FERC-919, (NOPR in RM16-17) 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

Document Name	Status
RM16-17NOPR SupportingStatement 8-10-16729.docx Supporting Statement A	2016-08-11
RM16-17 tech conf 20160721-3066.docx Supplementary Document	2016-07-27
RM16-17PressRelease20160721-3035.pdf Supplementary Document	2016-07-27
USCODE-2011-title16-chap12-subchapII-sec824t.pdf Supplementary Document	2016-07-27
16 USC 824e.pdf Supplementary Document	2014-01-09
16 USC 824d.pdf Supplementary Document	2014-01-09
18 CFR 35 Subpart H.pdf Supplementary Document	2014-01-07

IC Document Collections

IC ID	Document Title	Status
23282	Market power analysis in new applications for market-based rates (18 CFR 35.37a)	Unchanged
222945	RM16-17 NOPR	New
195388	Change in Status Filings (18 CFR 35.42(a))	Unchanged
195386	Triennial market power analysis in category 2 seller updates (18 CFR 35.37a)	Unchanged

ICR Details

OMB Control No: 1902-0234	ICR Reference No: 201607-1902-006
Status: Historical Inactive	Previous ICR Reference No: 201604-1902-006
Agency/Subagency: FERC	Agency Tracking No: FERC-919
Title: FERC-919, (NOPR in RM16-17) 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: 10/06/2016
	Date Received in OIRA: 08/11/2016
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.

	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

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Abstract: NOPR in RM16-17.FERC proposes to revise its regulations to collect certain data for analytics& surveillance purposes from market-based rate (MBR) sellers & entities trading virtual products or holding financial transmission rights & to change certain aspects of the substance and format of information submitted for MBR purposes.Revisions proposed herein include new requirements for those entities to report certain information about their legal and financial connections to other entities to assist the Commission in its analytics and surveillance efforts.FERC previously proposed to require certain market participants in the Commission-jurisdictional organized wholesale electric markets to file similar information about their financial and legal connections in the Collection of Connected Entity Data from Regional Transmission Organizations and Independent System Operators Notice of Proposed Rulemaking issued in Docket No. RM15-23-000 (Connected Entity NOPR). However, the NOPR presents substantial revisions from what FERC proposed in the Connected Entity NOPR, including, among other things: (i) a different set of filers; (ii) a reworked &substantially narrowed definition of Connected Entity; and (iii) a different submission process. With respect to the MBR program, the proposals include: (i) adopting certain changes to reduce and clarify the scope of ownership information that MBR sellers must provide, similar to the notice of proposed rulemaking issued in Docket No. RM16-3-000 (Ownership NOPR); (ii) reducing the information required in asset appendices; and (iii) collecting currently- required MBR information and certain new information in a consolidated and streamlined manner. The Commission proposes all of these changes in order to eliminate duplication, ease compliance burdens, modernize its data collections, and render information collected through its programs usable and accessible for the Commission and its staff. In furtherance of this effort, in orders being issued concurrently with the instant NOPR, the Commission withdraws the Connected Entity NOPR issued in Docket No. RM15-23-000 and the Ownership NOPR issued in Docket No. RM16-3-000. The Commission also proposes to eliminate FERC-919 in general. 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 , • Quarterly land acquisition reports , • Change in status reports . Pursuant to sections 205 and 206 of the FPA, FERC 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. The final rule in RM14-14 revises the information collection requirements, including: (1) creating a 100 MW threshold for reporting new affiliations; (2) discontinuing quarterly land acquisition reporting; (3) requiring organization charts; (4) refining some entries in Appendix A, Standard Screen Formats, and Submittal 2 (Table 2) to provide more detail, including the requirement that the data be submitted in a workable electronic spreadsheet format; and (5) adding additional reporting requirements to Appendix B, Asset Appendix, including a requirement that the data be submitted in a workable electronic spreadsheet format.

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Authorizing Statute(s): US Code: 16 USC 824(d),(e) 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-AF22	Proposed rulemaking	81 FR 51726	08/04/2016

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Market power analysis in new applications for market-based rates (18 CFR 35.37a)
Change in Status Filings (18 CFR 35.42(a))
RM16-17 NOPR
Triennial market power analysis in category 2 seller updates (18 CFR 35.37a)

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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: In the NOPR in Docket RM16-17, FERC proposes to improve its surveillance of wholesale power markets by revising regulations to collect certain data for analytics and surveillance purposes and to change certain aspects of the substance and format of information submitted for market-based rate purposes. The Commission proposes all of these changes in order to eliminate duplication, ease compliance burdens, modernize its data collections, and render information collected through its programs usable and accessible for the Commission and its staff. When averaging the one-time implementation burden over Years 1-3 (including one hour of burden increase to acquire or maintain an LEI), the total additional annual burden for all filers is 110,862 burden hours (110,687 hrs. per year for FERC-919, and 175 hrs. for FERC-920A).

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Annual Cost to Federal Government: $3,534,744

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: 08/11/2016

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