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How do I get authorization?

What do I include in my application? What requirements apply?

In an application for electric market-based rate authorization, in accordance with 18 CFR Part 35, Subpart H and Order No. 697, an applicant must demonstrate that:

  • It and its affiliates satisfy the Commission's standards for the grant of market-based rate authority regarding horizontal market power;


  • It and its affiliates satisfy the Commission's standards for the grant of market-based rate authority regarding vertical market power; and


  • Its tariff contains those provisions that the Commission requires.


An application must include the following elements which are required to be filed through eTariff:

  • 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 to be offered under the market-based rate tariff.


  • A description of the applicant's business activities.


  • A description of the affiliates of the applicant and their business activities. If the applicant has no affiliates, the application should include a representation to that effect. Affiliates include, but are not limited to, upstream owners (entities or individuals) and are defined in Order No. 697-A PDF.


  • Representations of how the applicant satisfies the Commission's concerns with regard to horizontal market power (including standard screens consistent with those that appear as Appendix A to Subpart H if necessary).


  • 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) of the Commission's regulations.


  • A request for the Commission to designate the seller as a Category 1 or Category 2 seller pursuant to 18 C.F.R. 35.36(a). If the filing entity is seeking Category 1 seller status, an accompanying narrative describing why the applicant meets the requirements for a Category 1 seller in any or all of the six geographic regions must be included.

    Note: If a seller is not designated to be a Category 1 seller in a specific region then by default it is a Category 2 seller in that region and must continue to submit required Triennial reviews each time that region is due.


  • Any requests for waivers or authorizations.


  • An eTariff which includes the required provisions in compliance with Order No. 697 PDF, and Order No. 697-A PDF.


  • A two part appendix which includes all generation and transmission assets, and natural gas intrastate pipelines and gas storage facilities owned or controlled by the applicant and any of its affiliates, by balancing authority area, a sample of which appears as Appendix B to Subpart H. This two part appendix is required even if the applicant and its affiliates do not own any assets and must state clearly that there are no assets by listing not applicable (n/a) in each column.

Market-based rate tariffs shall be tendered for filing with the Commission and posted not less than 60 days nor more than 120 days prior to the date on which the tariff will become effective. Market-base rate filings with proposed tariffs must be filed electronically through the eTariff system.


CONTACT
Technical
Byron Corum, OEMR
Telephone: 202-502-6555
Email: byron.corum@ferc.gov

Legal
Carol Johnson, OGC
Telephone: 202-502-8521
Email: carol.johnson@ferc.gov
 
MBR
Sample Initial Application
QUICK LINKS


Updated: November 27, 2012