPP Agreement should cite the Seller’s market-based rate tariff. If a non-public utility does not have a FERC Tariff Reference, it should enter “NPU” for the FERC Tariff Reference. Unrestricted text (up to 60 characters) is submitted in these fields.

The FERC Tariff Reference fields should be populated using either the tariff designation or a truncated version of the section title of the Seller’s tariff document. For example, a section title using NAESB Business Names and adopted as FERC’s Business Names might include [Record Content Description]+[Tariff Record Title]+[Record Version Number]+[Option Code]. Each time a revision is made to the tariff being referenced, the FERC Tariff Reference field should be updated to reflect the updated tariff. The FERC Tariff Reference is not a docket number. If a contract refers to two tariffs, it should be identified as two separate contracts with two separate FERC Tariff References.

To look up a company’s tariff on the eTariff website, go to the eTariff homepage and enter your company’s name in the eTariff Viewer.

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Q.3 Can I make sales without a contract? (As of 06/26/2017)

No. If a Seller has agreed to deliver a service or product, the agreement under which that Seller makes the sale (or transaction) is considered a contract that is reported in the EQR

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Q.4 Why might I receive a date/time error when I file my contracts through EQR? (As of 06/26/2017)

The Begin Date (Field No. 43) and End Date (Field No. 44) require a numeric YYYYMMDDHHMM format. If your file does not have the date and time in this format, you will receive an error message. If the date and time are specified in the contract, then the date and time should be inserted in the format shown above; if they are not specified in the contract, the field should remain blank. Please ensure that the date fields contain valid entries.

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Q.5 What should be reported in the Contract Execution Date, Commencement Date of Contract Terms, Contract Termination Date and Actual Termination Date fields? (As of 06/26/2017)

The Contract Execution Date, the Commencement Date of Contract Terms, the Contract Termination Date, and the Actual Termination Date refer to the entire contract. The Contract Execution Date is the date the original contract was signed. If the parties signed on different dates, use the most recent date signed relative to the EQR being filed. Commencement Date of Contract Terms is the date the terms of the contract became effective relative to the EQR being filed. If those terms became effective on multiple dates (i.e., due to one or more amendments), the date 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 the most recently reported amendment may be used. The Contract Termination Date is the date that the contract expires. It is required, if specified in the contract. Actual Termination Date is the date the contract finally terminates and is required when the contract is terminated. (Source: Order No. 2001-H).

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Q.6 What do I enter if a contract does not have an Extension Provision Description (Field No. 25)? (As of 06/26/2017)

Extension Provision Description is an unrestricted text field so you can enter “None” or “N/A” if it is not specified in the contract.

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Q.7 What is the Contract Service Agreement ID (Field No. 20)? (As of 06/26/2017)

The Contract Service Agreement ID is the naming or numbering system that is used by the Seller’s company to identify the contract. It should be unique for each contract. If FERC were to request that contract from the Seller, the Seller should be able to decipher that name/number and identify the specific contract.

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Q.8 If the EQR list of valid values for Contract Product Name does not include the service or product included in my contract, what should I enter in Field No. 31? (As of 06/26/2017)

A Seller (or their designated Agent) can list the product as “Other” if the service or product is not included in the list of Contract Products.

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Q.9 What type of Service Agreements must be reported in the EQR? (As of 06/26/2017)

All service agreements and contracts must be reported in the EQR once sales under them begin. (Source: Order No. 2001 at PP 188-196). Also see the chart below.

Type of
Agreement
Required to be Reported in EQR
Conforming Cost-Based Agreements YES
Conforming Market-Based Agreements YES
Non-conforming Cost-Based Agreements YES
Non-conforming Market-Based Agreements YES
Unexecuted Cost-Based Agreements YES

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Q.10 If a Seller Company or Customer Company has a name change, should a new Commencement Date of Contract Terms (Field No. 22) be reported to reflect the effective date of the name change? (As of 06/26/2017)

The Commencement Date of Contract Terms should remain unchanged even if the Seller Company Name (Field No. 16) or Customer Company Name (Field No. 17) changes. The Commencement Date of Contract Terms would need to be changed when there is a change reported to Field Nos. 18, 23, and 25 through 44.

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Q.11 Do I need to report sales to my parent company? (As of 06/26/2017)

Yes, sales to parent companies should be reported as affiliated sales by marking “Y” in the Contract Affiliate field (Field No. 18).

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Q.12 Does Transmission Capacity Reassignment Data need to be reported? (As of 06/26/2017)

Yes, all transmission capacity reassignments since the effective date of Order No. 890 (i.e. May 14, 2007) must be reported in the EQR according to the Commission’s Notice Providing Guidance on the Filing of Information on Transmission Capacity Reassignments in Electric Quarterly Reports PDF. (Source: Order Nos. 890, 890-A, and 890-B).

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Q.13 How should I report multi-party contracts? (As of 06/26/2017)

For multi-party contracts, you should enter additional parties to a contract on separate lines within the same Contract Service Agreement ID. You will also need to change the Contract Unique ID (C1, C2, etc.) for each different party to the contract. When filing using XML, please see the XML schema found at https://www.ferc.gov/docs-filing/eqr/xml.asp

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Q.14 When reporting contracts during a quarter in which the Seller’s name changed, do I use the same “Contract Unique ID” number (Field No. 15) for the contract under both names or should I use two different “Contract Unique ID” numbers? (As of 06/26/2017)

When reporting contracts during a quarter in which the Seller’s name changed, If you decide to report the contract under both names, you will need to use two different Contract Unique ID numbers. If you decide to file the EQR under the Seller Company name that was active at the end of the quarter, then only one Contract Unique ID is required.

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Q.16 How does the validation F.21.2.1 work when I have multiple Seller Company Names? (As of 06/26/2017)

Each contract must be linked to a valid Seller. When filing using multiple Seller Company Names, each contract must be linked to a valid Seller Company Name active during that quarter.


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Contract Data / Transaction Data

Q.1 Does a Seller with no contract or transaction data in a quarter need to file an EQR for that particular quarter? (As of 06/26/2017)

Yes, at a minimum, a Seller is required to provide Identification Data every quarter, even if it has no contracts or sales. Contracts are reported when sales under the contract begin and must continue to be reported in the EQR until they are terminated. Transactions are reported in the quarter that they occur.

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Q.2 What transmission contracts and transmission sales need to be reported in the EQR? (As of 06/26/2017)

Information about standard, non-conforming, and conforming transmission service agreements should be reported in the Contract Data Section of the EQR. A transmission-owning public utility is responsible for filing its transmission-related information in the EQR, consistent with section 205(c) of the Federal Power Act. Third-party sellers of ancillary services must report information about their ancillary services in the Contract and Transaction Data Sections of the EQR. Transmission Providers that provide ancillary services under their OATTs should only report information about their ancillary services in the Contract Data Section of the EQR. Transmission transactions associated with a power sales must be reported in the Transaction Data Section of the EQR. Transmission transactions made by merchant transmission companies under a negotiated rate also need to be reported in the Transaction Data Section of the EQR. Transmission Providers must report transmission capacity reassignment agreements and transmission capacity reassignments in the Contract Data Section of the EQR.

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EQR Products

Q.1 What is a Contract Product (Field No. 31)? (As of 06/26/2017)

A Contract Product is the product that a company is offering to sell. For example, Energy and Capacity are types of Contract Products. All acceptable Contract Products are listed in Appendix A of the EQR Data Dictionary PDF. All contract products offered to be sold must be included in the Contract Data.


Q.2 Do Ancillary Services need to be reported in the EQR? (As of 06/26/2017)

Ancillary services contracts need to be reported in the Contract Section of the EQR. Ancillary services transactions made pursuant to an Open Access Transmission Tariff (OATT) do not need to be reported in the Transaction Section of the EQR. Ancillary services transactions associated with power sales need to be reported in the Transaction Section of the EQR. Third-party sellers of ancillary services must report information about their ancillary services in the Contract and Transaction Data Sections of the EQR.

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EQR Products / Ancillary Services

Q.1 How do I report sales of Automatic Generation Control (AGC), an ancillary service? (As of 06/26/2017)

AGC is not in the EQR list of Contract Products - Appendix A of the EQR Data Dictionary PDF. A Seller (or their designated Agent) should use “Regulation and Frequency Response” as a product name for AGC.

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Q.2 What product should I use for Mileage (pursuant to Order No. 755)? (As of 06/26/2017)

Mileage should be reported as “Regulation & Frequency Response.”

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General EQR

Q.1 What is EQR? (As of 06/26/2017)

The EQR is the reporting mechanism FERC uses for public utilities to fulfill their responsibility under section 205(c) of the Federal Power Act (FPA) to have their rates and charges on file in a convenient form and place. The EQR contains Seller-provided data summarizing contractual terms and conditions in agreements for all jurisdictional services, including cost-based sales, market-based rate sales, and transmission service, as well as transaction information for short-term and long-term market-based power sales and cost-based power sales. Certain non-public utilities are also required to file EQRs under section 220 of the FPA, beginning in the third quarter of 2013. The link to Commission Orders & Notices offers access to EQR-related orders and notices.

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Q.2 How do I file? (As of 06/26/2017)

EQRs must be filed electronically. Beginning with the third quarter of 2013, EQR filers must use the EQR filing system available at https://eqronline.ferc.gov. Instructions for filing can be found on the FERC website at https://www.ferc.gov/docs-filing/eqr.asp.

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Q. 3 How do I request an EQR filing extension? (As of 06/26/2017)

Extension requests should be filed in Docket No. ER02-2001-000. Extension requests must be in letter form and include the following:
  1. current date,
  2. name and CID of the company requesting an extension,
  3. contact name, address, and telephone number of the requestor,
  4. reason(s) for necessitating an extension, and
  5. proposed date by when the company expects to file the EQR.
To facilitate the processing of such requests, please include the Company Unique Identifier (CID) of the Seller within the letter. The request should be received by FERC prior to the EQR filing deadline barring extraordinary circumstances. (Source: 18 C.F.R. §§ 385.2008, 385.212). Extensions may be requested by: (1) electronic filing or (2) paper filings. Electronic filings must be made using eFiling located on the Document & Filings tab at www.ferc.gov. FERC Submission Guidelines can be found at https://www.ferc.gov/resources/guides/submission-guide.asp. Paper filings should be addressed to: Secretary, Federal Energy Regulatory Commission, 888 First Street, NE, Washington, DC 20426. The use of express or hand-delivered services for paper filings is recommended.

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Q.4 Can I file an EQR in letter or hardcopy form? (As of 06/26/2017)

No. Sellers (or their designated Agents) are required to file EQRs using the EQR electronic process located at https://eqronline.ferc.gov. Sellers may not use eFiling or paper filings to submit their EQR. (Source: Order No. 2001).

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Q.5 How do I notify FERC that there has been a merger or a name change? How do I notify FERC that I have cancelled my market-based rate tariff and will no longer file EQRs under that tariff?(As of 06/26/2017)

When a Seller’s legal name changes or a Seller wishes to relinquish its market-based rate authority, it is required to notify the Commission. In some instances, if a Seller’s name changes, it may file a Notice of Succession. If the Seller desires to cancel its tariff, it must file a Notice of Cancellation. Please see http://www.ferc.gov/industries/electric/gen-info/mbr/filings/succession.asp.

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Q.6 How long must a Seller retain records pertaining to EQR filings? (As of 06/26/2017)

Service agreements or contracts must be retained and be made available to the Commission or the public upon request. (Source: 18 C.F.R. § 35.1 (g)). Transaction information (all data and information upon which an entity billed the prices it charged for electric energy or electric energy products pursuant to the Seller’s market-based rate tariff as well as the prices it reported to price indices) must be retained for five years. (Source: 18 C.F.R. § 35.41 (d)).

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Q.7 What if an entity does not comply with its EQR filing obligations by not filing EQR(s) at all or not filing its EQR(s) in a timely manner? (As of 06/26/2017)

If an entity fails to file EQR(s), or fails to timely file EQR(s), it may be subject to Commission enforcement action. The Commission has a number of enforcement tools at its disposal, including civil penalties; disgorgement of unjust profits; the imposition of a compliance plan; and the conditioning, suspension, or revocation of market-based rate authority. The decision of whether to impose a measure is based on an evaluation of the particular circumstances of the individual case, including the frequency, scope and seriousness of the violations.

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Q.8 Does the Seller need a Company Unique Identifier (CID) to file its EQR? (As of 06/26/2017)

Yes, a CID is required by the Seller to file an EQR. A CID is obtained through the Company Registration system. For more information, please see the FERC website section on Company Registration.

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Q.9 Does an Agent need a Company Identifier (CID) or a Delegated Identifier (DID) to file an EQR on behalf of a Seller? (As of 06/26/2017)

An Agent may use either a CID or DID to file the EQR. In both cases, the Agent will need to have the Seller’s authorization within the FERC eRegistration system to be able to file on behalf of the Seller. It is not enough to register within Company Registration. A Seller’s Account Manager must also assign the Agent to file the EQR on its behalf. The Seller is required to obtain a CID through FERC’s Company Registration system. For more information, please see the FERC website section on Company Registration

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Q.10 What notification will EQR Sellers (or their designated Agents) receive when an EQR has been sent to FERC for filing? (As of 06/26/2017)

  1. An automated email of receipt will be sent to the person who submitted the EQR.
  2. A notification of validation status will be sent via email to all company-appointed Seller and Agent contacts. This notice will include any “errors” (i.e., significant defects that will result in the automatic rejection of the filing) and “warnings” (i.e., minor defects that will not result in the automatic rejection of the filing).
  3. Once validation occurs, a notification of acceptance or rejection will be sent via email to all company- appointed Seller and Agent contacts. If you do not receive an email labeled “Acceptance of Filing,” then FERC has not received your filing and you need to resend the EQR to meet filing requirements. If you receive the “Acceptance of Filing” email, then you have successfully filed an EQR for the quarter. If you receive a rejection email, you will need to take corrective action with the data and resend the EQR.

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Q.11 Is an Index Publisher file required to be filed if no transactions are reported to an index price publisher? (As of 06/26/2017)

No. If the seller did not report transactions to an index price publisher, you do not submit an Index Publisher file.

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Q.12 Is Index Reporting Data compiled and reported as a separate EQR section, much like ID Data, Contract Data, and Transaction Data? (As of 06/26/2017)

Yes, the Index Reporting Data is a separate EQR section. If Sellers are reporting to an index publisher that is not listed in the EQR, Seller representatives (or their designated Agents) should notify Commission staff of the index publisher by emailing EQR@ferc.gov.

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Q.13 In Index Reporting Data, do I list each index to which I report and each product that I report to that index? (As of 06/26/2017)

Yes, list each index price publisher to which prices are reported on a separate line in the Index Reporting Data Section. If not all transactions or products are reported to that index, specify the types of transactions or products reported to the index (e.g., next day physical energy, balance of month physical energy) in Field No. 74 (Transactions Reported).

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Q.14 If my Point of Delivery Balancing Authority (PODBA) (Field Nos. 41 and 57) is no longer listed as active for the filing period what should I use? (As of 06/26/2017)

The list of Balancing Authorities is based on OATI’s webRegistry. This updated Balancing Authorities list can be viewed in the “Allowable Entries for PORBA, PODBA, and Hubs (Fields 39-42, 57, 58)XLS document available on the EQR webpage. Be aware that these entries may change so you may need to contact the Seller Company to determine the active Balancing Authority or Hub if you receive an associated filing error.

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Q.15 When refiling my data, can I just resend my contracts data? (Added 06/26/2017)

No, when refiling data, you must refile the entire set of contracts and transactions. The EQR system replaces the old file with the new file in its entirety. If you only send the contract file, you will lose the transactions that you previously submitted.

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Q.16 How do I file the EQR for quarters prior to third quarter 2013? (As of 06/26/2017)

Filing and refiling EQRs for quarters prior to third quarter 2013 must be made using Visual FoxPro.

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Q.17 If I need to refile my EQR data, how far back do I need to go? (As of 06/26/2017)

The Commission directs filers to correct the most recent 12 reports (three years of data) with a note placed in the EQR stating that other reports may also contain the error. Please see the guidance established in Executive Order 13579 which can be found https://www.ferc.gov/docs-filing/eqr.asp.

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ID Data

Q.1 What is a Filer Unique Identifier (Field No. 1)? (As of 06/26/2017)

The Filer Unique Identifier is used to identify contact information for the Seller and the Agent.
  1. A Filer Unique Identifier of FS# (where “#” is an integer) should be used to indicate a Seller's employee contact information.
  2. A Filer Unique Identifier of FA1 should be used to indicate the Agent contact Information. The Agent may be a company employee or designated third party.
The ID Data Section of the EQR must include at least one Seller and one Agent. When filing using XML, please see the XML schema at https://www.ferc.gov/docs-filing/eqr/xml.asp to format this field.

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Q.2 If a Seller changes hands, which company is responsible for reporting the EQR for that quarter? (As of 06/26/2017)

The tariff holder at the end of the quarter is responsible for filing the EQR. Since only one file will be processed, good utility practice requires the original company to provide the necessary data to the entity that must make the EQR filing.

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Q.3 Will the EQR system accommodate Sellers who changed their name during the filing quarter? (As of 06/26/2017)

Yes. The EQR System allows quarter over quarter Name Changes validated against the names identified in Company Registration, as well as mid-quarter Name Changes (i.e., more than one Seller name per quarter) validated against Company Registration. Filers are able to file for Seller Company Name(s) that are active during that quarter in the Company Registration system. For more information, please see the FERC website section on Company Registration.

Filing under multiple Seller Company names is optional. Filers still have the choice of reporting the EQR only under the Seller Company name that is active at the end of the quarter.

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Q.4 How do I file the EQR for Sellers with name changes during the quarter? (As of 06/26/2017)

Field No. 1 (Filer Unique Identifier, or FA1) must be the Agent that is active on the date of the filing. Field No. 2 (Company Name) must be the active name of the Seller at the end of the filing quarter. Field Nos. 16 and 46 (Seller Company Name for contracts and transactions, respectively) can contain one or all names of the Seller that were active during the quarter in the Company Registration system.

In the EQR User Interface, the Seller Page contains options for the Seller Company Name to be used in that quarter’s filing. When filing using the CSV upload option, the filer has the option to file contracts and transactions associated with one or all Seller Company Names active during that quarter. When filing using XML, please see the XML schema found at https://www.ferc.gov/docs-filing/eqr/xml.asp.

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Non Public Utilities (NPUs)

Q.1 How is a non-public utility defined for EQR reporting purposes? (New 06/26/2017)

A non-public utility is any market participant that is exempted from the Commission’s jurisdiction under section 201(f) of the FPA. This term does not include an entity that engages in purchases or sales of wholesale electric energy or transmission services within the Electric Reliability Council of Texas or any entity that engages solely in sales of wholesale electric energy or transmission services in the states of Alaska or Hawaii.

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Q.2 If a non-public utility exceeds the de minimis market presence threshold but has no transactions to report for a particular quarter, does the non-public utility still need to file an EQR? (As of 06/26/2017)

Yes, at a minimum, the non-public utility Seller is required to provide Identification Data every quarter even if it has no contracts or sales. Contracts are reported when sales under the contracts begin and must continue to be reported in the EQR until they are terminated. Transactions are reported in the quarter that they occur.

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Q.3 What sales are included in the 4 million MWh market presence threshold used to determine if a non-public utility is required to file EQRs? (As of 06/26/2017)

The threshold calculation is based on the average annual wholesale sales over the preceding three years, reported by the non-public utility as “Sales for Resale” in the Energy Information Administration (EIA) Form 861. (Source: Order No. 768 at P 46). EIA Form 861 instructions for Line 12 define “Sales for Resale” as the amount of electricity sold for resale purposes, including full and partial requirements customers, firm power customers, and non-firm customers. (Source: EIA, Annual Electric Power Industry Report Instructions).

For example, the threshold calculation should include:
  • Sales by a non-public utility, such as a cooperative or joint action agency, to its members. (However, these sales do not need to be reported in the EQR). (See Order No. 768 at PP 2, 19).
  • Sales by a non-public utility under a long-term, cost-based agreement required to be made to certain customers under Federal or state statute. (However, these sales do not need to be reported in the EQR). (See Order No. 768 at PP 2, 19).
  • Sales by a non-public utility to organized RTO/ISO markets. (These sales must be reported in the EQR).

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Q.4 How does a non-public utility populate the FERC Tariff Reference field? (As of 07/23/2013)

If the non-public utility is reporting contracts or transactions that occur outside a FERC tariff, the FERC Tariff Reference field should be populated with “NPU.” https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.5 If a non-public utility has a formula rate posted on a web site, can they use a link to that site in the Rate Description field to describe the rate? (As of 06/26/2017)

Non-public utilities can provide a link to a webpage that contains a formula rate. If the webpage contains additional material, the Rate Description field must provide more detail regarding the location of the formula on the webpage. By contrast, public utilities must specify their formula rate in the EQR or reference a document in FERC’s eLibrary by Accession number; they cannot provide a link to any other webpage. (Source: Order No. 2001-H at PP 20-21).

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QF & EWG

Q.1 Do PURPA Qualifying Facilities (QF) have to file EQRs? (As of 06/26/2017)

QFs that are required to file rates under section 205 of the Federal Power Act (FPA) must file EQRs, unless their sales are otherwise exempted from such requirements. Most QF sales are likely to be sales for resale in interstate commerce, and thus would be subject to sections 205 and 206 of the FPA. Such QF sales are exempt from sections 205 and 206 of the FPA, if they meet the criteria for exemption described in section 292.601(c)(1) of the Commission’s regulations, 18 C.F.R. § 292.601(c)(1), i.e., if they are sales from a QF 20 MW or smaller, if they are sales made pursuant to a state’s implementation of section 210 of the Public Utility Regulatory Policies Act of 1978, 16 U.S.C. § 824a-3, or if they are sales made from a contract entered into on or before March 17, 2006.1 Such exempted QF sales need not be reported in the EQR. Thus, QF sales that are subject to the exemptions from sections 205 and 206 of the FPA that are listed in section 292.601(c) (1) of the Commission’s regulations do not have to be reported in EQRs.

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Q.2 Do Exempt Wholesale Generators (EWG) have to file EQRs? (As of 06/26/2017)

Yes, EWGs must file EQRs. The term “Exempt Wholesale Generator” means any person engaged directly, or indirectly through one or more affiliates, that is 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 (Source: 18 C.F.R. § 366.1). EWGs are exempt from certain regulations implementing PUHCA 2005, but they are not exempt from section 205 of the FPA. Therefore, they must file EQRs.

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Reports

Q.1 How do I retrieve historical EQR data for a company if I don’t know the current or previous name of a company in the EQR Report Viewer? (As of 06/26/2017)

EQR users can search by Company Unique Identifier (CID) and Seller Company Name within the EQR Report Viewer. Names and CIDs of entities with market-based rates can be found at: https://www.ferc.gov/industries/electric/gen-info/mbr.asp.

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Transaction Data

Q.1 Are negative and $0 prices allowed for bilateral contracts? (As of 06/26/2017)

Negative and $0 prices are allowed as entries, but you will receive a warning message informing you to double check this data. If you are being paid to sell energy, the price should be positive. If you pay to sell energy, you should use negative prices. You should not report booked out transactions using negative prices.

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Q.2 When should I add a new transaction row? (As of 06/26/2017)

A new transaction row must be used every time the terms of a particular sale change, including price and product name.

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Q.3 How do I report Transactions that were made in one quarter but actually flowed in the subsequent quarter? (As of 06/26/2017)

Transactions should be reported for the quarter in which the power flowed, or would have flowed in the case of book outs.

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Q.4 How do I report a Transaction that begins in one quarter and ends in a later quarter? (Modified 12/13/2013)

If the same transaction occurs in multiple filing quarters, it must be reported in each applicable quarter. https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.5 How do the Transaction Unique ID (Field No. 45) and the Transaction Unique Identifier (Field No. 50) differ? (As of 06/26/2017)

When filing using CSV, the Transaction Unique ID (Field No. 45) is an identifier beginning with the letter “T” and followed by a number used to designate a record containing transaction information. The Transaction Unique Identifier (Field No. 50) is a unique reference number assigned by the Seller for each transaction. When filing using XML, please see the XML schema at https://www.ferc.gov/docs-filing/eqr/xml.asp to format this field.

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Q.6 Does the Transaction Increment Name (Field No. 61) need to match the Contract Increment Name (Field No. 28)? (As of 06/26/2017)

No. The Transaction Increment Name should reflect the duration of the terms agreed upon in the transaction (i.e., the quantity sold, the hours of flow, and the pricing method). The Contract Increment Name for the contract should reflect the duration of the terms of the contract. Because these Increment Names are defined differently, they do not necessarily have to be the same. (Source: Order No. 2001-G).

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Q.7 If I have a sales contract that has an annual true-up, (i.e., at the end of the year the sum of actual delivered volumes for the year does not equal the contract volume), what transaction date do I put for the delivery of the true-up volume? (As of 06/26/2017)

Please use the actual Begin and End Date of the delivery of the true up volume.

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Q.8 Are flat rate units acceptable for Energy? (As of 06/26/2017)

“FLAT RATE” may be used as appropriate but must be converted to $/MWh in Standardized Price (Field No. 68) and MWh in Standardized Quantity (Field No. 67).

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Q.9 If a generator sells power to a marketer, and the marketer then sells that power to an RTO or ISO, who should be reported as the buyer? (As of 06/26/2017)

In this scenario, the generator would report its sale to the marketer in the EQR with the marketer listed as the Customer Company (i.e. buyer). The marketer would then report its sale to the RTO or ISO with the RTO or ISO listed as the Customer Company (i.e. buyer).

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Q.10 What should the transaction Increment Name (Field No. 61) be if there are multiple daily flows over a month? (As of 06/26/2017)

It depends on the terms of the particular sale. Please see the definitions for Increment Name (Field No. 61) in the Data Dictionary.

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Q.11 How do I report offsetting sales in an ISO/RTO? (As of 06/26/2017)

Offsetting transactions in ISO/RTO markets must be reported in the EQR in accordance with the Real Time/Day Ahead guidance document PDF. Sales in ISO/RTO markets should not be reported as “BOOKED OUT POWER.”

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Q.12 What is the Trade Date for a generation offer into the day-ahead market that was cleared by the RTO/ISO? (As of 07/23/2013)

The Trade Date should be the date the offer cleared in the day-ahead market, i.e., the day before the power flowed. https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.13 What is the Trade Date for a real-time offset of a day-ahead bid? (As of 07/23/2013)

The Trade Date should be the date of the offset. https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.14 What is the Trade Date for ancillary credits, such as Uplift or Regulation & Frequency Response? (As of 07/23/2013)

The Trade Date should be the date the markets clear. For example, if a credit is related to a day-ahead energy sale to the RTO or ISO, the correct Trade Date for the uplift credit is the day before the power flowed. If a credit is related to a real-time energy sale to an RTO or ISO, the correct Trade Date for the regulation and frequency response credit is the day the power flowed. https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.15 What is the Trade Date for a product that is imported into a market? (As of 07/23/2013)

Imports should follow the same guidelines for Trade Date as noted above for other, similar transactions. As such, the Trade Date for a day-ahead import is the day before the power was imported; the Trade Date for a real-time import is the date of the import. https://www.ferc.gov/resources/faqs/eqr-2013.asp - content

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Q.16 What is the Trade Date for a Bilateral Transaction in an RTO/ISO? (As of 06/26/2017)

Bilateral Transactions occurring between market participants within an RTO or ISO for the purchase or sale of electric energy are separate from other transactions taking place in the organized energy market. Therefore, the Trade Date for a Bilateral Transaction should be the date upon which the parties made the legally binding agreement on the price of the transaction, not necessarily the date that the trade may have been reported to an RTO or ISO.

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Q.17 Should the “RTO/ISO” value for Type of Rate (Field No. 55) be used if the sale is to the RTO/ISO? (As of 06/26/2017)

Yes. “RTO/ISO” is used in the Type of Rate field if the rate is the result of an RTO/ISO market or a sale made to the RTO/ISO. (Source: Order No. 768-A at P47).

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Q.18 Should the “Electric Index” value be used for Type of Rate (Field No. 55) if an RTO/ISO price is a component of the rate charged in a bilateral sale? (As of 06/26/2017)

Yes, use “Electric Index” in the Type of Rate field if an RTO/ISO price is a component of the rate charged in a bilateral sale. In a situation where a formula rate is tied to an RTO/ISO price, the Type of Rate should be listed as “Electric Index.” It is not an “RTO/ISO” Type of Rate because it is not the result of an RTO/ISO market or a sale made to the RTO/ISO. (Source: Order No. 768-A at P47).

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Q.19 May Sellers leave Trade Date (Field No. 53) and Type of Rate (Field No. 55) blank? (As of 06/26/2017)

If the transaction was entered into on or after July 1, 2013, Order 768-A clarified that the “Trade Date” and “Type of Rate” fields are required.

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Q.20 The price for our service or product changed many times during the reporting quarter. Can I simply average the price for the quarter and list it on one row? (As of 07/23/2013)

No, data must specifically reflect the price changes per product per timeframe during a quarter. The price and time changes can be shown as several rows within one transaction or as separate transactions. If the price changed hourly, there will be a new row for each hour.

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Q.21 What is the definition of Booked Out Power? (As of 07/23/2013)

Booked Out Power is the offsetting of opposing buy-sell transactions at the same time and place. In other words, energy or capacity contractually committed bilaterally for delivery but not actually delivered due to some offsetting or countervailing trade. For example, if A sells 50MW of power to B, and for the same time period and location B sells 50MW of power back to A, the transactions would be booked out in their entirety and no transmission would be required. Nonetheless, the transactions must both be reported in Electric Quarterly Reports. Likewise, using the example given in Order No. 2001, if A sells 50MW to B and, for the same time period and location B sells 60MW back to A, then all of these separate transactions must be reported in Electric Quarterly Reports even though only 10MW would be transmitted to A. A would report a 50MW power sale to B, and B would report a 60MW power sale to A.

Note: Booked Out Power should never be reported in the contracts portion of the EQR. (Source: Order Nos. 2001, and 2011-E.) Offsetting transactions in RTO/ISO markets must be reported in the EQR in accordance with the Real Time/Day Ahead guidance document PDF.

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Q.22 How do I report Transactions where title transfers at the interconnection of two balancing authority areas (e.g., boundary sales)? (New 06/26/2017)

If the product is delivered at the interconnection of two Balancing Authority Areas, the Point of Delivery Balancing Authority (PODBA) (Fields Nos. 41 and 57) 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. The Point of Delivery Specific Location (PODSL) (Field Nos. 42 and 58) should be reported as the specific location where the product was delivered, which may not necessarily be located in the balancing authority area that the product entered.

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Q.23 For a Transaction made with Counterparty A through ICE where the Seller pays a commission to ICE, what should Seller report in Exchange/Brokerage Service (Field No. 54): “Broker” or “ICE”? (As of 06/26/2017)

Exchange/Brokerage Service (Field No. 54) field should be ICE.

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Q.24 Should sales to Canada be reported in the EQR? (As of 06/26/2017)

Yes, sales to Canada should be reported when:
  1. the sale originates in the United States and is delivered in the United States; or
  2. the sale originates in the United States where title changes on the United States’ side of the United States-Canada border.
(Source: Order No. 2001-G at PP 64-65).

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Q.25 Should sales from Canada be reported in the EQR? (As of 06/26/2017)

Yes, when the sale originates in Canada and the title changes in the United States. (Source: Order No. 2001-G at PP 64-65).

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Q.26 What are the units for Standardized Quantity and the Standardized Price for booked out power? (As of 06/26/2017)

Both Energy and Capacity products can be booked out. If a Seller is reporting “Booked Out Power” of Energy, the units should be MWh and $/MWh for standardized quantity and standardized price respectively; if a Seller is reporting “Booked Out Power” of Capacity, the units should be MW-MO and $/MW-MO respectively. A Seller should be able to identify what product is sold or booked out.

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Q.27 I do not have any data to report for the Total Transmission Charge (Field No. 69). Can I enter “N/A”? (As of 06/26/2017)

No. If no transmission charges are incurred during the reporting period, enter 0 (zero).

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Q.28 How do I report sales under the WSPP Agreement? (As of 06/26/2017)

Cost-based sales under the WSPP Agreement should cite the WSPP tariff, and market-based sales made under the WSPP Agreement should cite the Seller’s market-based rate tariff. (Source: Order No. 2001-G at P 17). The Seller (or their designated Agent) will need to report the WSPP Agreement separately for each counterparty. The application of the WSPP Agreement to a given counterparty should be reported once a transaction occurs with the counterparty and should continue until the reporting company leaves the WSPP Agreement or determines that it is unlikely to do a bilateral transaction with the counterparty under the WSPP. The Commencement and Execution Dates should be reported as the date that the Seller joined WSPP.

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User Interface

Q.1 Using the EQR filing application, will a Seller be able to populate EQR data from multiple geographical locations? (As of 06/26/2017)

Yes. The EQR application can be accessed from multiple locations and by multiple Agents; however, only one eRegistered individual may view, or edit the working copy of the EQR file for a specific Seller and quarter at any one time. Once an Agent has clicked on the Seller to view working data, all others are locked out until the user exits the system. A Seller representative (or its designated Agent) can exit the session by logging out of the application, timing out, or filing the data with FERC. Once the Seller representative (or their designated Agent) exits, any other Seller representative (or it’s designated Agent) with access to that EQR can view the current working data.

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Q.2 If there are no changes to a Seller’s information between quarters, can the previous quarter’s information be pre-populated in the next quarter? (As of 06/26/2017)

When using Manual Entry, there is a “prefill from prior period” option that can be used to pre-populate the ID Data and Contract data. Transactions cannot pre-populated. See the User Guide for further guidance.

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Q.3 If I am myself locked out of the EQR system because someone else is looking at the data, what can I do? (As of 06/26/2017)

If the system does not let a Seller representative (or its designated Agent) view data for filing, then that Seller representative (or their designated Agent) will receive a message stating which eRegistered user is currently viewing the data. Either a Seller representative (or their designated Agent) can contact the other specified eRegistered user to coordinate their work on the EQR or, if the other Seller representative (or their designated Agent) is away from his/her desk, the application will log them out automatically after the system times out after 20 minutes of inactivity. (Note: After 15 minutes, a pop up warning message lets users know they will be timing out unless they click the OK button.) In the event that a Seller representative (or their designated Agent) is forcibly logged off (when the system times out), that data will be saved in its most current form.

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Q.4 If I send my EQR filing and it is rejected by FERC, will I lose any changes I made to the data? (As of 06/26/2017

No, if a Seller representative (or their designated Agent) creates an EQR submittal using the web interface or edits information uploaded from the CSV file using the web interface, the changes are stored in a working copy of the data on FERC servers. Working data is not considered a filing; working data is retained until it is successfully filed and accepted by FERC.

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Q.5 If a CSV file is uploaded but not filed and the system logs me out, how do I see my data? If this occurs, how do I revise the file? (As of 06/26/2017)

Once the CSV file is uploaded, data remains in the EQR system until filed. To access data uploaded before filing, a Seller representative or their designated Agent will need to log back in and select “Manual Edit” to update or file the data. (Note: Once a filing is made, a date-time stamp will appear in the “Last Action Date” column on the .main filing page.).

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Q.6 If a CSV file is uploaded but not filed and the system logs me out, how do I replace the previously uploaded CSV file? (As of 5/31/2017)

Once uploaded, data remains in the EQR system until filed. To replace uploaded data before filing, a Seller contact or designee will need to log back into the system and select “CSV New” to upload revised CSV data files. Once a filing is made, a date-time stamp will appear in the “Last Action Date” column on the .main filing page.

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Q.7 If a CSV file is uploaded and filed before logging out, what should I select in order to replace the data already filed? ((As of 06/26/2017)

Select “CSV Replace.” If there is no date-time stamp in the “Last Action Date” column, then the filing was not received by FERC.

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Q.8 If a CSV file is uploaded and filed, what should I select to edit the data already filed? (As of 06/26/2017)

Select “Manual Edit.” If there is no date-time stamp in the “Last Action Date” column, then the filing was not received by FERC.

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Q.9 What is the naming convention for the EQR CSV files? (As of 06/26/2017)

The four CSV files should be named similar to:
  1. XXXXX_ident.CSV
  2. FEL_Q3_2013_contracts.CSV
  3. Company_transactions.CSV
  4. Your_Choice_indexpub.CSV
Text in bold print is mandatory.

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Updated: June 26, 2017