FERC-65 (Notification of Holding Company Status), FERC-65A (Exemption Notification), and FERC-65B (Waiver Notification)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
FINAL IC12-5-000 (FERC-65)-supporting statement.doc	Supporting Statement A	Uploaded 2012-05-30	Available
Sample Filing for FERC-65.pdf	Supplementary Document	Uploaded 2012-04-27	Available
PUBLISHED IC12-5-000(FERC-65)-30dy notice.pdf	Supplementary Document	Uploaded 2012-04-27	Available
PUBLISHED IC12-5-000 (FERC-65)-60 dy notice.pdf	Supplementary Document	Uploaded 2012-04-20	Available
17 CFR 259.pdf	Supplementary Document	Uploaded 2012-04-20	Available
17 CFR 250.pdf	Supplementary Document	Uploaded 2012-04-20	Available
18 CFR 366.pdf	Supplementary Document	Uploaded 2012-04-20	Available
Sample Filing FERC-65 (2009).pdf	Supplementary Document	Uploaded 2009-01-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
23264	Notification of Holding Company Status, Exemption Notification, and Waiver Notification		Modified

ICR Details

OMB Control No: 1902-0218	ICR Reference No: 201204-1902-003
Status: Historical Active	Previous ICR Reference No: 200901-1902-003
Agency/Subagency: FERC	Agency Tracking No: FERC-65, 65A, & 65B
Title: FERC-65 (Notification of Holding Company Status), FERC-65A (Exemption Notification), and FERC-65B (Waiver Notification)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 06/19/2012
	Date Received in OIRA: 05/08/2012
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years with the following terms of clearance: OMB requests the agency to submit the discontinuance requests for the ICRs associated with FERC-65A and FERC-65B OMB control numbers 1902-0216 and 1902-0217, respectively. These discontinuance requests are necessary following the merger of the FERC-65A and FERC-65B collections into the FERC-65 collection.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2015	36 Months From Approved	06/30/2012
Responses	9	0	30
Time Burden (Hours)	25	0	90
Cost Burden (Dollars)	0	0	0

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Abstract: The FERC-65, FERC-65A and FERC-65B collections tell the Commission which entities (within holding company systems) are within Commission jurisdiction. Those entities meeting the definition of a holding company found in 18 CFR 366.1 submit the FERC-65. The Commission collects the following information in the FERC-65: the identity of the holding company and of the public utilities/natural gas companies in the holding company system, the identity of service companies, including special-purpose subsidiaries providing non-power goods and services, and the identity of all affiliates and subsidiaries as well as their corporate relationship to each other. The Commission needs the information in the FERC-65 to have assurance that the actions of all jurisdictional entities within holding company systems would receive the required regulatory oversight. The Commission uses the information from the FERC-65 to track changes in the corporate identities of public utility and natural gas companies as well as the organizational structure of business unit constituents in current and new holding company systems. The Commission needs this information to discern whether the reported businesses fall within its jurisdiction. Moreover, the information can provide context and background information to the Commission in its electric market-based rates work and as it analyzes and addresses other corporate activity issues. Information from the FERC-65A and FERC-65B sets forth the reasons companies may be exempt from PUHCA 2005 or eligible for a waiver of the related FERC regulations. The information filed in the FERC-65A would be needed to support the company's position that they qualify for PUHCA 2005. The exemption applies to those who belong to one or more of the types of entities, persons or classes of transactions which 18 CFR 366.3 specifies as exempt. The exemptions benefit many small entities. The burden on small entities would be significant without the exemption option. The FERC-65B is submitted by those entities requesting a waiver from the PUHCA 2005 Section 1264 requirements. The Commission has allowed waivers of these requirements for any holding company if they fit into one or more of the following groups: (1) single-state holding company systems; (2) holding companies that own generating facilities that total 100 MW or less in size and are used fundamentally for their own load or for sales to affiliated end-users; and (3) investors in independent, transmission-only companies. The Commission requests that OMB approve the renewal and merging of FERC-65A (currently OMB 1902-0216) and FERC-65B (currently OMB 1902-0217) requirements into the FERC-65 (OMB control number 1902-0218). The Commission will maintain all references to and about the FERC-65A and FERC-65B information collections despite their respective requirements being consolidated with and approved under a single control number. Additionally, if and when OMB approves the consolidation of the FERC-65A and FERC-65B under the FERC-65 control no., FERC will then seek the discontinuance of the currently separate FERC-65A and FERC-65B OMB control numbers with no effect or change upon their respective information collection requirements.

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Authorizing Statute(s): PL: Pub.L. 109 - 58 Stat. 594, 1264 Name of Law: Public Utility Holding Company Act of 2005
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 8245	02/14/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 25156	04/27/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Notification of Holding Company Status, Exemption Notification, and Waiver Notification

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	9	30	0	0	-21	0
Annual Time Burden (Hours)	25	90	0	0	-65	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There was a decrease in the public reporting burden because there were fewer FERC-65, FERC-65A and FERC-65B filings between 2009 and 2011 than there were in the preceding three years. The decreases resulted from there being fewer material changes to information on holding companies already filed with FERC and fewer new holding companies being formed.

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Annual Cost to Federal Government: $73,358

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 05/08/2012

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