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SCHEDULE OF RECORDS AND PERIODS OF RETENTION Continued
(See footnotes at end of table)
Retain until the records of utility plant acquired
have been integrated with the utility's plant records and the original cost of the acquired plant is adequately supported by cost details and until it is ascertained that such records are not necessary to fulfillment of any unsatisfied regulatory requirement, such as: (a) Approval and recording of accounting adjustments resulting from reclassification and original cost studies and acceptance of property acquisition journal entries, (b) cost, depreciation and amortization reserve determinations for licensed projects, (c) establishment of continuing plant inventory records or accounting evidence of the cost of long-lived property in the absence of such continuing plant
inventory records. 65. Reports to Federal and State regulatory commissions: (a) Annual financial, operating and statistical reports: (1) Federal agencies
Retain until receipt of FERC audit report or two
years after auditor's exit conference whichever
occurs first. (2) State Commissions
Retain as long as the active tariffs or rates are in
effect (c) Special or periodic reports on the following subjects:
(1) Transactions with associated companies
3 years after fully paid. (6) Issues of securities
Data filed with the SEC retain 25 years or until all
securities covered are retired, whichever is shorter; other reports retain until securities covered
are retired. (7) Purchases and sales, utility properties
Ten years after the plant is retired. See 125.2(). (8) Plant changes-units added and retired
Do. (9) (Reserved] (d) Cost of service reports filed under section 133 of the Public Utility 5 years.
Regulatory Policies Act (PURPA). (See 18 CFR Part 290.). 66. Other miscellaneous records:
(a) Copies of advertisements by the company in behalf of itself or any 6 years.
associate company in newspapers, magazines and other publications including records thereof (excluding advertising of product, appliances, employment opportunities, services, territory, routine no tices and invitations for bids for securities, all of which may be de
stroyed at option). (b) (Reserved)
5 See $ 125.2, General instructions (n)Schedule of Notes (5).
SUBCHAPTER D-APPROVED FORMS, FEDERAL POWER ACT AND PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978
Sec. 131.20 Application for approval of transfer
of license. 131.31 Format No. FERC 561, Annual report
of interlocking positions. 131.43 Report of securities issued. 131.50 Reports of proposals received. 131.51 Notice of succession in ownership or
operation. 131.52 Certificate of concurrence. 131.53 Notice of cancellation. 131.70 Form of application by State and mu
nicipal licensees for exemption from pay
ment of annual charges. 131.80 FERC Form No. 556, Certification of
qualifying facility status for an existing or a proposed small power production or cogeneration facility.
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: 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(b) 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
AUTHORITY: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-7352.
8 131.20 Application for approval of
transfer of license. (See $89.1 through 9.10 of this chapter.) (This application and all accompanying doc
uments shall be submitted in quadruplicate, together with one additional copy for each interested State commission)
BEFORE THE FEDERAL ENERGY REGULATORY
APPLICATION FOR APPROVAL OF TRANSFER OF
licensee under the license for Project No.
issued by the Commission on
(Month, day, year) and (2)
(hereinafter referred to as the Transferee).
(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,
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.
4 In par. 4 include only the subparagraph which is applicable.
of seal), thereunto duly authorized this day of
(Exact name of transferor)
(Title) (Exact name of transferee)
to be submitted as exhibits B3, B4, etc., at the time it submits proof of the conveyance to it of the project properties as hereinafter provided for; 5
(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
by (Name), its (Title
custodian of seal), thereunto duly authorized, this day of
19 and the transferee has caused its name to be hereunto
by (Name), its
(Title-chief executive officer), and its corporate seal to be hereunto
by (Name), its (Title-custodian
Subscribed and sworn to before me, a notary public of the State of
this day of
6 If applicant is a natural citizen modify final paragraph.
? To be separately executed by each of the persons signing the foregoing application.
8 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.
5 See footnote 5 on preceding page.
U... DEPARTMENT OF ENEROY
OMB No. 1902-0099
2. Business Address (Street, City, State, and Zip Code) (3 lines by 35)
1954; Order 541, 57 FR 21734, May 22, 1992) amended by Order 175, 19 FR 5218, Aug. 18, (Order 141, 12 FR 8588, Dec. 19, 1947, as
(See $ 46.4 of this chapter.) § 131.31 Format No. FERC 561, Annual report of interlocking positions.
Format Number FERC 561 (REVISED 3-31)
Who Must Submit
This report must be completod by all persons holding interlocking positions between public utilities and certain other ontities (do cribed in the spocific instructions) during any portion of the calendar your
When to Submit
Submit this report on or before April 30 of each year for the procading calondar yoor. (For example, the roport for the roar 1990 would be filed on or before April 30, 1981.)
Namo FIN Investment bank; bank holding company;
foreign bank or subsidiary thoroof doing business in the Unhod Sistes; other organiza tion primarily engaged in the business of pro viding financial services or credit; mutual ser
ings bank; or savings and loan association FINI Insurance company SECU Entity authorized by low to underwrite or par
ticipate in the marketing of socurities of a public
utility ELEQ Entity which produces/supplies electric oquip
mont 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 slectric energy from .
utility) CNEN Entity which is controllod by any one of the
above named entities 3058 Entity referred to in Soction 3051b) of the Fed.
eral Power Act (not otherwise identifiod above)
1. Prepare this report in conformity with the requirements prescribed
in 18 CFR 48.4. 2. Latva blank any columns that are not applicablo.
1 and 2
Enter your full name and business address.
Enter the last two digit of the calendar year for which this report ia filod.
4 thru 14 Col (22) and (03)
Entor in Coturm (02) the name of auch public utility in which you hold an executive position. In Column (03), onto the appropriate code for each such position, *ccording to the hist below:
(Order 140, 46 FR 22181, Apr. 16, 1981; 46 FR 23048, Apr. 23, 1981; 46 FR 25084, May 5, 1981)
15 thru 25
M you an authorized by the Commission to hold the
15 thru 25
For auch antity that supplies choctric equipment (ELEQI
Certification The original of this report must be deted, momod md
Verified under oath in accordance with 18 CFR 131.00. Each copy must been the date that appeared on the origina. The signature may be stamped or typed on the copy, and the notarial con may be amitted.
Title 18, USC 1001, makes he crime for any person knowingly and willingty to make to my Agency or Department of the United States my towe, fictidoue, a fraudulent statements as to my matter within its jurisdiction.