FERC-919, (NOPR in RM16-3) Refinements to Policies and Procedures for Market Based Rates for Wholesale Sales of Electric Energy, Capacity and Ancillary Services by Public Utilities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
RM16-3-NOPR-Supporting Statement12-29-15.doc	Supporting Statement A	Uploaded 2015-12-29	Repair queued
RM16-3NewsRelease_20151217-3040.pdf	Supplementary Document	Uploaded 2015-12-23	Available
16 USC 824e.pdf	Supplementary Document	Uploaded 2014-01-09	Available
16 USC 824d.pdf	Supplementary Document	Uploaded 2014-01-09	Available
18 CFR 35 Subpart H.pdf	Supplementary Document	Uploaded 2014-01-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
23282	Market power analysis in new applications for market-based rates (18 CFR 35.37a)		Modified
195388	Change in Status Filings (18 CFR 35.42(a))		Modified
195386	Triennial market power analysis in category 2 seller updates (18 CFR 35.37a)		Modified

ICR Details

OMB Control No: 1902-0234	ICR Reference No: 201512-1902-006
Status: Historical Inactive	Previous ICR Reference No: 201510-1902-002
Agency/Subagency: FERC	Agency Tracking No: FERC-919
Title: FERC-919, (NOPR in RM16-3) Refinements to Policies and Procedures for Market Based Rates for Wholesale Sales of Electric Energy, Capacity and Ancillary Services by Public Utilities
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 03/23/2016
	Date Received in OIRA: 12/29/2015
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11(c) of the Paperwork Reduction Act and is withholding approval of this collection at this time. This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. The agency shall examine public comment in response to the Notice of Proposed Rulemaking and will include in the supporting statement of the next ICR, to be submitted to OMB at the final rule stage, a description of how the agency has responded to any public comments on the ICR. This action has no effect on any current approvals.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2018	36 Months From Approved	12/31/2018
Responses	509	0	509
Time Burden (Hours)	84,470	0	84,470
Cost Burden (Dollars)	0	0	0

---

Abstract: Compliance with Federal Power Act (FPA) Sections 205 and 206 make collection of this information necessary. Specifically, Section 205 of the FPA requires just and reasonable rates and charges. Section 206 allows the Commission to revoke a seller’s market-based rate authorization if it determines that the seller may have gained market power since its original authorization to charge market-based rates. The information collection requirements for FERC-919 are contained within the following categories: • Initial market power analyses to qualify for authority to charge market-based rates; • Triennial market power analysis in Category 2 seller updates , • Change in status reports . Pursuant to sections 205 and 206 of the FPA, the Commission is amending its regulations to revise Subpart H to Part 35 of Title 18 of the Code of Federal Regulations (CFR), which governs market-based rate authorizations for wholesale sales of electric energy, capacity, and ancillary services by public utilities. In this NOPR in Docket RM16-3, the Commission proposes to amend its regulations to clarify the scope of ownership information that sellers seeking to obtain or retain market-based rate authority must provide. The Commission proposes to find that the current policy that requires sellers to provide comprehensive ownership information is not necessary for the Commission’s assessment of horizontal or vertical market power. The Commission further proposes to amend its regulations to clarify the types of ownership changes that must be reported to the Commission via a notice of change in status.

---

Authorizing Statute(s): US Code: 16 USC 824(d),(e) Name of Law: Federal Power Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1902-AF16	Proposed rulemaking	80 FR 80302	12/24/2015

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Change in Status Filings (18 CFR 35.42(a))
Triennial market power analysis in category 2 seller updates (18 CFR 35.37a)
Market power analysis in new applications for market-based rates (18 CFR 35.37a)

---

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

Burden Increase Due to:

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

Burden Reduction Due to: Changing Regulations

Short Statement: In RM16-3, FERC proposes to amend 18CFR section 35.37(a)(2) to provide a new framework under which sellers would be required to describe their ownership structure that is both less burdensome for the industry and more useful to the Commission for purposes of whether a seller should have market-based-rate authority. Under this new framework, FERC proposes to revise section 35.37(a)(2) of the Commission’s regulations to define an affiliate owner as an owner that meets the definition of affiliate provided in 18 CFR 35.36(a)(9). FERC proposes to require that a seller seeking to obtain or retain market-based rate authority identify and describe 2 categories of upstream owners. First, a seller must identify and describe the furthest upstream affiliate owner(s) in its ownership chain, which we propose to define as the seller’s “ultimate affiliate owner(s).” Second, a seller must identify and describe all affiliate owners that have a franchised service area or market-based rate authority, or that directly own or control: generation; transmission; intrastate natural gas transportation, storage or distribution facilities; physical coal supply sources or ownership of or control over who may access transportation of coal supplies. To the extent that an affiliate owner does not fall into either of the two categories described above, the seller will not need to identify it when describing its ownership structure.

---

Annual Cost to Federal Government: $2,994,793

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

---

Common Form ICR:  No

---

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: 12/29/2015

---