Common Errors in MBR Database Submissions
Purpose: to identify common errors in MBR Database submissions that lead to Staff calling the filer or issuing a deficiency letter to request an amendment to the filing. For more information regarding the MBR Database, please visit the Documents and Links page in the MBR Portal.
| Common MBR Database Submission Dos and Don’ts | |||
|---|---|---|---|
|
Filing/MBR Database Component |
Do/Do Not |
Description |
Citation |
|
MBR Database – Entities to Vertical Assets |
|
Do not report a seller’s market-based rate affiliates’ vertical asset(s) in the seller’s MBR Database XML submission. Only the seller that owns the vertical asset(s) should report it. The MBR Database will connect any market-based rate affiliates of that seller to that vertical asset(s) through a common Ultimate Upstream Affiliate. |
|
|
MBR Database – Entities to Gen Assets |
|
Do not report a seller’s market-based rate affiliates’ generation asset(s) in a seller’s MBR Database XML submission. Only the seller that owns the generation asset(s) should report it. The MBR Database will connect the other market-based rate affiliates’ asset(s) through a common Ultimate Upstream Affiliate. |
|
|
MBR Database – Entities to Gen Assets and Entities to Vertical Assets |
|
Do report the assets owned by the seller’s non-market-based rate affiliates. |
|
|
Entities-to-Vertical Assets, Entities-to-Gen Assets |
|
Do not attempt to add assets located in Hawaii or Alaska to the MBR Database. |
N/A |
|
Asset Appendix |
|
Do reference the asset appendix serial number in the narrative of the market-based rate filing, instead of other MBR Database-generated identifiers. |
|
|
Asset Appendix |
|
Do ensure that the asset appendices referenced in a filing are complete and correct for a seller and its affiliates. Inaccurate data results from when a seller does not update its asset appendix after an affiliate submits new information. |
Order No. 860, 168 FERC ¶ 61,039, at P 56 (2019). |
Common Errors in Narratives of MBR Filings
Purpose: to identify common errors in MBR filing narratives that lead to Staff calling the filer or issuing a deficiency letter to request an amendment to the filing. For more information on specific types of market-based rate filings please visit the Electric Market-Based Rates webpage.
| Transmittal/Narrative Representations Dos and Don’ts | |||
|---|---|---|---|
|
Filing/MBR Database Component |
Do/Do Not |
Description |
Citation |
|
Ownership Description |
|
Do describe in the narrative of the filing any owners or affiliates that have a bearing on a seller’s horizontal and vertical market power analyses that are not otherwise captured in the asset appendix. |
|
|
Ownership Description |
|
Do affirm that a passive owner’s interests consist solely of passive rights that are necessary to protect the passive investor’s or owner’s investments and do not confer control, consistent with AES Creative Resources, L.P., 129 FERC ¶ 61,239 (2009), when that is the case. |
|
|
Ownership Description |
|
Do not dilute a seller’s upstream owners’ ownership of subsidiaries by multiplying ownership shares across an ownership structure. For example, Company A owns 50% of the interests in Company B, which in turn owns 10% of the interests in the seller seeking market-based rate authority. The seller then argues that Company A is not an owner or affiliate of the seller because it owns 5% of the seller (50% x 10%). The Commission does not accept this method of deriving ownership interests in downstream partially owned entities for purposes of identifying affiliates. |
See Tonopah Solar Energy, LLC, 151 FERC ¶ 61,203, at P 11 (2015). |
|
Horizontal Market Power |
|
Do not dilute a seller’s ownership of generation assets by using the derivative share ownership methodology, i.e., where the seller dilutes the ownership share of generation attributed to the seller or its affiliates based on multiplying successive shares of partial ownership in a company to argue for Category 1 seller status. |
See Kansas Energy LLC, 138 FERC ¶ 61,107, at P 28 (2012).
|
|
Horizontal and Vertical Market Power |
|
Do report a seller’s and its affiliates’ assets regardless of their percentage of ownership of those assets. For example, if a seller’s affiliate owns 5% of a 1,000 MW generation facility, the seller must account for the prorated amount of 50 MW in the screens and asset appendix. For vertical market power representations, a seller should not state that its affiliates do not own 10% or more interest in transmission facilities in the United States or in markets first-tier to those in the United States. The 10% ownership threshold applies only to establishing affiliate relationships, not to generation or vertical assets. |
|
|
Vertical Market Power |
|
Do not limit representations regarding transmission assets to a particular balancing authority area or market. Rather, explain whether the seller and its affiliates own, operate, or control transmission facilities in the United States or in markets outside the United States that can be used to reach the United States. |
|
Common Errors in eTariff Submissions
Purpose: to identify common errors made in eTariff submissions that require Staff to call the filer or issue a deficiency letter to request an amendment to the filing. For more information regarding eTariff, please visit the eTariff page on the FERC website.
| Common eTariff Submission Dos and Don'ts | |||
|---|---|---|---|
|
Filing/MBR Database Component |
Do/Do Not |
Description |
Citation/Reference |
|
eTariff metadata |
|
Do not include a seller’s company name in the Tariff Title. Instead, for a market-based rate tariff, use a generic market-based rate tariff title (e.g., Market-Based Rate Tariff). This approach avoids the need to resubmit a baseline tariff in the future should the seller change its company name. |
|
|
Tariff |
|
Do ensure that any changes included in a notice of change in status filing that affect the market-based rate tariff are reflected in the tariff. For example, if a seller reports a cumulative net increase in generation capacity such that the total affiliated generation capacity exceeds the 500 MW threshold for Category 1 sellers in a certain region, then the seller must submit revisions to the market-based rate tariff to reflect Category 2 seller status in that region. |
|
|
Tariff |
|
Do update the docket citation in the limitations and exemptions section of the seller’s tariff the next time the seller submits a market-based rate filing, if it has not already been updated. |
|
|
Tariff |
|
Do ensure that references to organized markets use the current names listed in the Commission’s sample market-based rate tariff (e.g., MISO is “Midcontinent Independent System Operator, Inc.” rather than “Midwest Independent System Operator”). |
|
|
Tariff |
|
Do ensure that a seller’s seller category for each region is accurately reflected in its tariff. |
|
|
Tariff |
|
Do request waiver of the Commission’s prior notice period when requesting an effective date that is prior to 60 days after the date of filing. |
|