Exhibit E. The names, titles and addresses of principal officers of applicant. Exhibit F. A signed copy of opinion of counsel in respect to legality of the issue or assumption of liability. Exhibit G. A statement of the measure of control or ownership exercised by or over the applicant as to any public utility, or bank, trust company, banking association, or firm that is authorized by law to underwrite or participate in the marketing of securities of a public utility, or any company supplying electric equipment to such applicant. Where there are any intercorporate relationships through holding companies, ownership of securities or otherwise, the nature and extent of such relationship. If not a member of any holding company system include a statement to that effect. Exhibit H. Balance sheets with supporting fixed capital or plant schedules in conformity with the form in §§ 131.40 and 131.41 of this chapter. Exhibit I. A statement as of the date of the balance sheet submitted with application showing for each class and series of capital stock: (1) Brief description. (2) The amount authorized (face value and number of shares). (3) The amount outstanding (exclusive of any amount held in the treasury). (4) Amount held as reacquired securities. (5) Amounts pledged or optioned by applicant. (6) Amount owned by affiliated corporations. (7) Amount held in any fund. Exhibit J. A statement as of the date of the balance sheet submitted with application showing for each class and series of funded debt: (1) Brief description. (3) The amount outstanding (exclusive of any amount held in the treasury). (4) Amount held as reacquired securities. (5) Amount pledged by applicant. (6) Amount owned by affiliated corporations. (7) Amount in sinking and other funds. Exhibit K. A statement of all known contingent liabilities except minor items such as damage claims and similar items involving relatively small amounts, as of the date of the application. Exhibit L. Comparative income statements in conformity with the form in § 131.42 of this chapter. Exhibit M. An analysis of surplus for the period covered by the income statements referred to in exhibit L. Exhibit N. (1) A copy of registration statement proper, if any, and financial exhibits made a part thereof, filled with the Securities and Exchange Commission; (2) a copy of each application and exhibit filed with any State regulatory body in connection with the proposed transaction and if action has been taken thereon a certified copy of each order relating thereto. NOTE: The information required by exhibit N shall be filed as soon a available. Exhibit O. Copies of the proposed and of the published invitation of proposals for the purchase or underwriting of the securities to be issued, of each proposal received, and of each contract, underwriting, and other arrangaments entered into for the sale or marketing of the securities. Where a contract or underwriting is not in final form so as to permit filing, a preliminary draft or a summary containing such identification of the parties thereto and such setting forth of the principal terms thereof as may be practicable, may be filed, pending filling of conformed copy in the form executed by final amendment to the application. Exhibit P. A map or maps showing not more than 16 miles to the inch showing the territory served by applicant, the location of the principal generating, transmission and substation facilities, and points of connection with other electric utility systems. The maps shall be of sufficient scale as will show clearly the location of the proposed additions and improvements of generating, transmission and major substation facilities for which the securities are to be issued. Exhibit Q. Information required under § 34.2(j) (1). Exhibit R. Information required under § 34.2(j) (2). [Order 262, 28 F.R. 1539, Feb. 19, 1963] § 34.4 Additional information. The Commission may require additional information when it appears to be pertinent in a particular case. Upon the granting of any application under §§ 34.1 to 34.10, inclusive, by the Commission, the applicant shall report to the Commission under oath, within 10 days after any such issue or assumption of liability, the fact of such issue or assumption of liability, the terms and conditions thereof and any amount realized from such issue. The applicant shall further make reports within 15 days after every June 30 and every December 31 showing for the 6 month period ended on the above dates the proceeds realized from the sale, and the disposition of any money to be realized, until the entire proceeds shall have been accounted for. A report in the form outlined in § 131.43 of this chapter showing the face value, the proceeds and the expenses (itemized) of the issue shall be made at the earliest practicable date. An application for approval under this part will ordinarily require a minimum of 30 days after it is filed to allow for public notice, investigation, opportunity for hearing, consideration by the Commission, and issuance of the first order referred to hereinafter. To facilitate the completion of registration statements filed with the Securities and Exchange Commission pursuant to the requirements of section 7 of the Securities Act of 1933 and sections 12 and 13 of the Securities and Exchange Act of 1934, so that public invitation for proposals for purchase or underwriting of the securities may be made, conformably to the provisions of those acts, this Commission will, where appropriate, authorize proposed issuances of securities and assumptions of obligation or liability, prior to the filing of the data referred to in §§ 34.1a (c) and 34.2 (k) (3) and (4) subject to a provision that the securities shall not be issued, or the obligation or liability assumed, by the applicant, until such amendment shall have been filed and a further order shall have been entered thereon. The Commission will endeavor wherever possible to enter such further order upon receipt of telephone advice and confirmation thereof by telegram from the applicant setting forth the substance of the data specified in § 34.2(k) (3) and (4) and stating that the amendment furnishing such data has actually been mailed to the Commission. This two-order procedure will not obtain with respect to security issues exempted by § 34.1a (a) from competitive bidding requirements, except upon request. [Order 152, 15 F.R. 2287, Apr. 25, 1950] § 34.10 Publicity. In any document, prospectus, or publicity relating to the offering or sale of securities hereunder, any reference to the authorization by the Commission of the issuance of such securities shall include a qualifying statement to the effect that the Commission's authorization was subject to the provision that such authorization shall not be construed to imply any guarantee or obligation on the part of the United States in respect of such securities. CERTIFICATE OF NOTIFICATION § 34.20 Time of filing. The facts relating to any transaction to which section 204 (e) of the act is applicable shall be reported to the Commission within 10 days after the date of such transaction in accordance with § 131.50 of this chapter. 35.2 35.3 35.4 35.5 35.6 35.7 35.8 35.9 PART 35-FILING OF RATE SCHEDULES APPLICATION Application; obligation to file rate schedules. Definitions. Notice requirements. Permission to become effective is not approval. Rejection of material submitted for Submission for staff suggestions. 35.10 Form and style of rate schedules. 35.14 Fuel cost adjustment clauses. 35.15 Notices of cancellation or termination. 35.16 Notice of succession. 35.17 Changes relating to suspended rate schedules or parts thereof. 35.18 Rates established by order of the Commission. 35.19 Submission of information by ref erence. 35.20 Filing of rate schedules, notices, etc., by persons authorized to transmit electric energy from the United States to a foreign country. 35.21 Applicability to licensees and others subject to section 19 or 20 of the Federal Power Act. AUTHORITY: The previsions of this Part 35 issued under secs. 19, 20, 41 Stat. 1073; secs. 205, 206(a), 208, 209, 301, 309, 49 Stat. 851, 852, 853, 854, 858; 16 U.S.C. 812, 813, 824d, 824e (b), 824g, 825h. SOURCE: The provisions of this Part 35 contained in Order 271, 28 FR. 10573, Oct. 2, 1963, unless otherwise noted. APPLICATION § 35.1 Application; obligation to file rate schedules. (a) Every public utility shall file with the Commission and post, in conformity with the requirements of this part, full and complete rate schedules, as defined in § 35.2(b), clearly and specifically setting forth all rates and charges for any transmission or sale of electric energy subject to the jurisdiction of this Commission, the classifications, practices, rules and regulations affecting such rates and charges and all contracts which in any manner affect or relate to such rates, charges, classifications, services, rules, regulations or practices, as required by section 205 (c) of the Federal Power Act (49 Stat. 851; 16 U.S.C. 824d (c)). Where two or more public utilities are parties to the same rate schedule, each public utility transmitting or selling electric energy subject to the jurisdiction of this Commission shall post and file such rate schedule, or the rate schedule may be filed by one such public utility and all other parties having an obligation to file may post and file a certificate of concurrence on the form indicated in § 131.52 of this chapter: Provided, however, In cases where two or more public utilities are required to file rate schedules or certificates of concurrence such public utilities may authorize a designated representative to file upon behalf of all parties if upon written request such parties have been granted Commission authorization therefor. (b) A rate schedule applicable to a transmission or sale of electric energy, other than that which proposes to supersede, supplement, cancel or otherwise change the provisions of a rate schedule required to be on file with this Commission, shall be filed as an initial rate in accordance with § 35.12. (c) A rate schedule applicable to a transmission or sale of electric energy which proposes to supersede, supplement, cancel or otherwise change any of the provisions of a rate schedule required to be on file with this Commission (such as providing for other or additional rates, charges, classifications or services, or rules, regulations, practices or contracts for a particular customer or customers) shall be filed as a change in rate in accordance with § 35.13, ex cept Notices of Cancellation or Termination which shall be filled as a change in accordance with § 35.15. (d) No public utility shall, directly or indirectly, demand, charge, collect or receive any rate, charge or compensation for or in connection with electric service subject to the jurisdiction of the Commission, or impose any classification, practice, rule, regulation or contract with respect thereto, which is different from that provided in a rate schedule required to be on file with this Commission unless otherwise specifically provided by order of the Commission for good cause shown. § 35.2 Definitions. (a) Electric service. The term "electric service" as used herein shall mean the transmission of electric energy in interstate commerce or the sale of electric energy at wholesale for resale in interstate commerce, and may be comprised of various classes of capacity and energy sales and/or transmission services. "Electric service" shall include the utilization of facilities owned or operated by any public utility to effect any of the foregoing sales or services whether by leasing or other arrangements. As defined herein, "electric service" is without regard to the form of payment or compensation for the sales or services rendered whether by purchase and sale, interchange, exchange, wheeling charge, facilities charge, rental or otherwise. (b) Rate schedule. The term "rate schedule" as used herein shall mean a statement of (1) electric service as defined in paragraph (a) of this section, (2) rates and charges for or in connection with that service, and (3) all classifications, practices, rules, regulations or contracts which in any manner affect or relate to the aforementioned service, rates, and charges. This statement shall be in writing and may take the physical form of a contractual document, purchase or sale agreement, lease of facilities, tariff or other writing. Any oral 1 The term "tariff” means a compilation, in book form, of rate schedules of a particular public utility, effective under the Federal Power Act, and a copy of each form of service agreement. In connection herewith, attention is invited to Part 154 of this chapter, 1.e., the Commission's regulations under the Natural Gas Act, as a guide to the form and composition of a tariff. agreement or understanding forming a part of such statement shall be reduced to writing and made a part thereof. (c) Filing date. The term "filing date" as used herein shall mean the date on which a rate schedule filing is completed by the receipt in the office of the Secretary of all supporting cost and other data required to be filled in compliance with the requirements of this part, unless such rate schedule is rejected as provided in § 35.5. If the material submitted is found to be incomplete, the Secretary will so notify the filing utility within 30 days of the receipt of the submittal. (d) Posting. The term "posting" as used herein shall mean, (1) keeping a copy of every rate schedule of a public utility as currently on file, or as tendered for filing, with the Commission open and available during regular business hours for public inspection in a convenient form and place at the public utility's principal and district or division offices in the territory served, and (2) mailing to each purchaser under a rate schedule a copy of such rate schedule on the date it is sent to this Commission for filing. Posting shall include, in the event of the filing of increased rates or charges, the mailing to each purchaser under a rate schedule or schedules proposed to be changed and to each State Commission within whose jurisdiction such purchaser or purchasers distribute and sell electric energy at retail, a copy of the rate schedule showing such increased rates or charges, comparative billing data as required under this part, and, if requested by a purchaser or State Commission, a copy of the supporting data required to be submitted to this Commission under this part. Upon direction of the Secretary, the public utility shall serve copies of rate schedules and supplementary data upon designated parties other than those specified herein. (e) Effective date. As used herein the "effective date" of a rate schedule shall mean the date on which a rate schedule filed and posted pursuant to the requirements of this part is permitted by the Commission to become effective as a filed rate schedule. The effective date shall be 30 days after the filing date, or such other date as may be specified by the Commission. [Order 271, 28 F.R. 10573, Oct. 2, 1963, as amended at 28 F.R. 11404, Oct. 24, 1963] § 35.3 Notice requirements. (a) All rate schedules or any part thereof shall be tendered for filing with the Commission and posted not less than thirty days nor more than ninety days prior to the date on which the electric service is to commence and become effective under an initial rate schedule or the date on which the filing party proposes to make any change in electric service and/or rate, charge, classification, practice, rule, regulation or contract effective as a change in rate schedule, except as provided in paragraph (b) of this section, or unless a different period of time is permitted by the Commission. Nothing herein shall be construed as in any way precluding a public utility from entering into agreements which, under this section, may not be filed at the time of excution thereof by reason of the aforementioned 30 to 90 day prior filing requirements. The proposed effective date of any rate schedule filing having a "filing date" in accordance with § 35.2(c) may be deferred at the written request of the filing public utility submitted to the Secretary prior to its acceptance by the Commission. (b) Rate schedules predicated on the construction of facilities may be tendered for filing and posted no more than 90 days prior to the date set by the parties for the contract to go into effect. The Commission, upon request and for good cause shown, may permit a rate schedule or part thereof to be tendered for filing and posted more than 90 days before it is to become effective. § 35.4 Permission to become effective is not approval. The fact that the Commission permits a rate schedule or any part thereof or any notice of cancellation to become effective shall not constitute approval by the Commission of such rate schedule or part thereof or notice of cancellation. § 35.5 Rejection of material submitted for filing. The Secretary, pursuant to the Commission's rules of practice and procedure and delegation of Commission authority, shall reject any material submitted for filing with the Commission which patently fails to substantially comply with the applicable requirements set forth in this part, or the Commission's rules of practice and procedure. § 35.6 Submission for staff suggestions. Any public utility may submit a rate schedule or any part thereof or any material relating thereto for the purpose of receiving staff suggestions and comments thereon prior to filing with the Commission. § 35.7 Number of copies to be supplied. (a) Rate schedules or parts thereof and material relating thereto, certificates of concurrence, notices of cancellation or termination, and notices of succession submitted for filing shall be supplied to the Commission in duplicate: Provided, however, That a rate schedule filing which proposes increased rates or charges, together with the required data therefor, shall be furnished in quintuplicate. (b) All documents submitted for filing, including the letter of transmittal, shall be included in one package, and addressed to the Federal Power Commission, Washington, D.C. 20426. The Secretary is authorized to request additional copies of such documents. § 35.8 Comments by interested parties. Comments of any purcahser or other interested party concerning any rate schedule filing made pursuant to this part shall be submitted to the Commission within 20 days after the date of such rate schedule filing. This section shall not limit any opportunity to submit protests, complaints, notices of intervention, and petitions to intervene in accordance with the Commission's rules of practice and procedure. § 35.9 Identification and numbering of rate schedules. Every rate schedule filled will be numbered by the Commission and the filing public utility advised of the Rate Schedule FPC number. Whenever a rate schedule offered for filing changes, alters or modifies any rate, charge, classification, or service, or any rule, regulation, practice or contract relating thereto, or provides additionally for a rate, charge, classification or service, or any rule, regulation or practice or contract relating thereto, but is dependent upon |