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

Forms and Documents

Document Name	Status
FERC-65 65A 65B Supporting Statement Final.docx Supporting Statement A	2021-07-14
FERC-65 65A 65B_30-day IC Notice_Issued.docx Supplementary Document	2021-07-13
FERC-65 65A 65B 60-day notice Issued.docx Supplementary Document	2021-07-13
FERC-65 65A 65B 60-day notice Published.pdf Supplementary Document	2021-07-13
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
18 CFR 366.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: 202107-1902-004
Status: Received in OIRA	Previous ICR Reference No: 201805-1902-007
Agency/Subagency: FERC	Agency Tracking No: FERC-65, 65A, & 65B
Title: FERC-65 (Notice of Holding Company Status), FERC-65A (Exemption Notification of Holding Company Status), and FERC-65B (Waiver Notification of Holding Company Status)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 07/14/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2021
Responses	24	24
Time Burden (Hours)	48	48
Cost Burden (Dollars)	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 FERC-65 to have assurance that the actions of all jurisdictional entities within holding company systems would receive the required regulatory oversight. Section 1264 of Public Utility Holding Company Act of 2005 (PUHCA) generally provides that holding companies and associated entities are required to give the Commission access to books and records relevant to costs incurred by a public utility that are necessary or appropriate for the protection of utility customers with respect to jurisdictional rates 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. The information filed in 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.

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Authorizing Statute(s): US Code: 16 USC 824d and 824e Name of Law: Federal Power Act
   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:
	86 FR 23953	05/05/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 37144	07/14/2021
Did the Agency receive public comments on this ICR? No

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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

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ICR Summary of Burden

	Total Request	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	24	0	0	0	0
Annual Time Burden (Hours)	48	48	0	0	0	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:

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Annual Cost to Federal Government: $92,639

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? No

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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: 07/14/2021

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