Instructions for FERC Form 561 "Annual Report of Interlocking Positions"

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INSTRUCTIONS FOR COMPLETING
ANNUAL REPORT OF INTERLOCKING POSITIONS
Public Utility Data
GENERAL INFORMATION
Col (1)
Enter in column (1) the name of each public utility in which
and
you hold an executive position. In column (2) enter the appro-
Purpose of Report
Col (2)
priate code for each such position, according to the list below:
The data collected by this report will be used by the Federal Energy
Regulatory Commission's staff for the review and oversight of
Code
Name
interlocking positions between public utilities and certain other entities as
Dir
Director
described below.
CEO
Chief Executive Officer
PRES
President
Who Must Submit
VP
Vice President
This report must be completed by all persons holding interlocking
SEC
Secretary
positions between public utilities and certain other entities (described in
TREA Treasurer
the specific instructions) during any portion of the calendar year.
GM
General Manager
COMP Comptroller
When to Submit
PURA Chief Purchasing Agent
Submit this report on or before April 30 of each year for the preceding
OEP
Other Executive Position
calendar year. (For example, the report for the year 1999 would be filed on
or before April 30, 2000.)
Interlocking Entity Data
Col (3)
Enter in Column (3) the name of each entity in which you hold
What and Where to Submit
and
an interlocking position. Enter the appropriate code for each
Submit an original and one (1) copy of this report to:
Col (4)
executive position you hold in the entity named in Column (3),
Federal Energy Regulatory Commission
using the list below:
Office of the Secretary
Attention FERC 561
Code
Name
888 First Street NE
DIR
Director
Washington, DC 20426
CEO
Chief Executive Officer
PRES
President
Sanctions
VP
Vice President
This report is mandatory and is prescribed by Section 305(c)(1) of the
SEC
Secretary
Federal Power Act and 18 CFR 46.4. Failure to report may result in
TREA
Treasurer
certain penalties and other sanctions as provided by law.
GM
General Manager
COMP
Comptroller
Where to Send Comments on Public Reporting Burden
PURA
Chief Purchasing Agent
The public reporting burden for this collection of information is estimated
PART
Partner
to average 0.25 hours per response, including the time for reviewing the
APPT
Appointee
instructions, searching existing data sources, gathering and maintaining the
REP
Representative
data needed, and completing and reviewing the collection of information.
OEP
Other Executive Position
Send comments regarding this burden estimate or any other aspect of this
collection of information to:
Col (5)
Enter in Column (5) the appropriate code type for each entity
Federal Energy Regulatory Commission
listed in Column (3), using the list below:
Attn: Information Clearance Officer,
888 First Street NE
Code
Name
Washington, DC 20426.
FIN
Investment bank; bank holding company; foreign bank or
subsidiary thereof doing business in the United States;
You shall not be penalized for failure to respond to this collection of
other organization primarily engaged in the business of
information unless the collection of information displays a valid OMB
providing financial services or credit; mutual savings
control number.
bank; or savings and loan association
FINI
Insurance company
GENERAL INSTRUCTIONS
SECU
Entity authorized by law to underwrite or participate in
the marketing of securities of a public utility
1.
Prepare this report in conformity with the requirements prescribed in
ELEQ
Entity which produces/supplies electric equipment for the
18 CFR 46.4.
use of any public utility
2.
Leave blank any columns that are not applicable.
FUEL
Entity which produces/supplies coal, natural gas, nuclear
fuel, or other fuel for the use of any public utility
SPECIFIC INSTRUCTIONS
20CL
Entity specified in 18 CFR 46.3 (one of the 20 largest
purchasers of electric energy from a utility)
Instruction
Item
CNEN Entity which is controlled by any one of the above named
entities
Respondent Information
305B
Entity referred to in Section 305(b) of the Federal Power
1 and 2
Enter your full name and your business address.
Act (not otherwise identified above)
3
Enter the calendar year for which this report is filed.
Col (6)
For each entity that supplies electric equipment (ELEQ) named
in Column (3) enter the aggregate amount of revenues from
4 and 5
If you are authorized by this Commission to hold the position of
producing or supplying electrical equipment to any public utility
officer or director in accordance with Part 45 of the
named in column (1) in the subject calendar year, rounded to the
Commission's regulations: enter in space 4 the complete FERC
nearest $100,000. Otherwise, leave this column blank.
docket number of such authorization; enter in space 5 the latest
date of such authorization. Otherwise, leave these spaces 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
6
Enter the public utility or public utility holding company to
on the copy may be stamped or typed on the copy.
which you want next year's Form 561 sent.
INSTRUCTIONS FOR COMPLETING
ANNUAL REPORT OF INTERLOCKING POSITIONS
Public Utility Data
GENERAL INFORMATION
Col (1)
Enter in column (1) the name of each public utility in which
and
you hold an executive position. In column (2) enter the appro-
Purpose of Report
Col (2)
priate code for each such position, according to the list below:
The data collected by this report will be used by the Federal Energy
Regulatory Commission's staff for the review and oversight of
Code
Name
interlocking positions between public utilities and certain other entities as
Dir
Director
described below.
CEO
Chief Executive Officer
PRES
President
Who Must Submit
VP
Vice President
This report must be completed by all persons holding interlocking
SEC
Secretary
positions between public utilities and certain other entities (described in
TREA Treasurer
the specific instructions) during any portion of the calendar year.
GM
General Manager
COMP Comptroller
When to Submit
PURA Chief Purchasing Agent
Submit this report on or before April 30 of each year for the preceding
OEP
Other Executive Position
calendar year. (For example, the report for the year 1999 would be filed on
or before April 30, 2000.)
Interlocking Entity Data
Col (3)
Enter in Column (3) the name of each entity in which you hold
What and Where to Submit
and
an interlocking position. Enter the appropriate code for each
Submit an original and one (1) copy of this report to:
Col (4)
executive position you hold in the entity named in Column (3),
Federal Energy Regulatory Commission
using the list below:
Office of the Secretary
Attention FERC 561
Code
Name
888 First Street NE
DIR
Director
Washington, DC 20426
CEO
Chief Executive Officer
PRES
President
Sanctions
VP
Vice President
This report is mandatory and is prescribed by Section 305(c)(1) of the
SEC
Secretary
Federal Power Act and 18 CFR 46.4. Failure to report may result in
TREA
Treasurer
certain penalties and other sanctions as provided by law.
GM
General Manager
COMP
Comptroller
Where to Send Comments on Public Reporting Burden
PURA
Chief Purchasing Agent
The public reporting burden for this collection of information is estimated
PART
Partner
to average 0.25 hours per response, including the time for reviewing the
APPT
Appointee
instructions, searching existing data sources, gathering and maintaining the
REP
Representative
data needed, and completing and reviewing the collection of information.
OEP
Other Executive Position
Send comments regarding this burden estimate or any other aspect of this
collection of information to:
Col (5)
Enter in Column (5) the appropriate code type for each entity
Federal Energy Regulatory Commission
listed in Column (3), using the list below:
Attn: Information Clearance Officer,
888 First Street NE
Code
Name
Washington, DC 20426.
FIN
Investment bank; bank holding company; foreign bank or
subsidiary thereof doing business in the United States;
You shall not be penalized for failure to respond to this collection of
other organization primarily engaged in the business of
information unless the collection of information displays a valid OMB
providing financial services or credit; mutual savings
control number.
bank; or savings and loan association
FINI
Insurance company
GENERAL INSTRUCTIONS
SECU
Entity authorized by law to underwrite or participate in
the marketing of securities of a public utility
1.
Prepare this report in conformity with the requirements prescribed in
ELEQ
Entity which produces/supplies electric equipment for the
18 CFR 46.4.
use of any public utility
2.
Leave blank any columns that are not applicable.
FUEL
Entity which produces/supplies coal, natural gas, nuclear
fuel, or other fuel for the use of any public utility
SPECIFIC INSTRUCTIONS
20CL
Entity specified in 18 CFR 46.3 (one of the 20 largest
purchasers of electric energy from a utility)
Instruction
Item
CNEN Entity which is controlled by any one of the above named
entities
Respondent Information
305B
Entity referred to in Section 305(b) of the Federal Power
1 and 2
Enter your full name and your business address.
Act (not otherwise identified above)
3
Enter the calendar year for which this report is filed.
Col (6)
For each entity that supplies electric equipment (ELEQ) named
in Column (3) enter the aggregate amount of revenues from
4 and 5
If you are authorized by this Commission to hold the position of
producing or supplying electrical equipment to any public utility
officer or director in accordance with Part 45 of the
named in column (1) in the subject calendar year, rounded to the
Commission's regulations: enter in space 4 the complete FERC
nearest $100,000. Otherwise, leave this column blank.
docket number of such authorization; enter in space 5 the latest
date of such authorization. Otherwise, leave these spaces 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
6
Enter the public utility or public utility holding company to
on the copy may be stamped or typed on the copy.
which you want next year's Form 561 sent.
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