When and What to File
The Commission requires Category 2 market-based rate Sellers, as defined in 18 CFR 35.36, to file updated market power analyses (Triennials) on an ongoing basis. If a Seller has not been designated as a Category 1 Seller for the specific region in question, it is by default a Category 2 Seller and must file an updated market power analysis for that region.
An entity that has not been designated as a Category 1 Seller in a region in which it has market-based rate authority must file an analysis even if it does not own assets in the region and does not transact in the region.
When preparing an updated market power analysis, an applicant's filing must include the following elements:
- A transmittal letter explaining the filing and listing the documents submitted with the filing.
- Contact information for the filing entity (including current phone number).
- A description of the kinds of services the Commission has authorized the applicant to provide under its market-based rate tariff.
- A description of the applicant's business activities.
- A description of the owners and affiliates of the applicant that includes all of the applicant’s energy affiliates, including the identities of the upstream intermediate affiliates, and a description of their business activities, including the identification of ultimate upstream affiliates (See Boulder Solar II, LLC, 190 FERC ¶ 61,177 at P 15-16). If the applicant has no affiliates, the application should represent that. Affiliates are defined in 18 C.F.R. § 35.36(a)(9). Ultimate upstream affiliates are defined in 18 C.F.R. § 35.36(a)(10).
- Representations regarding how the applicant satisfies the Commission's concerns with regard to horizontal market power, consistent with 18 C.F.R. § 35.37 (b) and (c) (including the indicative study identifiers for the applicant’s Market Share and Pivotal Supplier Screens submitted into the market-based rate relational database).
- Prior to filing, the indicative screen information must be submitted into the market-based rate relational database. Applicants should ensure that they are using the appropriate study period for their horizontal market power analysis.
- Representations of how the applicant satisfies the Commission's concerns with regard to vertical market power, consistent with 18 C.F.R. § 35.37(d) and (e).
- The serial number for its asset appendix. The applicant must reference either its most recently created asset appendix, or an asset appendix created fewer than 15 days before it makes its filing. Accurate asset appendices are essential to the Commission’s mandate and Sellers should notify the Commission of any potential inaccuracies in their asset appendices.
- If appropriate, a revised market-based rate tariff in eTariff that includes the required provisions in compliance with Order No. 697, Order No. 697-A, Order No. 816, Order No. 816-A, Order No. 819, and Order No. 860.
- If the updated market power analysis filing does not contain revised tariff language, it may be eFiled or submitted by paper.
Triennial Review
The Commission will review Sellers with market-based rate authorization in each region every three years as detailed below according to the continuation of the rotating schedule originally listed in Appendix D to Order No. 697, as revised and corrected in Appendix D, D-1, and D-2 to Order No. 697-A, and Order No. 816 at Appendix C. The schedule includes the following regions Northwest (NW), Southwest (SW), Central (CE), Southwest Power Pool (SPP), Northeast (NE), and Southeast (SE).
Region |
Study Period | Filing Period (anytime during this month) |
Entities Required to File |
|---|---|---|---|
|
SW |
December 1, 2022- November 30, 2023 |
June 2025 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2022- November 30, 2023 |
June 2025 |
Transmission Owning Utilities |
|
NW |
December 1, 2022 - November 30, 2023 |
December 2025 |
Non-Transmission Owning Utilities |
|
NE |
December 1, 2023 - November 30, 2024 |
December 2025 |
Transmission Owning Utilities |
|
SE |
December 1, 2023 - November 30, 2024 |
June 2026 |
Transmission Owning Utilities |
|
NE |
December 1, 2023 - November 30, 2024 |
June 2026 |
Non-Transmission Owning Utilities |
|
SE |
December 1, 2023 - November 30, 2024 |
December 2026 |
Non-Transmission Owning Utilities |
|
CE |
December 1, 2024 - November 30, 2025 |
December 2026 |
Transmission Owning Utilities |
|
SPP |
December 1, 2024 - November 30, 2025 |
June 2027 |
Transmission Owning Utilities |
|
CE |
December 1, 2024 - November 30, 2025 |
June 2027 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2025 - November 30, 2026 |
December 2027 |
Transmission Owning Utilities |
|
SPP |
December 1, 2024 - November 30, 2025 |
December 2027 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2025 - November 30, 2026 |
June 2028 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2025 - November 30, 2026 |
June 2028 |
Transmission Owning Utilities |
|
NW |
December 1, 2025 - November 30, 2026 |
December 2028 |
Non-Transmission Owning Utilities |
|
NE |
December 1, 2026 - November 30, 2027 |
December 2028 |
Transmission Owning Utilities |
|
SE |
December 1, 2026 - November 30, 2027 |
June 2029 |
Transmission Owning Utilities |
|
NE |
December 1, 2026 - November 30, 2027 |
June 2029 |
Non-Transmission Owning Utilities |
|
SE |
December 1, 2026 - November 30, 2027 |
December 2029 |
Non-Transmission Owning Utilities |
|
CE |
December 1, 2027 - November 30, 2028 |
December 2029 |
Transmission Owning Utilities |
|
SPP |
December 1, 2027 - November 30, 2028 |
June 2030 |
Transmission Owning Utilities |
|
CE |
December 1, 2027 - November 30, 2028 |
June 2030 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2028 - November 30, 2029 |
December 2030 |
Transmission Owning Utilities |
|
SPP |
December 1, 2027 - November 30, 2028 |
December 2030 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2028 - November 30, 2029 |
June 2031 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2028 - November 30, 2029 |
June 2031 |
Transmission Owning Utilities |
|
NW |
December 1, 2028 - November 30, 2029 |
December 2031 |
Non-Transmission Owning Utilities |
|
NE |
December 1, 2029 - November 30, 2030 |
December 2031 |
Transmission Owning Utilities |
|
SE |
December 1, 2029 - November 30, 2030 |
June 2032 |
Transmission Owning Utilities |
|
NE |
December 1, 2029 - November 30, 2030 |
June 2032 |
Non-Transmission Owning Utilities |
|
SE |
December 1, 2029 - November 30, 2030 |
December 2032 |
Non-Transmission Owning Utilities |
|
CE |
December 1, 2030 - November 30, 2031 |
December 2032 |
-Transmission Owning Utilities |
|
SPP |
December 1, 2030 - November 30, 2031 |
June 2033 |
Transmission Owning Utilities |
|
CE |
December 1, 2030 - November 30, 2031 |
June 2033 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2031 - November 30, 2032 |
December 2033 |
Transmission Owning Utilities |
|
SPP |
December 1, 2030 - November 30, 2031 |
December 2033 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2031 - November 30, 2032 |
June 2034 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2031 - November 30, 2032 |
June 2034 |
Transmission Owning Utilities |
|
NW |
December 1, 2031 - November 30, 2032 |
December 2034 |
Non-Transmission Owning Utilities |
|
NE |
December 1, 2032 - November 30, 2033 |
December 2034 |
Transmission Owning Utilities |
|
SE |
December 1, 2032 - November 30, 2033 |
June 2035 |
Transmission Owning Utilities |
|
NE |
December 1, 2032 - November 30, 2033 |
June 2035 |
Non-Transmission Owning Utilities |
|
SE |
December 1, 2032 - November 30, 2033 |
December 2035 |
Non-Transmission Owning Utilities |
|
CE |
December 1, 2033 - November 30, 2034 |
December 2035 |
Transmission Owning Utilities |
|
SPP |
December 1, 2033 - November 30, 2034 |
June 2036 |
Transmission Owning Utilities |
|
CE |
December 1, 2033 - November 30, 2034 |
June 2036 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2034 - November 30, 2035 |
December 2036 |
Transmission Owning Utilities |
|
SPP |
December 1, 2033 - November 30, 2034 |
December 2036 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2034 - November 30, 2035 |
June 2037 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2034 - November 30, 2035 |
June 2037 |
Transmission Owning Utilities |
|
NW |
December 1, 2034 - November 30, 2035 |
December 2037 |
Non-Transmission Owning Utilities |
|
NE |
December 1, 2035 - November 30, 2036 |
December 2037 |
Transmission Owning Utilities |
|
SE |
December 1, 2035 - November 30, 2036 |
June 2038 |
Transmission Owning Utilities |
|
NE |
December 1, 2035 - November 30, 2036 |
June 2038 |
Non-Transmission Owning Utilities |
|
SE |
December 1, 2035 - November 30, 2036 |
December 2038 |
Non-Transmission Owning Utilities |
|
CE |
December 1, 2036 - November 30, 2037 |
December 2038 |
Transmission Owning Utilities |
|
SPP |
December 1, 2036 - November 30, 2037 |
June 2039 |
Transmission Owning Utilities |
|
CE |
December 1, 2036 - November 30, 2037 |
June 2039 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2037 - November 30, 2038 |
December 2039 |
Transmission Owning Utilities |
|
SPP |
December 1, 2036 - November 30, 2037 |
December 2039 |
Non-Transmission Owning Utilities |
|
SW |
December 1, 2037 - November 30, 2038 |
June 2040 |
Non-Transmission Owning Utilities |
|
NW |
December 1, 2037 - November 30, 2038 |
June 2040 |
Transmission Owning Utilities |
|
NW |
December 1, 2037 - November 30, 2038 |
December 2040 |
Non-Transmission Owning Utilities |
Quick Links
- Electric Market-Based Rates
- Initial Applications
- Tariff Changes
- Notice of Succession
- Notice of Cancellation
- Asset Appendix
- Accepted Market Power Studies and SIL Values Chart
- Blank Stack Analysis
- Electric utilities with approved market-based rate authority
- Utilities Where Market-Based Rate Authority Has Been Canceled
- Screen Worksheet