18 Cfr 131

SUBCHAPTER D—APPROVED FORMS, FEDERAL POWER ACT
AND PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978
PART 131—FORMS
Sec.
131.20 Application for approval of transfer
of license.
131.31 FERC Format No. FERC 561, Annual
report of interlocking positions.
131.43 Report of securities issued.
131.50 Reports of proposals received.
131.51 [Reserved]
131.52 Certificate of concurrence.
131.53 [Reserved]
131.70 Form of application by State and municipal licensees for exemption from payment of annual charges.
131.80 FERC Form No. 556, Certification of
qualifying facility (QF) status for a small
power production or cogeneration facility.
AUTHORITY: 16 U.S.C. 792–828c, 2601–2645; 31
U.S.C. 9701; 42 U.S.C. 7101–7352.

§ 131.20 Application for approval of
transfer of license.
(See §§ 9.1 through 9.10 of this chapter.)
(This application and all accompanying documents shall be submitted in quadruplicate, together with one additional copy
for each interested State commission)
BEFORE THE FEDERAL ENERGY REGULATORY
COMMISSION
APPLICATION FOR APPROVAL OF TRANSFER OF
LICENSE

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(1)lllllllll, licensee under the license for Project No. lll, issued by the
Commission on lllllllll (Month,
day, year) and
(2) lllllllll, (hereinafter referred
to as the Transferee).
(3) Hereby jointly and severally apply for
the written approval by the Federal Energy
Regulatory Commission of the transfer of
the aforesaid license from the transferor to
the transferee and request that the instrument of such approval by the Commission be
made effective as of the date of conveyance
of the project properties; and in support
thereof show the Commission as follows:
(4) The said transferee is:
(a) 4 A citizen of the United States, whereof
proof is submitted herewith as Exhibit A,
4 In par. 4 include only the subparagraph
which is applicable.

which is hereby incorporated herein and
made a part hereof;
(b) 4 An association of citizens under articles of association, a certified copy of which
as now in effect is attached hereto as exhibit
A and hereby incorporated herein and made
a part hereof;
(c) 4 A municipality organized under the
following statutes: lllllllll, proof of
such organization being submitted herewith
as Exhibits A–1, A–2, etc., which is [are]
hereby incorporated herein and made a part
hereof;
(d) 5 A lllllllll (e.g., private, nonprofit, etc.) corporation, organized under the
laws of the State of lllllllll, and
domesticated
in
the
States
of
lllllllll, lllllllll; certified
copies of its charter or certificate or incorporation, articles of incorporation, corporate
by-laws, and certificates of authority to do
business, with all amendments of each to
date, being submitted herewith as exhibits
A–1, A–2, etc., said exhibits being hereby incorporated herein and made a part hereof;
(5) The transferee submits as [partial] evidence of its compliance with all applicable
State laws as required by section 9(a)(2) of
the Federal Power Act lllllllll submitted herewith as exhibits B–1, B–2, etc.,
and proposes to complete its showing of such
compliance by submitting llllll
5 This form for application contemplates
the filing of the application and Commission
action thereon prior to any conveyance of
the project properties. If the Commission
acts favorably upon the application, it will
issue to the applicants an order approving
the transfer of the license. Applicants may
then consummate the conveyance of the
project properties and transferee shall submit to the Commission certified copies of the
instruments of such conveyance (see par. 6 of
this form). The transferor shall at the same
time make payment of annual charges to the
date of the conveyance (see par. 6 of this
form). The transferor shall at the same time
make payment of annual charges to the date
of the conveyance (see par. 8 of this form).
The transferee shall at the same time submit
to the Commission final proofs showing its
compliance with state laws. See par. 5 of this
form. The transferor shall at the same time
turn over to the transferee all license instruments and all maps, plans, specifications,
contracts, reports of engineers, accounts,
books, records, and all other papers and documents, relating to the original project and
to all additions thereto and betterments
thereof.

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Federal Energy Regulatory Commission
to be submitted as exhibits B–3, B–4, etc., at
the time it submits proof of the conveyance
to it of the project properties as hereinafter
provided for; 5
(6) The transferee will submit certified
copies of all instruments of conveyance
whereby title to the project properties is
conveyed to it, upon the completion of such
conveyance, if and when the Commission
shall have given its approval to the proposed
transfer;
(7) If and when the Commission shall have
given its approval to the proposed transfer,
and upon completion of conveyance of the
project properties to the transferee, the
transferor will deliver to the transferee and
the transferee will accept and permanently
retain all license instruments and all maps,
plans, specifications, contracts, reports of
engineers, accounts, books, records, and all
other papers and documents relating to the
original project and to all additions thereto
and betterments thereof;
(8) The transferor certifies that it has fully
complied with the terms and conditions of
its license, as amended, and that it has fully
satisfied and discharged all of its liabilities
and obligations thereunder to the date hereof, and obligates itself to pay all annual
charges accrued under the license to the date
of transfer;
(9) Contingent upon the final written approval by the Commission of the transfer of
the license, the transferee accepts all the
terms and conditions of the said license [as
amended] and the act, and agrees to be
bound thereby to the same extent as though
it were the original licensee thereunder;
(10) The name, title, and post-office address
of the person or persons to whom correspondence in regard to this application shall be addressed are as follows:

§ 131.20
thereunto duly authorized this lllllll
day of llllllll, 19ll. 6
lllllllllllllll
(Exact name of transferor)
By ———————————————————
(Name)
lllllllllllllll
(Title)
(Exact name of transferee)
By ———————————————————
lllllllllllllll
(Name)
lllllllllllllll
(Title)
Attest:
lllllllllllllll
(Secretary)
VERIFICATION 7

State of

llllllllllll being duly sworn
deposes and says: That he is the ——————
(Title of person signing the application) of
the llllllllllll (Name of one of
applicants), one of the applicants for approval of transfer of license; that he has read
the foregoing application and knows the contents thereof; and that the same are true to
the best of his knowledge and belief.
lllllllllllll
(Signature)
Subscribed and sworn to before me, a notary public of the State of lllllll this
lllllll day of lllllll, 19ll.
llllllllllllllllllllllll
EXHIBIT A
PROOF OF CITIZENSHIP 8

llllllllllllllllllllllll

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——————————————————
County of llllll, ss:

State of

——————————————————

llllllllllllllllllllllll

County of lllllll, ss:

In witness whereof the transferor has
caused its name to be hereunto signed by
llllllllllll
(Name),
its
llllllllllll (Title—chief executive officer), and its corporate seal to be
hereunto affixed by llllllllllll
(Name), its llllllllllll (Title—
custodian of seal), thereunto duly authorized,
this
llllllll
day
of
llllllll, 19ll; and the transferee
has caused its name to be hereunto signed by
lllllllll
(Name),
its
lllllllll (Title—chief executive officer), and its corporate seal to be hereunto affixed by lllllllll (Name), its
lllllllll (Title—custodian of seal),

llllllllll, llllllllll and
llllllllll, being duly sworn, each
for himself, deposes and says that he is a citizen of the United States of America.
llllllllllllllllllllllll
llllllllllllllllllllllll
Subscribed and sworn to before me, a notary public of the State of lllllll this
lllllll day of lllllll, 19ll.

5 See

footnote 5 on preceding page.

6 If applicant is a natural citizen modify
final paragraph.
7 To be separately executed by each of the
persons signing the foregoing application.
8 If the applicant is a natural person or an
association of citizens, proof of citizenship is
required. Such proof may be made by affidavit in the form indicated.

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§ 131.31

18 CFR Ch. I (4–1–12 Edition)

llllllllllllllllllllllll
[Order 141, 12 FR 8588, Dec. 19, 1947, as
amended by Order 175, 19 FR 5218, Aug. 18,
1954; Order 541, 57 FR 21734, May 22, 1992;
Order 699, 72 FR 45325, Aug. 14, 2007]

§ 131.31

FERC Form No. 561, Annual report of interlocking positions.

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(See section 46.4 of this chapter.)

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§ 131.31

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ER31DE98.003

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Federal Energy Regulatory Commission

§ 131.31

18 CFR Ch. I (4–1–12 Edition)

INSTRUCTIONS FOR COMPLETING ANNUAL REPORT OF INTERLOCKING POSITIONS

SPECIFIC INSTRUCTIONS

GENERAL INFORMATION:

Respondent Information

Purpose of Report
The data collected by this report will be
used by the Federal Energy Regulatory
Commission’s staff for the review and
oversight of interlocking positions between public utilities and certain other
entities as described below.
Who Must Submit
This report must be completed by all persons holding interlocking positions between public utilities and certain other
entities (described in the specific instructions) during any portion of the calendar year.
When to Submit
Submit this report on or before April 30 of
each year for the preceding calendar
year. (For example, the report for the
year 1999 would be filed on or before
April 30, 2000.)
What and Where to Submit
Submit an original and one (1) copy of this
report to: Federal Energy Regulatory
Commission, Office of the Secretary, Attention FERC 561, 888 First Street NE,
Washington, DC 20426
Sanctions
This report is mandatory and is prescribed
by Section 305(c)(1) of the Federal Power
Act and 18 CFR 46.4. Failure to report
may result in certain penalties and other
sanctions as provided by law.
Where to Send Comments on Public Reporting Burden
The public reporting burden for this collection of information is estimated to average 0.25 hours per response, including the
time for reviewing the instructions,
searching existing data sources, gathering and maintaining the data needed,
and completing and reviewing the collection of information. Send comments regarding this burden estimate or any
other aspect of this collection of information to: Federal Energy Regulatory
Commission, Attn: Federal Energy Regulatory Commission Information Clearance Officer, 888 First Street NE., Washington, DC 20426.
You shall not be penalized for failure to respond to this collection of information
unless the collection of information displays a valid OMB control number.

1 and 2 Enter your full name and your business address.
3 Enter the calendar year for which this report is filed.
4 and 5 If you are authorized by this Commission to hold the position of officer or director in accordance with Part 45 of the
Commission’s regulations: enter in space
4 the complete FERC docket number of
such authorization; enter in space 5 the
latest date of such authorization. Otherwise, leave these spaces blank.
6 Enter the public utility or public utility
holding company to which you want next
year’s Form 561 sent.

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GENERAL INSTRUCTIONS
1. Prepare this report in conformity with
the requirements prescribed in 18 CFR 46.4.
2. Leave blank any columns that are not
applicable.

Item and Instruction

Public Utility Data
Col (1) and Col (2) Enter in column (1) the
name of each public utility in which you
hold an executive position. In column (2)
enter the appropriate code for each such
position, according to the list below:
Code and Name
Dir Director
CEO Chief Executive Officer
PRES President
VP Vice President
SEC Secretary
TREA Treasurer
GM General Manager
COMP Comptroller
PURA Chief Purchasing Agent
OEP Other Executive Position
Interlocking Entity Data
Col (3) and Col (4) Enter in Column (3) the
name of each entity in which you hold an
interlocking position. Enter the appropriate code for each executive position
you hold in the entity named in Column
(3), using the list below:
Code and Name
DIR Director
CEO Chief Executive Officer
PRES President
VP Vice President
SEC Secretary
TREA Treasurer
GM General Manager
COMP Comptroller
PURA Chief Purchasing Agent
PART Partner
APPT Appointee
REP Representative
OEP Other Executive Position
Col (5) Enter in Column (5) the appropriate
code type for each entity listed in Column (3), using the list below:

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Federal Energy Regulatory Commission
Code and Name

REPORT OF SECURITIES ISSUED—Continued

FIN Investment bank; bank holding company; foreign bank or subsidiary thereof
doing business in the United States;
other organization primarily engaged in
the business of providing financial services or credit; mutual savings bank; or
savings and loan association
FINI Insurance company
SECU Entity authorized by law to underwrite or participate in the marketing of
securities of a public utility
ELEQ Entity which produces/supplies electric equipment for the use of any public
utility
FUEL Entity which produces/supplies coal,
natural gas, nuclear fuel, or other fuel
for the use of any public utility
20CL Entity specified in 18 CFR 46.3 (one of
the 20 largest purchasers of electric energy from a utility)
CNEN Entity which is controlled by any one
of the above named entities
305B Entity referred to in Section 305(b) of
the Federal Power Act (not otherwise
identified above)
Col (6) For each entity that supplies electric
equipment (ELEQ) named in Column (3)
enter the aggregate amount of revenues
from producing or supplying electrical
equipment to any public utility named in
column (1) in the subject calendar year,
rounded to the nearest $100,000. Otherwise, leave this column blank.
Signature The original of this report must be
dated and signed. The copy must bear the
date that appeared on the original. The
signature on the copy may be stamped or
typed on the copy.

Description of security....................................

[Order 601, 63 FR 72169, Dec. 31, 1998]

§ 131.43 Report of securities issued.
(See § 34.10 of this chapter.)
(Submit an original and four copies.)
[NAME OF RESPONDENT]
REPORT OF SECURITIES ISSUED
Description of security....................................

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§ 131.50

Description

Amount

1. Face value or principal amount ...........................
2. Plus premium or less discount ............................
3. Gross proceeds ...................................................

..............
..............
..............

4. Underwriter’s spread or commission ...................
5. Securities and Exchange Commission registration fee .................................................................
6. State mortgage registration tax ...........................
7. State commission fee ..........................................
8. Fee for recording indenture .................................
9. United States document tax ................................
10. Printing and engraving expenses ......................
11. Trustee’s charges ..............................................
12. Counsel fees .....................................................
13. Accountant’s fees ..............................................

..............
..............
..............
..............
..............
..............
..............
..............
..............

..............

Description

Amount

14. Cost of listing .....................................................
15. Miscellaneous expenses of issue .....................
(Describe large items) ......................................

..............
..............
..............

16.

Total deductions ......................................

..............

17.

Net amount realized ................................

..............

[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 182, 46 FR 50517, Oct. 14,
1981]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.43 introductory text was revised, effective at the time of the next e-filing release during the Commission’s next fiscal year. For the convenience of the user, the
revised text follows:
§ 131.43

Report of securities issued.

(See § 34.10 of this chapter)
(Submit in electronic format in accordance
with § 385.2003 of this chapter.)

*
§ 131.50

*

*

*

Reports of proposals received.

No later than 30 days after the sale or
placement of long-term debt or equity
securities or the entry into guarantees
or assumptions of liabilities (collectively referred to as ‘‘placement’’) pursuant to authority granted under Part
34 of this chapter, the applicant must
file a summary of each proposal or proposals received for the placement. The
proposal or proposals accepted must be
indicated. The information to be filed
must include:
(a) Par or stated value of securities;
(b) Number of units (shares of stock,
number of bonds) issued;
(c) Total dollar value of the issue;
(d) Life of the securities, including
maximum life and average life of sinking fund issue;
(e) Dividend or interest rate;
(f) Call provisions;
(g) Sinking fund provisions;
(h) Offering price;
(i) Discount or premium;
(j) Commission or underwriter’s
spread;
(k) Net proceeds to company for each
unit of security and for the total issue;

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§ 131.51

18 CFR Ch. I (4–1–12 Edition)

(l) Net cost to the company for securities with a stated interest or dividend
rate.
[Order 575, 60 FR 4855, Jan. 25, 1995]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.50 paragraphs (a) and (b) were
revised, effective at the time of the next efiling release during the Commission’s next
fiscal year. For the convenience of the user,
the revised text follows:
§ 131.50 Report of proposals received.
(a) No later than 30 days after the sale or
placement of long-term debt or equity securities or the entry into guarantees or assumptions of liabilities (collectively referred
to as ‘‘placement’’) pursuant to authority
granted under Part 34 of this chapter, the applicant must file, in electronic format, a
summary of each proposal or proposals received for the placement. The proposal or
proposals accepted must be indicated. The
information to be filed must include:
(1) Par or stated value of securities;
(2) Number of units (shares of stock, number of bonds) issued;
(3) Total dollar value of the issue;
(4) Life of the securities, including maximum life and average life of sinking fund
issue;
(5) Dividend or interest rate;
(6) Call provisions;
(7) Sinking fund provisions;
(8) Offering price;
(9) Discount or premium;
(10) Commission or underwriter’s spread;
(11) Net proceeds to company for each unit
of security and for the total issue;
(12) Net cost to the company for securities
with a stated interest or dividend rate.
(b) This report must be filed with the Commission as prescribed in § 385.2003 of this
chapter and as indicated in the instructions
set out in this report. This report is an electronic file that is classified as a ‘‘qualified
document’’ in accordance with § 385.2003(c)(1)
and (2). As a qualified document, no paper
copy version of the filing is required unless
there is a request for privileged or protected
treatment or the document is combined with
another
document
as
provided
in
§ 385.2003(c)(3) or (4).

*
§ 131.51

*

*

*

*

[Reserved]

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§ 131.52 Certificate of concurrence.
(See §§ 35.1 through 35.21 of this chapter.)
This is to certify thatlllllllll
(Name of public utility concurring)
assents to and concurs in the rate schedule
(rate schedule supplement) described below,

which thellllllllllllll (Name
of public utility filing rate schedule) has
filed, and hereby files this certificate of concurrence in lieu of the filing of the rate
schedule (rate schedule supplement) specified.
(Here give exact description of rate schedule
or supplement, including F.E.R.C. number)
———————————————————————
(Name of public utility)
By llllllllllllllllllllll
———————————————————————
(Title)
Dated lllllllll 19ll.
[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 271, 28 FR 11404, Oct. 24,
1963; Order 541, 57 FR 21734, May 22, 1992;
Order 714, 73 FR 57533, Oct. 3, 2008]

§ 131.53

[Reserved]

§ 131.70 Form 12 of application by State
and municipal licensees for exemption from payment of annual
charges.
(See § 11.6 of this chapter.) Application by State and municipal licensees
for exemption from payment of annual
charges must be prepared on this form.
The form specifies that in filing application for exemption, the following
data and schedules shall be submitted:
1. Name and address of correspondent;
2. Basis for claimed exemption;
3. Generating plants owned or operated by
licensee;
4. Transmission lines and distribution
lines;
5. KWH of power generated, purchased and
interchanged;
6. Power sold or otherwise disposed of
(kwh);
7. Power interchange (in detail);
8. Statement of unusual conditions attending the disposition of electric power;
9. Book cost of electric property;
10. Operating revenues;
11. Operating expenses and other deductions from revenues;
12. Affidavit.
[Order 143, 13 FR 6682, Nov. 13, 1948, as
amended by Order 756, 77 FR 4894, Feb. 1,
2012]

12 Copies of this form may be obtained upon
request from the Federal Energy Regulatory
Commission.

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Federal Energy Regulatory Commission
§ 131.80 FERC Form No. 556, Certification of qualifying facility (QF)
status for a small power production
or cogeneration facility.
(a) Who must file. Any person seeking
to certify a facility as a qualifying facility pursuant to sections 3(17) or 3(18)
of the Federal Power Act, 16 U.S.C.
796(3)(17), (3)(18), unless otherwise exempted or granted a waiver by Commission rule or order pursuant to
§ 292.203(d), must complete and file the
Form of Certification of Qualifying Facility (QF) Status for a Small Power
Production or Cogeneration Facility,
FERC Form No. 556. Every Form of
Certification of Qualifying Status must
be submitted on the FERC Form No.
556 then in effect and must be prepared
in accordance with the instructions incorporated in that form.
(b) Availability of FERC Form No. 556.
The currently effective FERC Form
No. 556 shall be made available for
download from the Commission’s Web
site.
(c) How to file a FERC Form No. 556.
All applicants must file their FERC
Forms No. 556 electronically via the
Commission’s eFiling Web site.
[Order 732, 75 FR 15965, Mar. 30, 2010]

PART 141—STATEMENTS AND
REPORTS (SCHEDULES)

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Sec.
141.1 FERC Form No. 1, Annual report of
Major electric utilities, licensees and
others.
141.2 FERC Form No. 1–F, Annual report for
Nonmajor public utilities and licensees.
141.14 Form No. 80, Licensed Hydropower
Development Recreation Report.
141.15 Annual Conveyance Report.
141.51 FERC Form No. 714, Annual Electric
Balancing Authority Area and Planning
Area Report.
141.61 [Reserved]
141.100 Original cost statement of utility
property.
141.300 FERC Form No. 715, Annual Transmission Planning and Evaluation Report.
141.400 FERC Form No. 3–Q, Quarterly financial report of electric utilities, licensees, and natural gas companies.
141.500 Cash management programs.

§ 141.1
§ 141.1 FERC Form No. 1, Annual report of Major electric utilities, licensees and others.
(a) Prescription. The Form of Annual
Report for Major electric utilities, licensees and others, designated herein
as FERC Form No. 1, is prescribed for
the reporting year 1981 and each year
thereafter.
(b) Filing requirements—(1) Who must
file—(i) Generally. Each Major and each
Nonoperating (formerly designated as
Major) electric utility (as defined in
part 101 of Subchapter C of this chapter) and each licensee as defined in section 3 of the Federal Power Act (16
U.S.C. 796), including any agency, authority or other legal entity or instrumentality engaged in generation,
transmission, distribution, or sale of
electric energy, however produced,
throughout the United States and its
possessions, having sales or transmission service equal to Major as defined above, must prepare and file electronically with the Commission the
FERC Form 1 pursuant to the General
Instructions as provided in that form.
(ii) Exceptions. This report form is
not prescribed for any agency, authority or instrumentality of the United
States, nor is it prescribed for municipalities as defined in section 3 of the
Federal Power Act; (i.e., a city, county,
irrigation district, drainage district, or
other political subdivision or agency of
a State competent under the laws
thereof to carry on the business of developing, transmitting, utilizing, or
distributing power).
(2) When to file and what to file. (i)
The annual report for the year ending
December 31, 2004, must be filed on
April 25, 2005.
(ii) The annual report for each year
thereafter must be filed on April 18.
(iii) This report must be filed with
the Federal Energy Regulatory Commission as prescribed in § 385.2011 of
this chapter and as indicated in the
General Instructions set out in this
form, and must be properly completed
and verified. Filing on electronic media

AUTHORITY: 15 U.S.C. 79; 15 U.S.C. 717–717z;
16 U.S.C. 791a–828c, 2601–2645; 31 U.S.C. 9701;
42 U.S.C. 7101–7352.

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