FERC Form No. 556

18 C.F.R. § 131.80

CERTIFICATION OF QUALIFYING FACILITY STATUS FOR AN EXISTING OR A
PROPOSED SMALL POWER PRODUCTION OR COGENERATION FACILITY

[INFORMATION ABOUT COMPLIANCE]{.underline}

> Compliance with the information collection requirements established by
> the FERC Form No. 556 is required to obtain and maintain status as a
> qualifying facility. *See* 18 C.F.R. § 131.80 and Part 292. An agency
> may not conduct or sponsor, and a person is not required to respond
> to, a collection of information unless it displays a currently valid
> OMB control number.

[SUBMITTING COMMENTS ON PUBLIC REPORTING BURDEN]{.underline}

> The estimated burden for completing FERC Form No. 556, including
> gathering and reporting information, is 4 hours for
> self-certifications and 38 hours for applications for Commission
> certification. Send comments regarding this burden estimate or any
> aspect of this collection of information, including suggestions for
> reducing this burden, to the following: Michael Miller, Office of the
> Executive Director (ED-34), Federal Energy Regulatory Commission, 888
> First Street NE., Washington, DC 20426; and Desk Officer for FERC,
> Office of Information and Regulatory Affairs, Office of Management and
> Budget, Washington, DC 20503 (oira_submission@omb.eop.gov). Include
> the Control No. 1902-0075 in any correspondence.

[GENERAL INSTRUCTIONS]{.underline}

> Complete this form by replacing bold text below with responses to each
> item, as required.

[PART A: GENERAL INFORMATION TO BE SUBMITTED BY ALL APPLICANTS\
]{.underline}\
1a. Full name of applicant: \[Note: Applicant is the legal entity
submitting this form, not the individual employee making the filing.
Generally, the Applicant will be a company, corporation or organization,
unless the facility is owned directly by an individual or individuals.\]

> **\[insert name of applicant\]**

Docket Number assigned to the immediately preceding submittal filed with
the Commission in connection with the instant facility, if any:

> **\[insert Docket Number QF\_\_-\_\_\_-\_\_\_ or "none"\]**

Purpose of instant filing (self-certification or self-recertification
\[18 C.F.R. § 292.207(a)(1)\], or application for Commission
certification or recertification \[18 C.F.R. §§ 292.207(b) and
(d)(2)\]):

> **\[insert "Self-certification," "Self-recertification," "Application
> for Commission certification," or "Application for Commission
> recertification"; if this is a recertification, also describe the
> reason for the recertification\]**

1b. Full address of applicant:

> **\[insert text\]**

1c. Indicate the owner(s) of the facility (including the percentage of
ownership held by any electric utility or electric utility holding
company, or by any persons owned by either) and the operator of the
facility.

> **\[insert ownership information, including (1) identification of each
> direct owner; (2) identification of whether or not each owner is an
> electric utility or electric utility holding company, or is owned by
> either; and (3) identification of the percentage ownership held by
> each direct owner that is an electric utility or electric utility
> holding company, or is owned by either\]**
>
> **\[insert operator information\]**

Additionally, state whether or not any of the non-electric utility
owners or their upstream owners are engaged in the generation or sale of
electric power, or have any ownership or operating interest in any
electric facilities other than qualifying facilities.

> **\[for each direct owner that is not an electric utility, state
> whether such owners or their upstream owners are engaged in the
> generation or sale of electric power, or have any ownership or
> operating interest in any electric facilities other than qualifying
> facilities\]**

In order to facilitate review of the application, the applicant may also
provide an ownership chart identifying the upstream ownership of the
facility. Such chart should indicate ownership percentages where
appropriate.\
\
1d. Signature of authorized individual evidencing accuracy and
authenticity of information provided by applicant: \[Note: A signature
on a filing shall constitute a certificate that (1) the signer has read
the filing and knows its contents; (2) the contents are true as stated,
to the best knowledge and belief of the signer; and (3) the signer
possesses full power and authority to sign the filing. A person
submitting a self-certification electronically via eFiling may use typed
characters representing their name to show that the person has signed
the document. *See* 18 C.F.R. § 385.2005.\]

> **\[insert signature; for electronic filings, typed characters
> representing the name of the signer may be used as signature\]**

2\. Person to whom communications regarding the filed information may be
addressed:\
\
Name: **\[insert text\]**

Title: **\[insert text\]**

Telephone number: **\[insert text\]**

Mailing address: **\[insert text\]**

3a. Location of facility to be certified:\
\
State: **\[insert text\]**

County: **\[insert text\]**

City or town: **\[insert text\]**

Street address (if known): **\[insert text\]**

3b. Indicate the electric utilities that are contemplated to transact
with the qualifying facility (if known) and describe the services those
electric utilities are expected to provide:

> **\[insert text\]**

Indicate utilities interconnecting with the facility and/or providing
wheeling service \[18 C.F.R. §§ 292.303(c) and (d)\]:

> **\[insert text\]**

Indicate utilities purchasing the useful electric power output \[18
C.F.R. §§ 292.101(b)(2), 292.202(g) and 292.303(a)\]:

> **\[insert text\]**

Indicate utilities providing supplementary power, backup power,
maintenance power, and/or interruptible power service \[18 C.F.R. §§
292.101(b)(3), (b)(8), 292.303(b) and 292.305(b)\]:

> **\[insert text\]**

4a. Describe the principal components of the facility including boilers,
prime movers and electric generators, and explain their operation.
Include transmission lines, transformers and switchyard equipment, if
included as part of the facility.

> **\[insert text\]**

4b. Indicate the maximum gross and maximum net electric power production
capacity of the facility at the point(s) of delivery and show the
derivation. \[Note: Maximum gross output is the maximum amount of power
that the facility is able to produce, measured at the terminals of the
generator(s). Maximum net output is maximum gross output minus (1) any
auxiliary load for devices that are necessary and integral to the power
production process (fans, pumps, etc.), and (2) any losses incurred from
the generator(s) to the point of delivery. If any electric power is
consumed at the location of the QF (or thermal host) for purposes
[not]{.underline} related to the power production process, such power
should not be subtracted from gross output for purposes of reporting
maximum net output here.\]

Gross output: **\[insert maximum gross output in kW or MW\]**

Net output: **\[insert maximum net output at point of delivery in kW or
MW\]**

Derivation (assumptions about losses, auxiliary load or lack thereof,
and calculation of gross and net output):

> **\[insert text\]**

4c. Indicate the actual or expected installation and operation dates of
the facility, or the actual or expected date of completion of the
reported modification to the facility:

> **\[insert text\]**

4d. Describe the primary energy input (e.g., hydro, coal, oil \[18
C.F.R. § 292.202(l)\], natural gas \[18 C.F.R. § 292.202(k)\], solar,
geothermal, wind, waste, biomass \[18 C.F.R. § 292.202(a)\], or other).
For a waste energy input that does not fall within one of the categories
on the Commission\'s list of previously approved wastes, demonstrate
that such energy input has little or no current commercial value and
that it exists in the absence of the qualifying facility industry \[18
C.F.R § 292.202(b)\].

> **\[insert text\]**

5\. Provide the average annual hourly energy input in terms of Btu for
the following fossil fuel energy inputs, and provide the related
percentage of the total average annual hourly energy input to the
facility \[18 C.F.R § 292.202(j)\]. For any oil or natural gas fuel, use
lower heating value \[18 C.F.R § 292.202(m)\]:\
\
Natural gas: **\[insert average annual hourly energy input in Btu or
"None"\]**

Oil: **\[insert average annual hourly energy input in Btu or "None"\]**

Coal (applicable only to a small power production facility): **\[insert
average annual hourly energy input in Btu, "None," or "N/A"\]**

6\. Discuss any particular characteristic of the facility which the
cogenerator or small power producer believes might bear on its
qualifying status.

> **\[insert text or "None"\]**

[PART B: DESCRIPTION OF THE SMALL POWER PRODUCTION FACILITY]{.underline}

> Items 7 and 8 only need to be answered by applicants seeking
> certification as a small power production facility. Applicants for
> certification as a cogeneration facility may delete Items 7 and 8 from
> their application, or enter "N/A" at both items.

7\. Describe how fossil fuel use will not exceed 25 percent of the total
annual energy input limit \[18 C.F.R §§ 292.202(j) and 292.204(b)\].
Also, describe how the use of fossil fuel will be limited to the
following purposes to conform to Federal Power Act section 3(17)(B):
ignition, start-up, testing, flame stabilization, control use, and
minimal amounts of fuel required to alleviate or prevent unanticipated
equipment outages and emergencies directly affecting the public.

> **\[insert text or "N/A"; if any fossil fuel will be used, this
> response must include a statement that the applicant will limit such
> fossil fuel use to the purposes listed above\]**

8\. If the facility reported herein is not an eligible solar, wind,
waste or geothermal facility, and if any other non-eligible facility
located within one mile of the instant facility is owned by any of the
entities (or their affiliates) reported in Part A at item 1c above and
uses the same primary energy input, provide the following information
about the other facility for the purpose of demonstrating that the total
of the power production capacities of these facilities does not exceed
80 MW \[18 C.F.R § 292.204(a)\]: \[*See* definition of an "eligible
facility" below. Note that an "eligible facility" is a specific type of
small power production facility that is eligible for special treatment
under the Wind, Waste and Geothermal Power Production Incentives Act of
1990, as subsequently amended in 1991, and should not be confused with
facilities that are generally eligible for QF status.\]\
\
Facility name, if any (as reported to the Commission):

> **\[insert names of other facility or facilities or "N/A"\]**

Commission Docket Number:

> **\[insert Docket Numbers (QF\_\_-\_\_\_-\_\_\_) for the facilities
> listed above or "N/A"\]**

Name of common owner:

> **\[insert text or "N/A"\]**

Common primary energy source used as energy input:

> **\[insert text or "N/A"\]**

Power production capacity (MW):

> **\[insert net power production capacity of each facility listed above
> or "N/A"\]**

An eligible solar, wind, waste or geothermal facility, as defined in
Section 3(17)(E) of the Federal Power Act, is a small power production
facility that produces electric energy solely by the use, as a primary
energy input, of solar, wind, waste or geothermal resources, for which
either an application for Commission certification of qualifying status
\[18 C.F.R § 292.207(b)\] or a notice of self-certification of
qualifying status \[18 C.F.R § 292.207(a)\] was submitted to the
Commission not later than December 31, 1994, and for which construction
of such facility commences not later than December 31, 1999, or if not,
reasonable diligence is exercised toward the completion of such
facility, taking into account all factors relevant to construction of
the facility.\
\
[PART C: DESCRIPTION OF THE COGENERATION FACILITY\
]{.underline}

> Items 9 through 15 only need to be answered by applicants seeking
> certification as a cogeneration facility. Applicants for certification
> as a small power production facility may delete Items 9 through 15
> from their application, or enter "N/A" at each item.

9\. Describe the cogeneration system \[18 C.F.R §§ 292.202(c) and
292.203(b)\], and state whether the facility is a topping-cycle \[18
C.F.R § 292.202(d)\] or bottoming-cycle \[18 C.F.R § 292.202(e)\]
cogeneration facility.

> **\[insert description or "N/A"\]**
>
> **\[insert statement identifying cogeneration facility as a topping or
> bottoming-cycle or "N/A"\]**

10\. To demonstrate the sequentiality of the cogeneration process \[18
C.F.R § 292.202(s)\] and to support compliance with other requirements
such as the operating and efficiency standards (Item 11 below), provide
a mass and heat balance (cycle) diagram depicting average annual hourly
operating conditions. Also, provide:

Using lower heating value \[18 C.F.R § 292.202(m)\], all fuel flow
inputs in Btu/hr., separately indicating fossil fuel inputs for any
supplementary firing in Btu/hr. \[18 C.F.R § 292.202(f)\]:

> **\[insert text and insert or attach mass and heat balance diagram, or
> insert "N/A"\]**

Average net electric output (kW or MW) \[18 C.F.R § 292.202(g)\]:

> **\[insert average annual hourly net electric output in kW or MW, or
> "N/A"\]**

Average net mechanical output in horsepower \[18 C.F.R § 292.202(g)\]:

> **\[insert average annual hourly net mechanical output in horsepower,
> or "N/A"\]**

Number of hours of operation used to determine the average annual hourly
facility inputs and outputs:

> **\[insert number of hours or "N/A"\]**

Working fluid (e.g., steam) flow conditions at input and output of prime
mover(s) and at delivery to and return from each useful thermal
application, including flow rates (lbs./hr.), temperature (deg. F),
pressure (psia), and enthalpy (Btu/lb.):

> **\[insert text here or include this data on diagram required above,
> or insert "N/A"\]**

11\. Compute the operating value \[applicable to a topping-cycle
facility under 18 C.F.R § 292.205(a)(1)\] and the efficiency value \[18
C.F.R §§ 292.205(a)(2) and (b)\], based on the information provided in
and corresponding to item 10, as follows:\
\
Pt = Average annual hourly useful thermal energy output

Pe = Average annual hourly electrical output

Pm = Average annual hourly mechanical output

Pi = Average annual hourly energy input (natural gas or oil)

Ps = Average annual hourly energy input for supplementary firing
(natural gas or oil)\
\
Operating standard = 5% or more\
\
Operating value = Pt / ( Pt + Pe + Pm )

> **\[insert calculation of topping-cycle operating value or "N/A"\]**

Efficiency standard applicable to natural gas and oil fuel used in a
topping-cycle facility:\
\
= 45% or more when operating value is less than 15%, or 42.5% or more
when operating value is equal to or greater than 15%.\
\
Efficiency value = ( Pe + Pm + 0.5Pt ) / (Pi + Ps)

> **\[insert calculation of topping-cycle efficiency value or "N/A"\]**

Efficiency standard applicable to natural gas and oil fuel used for
supplementary firing component of a bottoming-cycle facility:\
\
= 45% or more\
\
Efficiency value = ( Pe + Pm ) / Ps

> **\[insert calculation of bottoming-cycle efficiency value or
> "N/A"\]**

[FOR TOPPING-CYCLE COGENERATION FACILITIES\
]{.underline}

> Items 12 and 13 only need to be answered by applicants seeking
> certification as a topping-cycle cogeneration facility. Applicants for
> certification as a small power production facility or bottoming-cycle
> cogeneration facility may delete Items 12 and 13 from their
> application, or enter "N/A" at each item.

12\. Identify the entity (i.e., thermal host) which will purchase the
useful thermal energy output from the facility \[18 C.F.R §
292.202(h)\]. Indicate whether the entity uses such output for the
purpose of space and water heating, space cooling, and/or process use.

> **\[insert text or "N/A"\]**

13\. In connection with the requirement that the thermal energy output
be useful \[18 C.F.R § 292.202(h)\]:\
\
For process uses by commercial or industrial host(s), describe each
process (or group of similar processes using the same quality of steam)
and provide the average annual hourly thermal energy made available to
the process, less process return. For a complex system, where the
primary steam header at the host-side is divided into various sub-uses,
each having different pressure and temperature characteristics, describe
the processes associated with each sub-use and provide the average
annual hourly thermal energy delivered to each sub-use, less process
return from such sub-use. Provide a diagram showing the main steam
header and the sub-uses with other relevant information such as the
average header pressure (psia), the temperature (deg.F), the enthalpy
(Btu/lb.), and the flow (lb./hr.), both in and out of each sub-use. For
space and water heating, describe the type of heating involved (e.g.,
office space heating, domestic water heating) and provide the average
annual hourly thermal energy delivered and used for such purpose. For
space cooling, describe the type of cooling involved (e.g., office space
cooling) and provide the average annual hourly thermal energy used by
the chiller.

> **\[insert text; if process engineering data required in Item 13 has
> not been provided in the diagram required in Item 10, then also insert
> or attach a diagram containing this required information\]**

[FOR BOTTOMING-CYCLE FACILITIES\
]{.underline}

> Item 14 only needs to be answered by applicants seeking certification
> as a bottoming-cycle cogeneration facility. Applicants for
> certification as a small power production facility or topping-cycle
> cogeneration facility may delete Item 14 from their application, or
> enter "N/A."

14\. Provide a description of the commercial or industrial process or
other thermal application to which the energy input to the system is
first applied and from which the reject heat is then used for electric
power production.

> **\[insert text or "N/A"\]**

[FOR NEW COGENERATION FACILITIES]{.underline}

> Response to Item 15 is only required for certain applicants for
> qualified cogeneration facility status, as described below. Applicants
> for small power production facilities or for cogeneration facilities
> not meeting the criteria outlined below may delete Item 15 from their
> application, or enter "N/A." In addition, per 18 C.F.R. §
> 292.205(d)(4) all cogeneration facilities 5 MW and smaller are
> presumed to comply with the requirements of 18 C.F.R. § 292.205(d)(1)
> and (d)(2), and therefore need not respond to Item 15. For those
> applicants required to respond to Item 15, *see* 18 C.F.R. §
> 292.205(d) and Order No. 671 for more information on making the
> demonstrations required in Item 15.

15\. For any cogeneration facility that had not filed a notice of
self-certification or an application for Commission certification under
18 C.F.R. § 292.207 prior to February 2, 2006, also show:

\(i\) The thermal energy output of the cogeneration facility is used in
a productive and beneficial manner \[18 C.F.R §§ 292.205(d)(1), (d)(4)
and (d)(5)\]; and

\(ii\) The electrical, thermal, chemical and mechanical output of the
cogeneration facility is used fundamentally for industrial, commercial,
residential or institutional purposes and is not intended fundamentally
for sale to an electric utility, taking into account technological,
efficiency, economic, and variable thermal energy requirements, as well
as state laws applicable to sales of electric energy from a qualifying
facility to its host facility \[18 C.F.R §§ 292.205(d)(2), (d)(3) and
(d)(4)\].

> **\[insert text or "N/A"\]**