eTariff Implementation Guide

eTariff implementation-guide.pdf

FERC-516, (VERs, Final Rule in RM10-11) Electric Rate Schedules and Tariff Filings

eTariff Implementation Guide

OMB: 1902-0096

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FEDERAL ENERGY REGULATORY COMMISSION
Office of the Secretary

Implementation Guide for Electronic Filing of
Parts 35, 154, 284, 300, and 341 Tariff Filings
Version: January 23, 2012

Form Approved
OMB Control Nos. 1902-0089 (Oil program) (Expires 4/30/20123/31/2015)
1902-0096 (Electric program) (Expires 1/31/2015)
1902-0154 (Gas program) (Expires 8/31/2012)
1902-0086 (NGPA 311 program) (Expires 1/31/2015)

Implementation Guide for Electronic Tariff Filing

Implementation Guide for Electronic Tariff Filing
Executive Summary
This implementation guide is for use by entities required to submit tariffs, rate
schedules, and service agreements together with supporting documentation to the
Federal Energy Regulatory Commission (FERC) pursuant to Title 18 Code of Federal
Regulations Parts 35, 154, 284, 300, 341 or other Parts as required by FERC. Filings
which historically were submitted in hard copy should be submitted electronically
according to the guidelines contained herein. To accomplish this, the components of
the previous filings will need to be separated into various pieces of identifying
information as defined by the data elements contained herein. These data elements
and their accompanying data, are hierarchically organized by the XML schema and
when compiled constitute an XML filing package for an electronic Tariff Filing. The XML
filing package is then uploaded through a web portal. The following is a guide
describing the various processes/mechanisms, data tables, code values/reference
tables, and technical specifications used in the submission of such Tariff Filings.
Table of Contents:
GENERAL INFORMATION........................................................................................................ 2
I. Purpose: ................................................................................................................................ 2
II. Who Must File: .................................................................................................................... 2
III. What To Submit:................................................................................................................ 2
IV. When To Submit: .............................................................................................................. 3
V. Where To Submit: .............................................................................................................. 3
Data Element Overview: ........................................................................................................... 4
Details of Individual Data Elements:..................................................................................... 4
Filing Data Table Data Elements: ....................................................................................... 4
Attachment Data Table Data Elements:............................................................................ 6
Tariff Record Content Data Table Data Elements:......................................................... 8
DATA DICTONARY................................................................................................................... 14
Filing Data............................................................................................................................... 15
Attachment Data ................................................................................................................... 18
Tariff Record Content Data ................................................................................................ 20
Code Values Dictionaries and FERC Reference Tables ................................................ 24
FERC Reference Tables Provided in Downloadable Files ............................................ 25
Electronic Delivery Specifications ...................................................................................... 32
XML Schema Version 1 ....................................................................................................... 35

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Implementation Guide for Electronic Tariff Filing

GENERAL INFORMATION
I. Purpose:
Companies and entities are required to submit tariffs, rate schedules, and service agreements
together with supporting documentation to the Federal Energy Regulatory Commission (FERC)
pursuant to Title 18 Code of Federal Regulations Parts 35, 154, 284, 300, 341 or other Parts as
required by FERC. Filings which historically were submitted in hard copy should be submitted
electronically according to the guidelines contained herein.

II. Who Must File:
The companies or entities covered are those that submit tariffs, rates, or contracts with the
Commission pursuant to the Natural Gas Act (NGA), the Natural Gas Policy Act of 1978
(NGPA), the Federal Power Act (FPA), the Interstate Commerce Act (ICA), the Flood Control
Act, the Bonneville Power Act, the Northwest Power Planning Act, and other relevant statutes.
Included among the companies or entities covered by the requirements are: Regional
Transmission Organizations (RTOs) and independent system operators (ISOs); power
authorities and federal power marketing administrations which file rates, contracts, or tariffs at
the Commission; intrastate natural gas pipelines that file rates and operating conditions
pursuant to the NGPA; interstate natural gas pipelines subject to the NGA which serve only an
industrial customer; and companies or entities that may make voluntary tariff filings, such as
reciprocity filings pursuant to Order No. 888.

III. What To Submit:
Under the standards and guidelines described below, tariff filings and related supporting
material made by covered filing entities must be made in conformance with the XML schema.
The schema essentially is a method by which the filing entities can communicate information to
the Commission. The schema proscribes the metadata elements and the textual information
that must be included in the filing package. The data elements included in XML filing package
are required to properly identify the nature of the tariff filing, organize the tariff database, and
maintain the proper relationship of tariff provisions in relation to other provisions. The XML filing
package must be zipped before filing with the Commission. The XML schema will be
maintained on the Commission website along with the required codes, descriptions, and other
requirements. The Secretary of the Commission, under Order No. 703, has delegated authority
1
to make modifications to them if necessary.
Documents submitted as part of the XML filing package must conform with the Secretary of the
Commission’s instructions pertaining to allowable electronic file and document formats, the filing
of complex documents, whether paper copes are required, and procedural guidelines for
2
submissions via the Internet.

18 CFR 375.302(z) (2010).

Id.

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Implementation Guide for Electronic Tariff Filing

Special permission is required if a filing entity wants to covert an electronic tariff on file with the
Commission from a sheet or section based approach to an entire document approach.

IV. When To Submit:
The tariff filing should be filed with the Commission at the time the filing entity proposes a
change in service or rate, or as required by Commission regulation or order.

V. Where To Submit:
Submit this report to:
Office of the Secretary
Federal Energy Regulatory Commission
Washington, DC 20426

Interested persons may obtain information on the reporting requirements by contacting the
following: Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, D.C.
20426, [Attention: Information Clearance Officer, Office of the Executive Director, email:
dataclearance@ferc.gov, phone: (202) 502-8663, fax: (202) 273-0873] Please send comments
concerning the collections of information and the associated burden estimate(s), to the contact
listed above and to the Office of Information and Regulatory Affairs, Office of Management and
Budget, Washington, D.C. 20503 [Attention: Desk Officer for the Federal Energy Regulatory
Commission, phone (202) 395-7345, fax: (202) 395-7285]. Due to security concerns,
comments
should
be
sent
electronically
to
the
following
e-mail
address:
oira_submission@omb.eop.gov. Please reference the OMB control numbers identified above in
your submission.
You shall not be penalized for failure to respond to this collection of information unless the
collection of information displays a valid OMB control number.

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Implementation Guide for Electronic Tariff Filing

Data Element Overview:
The data elements are the individual pieces of information or data that make up the Tariff Filing.
Each will have a defined format, may be required, conditional or optional and may have
restricted values. A data element may contain text or an electronic file (e.g., a .PDF file) as
more fully explained in this implementation guide. An explanation of the individual data
elements is provided in the data table portion of this implementation guide. In such tables, for
each data element, the following information is provided:


Business Name



Element Name (this is the corresponding technical (metadata) name used in the XML
schema)



Definition of Data Element



Field Format (length)



Valid Values



Usage / Responsibility and Conditions

Details of Individual Data Elements:
The following are the individual data elements provided in the same order as they appear in the
Data Tables:
Note:

For additional information on each data element, e.g., formatting requirements see the
definitions and other requirements as set forth in the data tables.

Filing Data Table Data Elements:
Schema Version:
This is the version of the XML schema used to create the specific Tariff Filing. The
Schema Version and the actual schema will be published on the FERC website located
at www.ferc.gov. Any changes to the schema will be made through a FERC notice or
order.
Company Identifier:
A FERC-designated company identifier code used to define an entity registered with
FERC to make Tariff Filings. To acquire a company identifier code, a company should
apply at FERC’s Online Company Registration application, located at www.ferc.gov.
Tariff Identifier:
A unique identifier for a Tariff Submitter’s database as it pertains to the database being
modified by a Tariff Filing. A Tariff Submitter may have more than one active database.
A database may contain one or more tariffs, rate schedules, or service agreements. A
Tariff Identifier is supplied by the Tariff Submitter. Once a Tariff Identifier in a Tariff

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Filing has been accepted for filing by the Office of the Secretary (OSEC), it cannot be
changed. A Tariff Identifier cannot be reused if cancelled.
Tariff Title:
The name of the database assigned by the Tariff Submitter. The name of the database
may not be changed. It is suggested that the Tariff Submitter’s name not be included in
the Tariff Title, as the Tariff Submitter’s name is captured by the Company Identifier.
Filing Identifier:
A unique number identifying the subject Tariff Filing. The Tariff Submitter assigns the
value. Filing Identifiers do not have to be assigned sequentially from one filing to the
next. If a Tariff Filing is rejected by OSEC prior to being docketed, the Filing Identifier
may be reused.
Filing Title/Description:
The title given to the filing by the Tariff Submitter. Additional instructions may be
published on the FERC website or via FERC notice or order. This data element will be
used in eLibrary as part of the description of the Tariff Filing. The description may be
edited by the OSEC before or after posting in eLibrary.
Type of Filing Code:
A numeric code that identifies the Type of Filing being made as defined by FERC
regulation. Only one Type of Filing can be submitted in a single Tariff Filing. The Type
of Filing Code will dictate the data requirements for the subject filing. A list of allowable
codes will be published on the FERC website located at www.ferc.gov, with changes
communicated via a FERC notice or order. FERC will provide this information in CSV
(comma separated value) and PDF formats which will be updated as regulations are
modified. The Commission will use the Type of Filing Code together with the Tariff
Record Proposed Effective Date to establish whether a filing is statutory and the
applicable statutory timelines.
Associated Filing Identifier:
Identifies the previous filing, if any, to which the subject filing pertains. The value
provided is the Filing Identifier for the previous filing. When Associated Filing data is
required, only one Associated Filing number can be provided.
Validation e-mail:
An e-mail address provided by the Tariff Submitter for notification of the results of the
technical validations from the eTariff verification process. The Validation e-mail address
does not have to be eRegistered with FERC.
Payment Confirmation Code:
For certain Type of Filings, the regulations require that a fee be paid along with the Tariff
Filing. The payment of such fee is made at www.pay.gov through the FERC Online’s
eFiling page. The Payment Confirmation Code will be the Accession Number provided
on FERC Online’s pay.gov confirmation screen when. a successful payment is made.
It is suggested that the Tariff Submitter be familiar with the FERC Online’s www.pay.gov
procedures or pre-pay a set of fees prior to making the Tariff Filing with FERC to avoid
last minute delays that may prevent a timely filing.
Suspension Motion:

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As of January 2008, this data element is only applicable to certain Part 154 filings made
by interstate natural gas pipelines. It is not applicable to the electric or oil industries.
This data element indicates whether or not the Tariff Records should automatically go
into effect at the end of the applicable suspension period. If the value provided is no
(“N”), the status of the Tariff Record will remain “Suspended” until such time as the Tariff
Submitter files an appropriate motion filing. If the value provided is yes (“Y”), FERC’s
eTariff maintenance will automatically change the status from “Suspended” to “Effective”
at the end of the suspension period with no further action required of the Tariff
Submitter.

Attachment Data Table Data Elements:
Attachment Reference Code:
The data code identifies the type of attachment based on the Type of Filing Code. A list
of allowable codes will be published on the FERC website located at www.ferc.gov, with
changes communicated via a FERC notice or order. FERC will provide this information
in CSV and PDF formats which will be updated as regulations are modified. This data
element must be completed for each required attachment, regardless of whether a
waiver is requested for the subject attachment. Other attachments should use the
Attachment Reference Code provided for “Other”.
Attachment Description:
This is the description of the individual attachment. For attachments that are pre-defined
by FERC's regulations, the description should be the FERC pre-defined description. For
attachments that are added by the Tariff Submitter that are “Other”, the description can
be any value desired. The Attachment Description is not required if a waiver has been
requested for the subject attachment. The Attachment Descriptions provided will be
displayed in eLibrary. Additional instructions regarding this data element may be
published on the FERC website or via FERC notice or order.
Attachment Waiver Requested:
This data element indicates whether or not a waiver is requested. A FERC table
providing rules for attachments is located at www.ferc.gov. This table indicates whether
an attachment for a given Type of Filing Code can be waived. If an attachment is
provided, the field is filled with no (“N”). If a waiver for the attachment is allowed, and
the Tariff Submitter wants to request a waiver, the field is filled with a yes (“Y”). If “Y” is
chosen, there is no need to attach the corresponding attachment. The Waiver Request
code is solely for the purpose of passing the OSEC’s electronic filing validation checks.
The actual request for waiver of the FERC’s regulations and supporting documentation
must be provided in the transmittal letter.

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Attachment Document File Name:
This is the actual file name for the identified attachment provided by the Tariff Submitter.
The file name is the name of the individual electronic document, including the extension.
The name is chosen by the Tariff Submitter, unless otherwise provided in FERC
instructions. The OSEC’s file name extension rules will be enforced. The Attachment
Document File Name will appear in eLibrary. The Attachment Document File Name is
not required if a waiver has been requested for the subject attachment.
Attachment Document:
This is the content of the actual attached document in a base64 bit encoded binary file.
This binary file is in the native format of the saved file generated from the word
processing software, or other FERC approved software format(s), in which the
attachment was written. Base64 bit encoding is an additional step that must be applied
to the binary file, using encoding software, enabling the file to be inserted into the XML.
The Attachment Document is not required if a waiver has been requested for the subject
attachment.
All Tariff Filing attachments must meet the same rules and requirements applicable to
any document filed with FERC through its eFiling portal. Instructions with regard to the
electronic format and content of electronic documents will be published on the FERC
website located at www.ferc.gov or via FERC notice or order. However, the eTariff
verification process does not enforce these rules, which are subject to other FERC
processes.
A clean copy of the proposed tariff, rate schedule, or service agreement for posting in
eLibrary is required for all Tariff Filings. The guidelines for this document are as follows:
Guidelines for the attachment that represents the clean copy of the proposed
tariff, rate schedule, or service agreement, or portion thereof, for posting in
eLibrary:
1.

The electronic version of the clean copy of the proposed tariff, rate schedule,
or service agreement, or portion thereof, must conform with the OSEC’s
guidelines for electronically filed text documents, located at www.ferc.gov.

No information is required in the header or footer of the clean tariff, rate
schedule, or service agreement, or portion thereof, to be posted in eLibrary.
At its discretion, a Tariff Submitter may include information in the header or
footer.

When using Whole Document Format and the Record Binary Data is
submitted in PDF, a title page should be included containing the following
information:
a.
Tariff Submitter
b.
FERC Tariff Program name. The current programs are:
i. FERC FPA Electric Tariff
ii. FERC PA Electric Tariff
iii. FERC NGA Gas Tariff
iv. FERC NGPA Gas Tariff
v. FERC ICA Oil Tariff
c.
Tariff Title

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Implementation Guide for Electronic Tariff Filing
d.
e.
f.
g.
4.

Tariff Record Proposed Effective Date
Tariff Record Title
Option Code
Other information as the FERC may require by notice or order

The attachment that is the clean copy for posting in eLibrary must be identical
with that provided in the Record Binary Data with the exception of the text in
the header or footer information.

Attachment Content Type Code:
This is the numeric code representing the software format of the specific attachment. A
list of allowable codes will be published on the FERC website located at www.ferc.gov
with changes communicated via a FERC notice or order. FERC will provide this
information in CSV and PDF formats which will be updated as necessary. The
Attachment Content Type Code is not required if a waiver has been requested for the
subject attachment.
Attachment Security Level:
This code is used to indicate the level of security for the specific attachment. For
example, the code indicates whether the attachment is Public, Privileged, or if Critical
Energy Infrastructure Information (CEII) classification is being requested. Certain
attachments are required to be Public; however, those attachments may be submitted in
redacted form along with an un-redacted copy of the attachment. Additional instructions
may be published on the FERC website located at www.ferc.gov or via FERC notice or
order. The Attachment Security Level is not required if a waiver has been requested for
the subject attachment. Documents provided with a public (redacted) and non-public
levels of security should use the same Attachment Reference Code for each attachment.

Tariff Record Content Data Table Data Elements:
Tariff Record Identifier:
This data element is a numeric value assigned by the Tariff Submitter to uniquely identify
each Tariff Record. This identifier will not change with each revision within a given Tariff
Record. The Tariff Record Identifier does not have to be sequential.
Option Code:
This data element permits a Tariff Submitter to propose alternate sets of Tariff Records
(Option Sets) in a single Tariff Filing, with a request that FERC determine which Option
Set to accept (i.e., place into effect). For each set of Tariff Records, the Tariff Submitter
proposed options must start with “A” and increment sequentially through the alphabet,
i.e., the Tariff Record can not have an option designated as “A” and another option
designated as “C” without having an option of “B”. If no alternative Options Sets are
being proposed, the value for this data element would be an “A”. Each Option Set must
contain all Tariff Records for the relevant Tariff Filing even if some of the Tariff Records
are identical across the Option Sets. For Tariff Filings with multiple Option Sets, the
Tariff Submitter should make Option “A” its primary proposal. If the Type of Filing Code
provides for a statutory period and the Commission does not formally act, Option “A” will
be deemed Accepted and all other Options deemed Rejected. If FERC accepts tariff
text from various Option Sets, it will require a compliance filing.

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Implementation Guide for Electronic Tariff Filing

Tariff Record Title:
The Tariff Record Title is chosen by the Tariff Submitter for the individual Tariff Record.
The Tariff Record Title may be changed in a subsequent Tariff Filing. If the Whole
Document Format is used, the Tariff Record Title of the tariff, rate schedule, or service
agreement should reflect the existing FERC naming conventions e.g., FERC Electric
Tariff Volume Number 1, Rate Schedule X-5, Service Agreement No. 4 Under Tariff
Volume No. 3.
Record Content Description:
This is a textual description of the Tariff Record. When the database is assembled, this
field may be used to generate the database Table of Contents. The Record Content
Description may be changed in a subsequent Tariff Filing.
Record Version Number:
This is a representation of the version (designation) of the Tariff Record, in the format of
x.y.z, where “x” represents revision number for the given Tariff Record, “y” delineates
that it is a substitute for a previously filed Tariff Record, and “z” indicates that it is a
“squeeze” Tariff Record. A "squeeze" Tariff Record occurs when a Tariff Record needs
to be made effective on a date which occurs between the effective dates of two Tariff
Records with the same Tariff Record Identifier already on file with FERC. Commonly,
this occurs when a Tariff Record is suspended and subsequent Tariff Records need to
be made effective prior to when the suspended Tariff Record becomes effective. The
Tariff Submitter may choose to use only “x” for all revised, substitute, and squeezed
Tariff Records. In that case, the “y” and “z” should be zero.
This information is not used to determine actual status of a Tariff Record. This field will
not be checked by the eTariff verification process. FERC will not use it in any automated
fashion. This field is provided for ease of business and FERC referencing and will only
be used for display.
Guidelines for the Record Version Number:
1.
Each version of a Tariff Record must have a unique Record Version
Number.
2.
The “x”, “y” and “z” components:
 are integers
 begin with 0.0.0
 increment separately by one
3.
Record Version Numbers are not required for the following Type of Filings
and Tariff Record changes:
 Withdrawal
 Motions to place Tariff Records into effect or delay effectiveness
Record Narrative Name:
This is an optional data element that provides the Tariff Submitter the ability to include
an additional narrative description of the Tariff Record. As of January 2008, FERC has
not determined how this information will be utilized.
Tariff Record Collation Value:
This is a value provided by the Tariff Submitter that determines the order in which the
Tariff Records are compiled. In other words, it will provide the appropriate sequencing of
the Tariff Records. For each Tariff Record:

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


Use a unique Tariff Record Collation Value, and
It is recommended that in the preparation of a new database, a sufficient gap
(e.g., increments of 1,000) be provided between the collation values to allow for
future insertion of new Tariff Records.

A Tariff Record Collation Value may be modified as part of another Tariff Filing.
Example:
Tariff Record
Common Service Provisions
Definitions
Table of Contents

Collation Value
2000
3000
1000

The Tariff Records would be assembled in the following order:
Table of Contents
Common Service Provisions
Definitions
Tariff Record Parent Identifier:
The Tariff Record Parent Identifier provides the hierarchical structure to identify the
higher-level part of the database to which the subject Tariff Record belongs.
When a database is first organized, thought should be given to how the electronic Table
of Contents will appear. A Tariff Record that has no parent has a Tariff Record Parent
Identifier of “0”, i.e., top level record. If the value provided is not “0”, it must be a valid
Tariff Record Identifier of another Tariff Record. It is suggested by FERC that no more
than 7 levels under a top level record be used.
A Tariff Record Parent Identifier may be modified as part of another Tariff Filing.
Tariff Record Proposed Effective Date:
This indicates the date the given Tariff Record is proposed to go into effect. It is used to
determine which version of a Tariff Record change is effective in accordance with
applicable law, regulations and business practices. The data in this field is subject to
FERC review and disposition, which will impact the status of a Tariff Record for any
given period of time. The Commission will use the Type of Filing Code together with the
Tariff Record Proposed Effective Date to establish whether a filing is statutory and the
applicable statutory timelines.
If the effective date is not known at the time of the filing, such as the effective date is
contingent on FERC approval, the closing of a plant sale, etc., the date of 12/31/9998
must be used. Use of this option may have regulatory consequences depending on the
FERC Tariff Program.
Changing a Tariff Record Proposed Effective Date requires a Tariff Filing.
Record Effective Priority Order:

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A positive integer assigned by the Tariff Submitter that indicates the order of multiple
changes for a given Tariff Record (i.e., the same Tariff Record Identifier) proposed to go
into effect on the same date. The Tariff Record with the highest Record Effective Priority
Order will supersede any other Tariff Records with the same Tariff Record Identifier also
proposed to be effective for that date. The value must be unique across Tariff Records
with the same Tariff Record Identifier and Tariff Record Proposed Effective Date. It is
recommended that the default Record Effective Priority Order value be set relatively
high, e.g., 500, thereby allowing subsequent Tariff Filings with Record Effective Priority
Orders either before or after the initial Record Effective Priority Order.
Record Content Type Code:
This is the numeric code representing the software format of the specific Record Binary
Data. A list of allowable codes will be published on the FERC website located at
www.ferc.gov with changes communicated via a FERC notice or order. FERC will
provide this information in CSV and PDF formats which will be updated as necessary.
Record Binary Data:
This is the content of the Tariff Record in a Base64 bit encoded binary file. This binary
file is in the native format of the saved file generated from the word processing software,
or other FERC approved software format(s), in which the Tariff Record content was
written. Base64 bit encoding is an additional step that must be applied to the binary file,
using encoding software, enabling the file to be inserted into the XML.
All Record Binary Data must meet the same rules and requirements applicable to any
document filed with FERC through its eFiling website. Instructions with regard to the
electronic format and content of electronic documents will be published on the FERC
website located at www.ferc.gov or via FERC notice or order. However, the eTariff
verification process does not enforce these rules, which are subject to other FERC
processes.
Record Plain Text:
This is the plain text version of the content of the Record Binary Data. Formatting and
other binary values are stripped from this content. This field will be used for searching
and indexing.
Record Change Type:
This data element indicates the type of change / revision / maintenance action being
requested for the Tariff Record, e.g., new, change, cancel, etc. Some Type of Filings
are restricted to the choice of Record Change Types.
Business descriptions of the Record Change Types are as follows:
NEW:

To create a new Tariff Record Identifier.

CHANGE:

To change an existing Tariff Record. Modifications to a Tariff Record
that has been cancelled may be made if the Tariff Record Proposed
Effective Date is prior to the cancellation date.

CANCEL:

Used to cancel a Tariff Record Identifier. Once cancelled, the Tariff
Record Identifier cannot be changed with a filing that contains a Tariff
Record Proposed Effective Date that is after the accepted date of

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cancellation. Cancellation of a Tariff Record Identifier that is a Tariff
Record Parent Identifier will automatically cancel all related child Tariff
Record Identifiers.
Cancellation of a Tariff Record Identifier should not be confused with
canceling a Tariff Identifier, which requires the submission of a
cancellation Type of Filing.
WITHDRAW: Used to withdraw a pending or suspended Tariff Record. The
withdrawal of a “NEW” Tariff Record Parent Identifier will automatically
cancel all “NEW” children. Withdrawal of “CHANGE” Tariff Records
requires identification of each changed Tariff Record to be withdrawn.
Filings to withdraw Tariff Records that are no longer pending or
suspended will result in a verification error and OSEC rejection.
Depending on the program, withdrawal’s effectiveness may be reflected
automatically by FERC’s eTariff database maintenance. At a minimum,
the Tariff Submitter needs to provide the following data elements:
Tariff Record Identifier
Option Code
Record Change Type
Associated Filing Identifier
Associated Record Identifier
Associated Option Code
PRO FORMA: Used to submit a Tariff Record proposal without invoking statutory
processing timelines. The Tariff Submitter should include a Tariff
Record Proposed Effective Date, which is used for database
maintenance. Pro Forma Tariff Records cannot be converted to
effective Tariff Records by FERC, and should be resubmitted as actual
Tariff Records.
Associated Filing Identifier:
Used to provide the Tariff Filing Identifier associated with a previously filed Tariff Record
that the subject Tariff Record replaces. This field is only populated when the Associated
Filing Identifier data element (in the Filing Data Table) is populated. This data element is
used in conjunction with the Associated Record Identifier and the Associated Option
Code (below). This is not applicable to all Type of Filings.
An Associated Filing Identifier for the subject Tariff Record does not have to be the same
as the Associated Filing at the filing level used in this Tariff Filing.
Amendment and Compliance Type of Filings permit multiple Associated Filing Identifiers,
however only one Associated Filing Identifier may be provided for each Tariff Record.
Associated Record Identifier:
This field is used in conjunction with the Associated Filing Identifier and the Associated
Option Code to provide the Tariff Record Identifier of the Tariff Record which the subject
Tariff Record replaces. It should refer to a Tariff Record Identifier in a previous filing, and
this value should be that record's Tariff Record Identifier.

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Associated Option Code:
This field is used in conjunction with the Associated Filing Identifier and the Associated
Record Identifier. The value should be the correct Option Code for the Associated
Record Identifier.

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DATA DICTONARY
Introduction
The following three Data Tables make up the Data Dictionary for electronic Tariff Filings. Conceptually, the purpose of each table is:


Filing Data - describes the overall filing.



Attachment Data - supporting documents required by specific Type of Filing Code or additional documents supplied by the Tariff Submitter.



Tariff Record Content Data - the actual “text” or “content” of the tariff, rate schedule, or service agreement along with its associated
metadata.

The data elements contained in the three data tables are presented in the order in which they appear in the XML schema.

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Implementation Guide for Electronic Tariff Filing

Filing Data
This data defines the Tariff Filing and this data will be provided with each Tariff Filing.
Usage
Responsibility

Field Format
Business Name

Element Name

Definition of Data Element

(length)

Valid Values

Conditions

(1)

(2)

(3)

(4)

(5)

(6)

Schema Version

schema_version

Company Identifier company_id

Tariff Identifier

Tariff Title

tariff_id

tariff_title

The version of the XML schema used to
create the specific Tariff Filing.

Numeric (10)

Any number
between 1 and
2,147,483,648

A FERC-designated Company Identifier
Alphanumeric (10) Free form text
code used to identify an entity required to
submit Tariff Filings to FERC pursuant to
Title 18 Code of Federal Regulations Parts
35, 154, 284, 300, 341 or other Parts as
required by FERC.

Required.

Required.
Assigned by FERC and provided in the Tariff
Filing by the Tariff Submitter.

A unique identifier for the Tariff Submitter’s Numeric (10)
database assigned by the Tariff Submitter
as it pertains to the database being
modified by the Tariff Filing. This can be
any value in the allowable range of
numbers, but it must be unique for each
Tariff Submitter’s database. A Tariff
Submitter may have more than one active
database.

Any number
between 1 and
2,147,483,648

Required.

The name of the database assigned by the Alphanumeric
Tariff Submitter.
(100)

Free form text.

Required only when creating a new database.
After the initial submission, the Tariff Identifier is
used, and this data element may be left blank.

Assigned and provided by the Tariff Submitter.
The Tariff Identifier of the database cannot
change.

Assigned and provided by the Tariff Submitter.
The Tariff Title of the database cannot change.
Filing Identifier

filing_id

A unique identifier for the subject Tariff
Filing for the Tariff Submitter.

Version: January 23, 2012March 23, 2012

Numeric (10)

Any number
between 1 and
2,147,483,648

Required.
Assigned and provided by the Tariff Submitter.
This can be any value in the valid range of
numbers, but it must be unique across all Tariff
Filings for a specific Tariff Submitter.

Implementation Guide for Electronic Tariff Filing

16
Usage
Field Format

Responsibility

Business Name

Element Name

Definition of Data Element

(length)

Valid Values

Conditions

(1)

(2)

(3)

(4)

(5)

(6)

Filing Title /
Description

filing_title

The title given to the Tariff Filing by the
Tariff Submitter.

Alphanumeric (80) Free form text.

Required.
Assigned and provided by the Tariff Submitter.
This will not be used in FERC’s eTariff system
and will be used in eLibrary.

Type of Filing Code filing_type

Associated Filing
Identifier

A code that identifies the specific FERC
Numeric (10)
defined type of Tariff Filing as set forth in
Title 18 Code of Federal Regulations Parts
35, 154, 284, 300, 341 or other Parts as
required by the Commission (e.g., initial,
compliance, surcharge, etc.). The Type of
Filing will dictate the data requirements for
the subject filing

associated_filing_id The Filing Identifier for the previous Tariff
Filing to which the subject filing pertains
(i.e., associated).

Numeric (10)

See list of
Required.
codes posted @
www.ferc.gov

Any number
between 1 and
2,147,483,648

Conditional.
Assigned and provided by the Tariff Submitter.
This is not applicable to all Type of Filings.
Where it is used, it must refer to a previous Tariff
Filing, and the value should be that previous
Tariff Filing's "filing_id" value.
An example might be the subject Tariff Filing is a
compliance (or withdrawal) filing and the
previous, applicable Tariff Filing to which it
pertains must be identified in this field.

Validation e-mail

validation_email

The e-mail address provided by the Tariff
Submitter for notification of whether the
Tariff Filing meets the technical
requirements such that it can be passed
on to the OSEC for further processing.

Alphanumeric
(100)

Payment
Confirmation Code

pay_confirm_code

The Accession Number for the associated
fee that has been previously submitted via
FERC Online’s www.pay.gov, as
applicable.

Alphanumeric (15) FERC
Accession
Number in
nnnnnnnn-nnnn
format

Version: January 23, 2012March 23, 2012

Free form text

Required.

Conditional based on the Type of Filing.
Required if payment is required by the
regulations.
Provided by the Tariff Submitter.

Implementation Guide for Electronic Tariff Filing

17
Usage
Field Format

Responsibility

Business Name

Element Name

Definition of Data Element

(length)

Valid Values

Conditions

(1)

(2)

(3)

(4)

(5)

(6)

Suspension Motion suspend_motion

An indication of whether or not the Tariff
Character (1)
Records should automatically go into effect
at the end of the applicable suspension
period.

Version: January 23, 2012March 23, 2012

"Y" or "N"

Conditional based off of Type of Filing.
Provided by the Tariff Submitter.

Implementation Guide for Electronic Tariff Filing

Attachment Data
This defines data for each supporting / attached document that is either (1) being provided with the Tariff Filing or (2) for which a waiver is
requested.
Usage
Field Format

Responsibility

Business Name

Element Name

Definition of Data Element

(length)

Valid Values

Conditions

(1)

(2)

(3)

(4)

(5)

(6)

Attachment
Reference Code

att_ref_code

The FERC assigned reference code for
each attachment type.

Numeric (10)

See list of
Required.
codes posted @ Provided by the Tariff Submitter.
www.ferc.gov
If the attachment pertains to a specific document
defined for the Type of Filing, the appropriate
document reference code must be used.
Note: The code may be different for each Type
of Filing.

Attachment
Description

att_desc

The title given to the attachment submitted Alphanumeric (80) Free form text.
by the Tariff Submitter.

Attachment Waiver att_waiver_request An indication of whether or not the Tariff
Requested
Submitter is requesting a waiver for
submission of the attachment specified as
required by the Attachment Reference
Code.

Character (1)

Attachment
Document

Binary (50 MB)

att_binary_data

This is the actual document content.

"Y" - waiver is
requested
"N" or " " waiver not
requested

Binary Base64
bit encoded file
content

Required.
For attachments that are pre-defined by FERC's
regulations, the description will be the FERC predefined description. For other attachments that
are added by the Tariff Submitter, the description
can be any value desired. These descriptions will
be displayed in eLibrary as assigned and
provided by the Tariff Submitter.
Conditional on the Type of Filing – required for
those attachments that are required by
regulations.
Assigned and provided by the Tariff Submitter.
For each document that is requested to be
waived, the Attachment Reference Code (above)
is provided, and a value of "Y" is entered here. If
an actual document is being provided, this value
should be "N" or “ “.
Conditional on the Type of Filings. Required if
Attachment Document is required by regulation
and waiver of such is not requested in the field
“Attachment Waiver Requested.”
Provided by the Tariff Submitter.

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Implementation Guide for Electronic Tariff Filing

19
Usage
Field Format

Responsibility

Business Name

Element Name

Definition of Data Element

(length)

Valid Values

Conditions

(1)

(2)

(3)

(4)

(5)

(6)

Attachment
Document File
Name

att_filename

The complete file name, including the
Alphanumeric (60)
extension, assigned by the Tariff Submitter
of the Attachment Document being
attached.

Free form text. If the Attachment Waiver Requested is "Y",
Attachment Document File Name is not required.
Must not
include ? / * \ " ' Assigned and provided by the Tariff Submitter if
not otherwise pre-defined by FERC's regulations
> or <.
or instructions.
This file name will be used to identify the
document and the extension will be used for
retrieval purposes.
Valid file names cannot include special
characters such as: ? / * \ " ' > <

Attachment
Content Type
Code

att_content_type_c The numeric code representing the
ode
software format of the specific Attachment
Document.

Attachment
Security Level

att_security_level

Numeric (10)

The level of security requested for the
Character (1)
specific attached document corresponding
to the applicable Attachment Document.

See list of
Conditional, required when the Attachment
codes posted @ Document is provided.
www.ferc.gov
"P" - Public
"M" - Privileged
"X" - Critical
Energy
Infrastructure
Information
See list of
codes posted @
www.ferc.gov

Version: January 23, 2012March 23, 2012

Conditional based on Type of Filing. Required
when the Attachment Document is provided.
Certain Attachment Documents are required to
be Public.
Assigned and provided by the Tariff Submitter.

Implementation Guide for Electronic Tariff Filing

Tariff Record Content Data
This provides the data for each Tariff Record.

Business Name
(1)

Element Name
(2)

Definition of Data Element
(3)

Field Format
(length)
(4)

Valid Values
(5)

Usage
Responsibility
Conditions
(6)

Tariff Record
Identifier

record_id

An identifier for the Tariff Record within a
given database that will not change as a
result of revisions to the content of the
Tariff Record (with same or different
effective dates). No two different Tariff
Records in the same database may have
the same Tariff Record Identifier.

Option Code

option_code

An identifier that designates the alternative Character (1)
Tariff Record option being submitted. An
identifier that designates the primary Tariff
Record as “A” and designates all
alternative Tariff Record options being
submitted, if any, sequentially in alphabetic
order.

Tariff Record Title

record_title

The name of the Tariff Record contents.

Alphanumeric (60) Free form text.

Required, if Tariff Record is a first-level Parent or
in a Whole Document Format.
Optional in other cases.
Assigned by the Tariff Submitter.
This field may be used in a database generated
Table of Contents.

Record Content
Description

record_content_de
sc

Textual description of the Tariff Record.

Alphanumeric (25) Free form text.

Required.
Assigned by the Tariff Submitter.
This field may be used in a database generated
Table of Contents.

Version: January 23, 2012March 23, 2012

Numeric (10)

Any number
between 1 and
2,147,483,648

Required.
Assigned by the Tariff Submitter.
Each Tariff Record in the database has an
associated Tariff Record Identifier number that
does not change with each revision within a given
database.
The Tariff Record Identifier is not used for
collation and does not have to be assigned
sequentially.

"A" thru "Z"
allowed.

Required.
Provided by the Tariff Submitter.
Default (no more than one option is provided) is
“A”.

Implementation Guide for Electronic Tariff Filing

Business Name
(1)
Record Version
Number

Element Name
(2)
record_version_nu
m

Definition of Data Element
(3)
A representation of the version
(designation) of the Tariff Record.

Field Format
(length)
(4)

Usage
Responsibility
Conditions
(6)

Valid Values
(5)

Alphanumeric (10) x.y.z
x = revision
number
y = substitute
number

Conditional based on Type of Filing.
This information is not used to determine actual
status of a Tariff Record. It is not used in any
automated fashion other than display (possibly in
the table of contents). This data is provided for
ease of business and FERC referencing only.

z = “squeezed”
number
Record Narrative
Name

record_narrative_n An additional narrative description of the
ame
Tariff Record.

Tariff Record
Collation Value

collation_value

Tariff Record
Parent Identifier

record_parent_id

Alphanumeric
(254)

A value that will determine the sort order in Numeric (25)
which the Tariff Records are merged.

Provides the hierarchical structure to
identify the higher-level part of the
database to which this Tariff Record
belongs.

Tariff Record
proposed_effective The proposed effective date for the
Proposed Effective _date
specified Tariff Record.
Date

Version: January 23, 2012March 23, 2012

Numeric (10)

Date (10)

Free form text

Optional.

Any number
between 1 and
2,147,483,648

Required.

Any number
between 0 and
2,147,483,648

Required.

YYYY-MM-DD

Required.
Assigned by the Tariff Submitter.

Assigned by the Tariff Submitter.

Assigned by the Tariff Submitter. If the Tariff
Submitter chooses not to use the functionality of
this field, they must still populate the field with “0”.
Otherwise, the value must be a valid Tariff
Record Identifier.

Implementation Guide for Electronic Tariff Filing

Business Name
(1)

Element Name
(2)

Definition of Data Element
(3)

Field Format
(length)
(4)

A positive integer that directs which of
Numeric (10)
multiple changes of a given Tariff Record
(the same Tariff Record Identifier)
proposed to go into effect on the same
day, will take precedence, i.e., the Tariff
Record with the highest numeric value will
supersede any other Tariff Records with
the same Record Identifier also proposed
to be effective for that day.

Record Effective
Priority Order

priority_order

Record Content
Type Code

record_content_typ The version of the software used to create
e_code
the specific Tariff Record.

Record Binary Data record_binary_data The actual Tariff Record content.

record_plain_text

Record Change
Type

record_change_typ A description of the type of change being
e
requested.

Version: January 23, 2012March 23, 2012

Any number
between 1 and
2,147,483,648

Required.
Assigned by the Tariff Submitter.
Default value should allow for priority values
below and above the Tariff Record of a specific
Tariff Record Proposed Effective Date initial
value (for example: 500). The value must be
unique for a specific Tariff Record for a specific
Tariff Record Proposed Effective Date.
When the current database is assembled for a
particular effective date and there are multiple
Tariff Records with the same Record Identifier
and the same effective date, the approved Tariff
Record for that effective date with the highest
Record Effective Priority Order number will be the
effective Tariff Record.

Numeric (10)

See list of
Conditional based on Type of Filing and/or
codes posted @ structure of database.
www.ferc.gov
Provided by the Tariff Submitter.

Binary (10 MB)

Binary Base64
bit encoded file
content

Conditional based on Type of Filing and/or
structure of database.
Provided by the Tariff Submitter.

Free form text

Conditional based on Type of Filing and/or
structure of database.
Provided by the Tariff Submitter.

The plain text version of the content of the Alphanumeric (10
Record Binary Data. Formatting and other MB)
binary values are stripped from this
content.

Record Plain Text

Valid Values
(5)

Usage
Responsibility
Conditions
(6)

Alphanumeric (15) See Code
Values
Dictionary

Required.
Assigned by the Tariff Submitter. Used to identify
the appropriate Tariff Record maintenance action.
Some Type of Filings restrict the choice of
Record Change Types.

Implementation Guide for Electronic Tariff Filing

Business Name
(1)
Associated Filing
Identifier

Element Name
(2)

Definition of Data Element
(3)

Field Format
(length)
(4)

Valid Values
(5)
Number
between 1 and
2,147,483,648
used by the
Tariff Submitter
in a previous
Tariff Filing

Conditional.

Numeric (10)

Number
between 1 and
2,147,483,648
used by the
Tariff Submitter
for the targeted
Tariff Record
Identifier

Conditional.
Assigned by the Tariff Submitter.
This is not applicable to all Type of Filings.
Where it is used, it must refer to a Tariff Record
Identifier in the associated filing.

associated_option_ An identifier that designates the alternative Character (1)
code
associated record option of a previously
filed Tariff Record.

"A" thru "Z"
used by the
Tariff Submitter
for the targeted
Tariff Record
Identifier

Conditional.
Assigned by the Tariff Submitter.
Where it is used, the value should be the
applicable Option Code value for the Associated
Record Identifier.

associated_filing_id The Tariff Filing Identifier associated with a Numeric (10)
previously filed Tariff Record which the
subject Tariff Record replaces.
Note: This is used in conjunction with the
Associated Record Identifier and the
Associated Option Code (below).

Associated Record associated_record_ This is used to associate the specific
Identifier
id
content with a previously filed Tariff
Record. For example, withdrawal Tariff
Filings must identify the content being
requested to be withdrawn.
Note: This is used in conjunction with the
Associated Filing Identifier (above)
and the Associated Option Code
(below).
Associated Option
Code

Usage
Responsibility
Conditions
(6)

Note: This is used in conjunction with the
Associated Filing Identifier and the
Associated Record Identifier (above).

Version: January 23, 2012March 23, 2012

Assigned by the Tariff Submitter.
This is not applicable to all Type of Filings.
Where the Type of Filings permits or requires its
use, it must refer to a previous Tariff Filing, and
the value should be that previous Tariff Filing's
Filing Identifier.

Implementation Guide for Electronic Tariff Filing

Code Values Dictionaries and FERC Reference Tables
Certain data elements need to be populated with standardized responses (code values). Some
of these data elements lend themselves to simple code value tables as provided below. For
others, FERC will provide reference tables in a downloadable CSV file. After the following data
element code values tables is an extensive explanation of the FERC reference tables.
Data Element:

Attachment Waiver Requested

Code Value

Code Value Description

No, a waiver of the attachment is not being requested.

Yes, a waiver of the attachment is being requested.

Data Element:

Option Code

Code Value
A
B, C, through Z

Data Element:

Code Value Description
Default for the primary Tariff Record.
Subsequent codes used for alternatives and must be provided in alphabetical
order.

Record Change Type - (code values is case sensitive)

Code Value

Code Value Description

CANCEL

Used to cancel a Tariff Record Identifier.

CHANGE

Used to change an existing Tariff Record.

NEW

Used to create a new Tariff Record Identifier.

PRO FORMA

Used to submit a Tariff Record proposal without invoking statutory processing
timelines.

WITHDRAW

Used to withdraw a pending or suspended Tariff Record.

Data Element:

Suspension Motion

Code Value

Code Value Description

No, the filing should not become effective without a separate filing to request
such.

Yes, the Tariff Record(s) should go into effect at the end of the suspension
period.

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Implementation Guide for Electronic Tariff Filing

FERC Reference Tables Provided in Downloadable Files
FERC will provide reference tables in downloadable files for the remaining data elements which
have standardized code values, as well as to provide information to assist in the development of
a Tariff Submitter’s document management system and the creation of a Tariff Filing. The
downloadable files will contain the appropriate codes to be used to populate the identified XML
data elements (schema) and/or contain data that can be used to assist in error processing,
provide FERC validation information and/or FERC business rules used to process the Tariff
Filing.
This section is composed of three parts:
(1)
A list of the FERC File Downloads and their contents;
(2)
The Format of the FERC File Download Files; and
(3) A description of the data elements contained in the FERC File Downloads

(1)

List of FERC File Downloads

The following is a list of the downloadable files that FERC will post on its website, located at
www.ferc.gov. The files listed will be available in CSV and may be provided in PDF formats.







(2)

Type of Filing (filing_type) – code values and rules of use
Attachment Reference Code (att_ref_code) – code values and rules of use
Attachment Content Type Code (att_content_type_code) – code values
Attachment Security Level (att_security_level) – code values
Record Content Type Code (record_content_type_code) – code values
Validation error codes provided by FERC.

Format of the FERC File Downloads

The downloadable files posted on the FERC website will be formatted in CSV. The first row of
the file will be the title of each of the columns and will determine the order in which the
corresponding data is to appear in all subsequent rows. The following are the CSV file format
specifications:






Rows are separated by a carriage return/line feed (CRLF).
Fields are separated by commas.
When a field contains a comma, the field will be enclosed by double-quotes.
When numeric data contains decimal precision, the decimal point will be included
within the field.
When a field contains no data, the empty field will contain two delimiters next to
each other. Note that there will be no blank spaces between the delimiters.

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Implementation Guide for Electronic Tariff Filing
(3)

Description of the Data Elements contained in the FERC File Downloads

FERC’s Tariff Filing requirements are the function of many statutory, regulatory and business
processes. A Tariff Filing must satisfy many rules simply to be considered a filing acceptable for
processing by the FERC. How FERC maintains the contents of Tariff Filings is a function of
these statutory, regulatory and business rules, plus its own findings with regard to the merits of
the Tariff Submitter’s proposal(s). FERC has created software for internal purposes of
automating the Tariff Filing review process and much of the eTariff maintenance process. It is
in the interest of the FERC that Tariff Submitters create electronic Tariff Filings that are
compatible with FERC’s automated Tariff Filing and eTariff maintenance processes. For that
reason, FERC provides the public information on additional data elements that it uses as part of
its processes. This information may be used by Tariff Submitter’s document management
system to add functionality to the processes and to improve accuracy of the Tariff Filings.
FERC will not review or certify any Tariff Submitter’s document management system.
Following is a description of each of the downloadable files and the data contained in such files
(both eTariff XML data elements and non-eTariff data elements used by FERC). The names of
the columns that will be contained in the downloadable files are reflected below and are either
shown in bold text (XML schema data elements) or in italics (non-XML schema data elements).


Type of Filing (filing_type) - This file contains seventeen columns:
1. filing_type – The values are used to populate the filing_type XML data element for the
subject Tariff Filing. The statutes, regulations and business rules provide for many
different filing types. Every Type of Filing has a unique code that is randomly
generated by FERC. It is used to direct the software to a set of data elements that
describe that filing type.
2. description – Description of the filing_type.
description for each Type of Filing Code.

In this column FERC will provide its

3. prog_code: The “program code” refers to the different FERC Tariff Programs. As of
January 2008, FERC has divided the various Type of Filings into five programs which
are reflected by the six values below. FERC will allow the Tariff Submitter to determine
which Type of Filing Codes are relevant based on its FERC Tariff Programs. Within
the five programs are dozens of different Type of Filings. The values in this column are
defined below:
E = Federal Power Act Electric (Traditional Cost of Service and Market Based
Rates) Public Utilities
F = Power Administrations
G = NGA Gas Pipelines
K = NGPA 311 Gas Pipelines
M = Federal Power Act Electric (Market Based Rate) Public Utilities
O= Oil Pipelines
FERC assigns one of the above program codes to a Tariff Submitter at the time the
Tariff Submitter registers with FERC as part of the company registration process. The
Tariff Submitter can only make Tariff Filings with one of the Type of Filing Codes that
are under the same program code as the Tariff Submitter.

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Implementation Guide for Electronic Tariff Filing
Note:

The program code of “M” is a subset of the “E” program code unique for
FPA Tariff Submitters that only sell power at Market Based Rates. Tariff
Submitters with “E” and “M” program codes will need to change their
program code through the FERC company registration process if it
requires access to Type of Filing Codes not available in its program.

4. new_type – This column will indicate either yes (Y) or no (N). This reflects a type of
Baseline category Type of Filing that requires both the creation of a new Company
Identifier and a new Tariff Identifier. Such filings follow the business process rules of
Normal/Statutory type of filing category. A more detailed explanation of the broad
category of Baseline is provided below.
5. refiled_type – This column will indicate either yes (Y) or no (N). This reflects a type of
Baseline category Type of Filing wherein the Tariff Submitter already has a pre-existing
database or collection of paper tariffs, rate schedules, or service agreements and is
requesting a new Tariff Identifier. Such filings follow the business process rules of
Compliance type of filing category. A more detailed explanation of the broad category
of Baseline is provided below.
6. compliance_type – This column will indicate either yes (Y) or no (N). This reflects a
Type of Filing more fully explained below for the broad category of Compliance type.
7. amendment_type – This column will indicate either yes (Y) or no (N). This reflects a
Type of Filing more fully explained below for the broad category of Amendment type.
8. motion_type – This column will indicate either yes (Y) or no (N). This reflects a Type of
Filing more fully explained below for the broad category of Motion type.
9. withdraw_type – This column will indicate either yes (Y) or no (N). This reflects a Type
of Filing more fully explained below for the broad category of Withdraw type.
10. report_type – This column will indicate either yes (Y) or no (N). This reflects a Type of
Filing more fully explained below for the broad category of Report type.
11. cancellation_type – This column will indicate either yes (Y) or no (N). This reflects a
Type of Filing more fully explained below for the broad category of Cancellation type.
12. suspend_motion_response – This column will indicate either yes (Y) or no (N). FERC
may suspend certain Type of Filings. For some programs, the Tariff Submitter is
required to inform FERC whether or not it is submitting a motion to place suspended
Tariff Records into effect at the end of the suspension period. The download file will
indicate the Type of Filings requiring such a data element be populated by the Tariff
Submitter.
13. status_change_timeout – Many Type of Filings must be acted upon by FERC by a
certain number of days from the date of the Tariff Filing. This data element shows the
number of days from the date of the filing before the FERC internal system will
automatically change the status in the absence of a FERC order.
14. fee_required - This column will indicate either yes (Y) or no (N). If yes (Y), then this
Type of Filing requires a filing fee be made with the Commission.

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Implementation Guide for Electronic Tariff Filing

15. active_date – This column will indicate the effective date of the other data elements on
the row.
16. inactive_date – This column will indicate the retirement date of the other data elements
on the row. If there is no known retirement date, the date of 12/31/9998 will appear.
17. citation – This column provides the corresponding Citation to FERC regulation. This is
a text field that provides the reader with additional information as to the source of the
requirement.

Explanation of Type of Filing Categories:
Different Type of Filings have different business processes as required by statute,
regulation or business practice. FERC breaks down the dozens of different Type of
Filings into eight broad categories that have similar business processes. The eight
broad categories are explained below however, not all of them have individual columns
in the download file.
The eight broad categories of Type of Filings are defined by FERC as:
 Baseline - This category is used for a Type of Filing that requires a new Tariff
Identifier. Every Tariff Submitter establishing a new Tariff Identifier must
start with a Baseline filing. However, the automated processing is different
depending on whether the requested action is “New” or “Refiled” as more
fully explained in the description above for the columns “new_type” and
“refiled_type”:


Normal/Statutory - This category is used for a Type of Filing wherein the Tariff
Submitter is the proponent of the change(s) in a tariff, rate schedule, or
service agreement. This business process rule will be the most commonly
used by Tariff Submitters. FERC has rules for some programs, such as
when a Type of Filing is appropriate relative to various indices, such as the
status of a Tariff Filing or Tariff Identifier. Statutory, regulatory and
business rules apply to the status of a proposed change(s) in a tariff, rate
schedule, or service agreement. Many of these rules are automated to
change the status conditions in the appropriate circumstances. A Type of
Filing is a "normal" type if the data in the columns on the download file for
all category types (motion_type, report_type, amendment_type, etc.) are
set to "N".



Compliance - This category is used for a Type of Filing wherein the Tariff
Submitter proposes to comply with a FERC order. There is no automated
rule to change the status of the Tariff Filing. These status changes will
require FERC action.



Amendment - This category is used for Type of Filings wherein the Tariff
Submitter proposes to change a pending Tariff Filing prior to FERC or
business process rule action on a Normal/Statutory Type of Filing. A Tariff
Submitter cannot amend a filing that FERC has acted upon either by order
or by rule of law. Amendment Type of Filings modify the timing of

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automated action on the associated Normal/Statutory or Amendment Type
of Filing. Amendments can be infinitely associated with each other with the
same result of modifying the timing of automated action on the associated
Normal/Statutory Type of Filing and subordinates it to the Amendment Type
of Filing.


Motion - This category of Type of Filing can only be associated with Tariff
Records whose status condition in the FERC eTariff database is
“suspended”. The only action that a filing in this category can do is to
change the Proposed Effective Date of the Tariff Record that is
“suspended”. Any change in the tariff, rate schedule, or service agreement
is ignored. If a Tariff Submitter wishes to change both the status of
suspended Tariff Record and tariff, rate schedule, or service agreement, it
must file a “Compliance” Type of Filing.



Withdraw - This category of Type of Filing can only be associated with Tariff
Records that are (depending on the program) in the FERC eTariff database
in a “pending”, “conditional” or “suspended” status condition. Any change in
the tariff, rate schedule, or service agreement is ignored. This business
process rule may (depending on the program) automatically withdraw the
targeted Tariff Record and change the formerly “superseded” Tariff Records
to “effective.” Therefore, no additional Tariff Filing or Tariff Records are
required to reinstate the superseded Tariff Record.
Note: The Withdraw category of Type of Filing should not be confused with
the Record Change Type of WITHDRAW. The Withdraw category of
Type of Filing acts upon the associated filing as a whole, whereas the
WITHDRAW Record Change Type acts upon the associated tariff
record.



Report - This category of Type of Filing contains no Tariff Record information.
It can only be used to supplement the record of the proceeding. Basically,
the Report Type of Filing is meant to provide Tariff Submitters a means to
make complex filings with FERC in an established proceeding as an
alternative to FERC’s eFiling website portal for non-Tariff Filings.



Cancellation - This category of Type of Filing is used by the Tariff Submitter to
terminate a Tariff Identifier. Once a Tariff Identifier is cancelled, only
Compliance Type of Filings with a Proposed Effective Date before the
effective date of the cancelled Tariff Record may be filed using the
cancelled Tariff Identifier.

Attachment Reference Code (att_ref_code) - This file contains seven columns:
1.

filing_type – This column relates the Type of Filing with the available selection of
attachments.

att_ref_code – This column is used to populate the att_ref_code XML data element
field for each attachment.

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

att_desc – This column is used to populate the att_desc XML data element field for
each attachment.

citations – This column provides the corresponding Citation to FERC regulation. This
is simply a text field that provides the reader with additional information as to the
source of the requirement.

is_required – This column will indicate either yes (Y) or no (N). Certain documents are
required by either regulation or business rule for the Tariff Filing to be considered
complete enough for the OSEC to accept for filing. For each Type of Filing Code, the
attachments expected with each filing are identified, and for each attachment the
coding as to whether the attachment is required by the OSEC as a minimal condition is
provided.

can_waive - This column will indicate either yes (Y) or no (N). Some attachments may
be required, but FERC may permit the Tariff Submitter to request that the requirement
be waived. FERC will post whether a required attachment may be waived.

req_access_lvl – This column indicates the required security level on a file as indicated
in the att_security_level download file. A blank indicates no required security level.
The values are defined below:
P = Public
M = Privileged
X = Critical Energy Infrastructure Information

Attachment Content Type Code (att_content_type_code) - This file contains five columns:
1.

att_content_type_code - The values are used to populate the att_content_type_code
XML data element for each attachment.

2. description – The description of the electronic format represented by the code.
3.
4.

file_extension – This column contains the electronic format extensions.
active_date – This column will indicate the effective date of the other data elements on

the row.
5.

inactive_date – This column will indicate the retirement date of the other data elements

on the row. If there is no known retirement date, the date of 12/31/9998 will appear.



Attachment Security Level (att_security_level) - This file contains four columns:
1.

att_security_level – The values are used to populate the att_security_level field for
each attachment.

description - Description of the FERC security level associated with the
att_security_level. Note that every attached document must have a populated
att_security_level. FERC will not presume any default document security level.

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3. active_date – This column will indicate the effective date of the other data elements on
the row.
4. inactive_date – This column will indicate the retirement date of the other data elements
on the row. If there is no known retirement date, the date of 12/31/9998 will appear.




Record Content Type Code (record_content_type_code) - This file contains two columns:
1.

record_content_type_code – The values
record_content_type_code field for each record.

are

description - Describes the record_content_type_code.

used

populate

Validation Error Codes (validation_error_code.csv) - This file contains two columns:
1.

error_code – The values for the identified error.

description - Describes the error.

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the

Implementation Guide for Electronic Tariff Filing

Electronic Delivery Specifications


High-level Summary

The following section defines the technical details and processes for computer-tocomputer exchange of an XML file between a Tariff Submitter and FERC for electronicTariff Filings. It also defines eFiling authentication, eTariff portal security, and
information on error / messages, security and maintenance. It does not provide
information related to developing a Tariff Submitter’s document management system as
FERC is not providing a system to manage the Tariff Submitter’s tariffs, rate schedules,
or service agreements. The Tariff Submitter can either purchase a third party software
system, or design and develop its own system (manual or automated) to maintain its
tariffs, rate schedules, or service agreements. The Tariff Submitter will provide an XML
formatted eTariff filing in accordance with the eTariff standards and other FERC
requirements.
The Tariff Submitter will not have direct access to the FERC eTariff database to add,
change or delete records. The Tariff Submitter will only be able to maintain its data in
the FERC eTariff database via data sent through the eTariff filing process.
The following process describes the electronic Tariff Filings that must be filed through
the FERC’s eFiling web page located at www.ferc.gov.


Format of Upload Data

The eFiling portal for eTariff filing packages assumes the Tariff Submitter has already
produced an XML file that contains both data tags and embedded data per the business
specifications provided and has been packaged as a zip file. There are no restrictions
on the file name other than “normal” file naming conventions (i.e., a file name should
contain no periods except the period preceding the file extension and no backslashes),
the total character length must be 64 characters or less, and must have a “.ZIP”
extension.


Login/authentication Requirements
eRegistration:
In order to submit a Tariff Filing through the eTariff portal, the User must be
eRegistered with FERC. The eRegistration process will allow the User to login to
FERC’s eFiling portal. The instructions on how a User may become eRegistered are
located at www.ferc.gov.

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eFiling Requirements:
The FERC’s eFiling Reference Guide located at www.ferc.gov provides a step-bystep set of instructions and expected results for the eFiling process.
Company Registration Requirements:
To log into FERC’s eTariff portal, the User will be required to have a Company
Identifier and password. This Company Identifier is unique for each company filing
tariffs, rate schedules, or service agreements with FERC. All Users will enter the
same Company Identifier for a given company. The Company Identifier’s password
is company proprietary and should be treated as such. Instructions on how to obtain
a Company Identifier and password are located at FERC’s Online Company
Registration application, located at www.ferc.gov.
Note: The eTariff Company
Identifier should not be confused with the data element Company Identifier
contained in the data dictionary.


Minimum Technical Capabilities of Browser Clients

FERC’s eFiling portal is compatible with most common internet browsers, but is
optimized for use with Microsoft® Internet Explorer 7.0.


Error Codes and Handling

Error codes that can occur during the upload of the eTariff package on the FERC eFiling
portal will be provided as described in the eFiling documentation, located at
www.ferc.gov.
The e-mail that results from the eTariff verification process will use specific error
codes/descriptions. The error codes provided within the e-mail can be decoded with the
FERC-published code table located at www.ferc.gov. This table can be downloaded in
CSV format and may be available in PDF format.
If the XML file is malformed and cannot be read, to the extent OSEC is able to identify
the resulting error messages, the error messages will be provided to the Tariff Submitter
as part of the OSEC Rejection e-mail. The Tariff Submitter is responsible for
researching the nature of the XML error messages at locations such as www.w3.org
(i.e.: http://validator.w3.org/docs/errors.html).


Security Specifications

Tariff Submitters are responsible for security of the Company Identifier’s password and
all data contained in their filing that resides on their internal systems. The Company
Identifier is public information.

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Electronic transfer of the ZIP file is via the FERC eFiling portal using secure login (from
eRegistration) and HTTPS for User interaction, and data transfer using a web browser.
Refer to FERC eFiling specifications for minimal requirements of browsers using FERC
web pages located at www.ferc.gov.
Data security at FERC is the responsibility of FERC.


Testing Guidelines

FERC will provide a facility/function that will receive an eTariff XML filing package and
verify it can be opened and parsed, and, if the appropriate data is provided, it will
validate data content against production data. This facility will be available for use at
any time. Information on how to access and use this testing facility is available at
www.ferc.gov.


Maintenance

The eTariff XML schema and associated code definition and downloadable CSV files
will be maintained on the FERC website. Significant changes to any of these items will
follow normal FERC notice/comment process. This process will also indicate the
effective date of the change, and whether there will be a transition period.
Revisions to the eTariff XML schema code definition files will be posted in downloadable
XSD and PDF formats located at www.ferc.gov. In the event of a discrepancy between
the PDF and XSD files, the XSD file shall take precedence.
Revised code definition files will be posted in downloadable CSV file and may be
available in a PDF file on FERC’s website located at www.ferc.gov.
FERC will not certify or will not support software that Tariff Submitters may develop or
purchase. Owners of these software packages are responsible for their maintenance
and ensuring that any required eTariff XML schema and/or code revisions posted by
FERC are properly recognized by such software.

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XML Schema Version 1
Set forth below is Version 1 of the XML Schema that must be used to submit a Tariff
Filing through FERC’s eFiling / eTariff Portal.

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Note:

The XML Schema definition language (XSD) defines four attributes for use in XML
instance documents, indicated by the http://www.w3.org/2001/XMLSchema-instance
namespace.
Information regarding these four attributes is located at
http://msdn2.microsoft.com/en-us/library/ms256207.aspx
and
http://www.w3.org/TR/xmlschema-1/. The eTariff specifications contained in this
document utilize the nil="true" attribute to indicate an empty (null) numeric element. It
has been determined that some XML software tools do not support the nil=”true"
attribute. The software developer should thoroughly investigate the capabilities of their
development tool sets to ensure that they support the nil=”true” attribute.

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File Type	application/pdf
File Title	Implementation Guide for Electronic Tariff Filing
Subject	Implementation Guide for Electronic Tariff Filing, Documents & Filing, eTariff
Author	FERC
File Modified	2012-03-23
File Created	2012-03-23