Filed Tariff Record Version

A Filed Tariff Record Version, or FTRV, represents a Tariff Record Version (TRV) in a Filing. When a TRV is placed into a Filing, the result is the creation of an FTRV.

When a TRV is in a Filing, it is there for a reason...and that reason is known as a Record Change Type. The valid Record Change Type values are "New", "Change", "Cancel", "Withdraw", and "Pro Forma". Each is explained further below:

• New - When a Tariff Record is being filed with FERC for the very first time, such as might be the case when adding a section to a Tariff, the Record Change Type is "New". When the first TRV under a Tariff Record is being added to a Filing, TariffShark defaults the Record Change Type to "New".
• Change - When filing an update to the language of a tariff section, which is probably the most common type of eTariff submittal, the Record Change Type is "Change". As subsequent TRVs under a Tariff Record are being added to a Filing, TariffShark defaults the Record Change Type to "Change".
• Cancel - When filing to remove a Tariff Record from a Tariff or to remove an entire Tariff, the Record Change Type is "Cancel".
• Withdraw - When filing to withdraw an FTRV that was previously filed, the Record Change Type is "Withdraw".
• Pro Forma - When filing a preliminary change to one's Tariff without invoking statutory processing timelines, the Record Change type is "Pro Forma".

An FTRV can be thought of as a proposal to FERC to affect a change in one's tariff. The status of such a change is called the "FERC Response". FERC Response, therefore, is a very important piece of FTRV data. TariffShark supports several FERC Response values (defined below) and the ones that are valid for a given situation depend upon the Record Change Type. For example, it is not possible to assign a FERC Response of "Effective" to an FTRV that was submitted to FERC with a Record Change Type of "Pro Forma" because such a request is not an official proposal before the commission.

FERC Response Values

• Approved
  An FTRV that has been approved by FERC but cannot yet be considered Effective.
• Approved Subject to Conditions
  An FTRV that has been approved by FERC as long as certain changes are made and the TRV is refiled.
• Effective
  An FTRV that has been filed with and approved by FERC is designated Effective when it is to be considered part of an effective Tariff. For example, when two related FTRVs have been filed with FERC and only one was approved, it might not make sense to mark either of them Effective until both have been approved.
• Pending
  An FTRV that has been filed with FERC and on which FERC has not yet acted (either through the issuance of an order or by the tolling of the statutory clock).
• Rejected
  An FTRV that has been rejected by FERC order.
• Suspended
  An FTRV that has been suspended by FERC order.
• Draft
  A Draft FTRV is one that is being worked on and has, therefore, not yet been filed with FERC. All details associated with a Draft FTRV and its underlying TRV, including its content, may be updated. A Draft FTRV and its underlying TRV may also be deleted.
• Overtaken by Events
  An FTRV that has been filed with FERC but has been subsequently replaced by a more recently filed FTRV. For example, if you filed Rate Schedules v3.0.0 and realized a week later that textual changes were missed and needed to be filed as a correction, upon filing and FERC accepting Rate Schedules v4.0.0 in an amendment filing, Rate Schedules v3.0.0 is considered to be "Overtaken by Events".
• Pro Forma Ordered
  When a Pro Forma FTRV is submitted to FERC it does not represent a true proposal before the commission. Therefore, many of the FTRV FERC Response values presented here do not apply. So that a Pro Forma FTRV doesn't get stuck as "Pending", assign a FERC Response of "Pro Forma Ordered" after FERC has issued an order in response to a Pro Forma submission.
• Withdrawn
  An FTRV that was filed with FERC but was subsequently withdrawn prior to FERC action.
• Retired
  At your discretion, you may change an FTRV's status to Retired when it is no longer in effect. This is not necessary, however, since TariffShark knows which TRV is in effect when several versions of the same Tariff Record are all Effective. For example, given the following Effective FTRVs:
  - Rate Schedules v0.0.0 (effective 4/1/2010)
  - Rate Schedules v1.0.0 (effective 5/1/2010)
  - Rate Schedules v2.0.0 (effective 6/1/2010)
  TariffShark knows that Rate Schedules v1.0.0 is the one that is in effect on 5/15/2010 and that Rate Schedules v2.0.0 is in effect on 9/1/2010.

As an FTRV is a proposal to FERC to affect a change in one's tariff on some effective date, sometimes multiple proposals are made via different TRVs under the same Tariff Record each requesting the same effective date. (This is common when making compliance filings against earlier statutory filings.) Under these circumstances, the filer must indicate to FERC which among the FTRVs requesting the same effective date is the most important. This is done by setting the "effective priority". TariffShark displays the Set Effective Priority command when it detects such situations.

Throughout TariffShark there are screens that display TRV information in grids. When FTRV information in such a grid appears as "<multiple>", it means that the TRV exists in multiple Filings (put differently, there are multiple FTRVs for the TRV). Use the Tariff Record's Details command to view the full history of all activity under a Tariff Record.

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