FERC-919A, (Final Rule in RM16-17-000) 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
RM16-17-000 Final Rule Supporting Statement3-12-2020.docx Supporting Statement A	2020-03-12
16 USC 824(e).pdf Supplementary Document	2019-07-31
16 USC 824(d).pdf Supplementary Document	2019-07-31
RM16-17 Final Rule New Release.pdf Supplementary Document	2019-07-31
Staff Presentation related to Final Rules in RM16-17 and RM19-2.pdf Supplementary Document	2019-07-31
18 CFR Part 35.pdf Supplementary Document	2019-07-31

IC Document Collections

IC ID	Document Title	Status
236993	RM16-17-000 Final Rule (Category 2, 2nd Year and Ongoing)	Unchanged
236990	RM16-17-000 Final Rule (Category 1, 2nd Year and Ongoing)	Unchanged
236989	RM16-17-000 Final Rule (Category 2, 1st Year)	Unchanged
236988	RM16-17-000 Final Rule (Category 1, 1st Year)	Unchanged

ICR Details

OMB Control No: 1902-0317	ICR Reference No: 201911-1902-003
Status: Active	Previous ICR Reference No: 201907-1902-001
Agency/Subagency: FERC	Agency Tracking No: FERC-919A
Title: FERC-919A, (Final Rule in RM16-17-000) 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: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 03/19/2020
	Date Received in OIRA: 11/05/2019
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved until 10/2022.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2022	36 Months From Approved
Responses	2,666	0	0
Time Burden (Hours)	60,999	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: The related Notice of Proposed Rulemaking in Docket No. RM16-17 was submitted to OMB under 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; ICR 201607-1902-006]. Concurrent with issuance of the Final Rule in Docket RM16-17, there was another unrelated Final Rule affecting FERC-919 (in ICR 201907-1902-004, approved 10/2/2019). In order to submit this Final Rule in Docket RM16-17 timely to OMB, we submitted it (as stated in the supporting statement for ICR 201907-1902-001) under a temporary placeholder information collection number FERC-919A. As required by OMB's decision on 11/4/2019, this ICR is a re-submittal of that information indicating it is a rulemaking activity. (Please note that the 60-day metadata here reflects the NOPR, and the 30-day metadata reflects the final rule. That was done so that the ROCIS system doesn't require it to be an 'emergency' submittal. The RIN and metadata related to the Final Rule are also included.) The Final Rule in Docket RM16-17-000 amends the Commission’s regulations governing market-based rates for public utilities. The Commission will collect certain information currently filed in the electric market-based rate program in a consolidated and streamlined manner through a relational database. The relational database construct modernizes the Commission’s data collection processes, eliminates duplications, and renders information collected usable and accessible. The Commission does not adopt the proposal from the NOPR to collect Connected Entity data from market-based rate sellers and entities trading virtual or holding financial transmission rights in this final rule. With respect to the market-based rate program, the Commission adopts changes that reduce and clarify the scope of ownership information that Sellers must provide as part of their market-based rate filings. In addition, the Commission modifies its regulations to change the information required in a Seller’s asset appendix as well as the format through which such information must be submitted. The revised regulations will require a Seller to update the relational database on a monthly basis to reflect any changes that have occurred but will also extend the change in status filing requirement to a quarterly filing obligation. Finally, the Commission modifies its regulations to eliminate the requirement that Sellers submit corporate organizational charts. The purpose of this data collection is to modernize and streamline the Commission’s data collection by requiring currently filed market-based rate information, and new information to be collected in a consolidated and streamlined manner through a relational database. This will eliminate duplication and render information more usable and accessible to the Commission and to the public. The new information that will be collected includes unit-specific generation information and long-term firm sales information. This information will appear as part of the Seller’s asset appendix, which will be automatically generated by the relational database and retrievable by the Commission and the public. This information collection will assist the Commission ensure rates are just and reasonable. Failing to meet this statutory responsibility could result in public utilities charging rates that are not just and reasonable.

---

Authorizing Statute(s): US Code: 16 USC 824(d) Name of Law: Federal Power Act
   US Code: 16 USC 824(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-AF22	Final or interim final rulemaking	84 FR 36390	07/26/2019

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 51726	08/01/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 36390	07/26/2019
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
RM16-17-000 Final Rule (Category 2, 2nd Year and Ongoing)
RM16-17-000 Final Rule (Category 1, 1st Year)
RM16-17-000 Final Rule (Category 1, 2nd Year and Ongoing)
RM16-17-000 Final Rule (Category 2, 1st Year)

---

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	2,666	0	0	2,666	0	0
Annual Time Burden (Hours)	60,999	0	0	60,999	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: FERC is revising its regulations governing market-based rates for public utilities. The Commission will collect certain information currently filed in the electric market-based rate program in a consolidated and streamlined manner through a relational database. The relational database construct modernizes the Commission’s data collection processes, eliminates duplications, and renders information collected through its market-based rate program usable and accessible for the Commission. The Commission will not adopt the proposal from the NOPR to collect Connected Entity data from market-based rate Sellers and entities trading virtual or holding financial transmission rights in this final rule. With respect to the market-based rate program, the Commission will adopt changes that reduce and clarify the scope of ownership information that Sellers must provide as part of their market-based rate filings. In addition, the Commission will modify its regulations to change the information required in a Seller’s asset appendix as well as the format through which such information must be submitted. The revised regulations will require a Seller to update the relational database on a monthly basis to reflect any changes that have occurred but will also extend the change in status filing requirement to a quarterly filing obligation. Finally, the Commission will modify its regulations to eliminate the requirement that Sellers submit corporate organizational charts.

---

Annual Cost to Federal Government: $5,141,561

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 11/05/2019

---