Document ID: FERC-2021-0394-0001
Agency: ferc
Document Type: Notice
Title: Data Collection for Analytics and Surveillance and Market-Based Rate Purposes
Posted Date: 2021-04-06T04:00Z

[Federal Register Volume 86, Number 64 (Tuesday, April 6, 2021)]
[Notices]
[Pages 17823-17828]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-06092]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RM16-17-000]

Data Collection for Analytics and Surveillance and Market-Based 
Rate Purposes

AGENCY: Federal Energy Regulatory Commission.

ACTION: Proposed revision of collected information; request for 
comments.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) proposes 
to collect additional data from certain market-based rate (MBR) sellers 
with ultimate upstream affiliates that have been granted blanket 
authorization. The Commission proposes revisions to the data dictionary 
that accompanies the relational database established in Order No. 860 
to include new requirements for those MBR sellers to report connections 
to an entity whose securities were acquired pursuant to the blanket 
authorization. In addition, the Commission plans to request approval 
from the Office of Management and Budget (OMB) for this collection of 
information.

DATES: Comments are due June 7, 2021.

ADDRESSES: Comments, identified by docket number, may be filed in the 
following ways. Electronic filing through http://www.ferc.gov, is 
preferred.
     Electronic Filing: Documents must be filed in acceptable 
native applications and print-to-PDF, but not in scanned or picture 
format.
     For those unable to file electronically, comments may be 
filed by USPS mail or by hand (including courier) delivery.
    [cir] Mail via U.S. Postal Service Only: Addressed to: Federal 
Energy Regulatory Commission, Secretary of the Commission, 888 First 
Street NE, Washington, DC 20426.
    [cir] Hand (Including Courier) Delivery: Deliver to: Federal Energy 
Regulatory Commission, 12225 Wilkins Avenue, Rockville, MD 20852.
    The Comment Procedures Section of this document contains more 
detailed filing procedures.

FOR FURTHER INFORMATION CONTACT:
Ryan Stertz (Technical Information), Office of Energy Market 
Regulation, Federal Energy Regulation Commission, 888 First Street NE, 
Washington, DC 20426, (202) 502-6473, Ryan.Stertz@ferc.gov.
Regine Baus (Legal Information), Office of the General Counsel, Federal 
Energy Regulation Commission, 888 First Street NE, Washington, DC 
20426, (202) 502-8757, Regine.Baus@ferc.gov.

SUPPLEMENTARY INFORMATION:
    1. In this Notice, the Commission requests comments on a proposal 
to collect additional data from certain market-based rate (MBR) sellers 
(Sellers) \1\ through revisions to the data dictionary and XML schema 
that accompany the relational database established in Order No. 860 
(MBR Data Dictionary).\2\ Specifically, the Commission proposes 
revisions to the MBR Data Dictionary to require that Sellers whose 
ultimate upstream affiliate(s) \3\ own their voting securities pursuant 
to a section 203(a)(2) blanket authorization, provide in the relational 
database the docket number of the section 203(a)(2) blanket 
authorization, and the utility ID types and the utility IDs of the 
upstream affiliates whose securities were acquired pursuant to that 
section 203(a)(2) blanket authorization.\4\
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    \1\ A Seller is defined as any person that has authorization to 
or seeks authorization to engage in sales for resale of electric 
energy, capacity or ancillary services at market-based rates under 
section 205 of the Federal Power Act (FPA). 18 CFR 35.36(a)(1); 16 
U.S.C. 824d.
    \2\ Data Collection for Analytics & Surveillance & Mkt.-Based 
Rate Purposes, Order No. 860, 168 FERC ] 61,039 (2019), order on 
reh'g and clarification, Order No. 860-A, 170 FERC ] 61,129 (2020).
    \3\ ``Ultimate upstream affiliate'' is defined as the furthest 
upstream affiliate(s) in the ownership chain--i.e., each of the 
upstream of affiliate(s) of a Seller, who itself does not have 10% 
or more of its outstanding securities owned, held or controlled, 
with power to vote, by any person (including an individual or 
company). Order No. 860, 168 FERC ] 61,039 at P 5 n.10; see also 18 
CFR 35.36(a)(10). ``Upstream affiliate'' means any entity described 
in Sec.  35.36(a)(9)(i). 18 CFR 35.36(a)(10).
    \4\ For purposes of this order, ``utilities'' are defined as 
transmitting utilities, electric utility companies, or holding 
company systems containing such entities.
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I. Background

    2. On July 18, 2019, the Commission issued Order No. 860, which 
revised certain aspects of the substance and format of information 
Sellers submit to the Commission for market-based rate purposes. Among 
other things, the Commission adopted the approach to collect market-
based rate information in a relational database.\5\ The Commission also 
specified that any significant changes to the MBR Data Dictionary will 
be proposed in a Commission order or rulemaking, which would provide an 
opportunity for comment.\6\
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    \5\ Order No. 860, 168 FERC ] 61,039 at P 4.
    \6\ Id. P 220.
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    3. In support, the Commission explained that the relational 
database

[[Page 17824]]

construct provides for a more modern and flexible format for the 
reporting and retrieval of information. The Commission noted that 
Sellers will be linked to their market-based rate affiliates through 
common ultimate upstream affiliate(s) and that, through this linkage, 
the relational database will allow for the automatic generation of a 
complete asset appendix based solely on the information submitted into 
the relational database.\7\
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    \7\ Order No. 860, 168 FERC ] 61,039 at PP 5-6. ``Once a Seller 
identifies its own assets, the assets of its affiliates without 
market-based rate authority, and its ultimate upstream affiliate(s), 
the relational database will contain sufficient information to allow 
the Commission to identify all of that Seller's affiliates (i.e., 
those with a common ultimate upstream affiliate) to create a 
complete asset appendix for the Seller, which includes all of its 
affiliates' assets.'' Id. P 40.
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    4. The Commission required that, as part of its market-based rate 
application or baseline submission, a Seller must identify through the 
relational database its ultimate upstream affiliate(s). Because this is 
a characteristic the Commission will rely upon in granting market-based 
rate authority, the Commission specified that Sellers must also inform 
the Commission when they have a new ultimate upstream affiliate as part 
of their change in status reporting obligations. The Commission also 
required that any new ultimate upstream affiliate information must also 
be submitted into the relational database and any changes updated on a 
monthly basis.\8\
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    \8\ Id. P 121.
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II. Discussion

A. Petition for Declaratory Order

    5. In Docket No. EL21-14-000, NextEra Energy, Inc., American 
Electric Power Company, Inc., Evergy, Inc., Exelon Corporation, and 
Xcel Energy Services Inc. on behalf of Xcel Energy Inc. (Petitioners) 
filed a petition for declaratory order (Petition) regarding, among 
other things, affiliation under FPA section 205 of an institutional 
investor that has been granted blanket authorization under FPA section 
203(a)(2). Specifically, Petitioners request that the Commission find 
that no affiliation arises under section 205 when institutional 
investors acquire up to 20% of the voting securities of utilities 
pursuant to a section 203(a)(2) blanket authorization order.
    6. While we are denying the Petition in a concurrently issued 
order, we are providing guidance that will address, in part, the 
concerns Petitioners raise.\9\ As discussed more fully in the order 
denying the Petition, we disagree with Petitioners that no affiliation 
arises under section 205 when institutional investors acquire up to 20% 
of the voting securities of utilities pursuant to a section 203(a)(2) 
blanket authorization order.\10\ However, we agree with Petitioners 
that, as a result of the conditions in a section 203(a)(2) blanket 
authorization order, the institutional investors subject to that order 
lack the ability to control the utilities whose voting securities they 
acquire. Accordingly, because those conditions prevent institutional 
investors from exercising control over those utilities, utilities 
commonly owned by an institutional investor are not affiliates of each 
other under 18 CFR 35.36(a)(9)(iv),\11\ so long as their institutional 
investor owners remain under the conditions imposed in its section 
203(a)(2) blanket authorization order. As a result, the Commission's 
various affiliate restrictions would not apply between utilities, 
including market-based rate sellers, whose securities are owned by a 
common institutional investor pursuant to a section 203(a)(2) blanket 
authorization.\12\
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    \9\ NextEra Energy, Inc., 174 FERC ] 61,213 (2021) (NextEra).
    \10\ Id.
    \11\ Under Sec.  35.36(a)(9)(iv), an affiliate of a specified 
company can also mean ``[a]ny person that is under common control 
with the specified company.'' 18 CFR 35.36(a)(9)(iv).
    \12\ This does not mean that such utilities could never be 
considered affiliates based on other factors. For example, if public 
utilities have a common upstream affiliate whose ownership of those 
public utilities is not subject to a section 203(a)(2) blanket 
authorization, these public utilities are affiliates of each other 
under 18 CFR 35.36(a)(9)(iv). See NextEra, 174 FERC ] 61,213 at P 52 
n.80.
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    7. However, the relational database, as contemplated under Order 
Nos. 860 and 860-A, does not provide for a method to distinguish 
between ultimate upstream affiliates and those ultimate upstream 
affiliates that acquired the securities of the Seller through a section 
203(a)(2) blanket authorization. Accordingly, we propose changes to the 
MBR Data Dictionary so that the relational database can accurately 
reflect the affiliations, or lack of affiliation, among Sellers for 
which their ultimate upstream affiliate is an institutional investor 
who acquired their securities pursuant to a section 203(a)(2) blanket 
authorization.

B. Changes to the MBR Data Dictionary

    8. We propose to collect certain data in the relational database 
for purposes of generating accurate asset appendices when the voting 
securities of a Seller or a Seller's upstream affiliate have been 
acquired, 10% or more, pursuant to a section 203(a)(2) blanket 
authorization. This new requirement would only be required for Sellers 
with upstream affiliates whose securities have been acquired, 10% or 
more, pursuant to a section 203(a)(2) blanket authorization; thus, 
there will be no burden on other Sellers.
    9. Specifically, this Notice proposes to update the MBR Data 
Dictionary and add three new attributes to the Entities to Entities 
table. These new attributes are: The blanket authorization docket 
number, and the utility ID types and the utility IDs of the utilities 
whose securities were purchased under the corresponding blanket 
authorization docket number. The appropriate Sellers would be required 
to submit the docket number of the proceeding in which the Commission 
granted the section 203(a)(2) blanket authorization and the upstream 
affiliate whose securities were acquired pursuant to the section 
203(a)(2) blanket authorization.
    10. We believe that these new attributes are necessary to prevent 
the connection of unaffiliated entities when auto-generating asset 
appendices, consistent with our findings in NextEra. The draft of the 
Entities to Entities table in MBR Data Dictionary which describes these 
fields in detail is attached in Appendix A. We seek comment on these 
changes.
    11. We anticipate that the MBR Data Dictionary with appropriate 
validations will be posted on the Commission website upon issuance of a 
final order in this proceeding.

C. Impact on the Asset Appendix

    12. As discussed in Order No. 860, the relational database will 
auto-generate a Seller's asset appendix based on the information that 
is submitted into the relational database.\13\ Currently, the ultimate 
upstream affiliate information is used to connect affiliates through 
this common affiliate in all instances. However, as currently 
constructed, the relational database would erroneously link companies 
through common ultimate upstream affiliates when the securities of a 
Seller's upstream affiliate were acquired pursuant to a section 
203(a)(2) blanket authorization. Consistent with our findings in 
NextEra, we propose that, under these circumstances, the relational 
database instead link MBR affiliates through the upstream affiliate 
whose securities were acquired pursuant to the section 203(a)(2) 
blanket authorization, with the aim of providing the information 
needed, while limiting the burden.
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    \13\ Order No. 860, 168 FERC ] 61,039 at P 16 n.26.

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[[Page 17825]]

III. Information Collection Statement

    13. The Paperwork Reduction Act (PRA) \14\ requires each federal 
agency to seek and obtain Office of Management and Budget (OMB) 
approval before undertaking a collection of information directed to ten 
or more persons or contained in a rule of general applicability. OMB 
regulations \15\ require approval of certain information collection 
requirements imposed by agency rules. Upon approval of a collection of 
information, OMB will assign an OMB control number and an expiration 
date. Respondents subject to the filing requirements of this proposal 
will not be penalized for failing to respond to this collection of 
information unless the collection of information displays a valid OMB 
control number.
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    \14\ 44 U.S.C. 3501-3520.
    \15\ 5 CFR 1320.
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    14. We plan to request OMB approval for a revision of FERC-919A 
(Refinements to Policies and Procedures for Market Based Rates for 
Wholesale Sales of Electric Energy, Capacity and Ancillary Services by 
Public Utilities), OMB Control Number 1902-0317. We solicit comments on 
the Commission's need for this information, whether the information 
will have practical utility, the accuracy of the provided burden 
estimates, ways to enhance the quality, utility, and clarity of the 
information to be collected, and any suggested methods for minimizing 
respondents' burden, including the use of automated information 
techniques.
    15. The proposal in this Notice will affect Sellers that have 
ultimate upstream affiliates that hold their voting securities pursuant 
to section 203(a)(2) blanket authorizations. Sellers continue to be 
required to report institutional investors who own 10% percent or more 
of their voting shares pursuant to section 203(a)(2) blanket 
authorizations as their reportable ultimate upstream affiliate in the 
relational database. However, the proposal herein would also require 
these Sellers to identify their upstream affiliate(s) whose securities 
have been acquired, 10% or more, pursuant to a section 203(a)(2) 
blanket authorization. This requirement includes submitting into the 
relational database the docket number of the order granting the 
institutional investor section 203(a)(2) blanket authorization, the 
identifier of the upstream affiliate(s) whose securities were acquired 
pursuant to the section 203(a)(2) blanket authorization, and the type 
of identifier reported. The proposal would not impose any additional 
reporting requirements for Sellers whose ultimate upstream affiliates 
do not hold their voting securities pursuant to section 203(a)(2) 
blanket authorizations.
    16. There are approximately 2,647 Sellers that will submit 
information into the relational database. Six institutional investors 
currently have section 203(a)(2) blanket authorizations, which 
collectively own approximately 110 upstream affiliates that themselves 
own Sellers. We are estimating an average of four Sellers affected for 
every upstream affiliate, equaling 440 total sellers. Under this 
proposal, Sellers whose ultimate upstream affiliates hold their voting 
securities pursuant to section 203(a)(2) blanket authorizations would 
be required to report the upstream affiliate(s) whose securities have 
been acquired pursuant to a section 203(a)(2) blanket authorization, 
and certain information pertaining to the institutional investors, as 
described above.
    17. Burden Estimate: The estimated burden and cost \16\ for the 
requirements proposed in this Notice follow. Our estimate is limited to 
the proposal to require Sellers reporting institutional investors with 
section 203(a)(2) blanket authorizations as their ultimate upstream 
affiliates to add information on the upstream affiliate(s) whose 
securities have been acquired pursuant to a section 203(a)(2) blanket 
authorization in the above-noted fields within the relational database.
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    \16\ The estimated hourly cost burden for respondents--$93.08--
is the average of mean hourly wages from May 2019 Bureau of Labor 
Statistics (BLS) data at http://www.bls.gov/oes/current/oes_nat.htm, 
and BLS benefits data at http://www.bls.gov/news.release/ecec.nr0.htm for the following occupations: Legal Occupations (23-
0000), Computer and Information Systems Managers (11-3021), Computer 
and Mathematical Occupations (15-0000), and Information and Record 
Clerks (43-4199).
---------------------------------------------------------------------------

    18. The following table summarizes the average estimated annual 
burden and cost changes due to this notice seeking comments and 
includes the estimate from Order 860 being replaced here: \17\
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    \17\ We estimate that the additional burden of reporting this 
information will have a net decrease in overall burden because 
sellers will no longer be affiliated through common ultimate 
upstream affiliates with blanket authorizations, as contemplated in 
Order Nos. 860 and 860-A. We conservatively estimate that the net 
effect on the impacted sellers reporting this information will be 
zero.

[[Page 17826]]

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                    Number of       Number of       Number of                         Hourly cost      Total annual
 Respondent/incremental  burden    respondents    responses per  responses (B *   Burden hours per      ($) per     burden hours (D *  Total cost ($) (F
            category                  \18\         respondent          C)             response         response             E)                * G)
A.                                           B.              C.              D.  E................              F.  G................  H.
--------------------------------------------------------------------------------------------------------------------------------------------------------
 First Year, proposed incremental cost associated with the collection of reporting connections to an entity whose securities were acquired pursuant to a
                                          blanket authorization (Increase due to this notice seeking comments)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Impacted Sellers, as proposed               440               1             440  2................           93.08  880..............  81,910.40.
 in this Notice.
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               Ongoing collection of reporting connections to an entity whose securities were acquired pursuant to a blanket authorization
--------------------------------------------------------------------------------------------------------------------------------------------------------
Impacted Sellers, as proposed               440               1             440  68...............           93.08  29,920...........  2,784,953.60.
 in this Notice.
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                                  Original estimate in Order 860, being replaced by the estimates above in this Notice
--------------------------------------------------------------------------------------------------------------------------------------------------------
Original estimate in Order 860,             440               1            -440  70 [former                  93.08  -29,920 [former    -2,866,864.00
 being replaced by & subtracted                                                   estimate, being                    estimate, being    [former
 in this Notice--Impacted                                                         replaced].                         replaced].         estimate, being
 Sellers Original Estimate \19\.                                                                                                        replaced].
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Cost Difference from Original      -81,910.40
                                      Estimate in Order 860        [reduction].
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                   First Year Incremental Cost       81,910.40.
                                    Total, due to this Notice
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      Net (of above 2 rows)                  0.
                                  Additional Cost, due to this
                                             Notice
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IV. Environmental Analysis
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    \18\ We are estimating an average of four sellers affected for 
every upstream affiliate, equaling 440 total sellers.
    \19\ Order No. 860, 168 FERC ] 61,039 at P 323.
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    19. The Commission is required to prepare an Environmental 
Assessment or an Environmental Impact Statement for any action that may 
have a significant adverse effect on the human environment.\20\ The 
Commission has categorically excluded certain actions from these 
requirements as not having a significant effect on the human 
environment.\21\ The actions proposed here fall within a categorical 
exclusion in the Commission's regulations, i.e., they involve 
information gathering, analysis, and dissemination.\22\ Therefore, 
environmental analysis is unnecessary and has not been performed.
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    \20\ Regulations Implementing the National Environmental Policy 
Act, Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. 
] 30,783 (1987).
    \21\ Id.
    \22\ 18 CFR 380.4.
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V. Regulatory Flexibility Act

    20. The Regulatory Flexibility Act of 1980 (RFA) \23\ generally 
requires a description and analysis of proposed rules that will have 
significant economic impact on a substantial number of small entities. 
The RFA mandates consideration of regulatory alternatives that 
accomplish the stated objectives of a proposed rule and minimize any 
significant economic impact on a substantial number of small entities. 
In lieu of preparing a regulatory flexibility analysis, an agency may 
certify that a proposed rule will not have a significant economic 
impact on a substantial number of small entities.
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    \23\ 5 U.S.C. 601-612.
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    21. The Small Business Administration's (SBA) Office of Size 
Standards develops the numerical definition of a small business.\24\ 
The SBA size standard for electric utilities is based on the number of 
employees, including affiliates.\25\ Under SBA's current size 
standards, an electric utility (one that falls under NAICS codes 221122 
[electric power distribution, with a small business threshold of 1,000 
employees], 221121 [electric bulk power transmission and control, with 
a small business threshold of 500 employees], or 221118 [other electric 
power generation, with a small business threshold of 250 employees]) 
\26\ are small if it, including its affiliates, employs 1,000 or fewer 
people.\27\
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    \24\ 13 CFR 121.101.
    \25\ 13 CFR 121.101.
    \26\ The North American Industry Classification System (NAICS) 
is an industry classification system that Federal statistical 
agencies use to categorize businesses for the purpose of collecting, 
analyzing, and publishing statistical data related to the U.S. 
economy. United States Census Bureau, North American Industry 
Classification System, https://www.census.gov/eos/www/naics/.
    \27\ 13 CFR 121.201 (Sector 22--Utilities). To be conservative, 
we are using a small business threshold of 1,000 employees.
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    22. Of the 440 affected entities discussed above, we estimate that 
none of these will be small entities. Therefore, no small entities will 
incur additional cost due to this Notice. Accordingly, we certify that 
this Notice will not have a significant economic impact on a 
substantial number of small entities.

VI. Comment Procedures

    23. The Commission invites interested persons to submit comments on 
the matters and issues proposed in this notice to be adopted, including 
any related matters or alternative proposals that commenters may wish 
to discuss. Comments are due June 7, 2021. Comments must refer to 
Docket No. RM16-17-000, and must include the commenter's name, the 
organization they represent, if applicable, and their address in their 
comments. All comments will be placed in the Commission's public files 
and may be viewed, printed, or downloaded remotely as described in the 
Document Availability section below. Commenters on this proposal are 
not required to serve copies of their comments on other commenters.
    24. The Commission encourages comments to be filed electronically 
via the eFiling link on the Commission's website at http://www.ferc.gov. The Commission accepts most standard word processing 
formats. Documents created electronically using word processing 
software should be filed in native applications or print-to-PDF format 
and not in a scanned format. Commenters filing electronically do not 
need to make a paper filing.

[[Page 17827]]

    25. Commenters that are not able to file comments electronically 
may file an original of their comment by USPS mail or by courier-or 
other delivery services. For submission sent via USPS only, filings 
should be mailed to: Federal Energy Regulatory Commission, Office of 
the Secretary, 888 First Street NE, Washington, DC 20426. Submission of 
filings other than by USPS should be delivered to: Federal Energy 
Regulatory Commission, 12225 Wilkins Avenue, Rockville, MD 20852.

VII. Document Availability

    26. In addition to publishing the full text of this document in the 
Federal Register, the Commission provides all interested persons an 
opportunity to view and/or print the contents of this document via the 
internet through the Commission's Home Page (http://www.ferc.gov). At 
this time, the Commission has suspended access to the Commission's 
Public Reference Room due to the President's March 13, 2020 
proclamation declaring a National Emergency concerning the Novel 
Coronavirus Disease (COVID-19).
    27. From the Commission's Home Page on the internet, this 
information is available on eLibrary. The full text of this document is 
available on eLibrary in PDF and Microsoft Word format for viewing, 
printing, and/or downloading. To access this document in eLibrary, type 
the docket number excluding the last three digits of this document in 
the docket number field.
    28. User assistance is available for eLibrary and the Commission's 
website during normal business hours from the Commission's Online 
Support at 202-502-6652 (toll free at 1-866-208-3676) or email at 
ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502-
8371, TTY (202) 502-8659. Email the Public Reference Room at 
public.referenceroom@ferc.gov.

    By direction of the Commission.

    Issued: March 18, 2021.
Kimberly D. Bose,
Secretary.

                                        Appendix A--Draft Data Dictionary Updating the Entities to Entities Table
       [Mapping of reporting entities to ultimate upstream affiliates (gray rows auto-populated by database system were removed for readability)]
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    entities_to_entities
-----------------------------       Description           Identifier type       Nullable        SQL type             Format             Validations
   No.         Attribute
--------------------------------------------------------------------------------------------------------------------------------------------------------
6.......  record_type_cd....  Indicates whether this   Options List:          N            CHARACTER (6).....  NA...............  Must either be ``New''
                               is a new submission or   New.........                                                       or ``Update'' if
                               a submission to update   Update......                                                       information is
                               an existing record.                                                                                 included in this
                                                                                                                                   table.
7.......  reference_id......  Identifier of existing   .....................  Y            INTEGER...........  .................  Required if
                               record being updated.                                                                               record_type_cd is
                                                                                                                                   ``Update.'' Must
                                                                                                                                   match an existing
                                                                                                                                   entry from the
                                                                                                                                   ``Entities to
                                                                                                                                   Entities ID'' column
                                                                                                                                   of the Entities to
                                                                                                                                   Entities Submitted
                                                                                                                                   Data Table, found
                                                                                                                                   here.
8.......  reportable_entity_  User selects one of the  Options List:          N            CHARACTER (3).....  .................  Must be ``CID,''
           ID_type_CD.         three identifier types   CID.........                                                       ``LEI,'' or ``GID.''
                               it will provide for      LEI.........
                               these 2 fields:          GID.........
                              --Company Identifier/
                               CID of the reportable
                               entity. (Required if
                               available.).
                              --Legal Entity
                               Identifier/LEI of the
                               reportable entity.
                               (Required if available
                               and CID is not
                               available.).
                              --FERC generated ID/GID
                               of the reportable
                               entity. (Required if
                               CID and LEI are not
                               available.).
9.......  reportable_entity_  CID, LEI, or GID for     Foreign Key (CID)....  N            CHARACTER (7).....  .................  Must match an active
           ID.                 the entity being        Foreign Key (LEI)....               CHARACTER (20)....                      record identifier.
                               reported.               Foreign Key (GID)....               CHARACTER (10)....                      These identifiers can
                                                                                                                                   be found using
                                                                                                                                   General Search, found
                                                                                                                                   here.
10......  Blanket_Auth_Docke  Docket number of the     .....................  Y            CHARACTER VARYING   XXXX-X-XXX;        Required if the
           t_Number.           section 203(a)(2)                                            (15).              XXXX-XX-XXX;.....   Reportable Entity
                               blanket authorization.                                                          XXXX-XXX-XXX; or.   received a 203(a)(2)
                                                                                                               XXXX-XXXX-XXX....   blanket
                                                                                                                                   authorization.
                                                                                                                                  Common relationships
                                                                                                                                   through ultimate
                                                                                                                                   upstream affiliates
                                                                                                                                   with these
                                                                                                                                   authorizations do not
                                                                                                                                   impact a seller's
                                                                                                                                   Asset Appendix.
11......  Utility_ID_Type_CD  User selects one of the  Options List           Y            CHARACTER (3).....  .................  Required if the
                               three identifier types   CID.........                                                       Reportable Entity
                               it will provide for      LEI.........                                                       received a 203(a)(2)
                               these 2 fields:          GID.........                                                       blanket
                              --Company Identifier/                                                                                authorization.
                               CID of the reportable                                                                              Must be either
                               entity. (Required if                                                                                ``CID,'' ``LEI,'' or
                               available.).                                                                                        ``GID.''
                              --Legal Entity
                               Identifier/LEI of the
                               reportable entity.
                               (Required if available
                               and CID is not
                               available.).
                              --FERC generated ID/GID
                               of the reportable
                               entity. (Required if
                               CID and LEI are not
                               available.).

[[Page 17828]]

 
12......  Utility_ID........  CID, LEI, or GID for     Foreign Key (CID).     Y            CHARACTER (7).....  .................  Required if the
                               the entity whose        Foreign Key (LEI)....               CHARACTER (20)....                      Reportable Entity
                               securities were         Foreign Key (GID)....               CHARACTER (10)....                      received a 203(a)(2)
                               acquired pursuant to                                                                                blanket
                               the blanket                                                                                         authorization.
                               authorization.                                                                                     Common relationships
                                                                                                                                   through this utility
                                                                                                                                   are used to identify
                                                                                                                                   affiliations in the
                                                                                                                                   asset appendix.
                                                                                                                                  Must match an active
                                                                                                                                   record identifier.
                                                                                                                                  These identifiers can
                                                                                                                                   be found using
                                                                                                                                   General Search, found
                                                                                                                                   here.
13......  relationship_start  Date reported            .....................  N            DATE..............  YYYY-MM-DD (ANSI)  Valid date.
           _date.              relationship started.
14......  relationship_end_d  Date reported            .....................  Y            DATE..............  YYYY-MM-DD (ANSI)  Valid date.
           ate.                relationship ended.                                                                                Value must be >=
                                                                                                                                   relationship_start_da
                                                                                                                                   te.
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[FR Doc. 2021-06092 Filed 4-5-21; 8:45 am]
BILLING CODE 6717-01-P