Draft FERC-556, as attached to final rule in RM09-23, issued 3/19/2010

issued form20100319-4000.pdf

FERC-556, [final rule in RM09-23], Certification of Qualifying Facility (QF) Status for a Small Power Production or Cogeneration Facility

Draft FERC-556, as attached to final rule in RM09-23, issued 3/19/2010

OMB: 1902-0075

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1902-0075 can be found here:

Document [pdf]

Download: pdf | pdf

FEDERAL ENERGY REGULATORY COMMISSION
WASHINGTON, DC

Form 556

OMB Control # [

]

Certification of Qualifying Facility (QF) Status for a Small Power
Production or Cogeneration Facility

General
Questions about completing this form should be sent to [email protected]. Information about the Commission's QF
program, answers to frequently asked questions about QF requirements or completing this form, and contact information for
QF program staff are available at the Commission's QF website, www.ferc.gov/QF. The Commission's QF website also
provides links to the Commission's QF regulations (18 C.F.R. § 131.80 and Part 292), as well as other statutes and orders
pertaining to the Commission's QF program.

Who Must File
Any applicant seeking QF status or recertification of QF status for a generating facility with a net power production capacity
(as determined in lines 7a through 7g below) greater than 1000 kW must file a self-certification or an application for
Commission certification of QF status, which includes a properly completed Form 556. Any applicant seeking QF status for a
generating facility with a net power production capacity 1000 kW or less is exempt from the certification requirement, and is
therefore not required to complete or file a Form 556. See 18 C.F.R. § 292.203.

How to Complete the Form 556
This form is intended to be completed by responding to the items in the order they are presented, according to the
instructions given. If you need to back-track, you may need to clear certain responses before you will be allowed to change
other responses made previously in the form. If you experience problems, click on the nearest help button (
) for
assistance, or contact Commission staff at [email protected].
Certain lines in this form will be automatically calculated based on responses to previous lines, with the relevant formulas
shown. You must respond to all of the previous lines within a section before the results of an automatically calculated field
will be displayed. If you disagree with the results of any automatic calculation on this form, contact Commission staff at
[email protected] to discuss the discrepancy before filing.
You must complete all lines in this form unless instructed otherwise. Do not alter this form or save this form in a different
format. Incomplete or altered forms, or forms saved in formats other than PDF, will be rejected.

How to File a Completed Form 556
Applicants are required to file their Form 556 electronically through the Commission's eFiling website (see instructions on
page 2). By filing electronically, you will reduce your filing burden, save paper resources, save postage or courier charges,
help keep Commission expenses to a minimum, and receive a much faster confirmation (via an email containing the docket
number assigned to your facility) that the Commission has received your filing.
If you are simultaneously filing both a waiver request and a Form 556 as part of an application for Commission certification,
see the "Waiver Requests" section on page 3 for more information on how to file.

Paperwork Reduction Act Notice
This form is approved by the Office of Management and Budget (OMB Control No. [
], expiration [
]). Compliance
with the information requirements established by the FERC Form No. 556 is required to obtain or maintain status as a QF. See
18 C.F.R. § 131.80 and Part 292. An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB control number. The estimated burden for completing the
FERC Form No. 556, including gathering and reporting information, is as follows: 3 hours for self-certification of a small power
production facility, 8 hours for self-certifications of a cogeneration facility, 6 hours for an application for Commission
certification of a small power production facility, and 50 hours for an application for Commission certification of a
cogeneration facility. Send comments regarding this burden estimate or any aspect of this collection of information,
including suggestions for reducing this burden, to the following: Information Clearance Officer, Office of the Executive
Director (ED-32), Federal Energy Regulatory Commission, 888 First Street N.E., Washington, DC 20426; and Desk Officer for
FERC, Office of Information and Regulatory Affairs, Office of Management and Budget, Washington, DC 20503
([email protected]). Include the Control No. [
] in any correspondence. [When OMB approval is received,
the OMB Control No. and expiration date will be added to the form/instructions.]

FERC Form 556

Page 2 - Instructions

Electronic Filing (eFiling)
To electronically file your Form 556, visit the Commission's QF website at www.ferc.gov/QF and click the eFiling link.
If you are eFiling your first document, you will need to register with your name, email address, mailing address, and phone
number. If you are registering on behalf of an employer, then you will also need to provide the employer name, alternate
contact name, alternate contact phone number and and alternate contact email.
Once you are registered, log in to eFiling with your registered email address and the password that you created at
registration. Follow the instructions. When prompted, select one of the following QF-related filing types, as appropriate,
from the Electric or General filing category.
Filing category

Electric

General

Filing Type as listed in eFiling

Description

Use to submit an application for
Commission certification or
(Fee) Application for Commission Cert. as Cogeneration QF
Commission recertification of a
cogeneration facility as a QF.
Use to submit an application for
Commission certification or
(Fee) Application for Commission Cert. as Small Power QF Commission recertification of a
small power production facility as a
QF.
Use to submit a notice of selfcertification of your facility
Self-Certification Notice (QF, EG, FC)
(cogeneration or small power
production) as a QF.
Use to submit a notice of selfrecertification of your facility
Self-Recertification of Qualifying Facility (QF)
(cogeneration or small power
production) as a QF.
Use to correct or supplement a
Form 556 that was submitted with
errors or omissions, or for which
Commission staff has requested
additional information. Do not use
Supplemental Information or Request
this filing type to report new
changes to a facility or its
ownership; rather, use a selfrecertification or Commission
recertification to report such
changes.
Use to submit a petition for
declaratory order granting a waiver
of Commission QF regulations
pursuant to 18 C.F.R. §§ 292.204(a)
(Fee) Petition for Declaratory Order (not under FPA Part 1) (3) and/or 292.205(c). A Form 556 is
not required for a petition for
declaratory order unless
Commission recertification is being
requested as part of the petition.

You will be prompted to submit your filing fee, if applicable, during the electronic submission process. Filing fees can be paid
via electronic bank account debit or credit card.
During the eFiling process, you will be prompted to select your file(s) for upload from your computer.

FERC Form 556

Page 3 - Instructions

Filing Fee
No filing fee is required if you are submitting a self-certification or self-recertification of your facility as a QF pursuant to 18
C.F.R. § 292.207(a).
A filing fee is required if you are filing either of the following:
(1) an application for Commission certification or recertification of your facility as a QF pursuant to 18 C.F.R. § 292.207(b), or
(2) a petition for declaratory order granting waiver pursuant to 18 C.F.R. §§ 292.204(a)(3) and/or 292.205(c).
The current fees for applications for Commission certifications and petitions for declaratory order can be found by visiting the
Commission's QF website at www.ferc.gov/QF and clicking the Fee Schedule link.
You will be prompted to submit your filing fee, if applicable, during the electronic filing process described on page 2.

Required Notice to Utilities and State Regulatory Authorities
Pursuant to 18 C.F.R. § 292.207(a)(ii), you must provide a copy of your self-certification or request for Commission certification
to the utilities with which the facility will interconnect and/or transact, as well as to the State regulatory authorities of the
states in which your facility and those utilities reside. Links to information about the regulatory authorities in various states
can be found by visiting the Commission's QF website at www.ferc.gov/QF and clicking the Notice Requirements link.

What to Expect From the Commission After You File
An applicant filing a Form 556 electronically will receive an email message acknowledging receipt of the filing and showing
the docket number assigned to the filing. Such email is typically sent within one business day, but may be delayed pending
confirmation by the Secretary of the Commission of the contents of the filing.
An applicant submitting a self-certification of QF status should expect to receive no documents from the Commission, other
than the electronic acknowledgement of receipt described above. Consistent with its name, a self-certification is a
certification by the applicant itself that the facility meets the relevant requirements for QF status, and does not involve a
determination by the Commission as to the status of the facility. An acknowledgement of receipt of a self-certification, in
particular, does not represent a determination by the Commission with regard to the QF status of the facility. An applicant
self-certifying may, however, receive a rejection, revocation or deficiency letter if its application is found, during periodic
compliance reviews, not to comply with the relevant requirements.
An applicant submitting a request for Commission certification will receive an order either granting or denying certification of
QF status, or a letter requesting additional information or rejecting the application. Pursuant to 18 C.F.R. § 292.207(b)(3), the
Commission must act on an application for Commission certification within 90 days of the later of the filing date of the
application or the filing date of a supplement, amendment or other change to the application.

Waiver Requests
18 C.F.R. § 292.204(a)(3) allows an applicant to request a waiver to modify the method of calculation pursuant to 18 C.F.R. §
292.204(a)(2) to determine if two facilities are considered to be located at the same site, for good cause. 18 C.F.R. § 292.205(c)
allows an applicant to request waiver of the requirements of 18 C.F.R. §§ 292.205(a) and (b) for operating and efficiency upon
a showing that the facility will produce significant energy savings. A request for waiver of these requirements must be
submitted as a petition for declaratory order, with the appropriate filing fee for a petition for declaratory order. Applicants
requesting Commission recertification as part of a request for waiver of one of these requirements should electronically
submit their completed Form 556 along with their petition for declaratory order, rather than filing their Form 556 as a
separate request for Commission recertification. Only the filing fee for the petition for declaratory order must be paid to
cover both the waiver request and the request for recertification if such requests are made simultaneously.
18 C.F.R. § 292.203(d)(2) allows an applicant to request a waiver of the Form 556 filing requirements, for good cause.
Applicants filing a petition for declaratory order requesting a waiver under 18 C.F.R. § 292.203(d)(2) do not need to complete
or submit a Form 556 with their petition.

FERC Form 556

Page 4 - Instructions

Geographic Coordinates
If a street address does not exist for your facility, then line 3c of the Form 556 requires you to report your facility's geographic
coordinates (latitude and longitude). Geographic coordinates may be obtained from several different sources. You can find
links to online services that show latitude and longitude coordinates on online maps by visiting the Commission's QF
webpage at www.ferc.gov/QF and clicking the Geographic Coordinates link. You may also be able to obtain your geographic
coordinates from a GPS device, Google Earth (available free at http://earth.google.com), a property survey, various
engineering or construction drawings, a property deed, or a municipal or county map showing property lines.

Filing Privileged Data or Critical Energy Infrastructure Information in a Form 556
The Commission's regulations provide procedures for applicants to either (1) request that any information submitted with a
Form 556 be given privileged treatment because the information is exempt from the mandatory public disclosure
requirements of the Freedom of Information Act, 5 U.S.C. § 552, and should be withheld from public disclosure; or (2) identify
any documents containing critical energy infrastructure information (CEII) as defined in 18 C.F.R. § 388.113 that should not be
made public.
If you are seeking privileged treatment or CEII status for any data in your Form 556, then you must follow the procedures in 18
C.F.R. § 388.112. See www.ferc.gov/help/filing-guide/file-ceii.asp for more information.
Among other things (see 18 C.F.R. § 388.112 for other requirements), applicants seeking privileged treatment or CEII status for
data submitted in a Form 556 must prepare and file both (1) a complete version of the Form 556 (containing the privileged
and/or CEII data), and (2) a public version of the Form 556 (with the privileged and/or CEII data redacted). Applicants
preparing and filing these different versions of their Form 556 must indicate below the security designation of this version of
their document . If you are not seeking privileged treatment or CEII status for any of your Form 556 data, then you should not
respond to any of the items on this page.
Non-Public: Applicant is seeking privileged treatment and/or CEII status for data contained in the Form 556 lines
indicated below. This non-public version of the applicant's Form 556 contains all data, including the data that is redacted
in the (separate) public version of the applicant's Form 556.
Public (redacted): Applicant is seeking privileged treatment and/or CEII status for data contained in the Form 556 lines
indicated below . This public version of the applicants's Form 556 contains all data except for data from the lines
indicated below, which has been redacted.
Privileged: Indicate below which lines of your form contain data for which you are seeking privileged treatment

Critical Energy Infrastructure Information (CEII): Indicate below which lines of your form contain data for which you are
seeking CEII status

The eFiling process described on page 2 will allow you to identify which versions of the electronic documents you submit are
public, privileged and/or CEII. The filenames for such documents should begin with "Public", "Priv", or "CEII", as applicable, to
clearly indicate the security designation of the file. Both versions of the Form 556 should be unaltered PDF copies of the Form
556, as available for download from www.ferc.gov/QF. To redact data from the public copy of the submittal, simply omit the
relevant data from the Form. For numerical fields, leave the redacted fields blank. For text fields, complete as much of the
field as possible, and replace the redacted portions of the field with the word "REDACTED" in brackets. Be sure to identify
above all fields which contain data for which you are seeking non-public status.
The Commission is not responsible for detecting or correcting filer errors, including those errors related to security
designation. If your documents contain sensitive information, make sure they are filed using the proper security designation.

FEDERAL ENERGY REGULATORY COMMISSION
WASHINGTON, DC

Form 556

OMB Control # [

]

Certification of Qualifying Facility (QF) Status for a Small Power
Production or Cogeneration Facility

1a Full name of applicant (legal entity on whose behalf qualifying facility status is sought for this facility)

1b Applicant street address

1c City

1d State/province

1e Postal code

1f Country (if not United States)

1g Telephone number

1h Has the instant facility ever previously been certified as a QF?

Yes

1i If yes, provide the docket number of the last known QF filing pertaining to this facility:

Application Information

1j Under which certification process is the applicant making this filing?
Notice of self-certification
(see note below)

Application for Commission certification (requires filing
fee; see "Filing Fee" section on page 3)

Note: a notice of self-certification is a notice by the applicant itself that its facility complies with the requirements for
QF status. A notice of self-certification does not establish a proceeding, and the Commission does not review a
notice of self-certification to verify compliance. See the "What to Expect From the Commission After You File"
section on page 3 for more information.
1k What type(s) of QF status is the applicant seeking for its facility? (check all that apply)
Qualifying small power production facility status

Qualifying cogeneration facility status

1l What is the purpose and expected effective date(s) of this filing?
Original certification; facility expected to be installed by

and to begin operation on

Change(s) to a previously certified facility to be effective on
(identify type(s) of change(s) below, and describe change(s) in the Miscellaneous section starting on page 19)
Name change and/or other administrative change(s)
Change in ownership
Change(s) affecting plant equipment, fuel use, power production capacity and/or cogeneration thermal output
Supplement or correction to a previous filing submitted on
(describe the supplement or correction in the Miscellaneous section starting on page 19)
1m If any of the following three statements is true, check the box(es) that describe your situation and complete the form
to the extent possible, explaining any special circumstances in the Miscellaneous section starting on page 19.
The instant facility complies with the Commission's QF requirements by virtue of a waiver of certain regulations
previously granted by the Commission in an order dated
(specify any other relevant waiver
orders in the Miscellaneous section starting on page 19)
The instant facility would comply with the Commission's QF requirements if a petition for waiver submitted
concurrently with this application is granted
The instant facility complies with the Commission's regulations, but has special circumstances, such as the
employment of unique or innovative technologies not contemplated by the structure of this form, that make
the demonstration of compliance via this form difficult or impossible (describe in Misc. section starting on p. 19)

FERC Form 556

Page 6 - All Facilities

2a Name of contact person

2b Telephone number

2c Which of the following describes the contact person's relationship to the applicant? (check one)

Contact Information

Applicant (self)

Employee, owner or partner of applicant authorized to represent the applicant

Employee of a company affiliated with the applicant authorized to represent the applicant on this matter
Lawyer, consultant, or other representative authorized to represent the applicant on this matter
2d Company or organization name (if applicant is an individual, check here and skip to line 2e)

2e Street address (if same as Applicant, check here and skip to line 3a)

2f City

2g State/province

2h Postal code

2i Country (if not United States)

Facility Identification and Location

3a Facility name

3b Street address (if a street address does not exist for the facility, check here and skip to line 3c)

3c Geographic coordinates: If you indicated that no street address exists for your facility by checking the box in line 3b,
then you must specify the latitude and longitude coordinates of the facility in degrees (to three decimal places). Use
the following formula to convert to decimal degrees from degrees, minutes and seconds: decimal degrees =
degrees + (minutes/60) + (seconds/3600). See the "Geographic Coordinates" section on page 4 for help. If you
provided a street address for your facility in line 3b, then specifying the geographic coordinates below is optional.
Longitude

East (+)
West (-)

degrees

Latitude

3d City (if unincorporated, check here and enter nearest city)

3f County (or check here for independent city)

North (+)
South (-)

degrees

3e State/province

3g Country (if not United States)

Transacting Utilities

Identify the electric utilities that are contemplated to transact with the facility.
4a Identify utility interconnecting with the facility

4b Identify utilities providing wheeling service or check here if none

4c Identify utilities purchasing the useful electric power output or check here if none

4d Identify utilities providing supplementary power, backup power, maintenance power, and/or interruptible power
service or check here if none

FERC Form 556

Page 7 - All Facilities

Ownership and Operation

5a Direct ownership as of effective date or operation date: Identify all direct owners of the facility holding at least 10
percent equity interest. For each identified owner, also (1) indicate whether that owner is an electric utility, as
defined in section 3(22) of the Federal Power Act (16 U.S.C. 796(22)), or a holding company, as defined in section
1262(8) of the Public Utility Holding Company Act of 2005 (42 U.S.C. 16451(8)), and (2) for owners which are electric
utilities or holding companies, provide the percentage of equity interest in the facility held by that owner. If no
direct owners hold at least 10 percent equity interest in the facility, then provide the required information for the
two direct owners with the largest equity interest in the facility.
Electric utility or
If Yes,
holding
% equity
company
interest
Full legal names of direct owners
1)

Yes

10)

Yes

Check here and continue in the Miscellaneous section starting on page 19 if additional space is needed
5b Upstream (i.e., indirect) ownership as of effective date or operation date: Identify all upstream (i.e., indirect) owners
of the facility that both (1) hold at least 10 percent equity interest in the facility, and (2) are electric utilities, as
defined in section 3(22) of the Federal Power Act (16 U.S.C. 796(22)), or holding companies, as defined in section
1262(8) of the Public Utility Holding Company Act of 2005 (42 U.S.C. 16451(8)). Also provide the percentage of
equity interest in the facility held by such owners. (Note that, because upstream owners may be subsidiaries of one
another, total percent equity interest reported may exceed 100 percent.)
Check here if no such upstream owners exist.
Full legal names of electric utility or holding company upstream owners

% equity
interest

10)

%
Check here and continue in the Miscellaneous section starting on page 19 if additional space is needed

5c Identify the facility operator

FERC Form 556

Page 8 - All Facilities

6a Describe the primary energy input: (check one main category and, if applicable, one subcategory)
Biomass (specify)

Renewable resources (specify)

Geothermal

Landfill gas

Hydro power - river

Manure digester gas

Hydro power - tidal

Coal (not waste)

Municipal solid waste

Hydro power - wave

Fuel oil/diesel

Sewage digester gas

Solar - photovoltaic

Natural gas (not waste)

Wood

Solar - thermal

Other biomass (describe on page 19)

Wind

Other fossil fuel
(describe on page 19)

Waste (specify type below in line 6b)

Fossil fuel (specify)

Other renewable resource
(describe on page 19)

Other (describe on page 19)

6b If you specified "waste" as the primary energy input in line 6a, indicate the type of waste fuel used: (check one)
Waste fuel listed in 18 C.F.R. § 292.202(b) (specify one of the following)
Anthracite culm produced prior to July 23, 1985
Anthracite refuse that has an average heat content of 6,000 Btu or less per pound and has an average
ash content of 45 percent or more

Energy Input

Bituminous coal refuse that has an average heat content of 9,500 Btu per pound or less and has an
average ash content of 25 percent or more
Top or bottom subbituminous coal produced on Federal lands or on Indian lands that has been
determined to be waste by the United States Department of the Interior's Bureau of Land Management
(BLM) or that is located on non-Federal or non-Indian lands outside of BLM's jurisdiction, provided that
the applicant shows that the latter coal is an extension of that determined by BLM to be waste
Coal refuse produced on Federal lands or on Indian lands that has been determined to be waste by the
BLM or that is located on non- Federal or non-Indian lands outside of BLM's jurisdiction, provided that
applicant shows that the latter is an extension of that determined by BLM to be waste
Lignite produced in association with the production of montan wax and lignite that becomes exposed
as a result of such a mining operation
Gaseous fuels (except natural gas and synthetic gas from coal) (describe on page 19)
Waste natural gas from gas or oil wells (describe on page 19 how the gas meets the requirements of 18
C.F.R. § 2.400 for waste natural gas; include with your filing any materials necessary to demonstrate
compliance with 18 C.F.R. § 2.400)
Materials that a government agency has certified for disposal by combustion (describe on page 19)
Heat from exothermic reactions (describe on page 19)
Used rubber tires

Plastic materials

Residual heat (describe on page 19)
Refinery off-gas

Petroleum coke

Other waste energy input that has little or no commercial value and exists in the absence of the qualifying
facility industry (describe in the Miscellaneous section starting on page 19; include a discussion of the fuel's
lack of commercial value and existence in the absence of the qualifying facility industry)
6c Provide the average energy input, calculated on a calendar year basis, in terms of Btu/h for the following fossil fuel
energy inputs, and provide the related percentage of the total average annual energy input to the facility (18 C.F.R. §
292.202(j)). For any oil or natural gas fuel, use lower heating value (18 C.F.R. § 292.202(m)).
Fuel
Natural gas
Oil-based fuels
Coal

Annual average energy
input for specified fuel

Percentage of total
annual energy input
Btu/h

Btu/h

FERC Form 556

Page 9 - All Facilities

Indicate the maximum gross and maximum net electric power production capacity of the facility at the point(s) of
delivery by completing the worksheet below. Respond to all items. If any of the parasitic loads and/or losses identified in
lines 7b through 7e are negligible, enter zero for those lines.
7a The maximum gross power production capacity at the terminals of the individual generator(s)
under the most favorable anticipated design conditions

7b Parasitic station power used at the facility to run equipment which is necessary and integral to
the power production process (boiler feed pumps, fans/blowers, office or maintenance buildings
directly related to the operation of the power generating facility, etc.). If this facility includes nonpower production processes (for instance, power consumed by a cogeneration facility's thermal
host) , do not include any power consumed by the non-power production activities in your
reported parasitic station power.

7c Electrical losses in interconnection transformers
kW
7d Electrical losses in AC/DC conversion equipment, if any
kW

Technical Facility Information

7e Other interconnection losses in power lines or facilities (other than transformers and AC/DC
conversion equipment) between the terminals of the generator(s) and the point of interconnection
with the utility
7f Total deductions from gross power production capacity = 7b + 7c + 7d + 7e
7g Maximum net power production capacity = 7a - 7f

kW
0 kW
0 kW

7h Description of facility and primary components: Describe the facility and its operation. Identify all boilers, heat
recovery steam generators, prime movers (any mechanical equipment driving an electric generator), electrical
generators, photovoltaic solar equipment, fuel cell equipment and/or other primary power generation equipment
used in the facility. Descriptions of components should include (as applicable) specifications of the nominal
capacities for mechanical output, electrical output, or steam generation of the identified equipment. For each piece
of equipment identified, clearly indicate how many pieces of that type of equipment are included in the plant, and
which components are normally operating or normally in standby mode. Provide a description of how the
components operate as a system. Applicants for cogeneration facilities do not need to describe operations of
systems that are clearly depicted on and easily understandable from a cogeneration facility's attached mass and
heat balance diagram; however, such applicants should provide any necessary description needed to understand
the sequential operation of the facility depicted in their mass and heat balance diagram. If additional space is
needed, continue in the Miscellaneous section starting on page 19.

FERC Form 556

Page 10 - Small Power Production

Information Required for Small Power Production Facility
If you indicated in line 1k that you are seeking qualifying small power production facility status for your facility, then you
must respond to the items on this page. Otherwise, skip page 10.
Pursuant to 18 C.F.R. § 292.204(a), the power production capacity of any small power production facility, together
with the power production capacity of any other small power production facilities that use the same energy
resource, are owned by the same person(s) or its affiliates, and are located at the same site, may not exceed 80
megawatts. To demonstrate compliance with this size limitation, or to demonstrate that your facility is exempt
from this size limitation under the Solar, Wind, Waste, and Geothermal Power Production Incentives Act of 1990
(Pub. L. 101-575, 104 Stat. 2834 (1990) as amended by Pub. L. 102-46, 105 Stat. 249 (1991)), respond to lines 8a
through 8e below (as applicable).

Certification of Compliance
with Size Limitations

8a Identify any facilities with electrical generating equipment located within 1 mile of the electrical generating
equipment of the instant facility, and for which any of the entities identified in lines 5a or 5b, or their affiliates, holds
at least a 5 percent equity interest.
Check here if no such facilities exist.
Facility location
(city or county, state)

Root docket #
(if any)

Maximum net power
production capacity

Common owner(s)

Check here and continue in the Miscellaneous section starting on page 19 if additional space is needed
8b The Solar, Wind, Waste, and Geothermal Power Production Incentives Act of 1990 (Incentives Act) provides
exemption from the size limitations in 18 C.F.R. § 292.204(a) for certain facilities that were certified prior to 1995.
Are you seeking exemption from the size limitations in 18 C.F.R. § 292.204(a) by virtue of the Incentives Act?
Yes (continue at line 8c below)

No (skip lines 8c through 8e)

8c Was the original notice of self-certification or application for Commission certification of the facility filed on or
before December 31, 1994? Yes
No
8d Did construction of the facility commence on or before December 31, 1999? Yes

Certification of Compliance
with Fuel Use Requirements

8e If you answered No in line 8d, indicate whether reasonable diligence was exercised toward the completion of
If you answered Yes, provide
the facility, taking into account all factors relevant to construction? Yes
No
a brief narrative explanation in the Miscellaneous section starting on page 19 of the construction timeline (in
particular, describe why construction started so long after the facility was certified) and the diligence exercised
toward completion of the facility.
Pursuant to 18 C.F.R. § 292.204(b), qualifying small power production facilities may use fossil fuels, in minimal
amounts, for only the following purposes: ignition; start-up; testing; flame stabilization; control use; alleviation or
prevention of unanticipated equipment outages; and alleviation or prevention of emergencies, directly affecting
the public health, safety, or welfare, which would result from electric power outages. The amount of fossil fuels
used for these purposes may not exceed 25 percent of the total energy input of the facility during the 12-month
period beginning with the date the facility first produces electric energy or any calendar year thereafter.
9a Certification of compliance with 18 C.F.R. § 292.204(b) with respect to uses of fossil fuel:
Applicant certifies that the facility will use fossil fuels exclusively for the purposes listed above.
9b Certification of compliance with 18 C.F.R. § 292.204(b) with respect to amount of fossil fuel used annually:
Applicant certifies that the amount of fossil fuel used at the facility will not, in aggregate, exceed 25
percent of the total energy input of the facility during the 12-month period beginning with the date the
facility first produces electric energy or any calendar year thereafter.

FERC Form 556

Page 11 - Cogeneration Facilities

Information Required for Cogeneration Facility
If you indicated in line 1k that you are seeking qualifying cogeneration facility status for your facility, then you must respond
to the items on pages 11 through 13. Otherwise, skip pages 11 through 13.
Pursuant to 18 C.F.R. § 292.202(c), a cogeneration facility produces electric energy and forms of useful thermal
energy (such as heat or steam) used for industrial, commercial, heating, or cooling purposes, through the sequential
use of energy. Pursuant to 18 C.F.R. § 292.202(s), "sequential use" of energy means the following: (1) for a toppingcycle cogeneration facility, the use of reject heat from a power production process in sufficient amounts in a
thermal application or process to conform to the requirements of the operating standard contained in 18 C.F.R. §
292.205(a); or (2) for a bottoming-cycle cogeneration facility, the use of at least some reject heat from a thermal
application or process for power production.
10a What type(s) of cogeneration technology does the facility represent? (check all that apply)
Topping-cycle cogeneration

Bottoming-cycle cogeneration

10b To help demonstrate the sequential operation of the cogeneration process, and to support compliance with
other requirements such as the operating and efficiency standards, include with your filing a mass and heat
balance diagram depicting average annual operating conditions. This diagram must include certain items and
meet certain requirements, as described below. You must check next to the description of each requirement
below to certify that you have complied with these requirements.

General Cogeneration
Information

Check to certify
compliance with
indicated requirement

Requirement
Diagram must show orientation within system piping and/or ducts of all prime movers,
heat recovery steam generators, boilers, electric generators, and condensers (as
applicable), as well as any other primary equipment relevant to the cogeneration
process.
Any average annual values required to be reported in lines 10b, 12a, 13a, 13b, 13d, 13f,
14a, 15b, 15d and/or 15f must be computed over the anticipated hours of operation.
Diagram must specify all fuel inputs by fuel type and average annual rate in Btu/h. Fuel
for supplementary firing should be specified separately and clearly labeled. All
specifications of fuel inputs should use lower heating values.
Diagram must specify average gross electric output in kW or MW for each generator.
Diagram must specify average mechanical output (that is, any mechanical energy taken
off of the shaft of the prime movers for purposes not directly related to electric power
generation) in horsepower, if any. Typically, a cogeneration facility has no mechanical
output.
At each point for which working fluid flow conditions are required to be specified (see
below), such flow condition data must include mass flow rate (in lb/h or kg/s),
temperature (in °F, R, °C or K), absolute pressure (in psia or kPa) and enthalpy (in Btu/lb
or kJ/kg). Exception: For systems where the working fluid is liquid only (no vapor at any
point in the cycle) and where the type of liquid and specific heat of that liquid are clearly
indicated on the diagram or in the Miscellaneous section starting on page 19, only mass
flow rate and temperature (not pressure and enthalpy) need be specified. For reference,
specific heat at standard conditions for pure liquid water is approximately 1.002 Btu/
(lb*R) or 4.195 kJ/(kg*K).
Diagram must specify working fluid flow conditions at input to and output from each
steam turbine or other expansion turbine or back-pressure turbine.
Diagram must specify working fluid flow conditions at delivery to and return from each
thermal application.
Diagram must specify working fluid flow conditions at make-up water inputs.

FERC Form 556

Page 12 - Cogeneration Facilities

EPAct 2005 cogeneration facilities: The Energy Policy Act of 2005 (EPAct 2005) established a new section 210(n) of
the Public Utility Regulatory Policies Act of 1978 (PURPA), 16 USC 824a-3(n), with additional requirements for any
qualifying cogeneration facility that (1) is seeking to sell electric energy pursuant to section 210 of PURPA and (2)
was either not a cogeneration facility on August 8, 2005, or had not filed a self-certification or application for
Commission certification of QF status on or before February 1, 2006. These requirements were implemented by the
Commission in 18 C.F.R. § 292.205(d). Complete the lines below, carefully following the instructions, to demonstrate
whether these additional requirements apply to your cogeneration facility and, if so, whether your facility complies
with such requirements.
11a Was your facility operating as a qualifying cogeneration facility on or before August 8, 2005? Yes

EPAct 2005 Requirements for Fundamental Use
of Energy Output from Cogeneration Facilities

11b Was the initial filing seeking certification of your facility (whether a notice of self-certification or an application
for Commission certification) filed on or before February 1, 2006? Yes
No
If the answer to either line 11a or 11b is Yes, then continue at line 11c below. Otherwise, if the answers to both lines
11a and 11b are No, skip to line 11e below.
11c With respect to the design and operation of the facility, have any changes been implemented on or after
February 2, 2006 that affect general plant operation, affect use of thermal output, and/or increase net power
production capacity from the plant's capacity on February 1, 2006?
Yes (continue at line 11d below)
No. Your facility is not subject to the requirements of 18 C.F.R. § 292.205(d) at this time. However, it may be
subject to to these requirements in the future if changes are made to the facility. At such time, the applicant
would need to recertify the facility to determine eligibility. Skip lines 11d through 11j.
11d Does the applicant contend that the changes identified in line 11c are not so significant as to make the facility a
"new" cogeneration facility that would be subject to the 18 C.F.R. § 292.205(d) cogeneration requirements?
Yes. Provide in the Miscellaneous section starting on page 19 a description of any relevant changes made to
the facility (including the purpose of the changes) and a discussion of why the facility should not be
considered a "new" cogeneration facility in light of these changes. Skip lines 11e through 11j.
No. Applicant stipulates to the fact that it is a "new" cogeneration facility (for purposes of determining the
applicability of the requirements of 18 C.F.R. § 292.205(d)) by virtue of modifications to the facility that were
initiated on or after February 2, 2006. Continue below at line 11e.
11e Will electric energy from the facility be sold pursuant to section 210 of PURPA?
Yes. The facility is an EPAct 2005 cogeneration facility. You must demonstrate compliance with 18 C.F.R. §
292.205(d)(2) by continuing at line 11f below.
No. Applicant certifies that energy will not be sold pursuant to section 210 of PURPA. Applicant also
certifies its understanding that it must recertify its facility in order to determine compliance with the
requirements of 18 C.F.R. § 292.205(d) before selling energy pursuant to section 210 of PURPA in the future.
Skip lines 11f through 11j.
11f Is the net power production capacity of your cogeneration facility, as indicated in line 7g above, less than or
equal to 5,000 kW?
Yes, the net power production capacity is less than or equal to 5,000 kW. 18 C.F.R. § 292.205(d)(4) provides a
rebuttable presumption that cogeneration facilities of 5,000 kW and smaller capacity comply with the
requirements for fundamental use of the facility's energy output in 18 C.F.R. § 292.205(d)(2). Applicant
certifies its understanding that, should the power production capacity of the facility increase above 5,000
kW, then the facility must be recertified to (among other things) demonstrate compliance with 18 C.F.R. §
292.205(d)(2). Skip lines 11g through 11j.
No, the net power production capacity is greater than 5,000 kW. Demonstrate compliance with the
requirements for fundamental use of the facility's energy output in 18 C.F.R. § 292.205(d)(2) by continuing on
the next page at line 11g.

FERC Form 556

Page 13 - Cogeneration Facilities

Lines 11g through 11k below guide the applicant through the process of demonstrating compliance with the
requirements for "fundamental use" of the facility's energy output. 18 C.F.R. § 292.205(d)(2). Only respond to the
lines on this page if the instructions on the previous page direct you to do so. Otherwise, skip this page.

EPAct 2005 Requirements for Fundamental Use
of Energy Output from Cogeneration Facilities (continued)

18 C.F.R. § 292.205(d)(2) requires that the electrical, thermal, chemical and mechanical output of an EPAct 2005
cogeneration facility is used fundamentally for industrial, commercial, residential or institutional purposes and is not
intended fundamentally for sale to an electric utility, taking into account technological, efficiency, economic, and
variable thermal energy requirements, as well as state laws applicable to sales of electric energy from a qualifying
facility to its host facility. If you were directed on the previous page to respond to the items on this page, then your
facility is an EPAct 2005 cogeneration facility that is subject to this "fundamental use" requirement.
The Commission's regulations provide a two-pronged approach to demonstrating compliance with the
requirements for fundamental use of the facility's energy output. First, the Commission has established in 18 C.F.R. §
292.205(d)(3) a "fundamental use test" that can be used to demonstrate compliance with 18 C.F.R. § 292.205(d)(2).
Under the fundamental use test, a facility is considered to comply with 18 C.F.R. § 292.205(d)(2) if at least 50 percent
of the facility's total annual energy output (including electrical, thermal, chemical and mechanical energy output) is
used for industrial, commercial, residential or institutional purposes.
Second, an applicant for a facility that does not pass the fundamental use test may provide a narrative explanation
of and support for its contention that the facility nonetheless meets the requirement that the electrical, thermal,
chemical and mechanical output of an EPAct 2005 cogeneration facility is used fundamentally for industrial,
commercial, residential or institutional purposes and is not intended fundamentally for sale to an electric utility,
taking into account technological, efficiency, economic, and variable thermal energy requirements, as well as state
laws applicable to sales of electric energy from a qualifying facility to its host facility.
Complete lines 11g through 11j below to determine compliance with the fundamental use test in 18 C.F.R. § 292.205
(d)(3). Complete lines 11g through 11j even if you do not intend to rely upon the fundamental use test to
demonstrate compliance with 18 C.F.R. § 292.205(d)(2).
11g Amount of electrical, thermal, chemical and mechanical energy output (net of internal
generation plant losses and parasitic loads) expected to be used annually for industrial,
commercial, residential or institutional purposes and not sold to an electric utility
11h Total amount of electrical, thermal, chemical and mechanical energy expected to be
sold to an electric utility
11i Percentage of total annual energy output expected to be used for industrial,
commercial, residential or institutional purposes and not sold to a utility
= 100 * 11g /(11g + 11h)

MWh
MWh

0 %

11j Is the response in line 11i greater than or equal to 50 percent?
Yes. Your facility complies with 18 C.F.R. § 292.205(d)(2) by virtue of passing the fundamental use test
provided in 18 C.F.R. § 292.205(d)(3). Applicant certifies its understanding that, if it is to rely upon passing
the fundamental use test as a basis for complying with 18 C.F.R. § 292.205(d)(2), then the facility must
comply with the fundamental use test both in the 12-month period beginning with the date the facility first
produces electric energy, and in all subsequent calendar years.
No. Your facility does not pass the fundamental use test. Instead, you must provide in the Miscellaneous
section starting on page 19 a narrative explanation of and support for why your facility meets the
requirement that the electrical, thermal, chemical and mechanical output of an EPAct 2005 cogeneration
facility is used fundamentally for industrial, commercial, residential or institutional purposes and is not
intended fundamentally for sale to an electric utility, taking into account technological, efficiency, economic,
and variable thermal energy requirements, as well as state laws applicable to sales of electric energy from a
QF to its host facility. Applicants providing a narrative explanation of why their facility should be found to
comply with 18 C.F.R. § 292.205(d)(2) in spite of non-compliance with the fundamental use test may want to
review paragraphs 47 through 61 of Order No. 671 (accessible from the Commission's QF website at
www.ferc.gov/QF), which provide discussion of the facts and circumstances that may support their
explanation. Applicant should also note that the percentage reported above will establish the standard that
that facility must comply with, both for the 12-month period beginning with the date the facility first
produces electric energy, and in all subsequent calendar years. See Order No. 671 at paragraph 51. As such,
the applicant should make sure that it reports appropriate values on lines 11g and 11h above to serve as the
relevant annual standard, taking into account expected variations in production conditions.

FERC Form 556

Page 14 - Topping-Cycle Cogeneration Facilities

Information Required for Topping-Cycle Cogeneration Facility
If you indicated in line 10a that your facility represents topping-cycle cogeneration technology, then you must respond to
the items on pages 14 and 15. Otherwise, skip pages 14 and 15.
The thermal energy output of a topping-cycle cogeneration facility is the net energy made available to an industrial
or commercial process or used in a heating or cooling application. Pursuant to sections 292.202(c), (d) and (h) of the
Commission's regulations (18 C.F.R. §§ 292.202(c), (d) and (h)), the thermal energy output of a qualifying toppingcycle cogeneration facility must be useful. In connection with this requirement, describe the thermal output of the
topping-cycle cogeneration facility by responding to lines 12a and 12b below.
12a Identify and describe each thermal host, and specify the annual average rate of thermal output made available
to each host for each use. For hosts with multiple uses of thermal output, provide the data for each use in
separate rows.
Average annual rate of
thermal output
attributable to use (net of
Name of entity (thermal host)
Thermal host's relationship to facility;
heat contained in process
taking thermal output
Thermal host's use of thermal output
return or make-up water)
1)