Commission Information Collection Activities, Proposed Collections; Comment Request; Extension, 34217-34220 [2011-14508]
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Federal Register / Vol. 76, No. 113 / Monday, June 13, 2011 / Notices
Number of
responses
per
respondent
(2)
Average
burden hours
per response
(3)
Total annual
burden
hours
(1) × (2) × (3)
FERC–521 .......................................................................................................
emcdonald on DSK2BSOYB1PROD with NOTICES
Data collection
Number of
respondents
annually
(1)
3
1
40
120
Estimated cost burden to respondents
is $8,214 (120 hours/2,080 hours 1 per
year, times $142,372 2 = $8,214). The
cost per respondent is $2,738.
The reporting burden includes the
total time, effort, or financial resources
expended to generate, maintain, retain,
disclose, or provide the information
including: (1) Reviewing instructions;
(2) developing, acquiring, installing, and
utilizing technology and systems for the
purposes of collecting, validating,
verifying, processing, maintaining,
disclosing and providing information;
(3) adjusting the existing ways to
comply with any previously applicable
instructions and requirements; (4)
training personnel to respond to a
collection of information; (5) searching
data sources; (6) completing and
reviewing the collection of information;
and (7) transmitting, or otherwise
disclosing the information.
The estimate of cost for respondents
is based upon salaries for professional
and clerical support, as well as direct
and indirect overhead costs. Direct costs
include all costs directly attributable to
providing this information, such as
administrative costs and the cost for
information technology. Indirect or
overhead costs are costs incurred by an
organization in support of its mission.
These costs apply to activities which
benefit the whole organization rather
than any one particular function or
activity.
Comments are invited on: (1) Whether
the proposed collection of information
is necessary for the proper performance
of the functions of the Commission,
including whether the information will
have practical utility; (2) the accuracy of
the agency’s estimate of the burden of
the proposed collection of information,
including the validity of the
methodology and assumptions used; (3)
ways to enhance the quality, utility and
clarity of the information to be
collected; and (4) ways to minimize the
burden of the collection of information
on those who are to respond, including
the use of appropriate automated,
electronic, mechanical, or other
technological collection techniques or
other forms of information technology
1 Estimated number of hours an employee works
each year.
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16:06 Jun 10, 2011
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e.g. permitting electronic submission of
responses.
Dated: June 6, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011–14509 Filed 6–10–11; 8:45 am]
BILLING CODE 6717–01–P
DEPARTMENT OF ENERGY
Federal Energy Regulatory
Commission
[Docket Nos. IC11–520–001; IC11–561–001;
and IC11–566–001]
Commission Information Collection
Activities, Proposed Collections;
Comment Request; Extension
Federal Energy Regulatory
Commission.
ACTION: Notice.
AGENCY:
In compliance with the
requirements of Section 3507 of the
Paperwork Reduction Act of 1995, 44
U.S.C. 3507, the Federal Energy
Regulatory Commission (Commission)
has submitted the information
collections described below to the
Office of Management and Budget
(OMB) for review and an extension of
the expiration date for these information
collection requirements. Any interested
person may file comments directly with
OMB and should address a copy of
those comments to the Commission as
explained below. The Commission
received one comment in response to an
earlier Federal Register notice of March
4, 2011 (76FR12091) and has made this
notation in its submission to OMB.
DATES: Comments on the collection of
information are due by July 13, 2011.
ADDRESSES: Address comments on the
collection of information to the Office of
Management and Budget, Office of
Information and Regulatory Affairs,
Attention: Federal Energy Regulatory
Commission Desk Officer. Comments to
OMB should be filed electronically, c/o
oira__submission@omb.eop.gov and
include the OMB Control Nos. as points
of reference. For comments that pertain
to only one or two of the collections,
specify the appropriate collection(s) and
SUMMARY:
2 Estimated
PO 00000
OMB Control Number(s). The Desk
Officer may be reached by telephone at
202–395–4638.
A copy of the comments should also
be sent to the Federal Energy Regulatory
Commission. Comments may be filed
either electronically or in paper format.
Those persons filing electronically do
not need to make a paper filing. For
paper filings, such comments should be
submitted to the Office of the Secretary,
Federal Energy Regulatory Commission,
888 First Street, NE., Washington, DC
20426 and should refer to Docket Nos.
IC11–520–001; IC11–561–001; and
IC11–566–001. (If comments apply to
only one or two of the collections,
indicate the corresponding docket and
collection number(s).)
Documents filed electronically via the
Internet must be prepared in an
acceptable filing format and in
compliance with the Federal Energy
Regulatory Commission’s submission
guidelines. Complete filing instructions
and acceptable filing formats are
available at https://www.ferc.gov/help/
submission-guide/electronic-media.asp.
To file the document electronically,
access the Commission’s Web site and
click on Documents & Filing, E–Filing
(https://www.ferc.gov/docs-filing/
efiling.asp), and then follow the
instructions for each screen. First time
users will have to establish a user name
and password. The Commission will
send an automatic acknowledgement to
the sender’s e-mail address upon receipt
of comments.
All comments may be viewed, printed
or downloaded remotely via the Internet
through FERC’s homepage using the
eLibrary link. For user assistance,
contact ferconlinesupport@ferc.gov or
toll-free at (866) 208–3676 or for TTY,
contact (202) 502–8659.
FOR FURTHER INFORMATION: Ellen Brown
may be reached by e-mail at
DataClearance@ferc.gov, by telephone
at (202) 502–8663, by fax at (202) 273–
0873.
SUPPLEMENTARY INFORMATION:
Description
The supporting statement for the
information collections submitted for
average annual cost per employee.
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Federal Register / Vol. 76, No. 113 / Monday, June 13, 2011 / Notices
OMB review contains the following
information.
1. Collections of Information:
Information collection No.
OMB No.
emcdonald on DSK2BSOYB1PROD with NOTICES
FERC–520 ..................................................................................
Form 561 ....................................................................................
FERC–566 ..................................................................................
2. Sponsor: Federal Energy Regulatory
Commission.
3. Action: The Commission is
requesting that OMB approve these
information collections with a threeyear extension of the expiration dates,
with no changes to the existing
collections. The information filed with
the Commission is mandatory.
4. Necessity of the Collections of
Information: The Federal Power Act
(FPA), as amended by the Public Utility
Regulatory Policies Act of 1978
(PURPA), mandates federal oversight
and approval of certain electric
corporate activities to ensure that
neither public nor private interests are
adversely affected. Accordingly, the
FPA prescribes related information
filing requirements to achieve this goal.
Such filing requirements are found in
the Code of Federal Regulations (CFR),
specifically in 18 CFR Parts 45, 46 and
section 131.31 and serve as the basis for
FERC–520, Form 561, and FERC–566.
Most of the requirements are statutorily
defined and cannot be changed. The
Commission can initiate enforcement
proceedings when violations and
omissions of the Act’s provisions occur.
The FERC–520 is divided into two
types of applications: Full and
abbreviated. The full application, as
specified in section 45.8, implements
the FPA requirement that it is unlawful
for any person to concurrently hold the
positions of officer or director of more
than one public utility; or a public
utility and a bank or financial
institution that underwrites or markets
public utility securities; or a public
utility and an electrical equipment
supplier to that public utility unless the
Commission has authorized the
interlocks to be held. Before assuming
an interlocked position, an applicant
must demonstrate that neither public
nor private interests will be adversely
affected by the holding of the position.
The full application provides
Commission staff with a list of certain
information required from the applicant
concerning the interlocking positions
for which he/she seeks authorization.
Information provided includes, but is
not limited to, a description of duties,
estimated time devoted to the position,
and any indebtedness to the public
utility.
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1902–0083
1902–0099
1902–0114
Information collection title
Application to Hold Interlocking Directorate Positions.
Annual Report of Interlocking Directorates.
Annual Report of Twenty Largest Purchasers.
The abbreviated application, as
specified in 18 CFR 45.9 and otherwise
known as an informational report,
allows an applicant to receive automatic
authorization for an interlock position
upon receipt of filing with the FERC.
The abbreviated application applies
only to those individuals who seek
authorization as an (1) Officer or
director of two or more public utilities
where the same holding company owns,
directly or indirectly, wholly or in part,
the other public utility; (2) an officer or
director of two public utilities, if one
utility is owned, wholly or in part, by
the other; or (3) an officer or director of
more than one public utility, if such
person is already authorized under Part
45 to hold different positions where the
interlock involves affiliated public
utilities. Information required is on a
much smaller scale than that which is
required for the full application.
Pursuant to 18 CFR 45.5, in the event
that an applicant resigns or withdraws
from all Commission-authorized
interlocked positions within a corporate
structure or is not re-elected or reappointed to any interlocked positions
within that corporate structure, FERC
requires that the applicant submit a
notice of change within 30 days from
the date of change.
The information the Commission
collects with Form 561 (‘‘Annual Report
of Interlocking Positions’’) responds to
the FPA requirements for annual
reporting of similar types of positions
public utility officers and directors hold
with financial institutions, insurance
companies, utility equipment and fuel
providers, and with any of an electric
utility’s twenty largest purchasers of
electric energy. The FPA specifically
defines most of the information
elements in the Form 561, including the
information that must be filed, the
required filers, the directive to make the
information available to the public, and
the filing deadline. The Commission
determined administrative aspects of
the Form 561 such as the filing format
and instructions for filling out the form.
The information collected by the
Commission through the Form 561 is
used to implement the FPA requirement
that those who are authorized to hold
interlocked directorates annually
disclose all the interlocked positions
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they held the prior year. The Form 561
data identifies persons holding
interlocking positions between public
utilities and other entities, allows the
Commission to review these and
permits identification of possible
conflicts of interest.
Finally, the FERC–566, ‘‘Annual
Report of a Utility’s Twenty Largest
Purchasers,’’ implements FPA
requirements that each public utility
annually publish a list of the purchasers
of the twenty largest annual amounts of
electric energy sold by such public
utility during any one of three previous
calendar years. Similar to the statutory
detail in the FPA for the Form 561, the
FPA identifies who must file the FERC–
566 report and sets the filing deadline.
The FPA specifies that those entities
required to report who have a holding
company system can calculate their
total volumes of energy sold by
including the amounts sold by utilities
within their holding company system.
The FERC details in its regulations
special rules about the information to be
provided in the FERC–566 report. For
example, FERC allows required filers to
file estimates of volumes based on
actual information available to them if
actual volumes are not available by the
statutory due date. However, the FERC
also requires revisions of those filed
estimates with final numbers by March
1st. The public disclosure of this
information provides officers and
directors with the information necessary
to determine whether any of the entities
with whom they are related are any of
the largest twenty purchasers of the
public utility with which they are
affiliated.
Together, these data collections
provide views into complex electric
corporate activities. They serve to
safeguard public and private interests,
as the FPA requires, by disclosing
business relationships to both the public
and the Commission for analyses. The
public can file a complaint with the
Commission if disclosures made under
these data collections provide evidence
of corporate behavior that violates
Commission policy.
The Commission can use its
enforcement authority when violations
and omissions of FPA requirements
occur.
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Federal Register / Vol. 76, No. 113 / Monday, June 13, 2011 / Notices
5. Summary of Public Comment and
Agency Response to Comment:
In accordance with OMB regulations
in 5 CFR 1320.8(d), the Commission’s
Notice to renew its OMB approval of
FERC–520, Form 561 and FERC–566
information collections was published
in the Federal Register on March 4,
2011. The Commission received one
comment in response to this notice from
the Edison Electric Institute (EEI). A
summary of the comment and the
Commission’s response follow.
EEI Comment. EEI suggests the
Commission modify section 45.9 of its
regulations to expand the scope of
automatic authorizations issued for
FERC–520 applications. EEI believes the
Commission should permit automatic
authorization of (i) all interlocks
between affiliated companies within a
holding company system that includes a
public utility under section 305(b) of the
Federal Power Act; (ii) all interlocks
between public utilities that do not have
captive customers or own or operate
transmission facilities and unaffiliated
companies; and (iii) all interlocks
between franchised public utilities and
unaffiliated companies that agree to
adopt the Commission’s restrictions on
non-power goods and services
transactions.
FERC has undertaken specific efforts
over the last several years to make
greater use of IT and electronic filing.
Nevertheless, EEI’s suggestions raise
issues and implications that would
require FERC to explore and address
them more appropriately in a forum and
process that is better suited to full
public identification and deliberation of
any possible proposed and planned
changes to regulatory activities.
As a separate matter, FERC has made
the arithmetic correction to the burden
calculation in the March 2011 notice.
However, FERC will not change the
number of hours per response based on
the information EEI provides. The EEI
comment clearly states that it was only
one of its members who has noted its
filing time is 2 hours longer than the 6
hours FERC estimates it takes filers to
comply with the requirements of FERC–
566, on average. Because the estimate is
an average, it is to be expected that
some filers will have a higher reporting
burden while others will have a lower
one. Therefore, FERC does not see a
reason to change the FERC–566 average
completion time of 6 hours.
6. Respondents, Estimated Burden
and Estimated Cost Burden to
Respondents: 1
FERC estimates for the annual burden
follow.
In its comments, EEI refers to various
sections of the preamble to Order No.
446 as support for its request that
automatic authorizations of certain
‘‘informational’’ applications would not
adversely affect the public interest. EEI
believes automatic reauthorizations
would reduce both the reporting burden
of filers and the processing burden on
FERC staff resources.
In its comments, EEI also points out
a calculation error in FERC’s burden
estimate. The FERC estimates the cost of
preparing the FERC–566 as $68 per
respondent per year, based on an
estimated 6 hours per response, 434
respondents filing once per year, and an
average annual staff salary of $142,372.
However, using the stated information,
the average cost per response would be
$411 (i.e., 6 hours per response/2080
hours per year × $142,372 average
salary). Further, EEI states that one of its
members has noted that it takes them 8
hours per response and not 6 hours. EEI
indicates this would raise this average
cost per response to $548 (i.e. (8 hours/
6 hours) × $411).
FERC Response. FERC notes EEI
comments and shares its interest in
identifying and implementing burden
reductions to the benefit of form filers
as well as FERC staff. In fact, burden
reduction has been the primary reason
Number of
respondents
annually
(average)
FERC–520 .......................................................................................................
Æ Full ...............................................................................................................
Æ Informational ................................................................................................
Æ Notice of Change .........................................................................................
Form 561 .........................................................................................................
FERC–566 .......................................................................................................
Total ..........................................................................................................
Number of
responses per
respondent
Average burden hours per
response
Total annual
burden hours
(1)
FERC data collection
(2)
(3)
(1) × (2) × (3)
(total)
29
377
222
2,431
434
........................
1
1
1
1
1
........................
51.8
29.5
.25
.25
6
12,680
1,502
11,122
56
608
2,604
........................
........................
........................
15,892
2 406
Annual cost estimates for these
collections follow.
Annual cost
burden
per respondent
FERC data collection
emcdonald on DSK2BSOYB1PROD with NOTICES
FERC–520 ...................................................................................................................................................
FERC–561 ...................................................................................................................................................
FERC–566 ...................................................................................................................................................
7. Reasons for Changes in Estimated
Nos. of Annual Filings. A concern
developed in 2004 that FERC–520
1 The
figures may be rounded.
VerDate Mar<15>2010
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applications for authorizations to hold
interlocked positions were not being
filed before individuals assumed the
$2,138
17
411
PO 00000
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Sfmt 4703
$867,922
41,616
178,239
interlocked positions, as required. In
response, the Commission issued its
June 2004 interlocking directorate
2 This number of unique respondents corresponds
to the number of filers of full applications plus the
number of informational filers.
Jkt 223001
Total annual cost
burden to
respondents 3 4
E:\FR\FM\13JNN1.SGM
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emcdonald on DSK2BSOYB1PROD with NOTICES
34220
Federal Register / Vol. 76, No. 113 / Monday, June 13, 2011 / Notices
policy statement in Docket No. PL04–
10–000 and Order No. 664 in September
2005. The burden estimate for the
FERC–520 in this request is based on
recent Commission experience and the
actual number of FERC–520 filings
made between 2008 and 2010.
The number of informational
applications has increased steadily from
87 in 2004 to 335 in 2010. The
Commission began to separate the
FERC–520 filings by type of application
in its OMB clearance estimates in 2008
because the number of each type of
application filed had been changing
significantly. Breaking the data out by
type of filing allows these changes to be
easily seen. The last OMB clearance
package divided the FERC–520 filings
only into two categories: full and
informational filings. Decreases in the
number of full and informational
applications has necessitated the
separate tracking and reporting of three
types of possible applications and the
burden hours each imposes. Therefore,
this OMB clearance package adds Notice
of Change filings, further breaking down
the categories of FERC–520 to capture,
convey and begin to analyze all types of
FERC–520s.
The decrease in the number of FERC–
520 applications may be due to directors
retaining their positions longer because
of the slow economy. The number of
FERC–566 filings increased by 44%
because in December 2007 FERC sent
out notices to those who were expected
to file a FERC–566 but did not during
previous reporting years.
There is a change in the annual cost
estimates since the last submission in
2008 due mainly to a decrease in the
number of FERC–520 filers. However,
the per-hour cost estimate for each
collection has increased since 2008
because the Commission is using an
updated salary estimate.
The reporting burden includes the
total time, effort, or financial resources
expended to generate, maintain, retain,
disclose, or provide the information
including: (1) Reviewing instructions;
(2) developing, acquiring, installing, and
utilizing technology and systems for the
purposes of collecting, validating,
verifying, processing, maintaining,
disclosing and providing information;
(3) adjusting the existing ways to
comply with any previously applicable
instructions and requirements; (4)
3 Estimated number of hours an employee works
each year = 2,080. Estimated average annual cost
per employee (including overhead and benefits) =
$142,372.
4 The estimated total cost to respondents for these
three information collections is $1,087,777. In 2008,
the estimated total annual cost for these three
collections was $1,605,745.
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16:06 Jun 10, 2011
Jkt 223001
training personnel to respond to a
collection of information; (5) searching
data sources; (6) completing and
reviewing the collection of information;
and (7) transmitting or otherwise
disclosing the information.
The estimate of cost for respondents
is based upon salaries for professional
and clerical support, as well as direct
and indirect overhead costs. Direct costs
include all costs directly attributable to
providing this information, such as
administrative costs and the cost for
information technology. Indirect or
overhead costs are costs incurred by an
organization in support of its mission.
These costs apply to activities which
benefit the whole organization rather
than any one particular function or
activity.
Comments are invited on: (1) Whether
the proposed collections of information
are necessary for the proper
performance of the functions of the
Commission, including whether the
information will have practical utility;
(2) the accuracy of the agency’s estimate
of the burden of the proposed
collections of information, including the
validity of the methodology and
assumptions used; (3) ways to enhance
the quality, utility and clarity of the
information to be collected; and (4)
ways to minimize the burden of the
collections of information on those who
are to respond, including the use of
appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology, e.g., permitting
electronic submission of responses.
Dated: June 6, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011–14508 Filed 6–10–11; 8:45 am]
BILLING CODE 6717–01–P
DEPARTMENT OF ENERGY
Federal Energy Regulatory
Commission
[Project No. 4632–033]
Commissioners of Public Works of the
City of Spartanburg, SC; Notice of
Application for Surrender of License
and Soliciting Comments, Motions To
Intervene, and Protests
Take notice that the following
application has been filed with the
Commission and is available for public
inspection:
a. Application Type: Surrender of
License.
b. Project No.: 4632–033.
c. Date Filed: November 30, 2010 and
supplemented on May 19, 2011.
PO 00000
Frm 00018
Fmt 4703
Sfmt 4703
d. Applicant: Commissioners of
Public Works of the City of Spartanburg,
South Carolina.
e. Name of Project: Clifton Mills #1
Hydroelectric Project.
f. Location: On the Pacolet River, in
Spartanburg County, South Carolina.
g. Filed Pursuant to: Federal Power
Act, 16 U.S.C. 791a–825r.
h. Applicant Contact: Ken Tuck,
Director of Water Treatment,
Spartanburg Water, 200 Commerce
Street, P.O. Box 251, Spartanburg, SC
29304, (864) 580–5642, e-mail
ktuck@spartanburgwater.org and
Elizabeth W. Whittle, Nixon Peabody,
LLP, 401 Ninth Street, NW., Suite 900,
Washington, DC 20004, (202) 585–8338,
e-mail: ewhittle@nixonpeabody.com.
i. FERC Contact: Jake Tung, (202)
502–8757, e-mail at hong.tung@ferc.gov.
j. Deadline for filing comments,
motions to intervene, and protest: July
6, 2011.
Comments, motions to intervene, and
protests may be filed electronically via
the Internet. See 18 CFR
385.2001(a)(1)(iii) and the instructions
on the Commission’s Web site under the
‘‘eFiling’’ link. If unable to be filed
electronically, documents may be paperfiled. To paper-file, an original and
seven copies should be mailed to:
Kimberly D. Bose, Secretary, Federal
Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426.
For more information on how to submit
these types of filings, please go to the
Commission’s Web site located at https://
www.ferc.gov/filing-comments.asp.
k. Description of Request: The
applicant proposes to surrender the
license for the Clifton Mills #1
Hydroelectric Project and in addition,
proposes to: (1) Install fences around the
powerhouse to prevent entry, (2) remove
the three tainter gates, (3) plug the
penstocks with cement at the intake and
forebay and abandon in place, and (4)
transfer the regulation of the dam to the
State of South Carolina after
Commission approval of the surrender.
l. Locations of the Application: A
copy of the application is available for
inspection and reproduction at the
Commission’s Public Reference Room,
located at 888 First Street, NE., Room
2A, Washington, DC 20426, or by calling
(202) 502–8371. This filing may also be
viewed on the Commission’s Web site at
https://www.ferc.gov using the ‘‘eLibrary’’
link. Enter the docket number excluding
the last three digits in the docket
number field to access the document.
You may also register online at https://
www.ferc.gov/docs-filing/
esubscription.asp to be notified via
email of new filings and issuances
related to this or other pending projects.
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]]>Agencies
[Federal Register Volume 76, Number 113 (Monday, June 13, 2011)]
[Notices]
[Pages 34217-34220]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-14508]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
[Docket Nos. IC11-520-001; IC11-561-001; and IC11-566-001]
Commission Information Collection Activities, Proposed
Collections; Comment Request; Extension
AGENCY: Federal Energy Regulatory Commission.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: In compliance with the requirements of Section 3507 of the
Paperwork Reduction Act of 1995, 44 U.S.C. 3507, the Federal Energy
Regulatory Commission (Commission) has submitted the information
collections described below to the Office of Management and Budget
(OMB) for review and an extension of the expiration date for these
information collection requirements. Any interested person may file
comments directly with OMB and should address a copy of those comments
to the Commission as explained below. The Commission received one
comment in response to an earlier Federal Register notice of March 4,
2011 (76FR12091) and has made this notation in its submission to OMB.
DATES: Comments on the collection of information are due by July 13,
2011.
ADDRESSES: Address comments on the collection of information to the
Office of Management and Budget, Office of Information and Regulatory
Affairs, Attention: Federal Energy Regulatory Commission Desk Officer.
Comments to OMB should be filed electronically, c/o oira__submission@omb.eop.gov and include the OMB Control Nos. as points of
reference. For comments that pertain to only one or two of the
collections, specify the appropriate collection(s) and OMB Control
Number(s). The Desk Officer may be reached by telephone at 202-395-
4638.
A copy of the comments should also be sent to the Federal Energy
Regulatory Commission. Comments may be filed either electronically or
in paper format. Those persons filing electronically do not need to
make a paper filing. For paper filings, such comments should be
submitted to the Office of the Secretary, Federal Energy Regulatory
Commission, 888 First Street, NE., Washington, DC 20426 and should
refer to Docket Nos. IC11-520-001; IC11-561-001; and IC11-566-001. (If
comments apply to only one or two of the collections, indicate the
corresponding docket and collection number(s).)
Documents filed electronically via the Internet must be prepared in
an acceptable filing format and in compliance with the Federal Energy
Regulatory Commission's submission guidelines. Complete filing
instructions and acceptable filing formats are available at https://www.ferc.gov/help/submission-guide/electronic-media.asp. To file the
document electronically, access the Commission's Web site and click on
Documents & Filing, E-Filing (https://www.ferc.gov/docs-filing/efiling.asp), and then follow the instructions for each screen. First
time users will have to establish a user name and password. The
Commission will send an automatic acknowledgement to the sender's e-
mail address upon receipt of comments.
All comments may be viewed, printed or downloaded remotely via the
Internet through FERC's homepage using the eLibrary link. For user
assistance, contact ferconlinesupport@ferc.gov or toll-free at (866)
208-3676 or for TTY, contact (202) 502-8659.
FOR FURTHER INFORMATION: Ellen Brown may be reached by e-mail at
DataClearance@ferc.gov, by telephone at (202) 502-8663, by fax at (202)
273-0873.
SUPPLEMENTARY INFORMATION:
Description
The supporting statement for the information collections submitted
for
[[Page 34218]]
OMB review contains the following information.
1. Collections of Information:
------------------------------------------------------------------------
Information
Information collection No. OMB No. collection title
------------------------------------------------------------------------
FERC-520.......................... 1902-0083 Application to Hold
Interlocking
Directorate
Positions.
Form 561.......................... 1902-0099 Annual Report of
Interlocking
Directorates.
FERC-566.......................... 1902-0114 Annual Report of
Twenty Largest
Purchasers.
------------------------------------------------------------------------
2. Sponsor: Federal Energy Regulatory Commission.
3. Action: The Commission is requesting that OMB approve these
information collections with a three-year extension of the expiration
dates, with no changes to the existing collections. The information
filed with the Commission is mandatory.
4. Necessity of the Collections of Information: The Federal Power
Act (FPA), as amended by the Public Utility Regulatory Policies Act of
1978 (PURPA), mandates federal oversight and approval of certain
electric corporate activities to ensure that neither public nor private
interests are adversely affected. Accordingly, the FPA prescribes
related information filing requirements to achieve this goal. Such
filing requirements are found in the Code of Federal Regulations (CFR),
specifically in 18 CFR Parts 45, 46 and section 131.31 and serve as the
basis for FERC-520, Form 561, and FERC-566. Most of the requirements
are statutorily defined and cannot be changed. The Commission can
initiate enforcement proceedings when violations and omissions of the
Act's provisions occur.
The FERC-520 is divided into two types of applications: Full and
abbreviated. The full application, as specified in section 45.8,
implements the FPA requirement that it is unlawful for any person to
concurrently hold the positions of officer or director of more than one
public utility; or a public utility and a bank or financial institution
that underwrites or markets public utility securities; or a public
utility and an electrical equipment supplier to that public utility
unless the Commission has authorized the interlocks to be held. Before
assuming an interlocked position, an applicant must demonstrate that
neither public nor private interests will be adversely affected by the
holding of the position. The full application provides Commission staff
with a list of certain information required from the applicant
concerning the interlocking positions for which he/she seeks
authorization. Information provided includes, but is not limited to, a
description of duties, estimated time devoted to the position, and any
indebtedness to the public utility.
The abbreviated application, as specified in 18 CFR 45.9 and
otherwise known as an informational report, allows an applicant to
receive automatic authorization for an interlock position upon receipt
of filing with the FERC. The abbreviated application applies only to
those individuals who seek authorization as an (1) Officer or director
of two or more public utilities where the same holding company owns,
directly or indirectly, wholly or in part, the other public utility;
(2) an officer or director of two public utilities, if one utility is
owned, wholly or in part, by the other; or (3) an officer or director
of more than one public utility, if such person is already authorized
under Part 45 to hold different positions where the interlock involves
affiliated public utilities. Information required is on a much smaller
scale than that which is required for the full application.
Pursuant to 18 CFR 45.5, in the event that an applicant resigns or
withdraws from all Commission-authorized interlocked positions within a
corporate structure or is not re-elected or re-appointed to any
interlocked positions within that corporate structure, FERC requires
that the applicant submit a notice of change within 30 days from the
date of change.
The information the Commission collects with Form 561 (``Annual
Report of Interlocking Positions'') responds to the FPA requirements
for annual reporting of similar types of positions public utility
officers and directors hold with financial institutions, insurance
companies, utility equipment and fuel providers, and with any of an
electric utility's twenty largest purchasers of electric energy. The
FPA specifically defines most of the information elements in the Form
561, including the information that must be filed, the required filers,
the directive to make the information available to the public, and the
filing deadline. The Commission determined administrative aspects of
the Form 561 such as the filing format and instructions for filling out
the form. The information collected by the Commission through the Form
561 is used to implement the FPA requirement that those who are
authorized to hold interlocked directorates annually disclose all the
interlocked positions they held the prior year. The Form 561 data
identifies persons holding interlocking positions between public
utilities and other entities, allows the Commission to review these and
permits identification of possible conflicts of interest.
Finally, the FERC-566, ``Annual Report of a Utility's Twenty
Largest Purchasers,'' implements FPA requirements that each public
utility annually publish a list of the purchasers of the twenty largest
annual amounts of electric energy sold by such public utility during
any one of three previous calendar years. Similar to the statutory
detail in the FPA for the Form 561, the FPA identifies who must file
the FERC-566 report and sets the filing deadline. The FPA specifies
that those entities required to report who have a holding company
system can calculate their total volumes of energy sold by including
the amounts sold by utilities within their holding company system. The
FERC details in its regulations special rules about the information to
be provided in the FERC-566 report. For example, FERC allows required
filers to file estimates of volumes based on actual information
available to them if actual volumes are not available by the statutory
due date. However, the FERC also requires revisions of those filed
estimates with final numbers by March 1st. The public disclosure of
this information provides officers and directors with the information
necessary to determine whether any of the entities with whom they are
related are any of the largest twenty purchasers of the public utility
with which they are affiliated.
Together, these data collections provide views into complex
electric corporate activities. They serve to safeguard public and
private interests, as the FPA requires, by disclosing business
relationships to both the public and the Commission for analyses. The
public can file a complaint with the Commission if disclosures made
under these data collections provide evidence of corporate behavior
that violates Commission policy.
The Commission can use its enforcement authority when violations
and omissions of FPA requirements occur.
[[Page 34219]]
5. Summary of Public Comment and Agency Response to Comment:
In accordance with OMB regulations in 5 CFR 1320.8(d), the
Commission's Notice to renew its OMB approval of FERC-520, Form 561 and
FERC-566 information collections was published in the Federal Register
on March 4, 2011. The Commission received one comment in response to
this notice from the Edison Electric Institute (EEI). A summary of the
comment and the Commission's response follow.
EEI Comment. EEI suggests the Commission modify section 45.9 of its
regulations to expand the scope of automatic authorizations issued for
FERC-520 applications. EEI believes the Commission should permit
automatic authorization of (i) all interlocks between affiliated
companies within a holding company system that includes a public
utility under section 305(b) of the Federal Power Act; (ii) all
interlocks between public utilities that do not have captive customers
or own or operate transmission facilities and unaffiliated companies;
and (iii) all interlocks between franchised public utilities and
unaffiliated companies that agree to adopt the Commission's
restrictions on non-power goods and services transactions.
In its comments, EEI refers to various sections of the preamble to
Order No. 446 as support for its request that automatic authorizations
of certain ``informational'' applications would not adversely affect
the public interest. EEI believes automatic reauthorizations would
reduce both the reporting burden of filers and the processing burden on
FERC staff resources.
In its comments, EEI also points out a calculation error in FERC's
burden estimate. The FERC estimates the cost of preparing the FERC-566
as $68 per respondent per year, based on an estimated 6 hours per
response, 434 respondents filing once per year, and an average annual
staff salary of $142,372. However, using the stated information, the
average cost per response would be $411 (i.e., 6 hours per response/
2080 hours per year x $142,372 average salary). Further, EEI states
that one of its members has noted that it takes them 8 hours per
response and not 6 hours. EEI indicates this would raise this average
cost per response to $548 (i.e. (8 hours/6 hours) x $411).
FERC Response. FERC notes EEI comments and shares its interest in
identifying and implementing burden reductions to the benefit of form
filers as well as FERC staff. In fact, burden reduction has been the
primary reason FERC has undertaken specific efforts over the last
several years to make greater use of IT and electronic filing.
Nevertheless, EEI's suggestions raise issues and implications that
would require FERC to explore and address them more appropriately in a
forum and process that is better suited to full public identification
and deliberation of any possible proposed and planned changes to
regulatory activities.
As a separate matter, FERC has made the arithmetic correction to
the burden calculation in the March 2011 notice. However, FERC will not
change the number of hours per response based on the information EEI
provides. The EEI comment clearly states that it was only one of its
members who has noted its filing time is 2 hours longer than the 6
hours FERC estimates it takes filers to comply with the requirements of
FERC-566, on average. Because the estimate is an average, it is to be
expected that some filers will have a higher reporting burden while
others will have a lower one. Therefore, FERC does not see a reason to
change the FERC-566 average completion time of 6 hours.
6. Respondents, Estimated Burden and Estimated Cost Burden to
Respondents: \1\
---------------------------------------------------------------------------
\1\ The figures may be rounded.
---------------------------------------------------------------------------
FERC estimates for the annual burden follow.
----------------------------------------------------------------------------------------------------------------
Number of
respondents Number of Average Total annual
FERC data collection annually responses per burden hours burden hours
(average) respondent per response
(1) (2) (3) (1) x (2) x
(3)
----------------------------------------------------------------------------------------------------------------
FERC-520......................................... \2\ 406 .............. ............. 12,680
(total)
[cir] Full....................................... 29 1 51.8 1,502
[cir] Informational.............................. 377 1 29.5 11,122
[cir] Notice of Change........................... 222 1 .25 56
Form 561......................................... 2,431 1 .25 608
FERC-566......................................... 434 1 6 2,604
--------------------------------------------------------------
Total........................................ .............. .............. ............. 15,892
----------------------------------------------------------------------------------------------------------------
Annual cost estimates for these collections follow.
---------------------------------------------------------------------------
\2\ This number of unique respondents corresponds to the number
of filers of full applications plus the number of informational
filers.
------------------------------------------------------------------------
Total annual cost
Annual cost burden to
FERC data collection burden per respondents \3\
respondent \4\
------------------------------------------------------------------------
FERC-520.......................... $2,138 $867,922
FERC-561.......................... 17 41,616
FERC-566.......................... 411 178,239
------------------------------------------------------------------------
7. Reasons for Changes in Estimated Nos. of Annual Filings. A
concern developed in 2004 that FERC-520 applications for authorizations
to hold interlocked positions were not being filed before individuals
assumed the interlocked positions, as required. In response, the
Commission issued its June 2004 interlocking directorate
[[Page 34220]]
policy statement in Docket No. PL04-10-000 and Order No. 664 in
September 2005. The burden estimate for the FERC-520 in this request is
based on recent Commission experience and the actual number of FERC-520
filings made between 2008 and 2010.
---------------------------------------------------------------------------
\3\ Estimated number of hours an employee works each year =
2,080. Estimated average annual cost per employee (including
overhead and benefits) = $142,372.
\4\ The estimated total cost to respondents for these three
information collections is $1,087,777. In 2008, the estimated total
annual cost for these three collections was $1,605,745.
---------------------------------------------------------------------------
The number of informational applications has increased steadily
from 87 in 2004 to 335 in 2010. The Commission began to separate the
FERC-520 filings by type of application in its OMB clearance estimates
in 2008 because the number of each type of application filed had been
changing significantly. Breaking the data out by type of filing allows
these changes to be easily seen. The last OMB clearance package divided
the FERC-520 filings only into two categories: full and informational
filings. Decreases in the number of full and informational applications
has necessitated the separate tracking and reporting of three types of
possible applications and the burden hours each imposes. Therefore,
this OMB clearance package adds Notice of Change filings, further
breaking down the categories of FERC-520 to capture, convey and begin
to analyze all types of FERC-520s.
The decrease in the number of FERC-520 applications may be due to
directors retaining their positions longer because of the slow economy.
The number of FERC-566 filings increased by 44% because in December
2007 FERC sent out notices to those who were expected to file a FERC-
566 but did not during previous reporting years.
There is a change in the annual cost estimates since the last
submission in 2008 due mainly to a decrease in the number of FERC-520
filers. However, the per-hour cost estimate for each collection has
increased since 2008 because the Commission is using an updated salary
estimate.
The reporting burden includes the total time, effort, or financial
resources expended to generate, maintain, retain, disclose, or provide
the information including: (1) Reviewing instructions; (2) developing,
acquiring, installing, and utilizing technology and systems for the
purposes of collecting, validating, verifying, processing, maintaining,
disclosing and providing information; (3) adjusting the existing ways
to comply with any previously applicable instructions and requirements;
(4) training personnel to respond to a collection of information; (5)
searching data sources; (6) completing and reviewing the collection of
information; and (7) transmitting or otherwise disclosing the
information.
The estimate of cost for respondents is based upon salaries for
professional and clerical support, as well as direct and indirect
overhead costs. Direct costs include all costs directly attributable to
providing this information, such as administrative costs and the cost
for information technology. Indirect or overhead costs are costs
incurred by an organization in support of its mission. These costs
apply to activities which benefit the whole organization rather than
any one particular function or activity.
Comments are invited on: (1) Whether the proposed collections of
information are necessary for the proper performance of the functions
of the Commission, including whether the information will have
practical utility; (2) the accuracy of the agency's estimate of the
burden of the proposed collections of information, including the
validity of the methodology and assumptions used; (3) ways to enhance
the quality, utility and clarity of the information to be collected;
and (4) ways to minimize the burden of the collections of information
on those who are to respond, including the use of appropriate
automated, electronic, mechanical, or other technological collection
techniques or other forms of information technology, e.g., permitting
electronic submission of responses.
Dated: June 6, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-14508 Filed 6-10-11; 8:45 am]
BILLING CODE 6717-01-P
