18 Cfr 46.3

Federal Energy Regulatory Commission

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(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.

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§ 46.4

18 CFR Ch. I (4–1–18 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

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