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

Forms and Documents

Document Name	Status
FERC-65 65A 65B supporting statement.docx Supporting Statement A	2018-05-31
FERC-65 65A 65B 30-day (published).pdf Supplementary Document	2018-05-31
FERC-65 65A 65B 30-day (issued).docx Supplementary Document	2018-05-31
42 USC 16452.pdf Supplementary Document	2018-05-31
16 USC 824(d).pdf Supplementary Document	2018-05-30
16 USC 824(e).pdf Supplementary Document	2018-05-30
FERC-65 65A 65B 60-day (issued).docx Supplementary Document	2018-05-10
FERC-65 65A 65B 60-day (published).pdf Supplementary Document	2018-05-10
18 CFR 366.pdf Supplementary Document	2018-05-10
17 CFR 250.pdf Supplementary Document	2018-05-10

IC Document Collections

IC ID	Document Title	Status
23264	Notification of Holding Company Status, Exemption Notification, and Waiver Notification	Modified

ICR Details

OMB Control No: 1902-0218	ICR Reference No: 201805-1902-007
Status: Active	Previous ICR Reference No: 201504-1902-004
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 without change	Conclusion Date: 07/31/2018
	Date Received in OIRA: 05/31/2018
Terms of Clearance: In accordance with 5 CFR 1320, the information collection is approved for three years.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2021	36 Months From Approved	08/31/2018
Responses	24	0	9
Time Burden (Hours)	48	0	25
Cost Burden (Dollars)	0	0	0

---

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 last clearance cycle, FERC merged FERC-65A (formerly OMB 1902-0216) and FERC-65B (currently OMB 1902-0217) requirements into the FERC-65 (OMB control number 1902-0218). OMB approved that move.]

---

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

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 10466	03/09/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 22664	05/16/2018
Did the Agency receive public comments on this ICR? No

---

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

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

---

ICR Summary 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	24	9	0	0	15	0
Annual Time Burden (Hours)	48	25	0	0	23	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 are no program changes or changes to reporting requirements for the FERC-65/65A/65B information collections. The increase in the number of responses is due to normal market fluctuations. The average burden per response category remains unchanged.

---

Annual Cost to Federal Government: $85,100

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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

---

Common Form ICR:  No

---

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: 05/31/2018

---