18 Cfr 46

lpowell on DSK54DXVN1OFR with $$_JOB

Pt. 46

18 CFR Ch. I (4–1–17 Edition)

(1) Officer or director of one or more
other public utilities if the same holding company owns, directly or indirectly, that percentage of each utility’s
stock (of whatever class or classes)
which is required by each utility’s bylaws to elect directors;
(2) Officer or director of two public
utilities, if one utility is owned, wholly
or in part, by the other and, as its primary business, owns or operates transmission or generating facilities to provide transmission service or electric
power for sale to its owners; and
(3) Officer or director of more than
one public utility, if such officer or director is already authorized under this
part to hold different positions as officer or director of those utilities where
the interlock involves affiliated public
utilities.
(b) Conditions of authorization. As a
condition of authorization, any person
authorized to hold interlocking positions under this section must submit,
prior to performing or assuming the
duties and responsibilities of the position, an informational report in accordance with paragraph (c) of this section, unless that person is already authorized to hold interlocking positions
of the type governed by this section.
Failure to timely file the informational report will constitute a failure
to satisfy this condition, and will constitute automatic denial.
(c) Informational report. An informational report required under paragraph
(b) of this section must state:
(1) The full name and business address of the person required to submit
this report;
(2) The names of all public utilities
with which the person holds or will
hold the positions of officer or director
and a description of those positions;
(3) The names of any entity, other
than those listed in paragraph (c)(2) of
this section, of which the person is an
officer or director and a description of
those positions; and
(4) An explanation of the corporate
relationship between or among the
public utilities listed in paragraph
(c)(2) of this section which qualifies the
person for automatic authorization
under this section.
(5) A statement or an affirmation
that the applicant has not yet per-

formed or assumed the duties or responsibilities of the position which necessitated the filing of this informational report.
[Order 446, 51 FR 4905, Feb. 10, 1986, as
amended by Order 664, 70 FR 55723, Sept. 23,
2005]

PART 46—PUBLIC UTILITY FILING REQUIREMENTS AND FILING REQUIREMENTS
FOR
PERSONS
HOLDING INTERLOCKING POSITIONS
Sec.
46.1 Purpose.
46.2 Definitions.
46.3 Purchaser list.
46.4 General rule.
46.5 Covered entities.
46.6 Contents of the statement and procedures for filing.
AUTHORITY: 16 U.S.C. 792–828c; 16 U.S.C.
2601–2645; 42 U.S.C. 7101–7352; E.O. 12009, 3
CFR 142.
SOURCE: 45 FR 23418, Apr. 7, 1980, unless
otherwise noted.

§ 46.1 Purpose.
The purpose of this part is to implement section 305(c) of the Federal
Power Act, as amended by section 211
of the Public Utility Regulatory Policies Act of 1978.
[Order 67, 45 FR 3569, Jan. 18, 1980]

§ 46.2 Definitions.
For the purpose of this part:
(a) Public utility has the same meaning as in section 201(e) of the Federal
Power Act and further includes any
company which is part of a holding
company system which includes a registered holding company unless no
company in such system is an electric
utility within the meaning of section 3
of the Federal Power Act. Such term
does not include any rural electric cooperative which is regulated by the
Rural Electrification Administration
of the Department of Agriculture or
any other entities covered in section
201(f) of the Federal Power Act.
(b) The following terms have the
same meaning as in the Public Utility
Holding Company Act of 1935:
(1) Holding company system; and
(2) Registered holding company.

382

VerDate Sep<11>2014

16:16 May 22, 2017

Jkt 241061

PO 00000

Frm 00392

Fmt 8010

Sfmt 8010

Q:\18\18V1.TXT

31

Federal Energy Regulatory Commission

lpowell on DSK54DXVN1OFR with $$_JOB

(c) Purchaser means any individual or
corporation within the meaning of section 3 of the Federal Power Act who
purchases electric energy from a public
utility. Such term does not include the
United States or any agency or instrumentality of the United States or any
rural electric cooperative which is regulated by the Rural Electrification Administration of the Department of Agriculture.
(d) Control and controlled mean the
possession, directly or indirectly, of
the power to direct the management or
policies of an entity whether such
power is exercised through one or more
intermediary companies or pursuant to
an agreement, written or oral, and
whether such power is established
through ownership or voting of securities, or common directors, officers, or
stockholders, or voting trusts, holding
trusts, or debt holdings, or contract, or
any other direct or indirect means. A
rebuttable presumption that control
exists arises from the ownership or the
power to vote, directly or indirectly,
ten percent (10%) or more of the voting
securities of such entity.
(e) Entity means any firm, company,
or organization including any corporation, joint-stock company, partnership,
association, business trust, organized
group of persons, whether incorporated
or not, or a receiver or receivers, trustee or trustees of any of the foregoing.
Such term does not include municipality as defined in section 3 of the Federal Power Act and does not include
any Federal, State, or local government agencies or any rural electric cooperative which is regulated by the
Rural Electrification Administration
of the Department of Agriculture.
(f) Electrical equipment means any apparatus, device, integral component, or
integral part used in an activity which
is electrically, electronically, mechanically, or by legal prescription necessary to the process of generation,
transmission, or distribution of electric energy. 1
1 Guidance in applying the definition of
electrical equipment may be obtained by examining the items within the following accounts described in part 101, title 18 of the
Code of Federal Regulations: Boiler/Reactor
plant equipment (Accounts 312 and 322); Engines and engine driven generators (313);

§ 46.3
(g) Produces or supplies means any
transaction including a sale, lease,
sale-leaseback, consignment, or any
other transaction in which an entity
provides electrical equipment, coal,
natural gas, oil, nuclear fuel, or other
fuel to any public utility either directly or through an entity controlled
by such entity.
(h) Appointee means any person appointed on a temporary or permanent
basis to perform any duties or functions described in § 46.4(a).
(i) Representative means any person
empowered, through oral or written
agreement, to transact business on behalf of an entity and any person who
serves as an advisor regarding policy or
management decisions of the entity.
The term does not include attorneys,
accountants, architects, or any other
persons who render a professional service on a fee basis.
§ 46.3 Purchaser list.
(a)(1) Compilation and filing list. On or
before January 31 of each year, except
as provided below, each public utility
shall compile a list of the purchasers
described in paragraph (b) of this section, and subject to paragraph (a)(5) of
this section, shall identify each purchaser by name and principal business
address. The public utility must submit the list to the Secretary of the
Commission in accordance with filing
procedures posted on the Commission’s
Web site at http://www.ferc.gov and
make the list publicly available
through its principal business office.
Turbogenerator units (314 and 323); Accessory electrical equipment (315, 324, 334 and
345); Miscellaneous power plant equipment
(316, 325, 335 and 346); Water wheels, turbines
and generators (333); Fuel holders, producers,
and accessories (342); Prime movers (343);
Generators (344); Station equipment (353 and
362); Poles, towers and fixtures (354, 355 and
364); Overhead conductors and devices (356
and 365); Underground conduit (357 and 366);
Underground conductors and devices (358 and
367); Storage battery equipment (363); Line
transformers (368); Services (369); Meters
(370); Installation on customers’ premises
(371); Street lighting and signal systems
(373); Leased property on customers’ premises (372); and Communication equipment
(397). Excepted from these accounts, are vehicles, structures, foundations, settings, and
services.

383

VerDate Sep<11>2014

16:16 May 22, 2017

Jkt 241061

PO 00000

Frm 00393

Fmt 8010

Sfmt 8010

Q:\18\18V1.TXT

31

lpowell on DSK54DXVN1OFR with $$_JOB

§ 46.4

18 CFR Ch. I (4–1–17 Edition)

(2) Notwithstanding paragraph (a)(1)
of this section, public utilities that are
defined as Regional Transmission Organizations, as defined in § 35.34(b)(1) of
this chapter, and public utilities that
are defined as Independent System Operators, as defined in § 35.46(d) of this
chapter, are exempt from the requirement to file.
(3) Notwithstanding paragraph (a)(1)
of this section, public utilities that
meet the criteria for exempt wholesale
generators, as defined in § 366.1 of this
chapter, and are certified as such pursuant to § 366.7 of this chapter, are exempt from the requirement to file.
(4) Notwithstanding paragraph (a)(1)
of this section, public utilities that
have either no reportable sales as defined in paragraph (b) or only sales for
resale in any of the three preceding
years are exempt from the requirement
to file.
(5) Notwithstanding paragraph (a)(1)
of this section, individual residential
customers on the list should be identified as ‘‘Residential Customer,’’ and
with a zip code in lieu of an address.
(b) Largest purchasers. The list required under paragraph (a) of this section shall include each purchaser who,
during any of the three (3) preceding
calendar years, purchased (for purposes
other than resale) from a public utility
one of the twenty (20) largest amounts
of electric energy measured in kilowatt
hours sold (for purposes other than resale) by such utility during such year.
(c) Special rules. If data for actual annual sales (for purposes other than resale) are not available in the records of
the public utility, the utility may use
estimates based on actual data available to it. If one purchaser maintains
several billing accounts with the public
utility, the kilowatt hours purchased
in each account of that purchaser shall
be aggregated to arrive at the total for
that purchaser.
(d) Revision of the list. Each public
utility relying upon any estimates for
its January 31st filing, shall revise the
list compiled under paragraph (b) of
this section no later than March 1 of
the year in which the list was originally filed to reflect actual data not
available to the utility prior to that
time. Any revised list shall be filed
with the Commission and made pub-

licly available through the utility’s
principal business office no later than
March 1. A utility filing a revised list
shall indicate thereon the changes
made to the list previously filed under
paragraph (b) of this section. On or before the filing and publication of the
revised list, the public utility shall notify the newly-listed purchasers and
any purchasers whose names were removed from the list.
[Order 67, 45 FR 3569, Jan. 18, 1980; 45 FR 6377,
Jan. 28, 1980, as amended by Order 737, 75 FR
43404, July 26, 2010; 80 FR 43624, July 23, 2015]

§ 46.4 General rule.
A person must file with the Secretary of the Commission a statement
in accordance with § 46.6, and in the
form specified in § 131.31 of this chapter
(except that with respect to calendar
year 1980, no filings in the form specified in § 131.31 is required if such person
has previously filed the statement required for calendar year 1980 in a different form than specified in § 131.31), if
such person:
(a) Serves for a public utility in any
of the following positions: A director or
a chief executive officer, president,
vice president, secretary, treasurer,
general manager, comptroller, chief
purchasing agent, or any other position
in which such person performs similar
executive duties or functions for such
public utility; and
(b) Serves for any entity described in
§ 46.5 in any of the positions described
in paragraph (a) of this section or is a
partner, appointee, or representative of
such entity.
[45 FR 23418, Apr. 7, 1980, as amended by
Order 140, 46 FR 22181, Apr. 16, 1981; Order 737,
75 FR 43404, July 26, 2010]

§ 46.5 Covered entities.
Entities to which the general rule in
§ 46.4(b) applies are the following:
(a) Any investment bank, bank holding company, foreign bank or subsidiary thereof doing business in the
United States, insurance company, or
any other organization primarily engaged in the business of providing financial services or credit, a mutual
savings bank, or a savings and loan association;
(b) Any entity which is authorized by
law to underwrite or participate in the

384

VerDate Sep<11>2014

16:16 May 22, 2017

Jkt 241061

PO 00000

Frm 00394

Fmt 8010

Sfmt 8010

Q:\18\18V1.TXT

31

Federal Energy Regulatory Commission

lpowell on DSK54DXVN1OFR with $$_JOB

marketing of securities of a public utility;
(c) Any entity which produces or supplies electrical equipment or coal, natural gas, oil, nuclear fuel, or other fuel,
for the use of any public utility;
(d) Any entity specified in § 46.3;
(e) Any entity referred to in section
305(b) of the Federal Power Act; and
(f) Any entity which is controlled by
any entity referred to in this section.
§ 46.6 Contents of the statement and
procedures for filing.
Each person required to file a written
statement under the general rule in
§ 46.4 shall comply with the following
requirements:
(a) Each person shall provide the following information: full name and
business address; identification of the
public utilities and the covered entities
in which such person holds executive
positions described in § 46.4; and identification of the interlock described in
§ 46.4;
(b) If the interlock is between a public utility and an entity described in
§ 46.5(c), which produces or supplies
electrical equipment for use of such
public utility, such person shall provide the following information:
(1) The aggregate amount of revenues
received by such entity from producing
or supplying electrical equipment to
such public utility in the calendar year
specified in paragraph (d) of this section, rounded up to the nearest $100,000;
and
(2) The nature of the business relationship between such public utility
and such entity.
(c) If the person is authorized by the
Commission to hold the positions of officer or director in accordance with
part 45, such person shall identify the
authorization by docket number and
shall give the date of authorization.
(d)(1) Each person shall file an original and one copy of such written statement with the Office of Secretary of
the Commission on or before April 30 of
each year immediately following the
calendar year during any portion of
which such person held a position described in § 46.4. The original of such
statement shall be dated and signed by
such person. The copy shall bear the
date that appeared on the original; the

§ 50.1
signature on the copy may be stamped
or typed on the copy.
(2) Instead of submitting changes to
the Commission on the pre-printed
Form No. 561 sent annually by the
Commission, a person may choose to
make changes to the pre-filled electronic version provided by the Commission. This electronic version, along
with the signed original and one copy
(as required by Paragraph (d)(c)) shall
also be filed with the Commission.
(3) Such statement shall be available
to the public through the Commission’s
eLibrary system on http://www.ferc.gov
and shall be made publicly available
through the principal business offices
of the public utility and any entity to
which it applies on or before April 30 of
the year the statement was filed with
the Commission.
(Pub. L. 96–511, 94 Stat. 2812 (44 U.S.C. 3501 et
seq.))
[45 FR 23418, Apr. 7, 1980, as amended by
Order 601, 63 FR 72169, Dec. 31, 1998; Order 737,
75 FR 43404, July 26, 2010]

PART 50—APPLICATIONS FOR PERMITS TO SITE INTERSTATE ELECTRIC TRANSMISSION FACILITIES
Sec.
50.1 Definitions.
50.2 Purpose and intent of rules.
50.3 Applications/pre-filing; rules and format.
50.4 Stakeholder participation.
50.5 Pre-filing procedures.
50.6 Applications: general content.
50.7 Applications: exhibits.
50.8 Acceptance/rejection of applications.
50.9 Notice of application.
50.10 Interventions.
50.11 General conditions applicable to permits.
AUTHORITY: 16 U.S.C. 824p, DOE Delegation
Order No. 00–004.00A.
SOURCE: 71 FR 69465, Dec. 1, 2006, unless
otherwise noted.

§ 50.1

Definitions.

As used in this part:
Affected landowners include owners of
property interests, as noted in the
most recent county/city tax records as
receiving the tax notice, whose property:

385

VerDate Sep<11>2014

16:16 May 22, 2017

Jkt 241061

PO 00000

Frm 00395

Fmt 8010

Sfmt 8010

Q:\18\18V1.TXT

31