18 C.F.R. § 131.31
(See section 46.4 of this chapter.)
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
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
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
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.
18 C.F.R. §131.31