FERC-919A,(Order of 8/2021 in RM16-17-000) Refinements to Policies & Procedures for Market Based Rates for Wholesale Sales of Electric Energy, Capacity & Ancillary Services by Public Utilities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
16 USC 824(e).pdf	Supplementary Document	Uploaded 2021-09-14	Repair queued
16 USC 824(d).pdf	Supplementary Document	Uploaded 2021-09-14	Repair queued
RM16-17-000 Order Supporting Statement 8-18-2021.docx	Supporting Statement A	Uploaded 2021-09-14	Missing upstream
Links to RM16-17 docs.docx	Supplementary Document	Uploaded 2021-08-31	Repair queued
18CFR35 for RM16-17_8-31-2021.docx	Supplementary Document	Uploaded 2021-08-31	Repair queued
RM16-17 Aug 2021Complete Data Dictionary for OMB.pdf	Supplementary Document	Uploaded 2021-08-31	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
249094	First Year & Ongoing (ongoing, starting in Yr. 2) Requirements Due to August 2021 Order in Docket RM16-17 [Averaged over Years 1-3]		New
236993	RM16-17-000 Final Rule (Category 2, 2nd Year and Ongoing) as modified by Order of August 2921		Modified
236990	RM16-17-000 Final Rule (Category 1, 2nd Year and Ongoing), as modified by Order of August 2021		Modified
236989	RM16-17-000 Final Rule (Category 2, 1st Year), as modified by Order of August 2021		Modified
236988	RM16-17-000 Final Rule (Category 1, 1st Year), as modified by Aug. 2021 Order		Modified

ICR Details

OMB Control No: 1902-0317	ICR Reference No: 202108-1902-004
Status: Received in OIRA	Previous ICR Reference No: 201911-1902-003
Agency/Subagency: FERC	Agency Tracking No: FERC-919A
Title: FERC-919A,(Order of 8/2021 in RM16-17-000) Refinements to Policies & Procedures for Market Based Rates for Wholesale Sales of Electric Energy, Capacity & Ancillary Services by Public Utilities
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/14/2021

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2022
Responses	3,106	2,666
Time Burden (Hours)	61,000	60,999
Cost Burden (Dollars)	0	0

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Abstract: This is a regular submittal (not an emergency) for a rulemaking. [See more details in the previous ICR for FERC-919A.] In order to describe it as a regular submittal, we are including the rulemaking information for the previous final rule in the metadata field for 60-day notice, and the information for the current August 2021 final rule in the metadata field for the 30-day notice. (That was done so that the ROCIS system doesn't require it to be an 'emergency' submittal.) The RIN is 1902-AF22. In this August 2021 order, FERC adopts a proposal to collect additional data from certain market-based rate sellers with ultimate upstream affiliates that have been granted blanket authorization to acquire the securities of those sellers or those sellers’ upstream affiliates. The adopted proposal involves certain revisions to the data dictionary and XML schema that accompany the relational database established in Order No. 860. Specifically, the Commission proposed revising the MBR Data Dictionary [attached to order] to require that Sellers whose ultimate upstream affiliate(s) own their voting securities pursuant to a section 203(a)(2) blanket authorization provide, in the relational database, three additional data fields: the docket number of the section 203(a)(2) blanket authorization, the Utility_ID_Type_CD of the utility whose securities were acquired under the corresponding section 203(a)(2) blanket authorization docket number, and the Utility ID of that utility. In this order, we revise the MBR Data Dictionary as proposed in the March Notice. There is no net change to burden due to offsetting decreases. Compliance with Federal Power Act (FPA) sections 205 and 206 make the FERC-919A information collection 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-919A (prior to the modifications made by the final rule, Order No. 860, in Docket No. RM16-17-000 as well as the information collection revisions adopted in the Order) are: • Initial market power analyses to qualify for authority to charge market-based rates • Triennial market power analysis in Category 2 seller updates • Notices of change in status As background, Order No. 860 amended the Commission’s regulations governing market-based rates for public utilities. Rather than collecting certain information through transmittal letters and attached spreadsheets, the Commission now collects this information in a consolidated and streamlined manner through a relational database. With the relational database, each Seller now enters its own assets (and those of any of its non-market-based rate affiliates) and the database will automatically add in the assets of the Seller’s market-based rate affiliates, who have themselves entered their own assets. In addition, as relevant here, under Order No. 860, Sellers are now required to provide information on their ultimate upstream affiliates in the relational database to facilitate the auto-generation of asset appendices.

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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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 36390	07/26/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 47562	08/26/2021
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
First Year & Ongoing (ongoing, starting in Yr. 2) Requirements Due to August 2021 Order in Docket RM16-17 [Averaged over Years 1-3]
RM16-17-000 Final Rule (Category 1, 1st Year), as modified by Aug. 2021 Order
RM16-17-000 Final Rule (Category 1, 2nd Year and Ongoing), as modified by Order of August 2021
RM16-17-000 Final Rule (Category 2, 1st Year), as modified by Order of August 2021
RM16-17-000 Final Rule (Category 2, 2nd Year and Ongoing) as modified by Order of August 2921

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	3,106	2,666	0	440	0	0
Annual Time Burden (Hours)	61,000	60,999	0	1	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: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Note that the new burdens (in the new IC due to the August 2021 Order) are offset by decreases in the previous requirements and corresponding previous 4 ICs. The addition of 440 responses is due to adding a new IC dealing with the requirements related to the August 2021 Order. The addition of 1 burden hour is due to ROCIS and its rounding of figures in each of the ICs and is not due to the real addition of 1 burden hour. That one fictitious hour due to ROCIS's rounding is presented as a change in #15 of the supporting statement only to match the ROCIS burden figure.

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Annual Cost to Federal Government: $258,262

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? No

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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: 09/14/2021

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