FERC-921 (Final Rule in RM11-17) Ongoing Electronic Delivery of RTO/ISO Data

Forms and Documents

Document Name	Status
4_26_12 supp state.doc Supporting Statement A	2012-04-26
Press Release_20120419-3068.doc Supplementary Document	2012-04-19
separate ATTACHMENT for statute.doc Supplementary Document	2011-11-01
press release issued 10_20_2011__20111020-3087.doc Supplementary Document	2011-10-20

IC Document Collections

IC ID	Document Title	Status
199897	Ongoing Electronic Delivery of RTO/ISO Data	Modified

ICR Details

OMB Control No: 1902-0257	ICR Reference No: 201204-1902-002
Status: Historical Active	Previous ICR Reference No: 201110-1902-004
Agency/Subagency: FERC	Agency Tracking No: FERC-921
Title: FERC-921 (Final Rule in RM11-17) Ongoing Electronic Delivery of RTO/ISO Data
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/29/2012
	Date Received in OIRA: 05/09/2012
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years with the following terms of clearance. In the resubmission of this information collection for renewal, the Commission is requested to include a brief summary of (1) publically-available analyses, rulemakings, and aggregated data dissemination that this collection enabled, and/or (2) Commission plans for public dissemination of this information at a level that maintains the confidentiality of the data.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2015	36 Months From Approved
Responses	6	0	0
Time Burden (Hours)	2,334	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: [Please note FERC-921 is a new collection. However it received a 'placeholder' OMB control No. at the NOPR stage but was not approved by OMB at that point.] FERC is revising its regulations to require each regional transmission organization (RTO) and independent system operator (ISO) to electronically deliver to the FERC, on an ongoing basis, data related to the markets that it administers. FERC, acting pursuant to sections 301(b) and 307(a) of the Federal Power Act (FPA), will amend its regulations to establish ongoing electronic delivery of data relating to physical and virtual offers and bids, market awards, resource outputs, marginal cost estimates, shift factors, financial transmission rights (FTR), internal bilateral contracts, uplift, and interchange pricing. Such data will facilitate the FERC's development and evaluation of its policies and regulations and will enhance FERC efforts to detect anti-competitive or manipulative behavior, or ineffective market rules, thereby helping to ensure just and reasonable rates.

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Authorizing Statute(s): US Code: 16 USC 824d, e, v; 825(b), f(a) Name of Law: Federal Power Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1902-AE43	Final or interim final rulemaking	77 FR 26674	05/07/2012

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Ongoing Electronic Delivery of RTO/ISO Data

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	6	0	0	6	0	0
Annual Time Burden (Hours)	2,334	0	0	2,334	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Final Rule minimizes the added burden on regional organized market administrators by phasing in implementation requirements and not requiring data to be consistently formatted across all regional organized markets. [Those changes resulted from comments since issuance of the proposed rule.] FERC recognizes that there will be an initial implementation burden associated with providing the FERC with RTO and ISO data. This includes submitting a compliance filing to the FERC, which FERC estimates as a burden of 7 hours per RTO and ISO, and implementing a process to automatically upload data to an SFTP site for FERC use (including development, testing and production). FERC estimates a burden of 1040 hours per RTO and ISO for the development, testing and production of an automated process to provide the Commission with the data required in this final rule. In this regard, though, RTO and ISO markets have already developed capabilities necessary to handle RTO and ISO data in an automated manner. For instance, through their Open Access Same-time Information Systems (OASIS), RTOs and ISOs already make certain market data publicly available using automated procedures. Likewise, some RTOs and ISOs have developed procedures similar to those contained in this final rule to deliver data to their MMUs. For the recurring effort involved in electronically delivering RTO and ISO data to the Commission, the Commission anticipates that the additional burden associated with this rule will be minimal (estimated at an average of 40 hours per year per respondent). Any recurring burden would be associated with addressing updates to RTO and ISO data as the data that they process changes and due to occasional errors in the data handling or data upload process.

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Annual Cost to Federal Government: $2,390,132

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/09/2012

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