When to Associate at the Record Level - And Make it OBE

When to Associate a Record at the Record Level (OBE)
By: Sara Gordon, Wright & Talisman, P.C.

Terms used interchangeably: “record” and “section”
“associate at the record level” and “OBE” or “Overtaken By Events”
“FERC” and “Commission”
 
You want to associate records at the record level when you truly want to replace the version the record that you are associating. You do not want FERC to rule on the first version of the record or it has already been ruled on by FERC and you do not want them to have to rule on again (for example, in a compliance filing).
 
Filing Type: 80 Compliance
If the section is already acted on by FERC and you are filing a compliance filing to either change language or to change an effective date from 9998 to an actual date, you want to associate the record at the record level in order to show the association (in the compliance instance) or remove the 9998 date (in the effective date instance).
 
Filing Type: 180 Amendment
When you associate a record to a pending record in eTariff in the same docket, you are replacing the pending record with the one you are associating, thus you want the original version become “moot” or OBE.  This means that FERC will not have to act on this section; they will look only at the associated version.  A good way to think of this:  when you file an amendment type filing (to correct or change a pending filing), you would submit the same redline as you did in the initial filing, but with corrections, so FERC will only rule on the amended version of the record, making the first version moot/OBE, because the first version was incorrect and you not want FERC to act on it.
 
Here is an example of the redline of the original filing that you realize you forgot to change instances of Chair to President, so you file an amendment to correct it:
 
The amendment redline will replace the previous version that is currently pending with FERC you associate at the record level. You do not want FERC to rule on the first instance of redline (above) because it is incorrect. You file this amendment in redline adding the addition changes:
You would not want to only submit the additional change, as shown below, because you are not showing FERC all the changes you are making in the section:
If you want to defer Commission action on a pending filing, you must associate at the filing level (to get a sub-docket) and you must associate at the record level to change the effective date because you do not want FERC to act within the statutory period. In this type of filing, the redline is not affected. This will change the version of the section with a specific effective date to OBE and a new instance of the section to the 9998 date as the pending version that you want FERC to rule on.
 

 
 
Filing Type: 10 New 205 Filing
In this scenario, you would NOT want to associate at the record level because you do not want replace any version of a section that is still pending at FERC in a different docket.  A new type 10 filing means that this is unrelated to other pending changes at FERC.  This type of filing is why we have the option in Systrends to pull in a section from a filing (and not the Master Tariff and NOT use the OBE box).  You would use this when a new section was added to the Tariff in filing and it is not yet merged into the Tariff for access for you to pull into a filing to make changes to.  If you associate at the record level in a type 10 filing and file, it will turn the pending version of the record to OBE and not allow FERC to act on it in the other pending proceeding.  You do not want to do this.