18cfr131.20

18 CFR Part 131 (up to date as of 11/28/2022)
Forms

18 CFR Part 131

This content is from the eCFR and is authoritative but unofficial.

Title 18 - Conservation of Power and Water Resources
Chapter I - Federal Energy Regulatory Commission, Department of Energy
Subchapter D - Approved Forms, Federal Power Act and Public Utility Regulatory Policies Act of
1978
Part 131
Forms
§ 131.20 Application for approval of transfer of license.
§ 131.31 FERC Form No. 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.

PART 131 - FORMS
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
(1)__________________, licensee under the license for Project No. ______, issued by the Commission on
__________________ (Month, day, year) and
(2) __________________, (hereinafter referred to as the Transferee).

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(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, 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: __________________, 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 __________________ (e.g., private, nonprofit, etc.) corporation, organized under the laws of the State of
__________________, and domesticated in the States of __________________, __________________; 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 __________________ submitted herewith as exhibits B-1, B-2, etc., and
proposes to complete its showing of such compliance by submitting ____________
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]

[4]

In par. 4 include only the subparagraph which is applicable.

[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.
[5]

See footnote 5 on preceding page.

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(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:

In witness whereof the transferor has caused its name to be hereunto signed by ________________________
(Name), its ________________________ (Title - chief executive officer), and its corporate seal to be hereunto
affixed by ________________________ (Name), its ________________________ (Title - custodian of seal), thereunto
duly authorized, this ________________ day of ________________, 19____; and the transferee has caused its name
to be hereunto signed by __________________ (Name), its __________________ (Title - chief executive officer), and
its corporate seal to be hereunto affixed by __________________ (Name), its __________________ (Title - custodian
of seal), thereunto duly authorized this ______________ day of ________________, 19____.[6]

______________________________
(Exact name of transferor)

By
(Name)
______________________________
(Title)
(Exact name of transferee)
[6]

If applicant is a natural citizen modify final paragraph.

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By
______________________________
(Name)
______________________________
(Title)
Attest:
______________________________
(Secretary)

verification[7]
State of
COUNTY OF ____________, SS:
________________________ being duly sworn deposes and says: That he is the
(Title of person signing the application) of the ________________________ (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.
__________________________
(Signature)
Subscribed and sworn to before me, a notary public of the State of ______________ this ______________ day of
______________, 19____.

Exhibit A
proof of citizenship[8]
State of
COUNTY OF ______________, SS:
____________________, ____________________ and ____________________, being duly sworn, each for himself,
deposes and says that he is a citizen of the United States of America.

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Subscribed and sworn to before me, a notary public of the State of ______________ this ______________ day of
______________, 19____.

[7]

To be separately executed by each of the persons signing the foregoing application.
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.
[8]

[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.
(See section 46.4 of this chapter.)

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INSTRUCTIONS FOR COMPLETING ANNUAL REPORT OF INTERLOCKING POSITIONS
GENERAL 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.

GENERAL INSTRUCTIONS
1. Prepare this report in conformity with the requirements prescribed in 18 CFR 46.4.

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2. Leave blank any columns that are not applicable.

SPECIFIC INSTRUCTIONS

Item and Instruction
RESPONDENT INFORMATION
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.

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

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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:

Code and Name
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
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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.
[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....................................
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
14. Cost of listing
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Description

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Amount

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;
(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
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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:

§ 131.50 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]
§ 131.52 Certificate of concurrence.
(See §§ 35.1 through 35.21 of this chapter.)
This is to certify that__________________
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(Name of public utility concurring)
assents to and concurs in the rate schedule (rate schedule supplement) described below, which
the____________________________ (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
(Title)
Dated __________________ 19____.
[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;
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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.

§ 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]

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