Document ID: FERC-2006-0724-0001
Agency: ferc
Document Type: Notice
Title: Practice and procedure: Public Utility Holding Company Act of 2005; electronic filing of documents; software update and revised guidelines
Posted Date: 2006-04-14T04:00Z

[Federal Register: April 14, 2006 (Volume 71, Number 72)]
[Notices]               
[Page 19502-19505]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14ap06-41]                         

[[Page 19502]]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RM00-12-000 and Docket No. RM05-32-000]

 
 Electronic Filing of Documents; Repeal of the Public Utility 
Holding Company Act of 1935 and Enactment of the Public Utility Holding 
Company Act of 2005; Version 6.1 Release for Electronic Filing System 
and Revised Guidelines for Filings Under the Public Utility Holding 
Company Act of 2005

April 7, 2006.
    Take notice that the Commission has upgraded its Electronic Filing 
(eFiling) System to Version 6.1. The new release provides additional 
on-screen guidance for each screen, and adds the new qualified document 
filing types defined in Attachment A to this notice. The new filing 
types will be added to the list of qualified documents at: http://www.ferc.gov/docs-
 filing/efiling/docs-efiled.asp.

    Some of the new qualified document types pertain to filings under 
the Public Utility Holding Company Act of 2005 (PUHCA 2005) for which 
the Commission previously issued electronic filing guidelines. The new 
release makes it necessary to revise the previously issued guidelines. 
The revised filing guidelines for FERC Form 60, FERC 65, FERC 65A and 
FERC 65B are included in Attachment B, and will be posted on the 
Commission's Web site at: http://www.ferc.gov/help/how-to/puhca-guidelines.pdf
.

    Attachment C contains a new filing guideline for submitting Form 
523--Request for Permission to Issue Securities (18 CFR Part 34). These 
procedures will also be posted on the Commission's Web site at: http://www.ferc.gov/
 help/how-to.asp.

    In accordance with 18 CFR 385.2003(c), the Secretary of the 
Commission is authorized to issue and amend a list of qualified 
documents only to the extent that no additional requirements are placed 
upon submitters of electronic documents beyond those contained in the 
Commission's regulations. The eFiling system is a voluntary paperless 
alternative to paper submission of certain documents. In terms of the 
user interface, Version 6.1 is similar to the previous version. There 
are no major changes to the screen sequence or the functionality of 
each screen, and there are no additional requirements placed on 
submitters.
    The new release clarifies that the file size limit is 10 Mb. The 
maximum number of files per submission remains at 10. Note that one 
.zip file containing 10 files counts as 10 files.
    Documents submitted via eFiling are still limited to those in the 
public domain. Users must not submit Privileged, Protected, Critical 
Energy Infrastructure (CEII) or Non-Internet Public (NIP) information 
through the eFiling system.
    The Commission Staff prefers that eFiled documents be submitted in 
text-searchable formats, e.g., in Word or Print-to-PDF format, whenever 
possible.
    Questions about this notice may be directed to Brooks Carter at 
202-502-8145, or by e-mail to brooks.carter@ferc.gov. For assistance 
with eFiling, please e-mail FERCOnlineSupport@ferc.gov or call 1-866-
208-3676 (toll free) or 202-502-6652 (local).

Magalie R. Salas,
Secretary.

Attachment A: New Qualified Documents Eligible for eFiling: (http://www.ferc.gov/docs-filing
 /efiling/docs-efiled.asp)

Electric Documents

    FERC Form 60-Annual Report by Service Companies: The annual reports 
pursuant to 18 CFR 366.23 of the Commission's regulations that are 
required to be filed by May 1, 2006, and each May 1 thereafter, by any 
service company in a holding company system that is not a special 
purpose company (e.g., a fuel supply company or a construction company) 
that provides non-power goods or services to a Commission-
jurisdictional public utility or natural gas company, unless otherwise 
exempted or granted a waiver by Commission rule or order. The hardcopy 
form is available at: http://www.ferc.gov/docs-filing /hard-

fil.asp?new=sc1#60. The report may be filed as a spreadsheet file or a 
scanned document.
    FERC-65A--Exemption Notification (18 CFR 366.4(b)): The 
notification required to be filed by persons seeking exemption from the 
requirements of PUHCA 2005 and the Commission's regulations under 18 
CFR 366.3(a), or one of the class of exemptions adopted under 18 CFR 
366.3(b).
    FERC-65B--Waiver Notification (18 CFR 366.4(c)): The notification 
required to be filed by persons seeking waiver of the Commission's 
regulations under PUHCA 2005 pursuant to 18 CFR 366.3(c).
    Form 523--Request for Permission to Issue Securities (18 CFR Part 
34): Applications for authorization from the Commission to issue 
securities or assume an obligation or liability that are filed by (1) 
Licensees and other entities pursuant to sections 19 and 20 of the 
Federal Power Act, and (2) Public Utilities pursuant to section 204 of 
the Federal Power Act.

Hydropower Documents

    ILP Initial and Updated Study Report: An annual report describing 
the progress in implementing the Commission-approved study plan and any 
modifications or new studies being proposed by the applicant, filed in 
accordance with 18 CFR 5.15.
    ILP Notice of Request for Formal Dispute Resolution: A notice of 
study dispute with the Director of the Office of Energy Projects study 
determination as to a study that directly pertains to a federal 
agency's mandatory conditioning authority under Federal Power Act 
Sections 18 and 4(e) or agency or Indian tribe mandatory conditioning 
authority to issue a water quality certification under section 401 of 
the Clean Water Act, filed in accordance with 18 CFR 5.14.
    ILP Proposed Study Plan: A license applicant's proposed study plan 
filed in accordance with 18 CFR 5.11 of the Commission's regulations.
    ILP Revised Study Plan: A license applicant's revised study plan 
addressing any comments received on the proposed study plan and any 
agreements reached during the study plan meetings, filed in accordance 
with 18 CFR 5.13 of the Commission's regulations.
    ILP Scoping Comments and Study Request: Comments on the Pre-
Application Document and/or Scoping Document, and Study Requests filed 
in accordance with 18 CFR 5.9 of the Commission's regulations.
    Notice of Intent and Pre-Application Document: A notice of an 
Applicant's intention to file for an original, new, or subsequent 
hydropower license application and the document describing all 
existing, relevant, and reasonably available information regarding the 
project proposal and its environmental effects, the content of which is 
completely public (i.e., does not contain Privileged, Critical Energy 
Infrastructure, or Non-Internet Public information), and is filed in 
accordance with 18 CFR 5.6 of the Commission's regulations.

[[Page 19503]]

Attachment B: PUHCA Filing Guidelines (http://www.ferc.gov/help/how-to/puhca-guidelines.pdf
 )

Filing Guidelines for Holding Company Filings Under the Public Utility 
Holding Company Act of 2005 and 18 CFR Part 366

    This document contains the guidelines for the following filings 
pursuant to the Public Utility Holding Company Act of 2005 and 
Commission Order No. 667, issued December 8, 2005:
    (1) FERC-65, Notification of Holding Company Status (18 CFR 
366.4(a))
    (2) FERC-65A, Exemption Notification (18 CFR 366.4(b))
    (3) FERC-65B, Waiver Notification (18 CFR 366.4(c)), and
    (4) SEC Financing Authorization Orders or Letters/Reports/Other 
Submissions (18 CFR 366.6(a) and (b))
    (5) Notice of Self-Certification of Exempt Wholesale Generator 
Status (18 CFR 366.7)
    (6) Notice of Self-Certification of Foreign Utility Company Status 
(18 CFR 366.7)
    (7) FERC Form 60, Annual Report by Service Companies
    FERC-65, FERC-65A, and FERC-65-B refer to FERC reporting 
designations and do not represent actual forms.
FERC-65, Notification of Holding Company Status (18 CFR 366.4(a))
    Companies that are holding companies as of February, 8, 2006, shall 
notify the Commission of their status as a holding company no later 
than14 days after the Commission issues an order on rehearing. Holding 
companies formed after February 8, 2006, shall notify the Commission of 
their status no later than the later of 14 days after the Commission 
issues an order on rehearing or 30 days after their formation.
    These notification filings should be submitted using the 
Commission's eFiling system available at http://www.ferc.gov/docs-filing/ferconline.asp.
 Do not include waiver or exemption notifications 

with these filings. The document you submit should include HC06-1-000 
in the caption or heading of the document for any notification filed on 
or before September 30, 2006. During the eFiling submission process:
    1. Select the filing type ``Production of Document.''
    2. On the Select Docket screen, enter HC06-1 in the docket number 
search block and select HC06-1-000 from the results.
    3. Before you browse, select, and attach the file, make sure that 
the file name is less than 25 characters and contains no spaces or 
special characters.
    4. On the Submission Description screen, edit the description by 
replacing ``Production of Document'' with ``Notification of Holding 
Company Status.''
    It is not necessary to include a form of notice for the Federal 
Register.
    If you are unable to file electronically, you must submit an 
original and 14 paper copies of the filing to: Magalie R. Salas, 
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426.
    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.
FERC-65A (Exemption Notification) (18 CFR 366.4(b))
FERC-65B (Waiver Notification) (18 CFR 366.4(c))
    These notifications should be submitted using the Commission's 
electronic filing system available at http://www.ferc.gov/docs-filing/ferconline.asp.
 Do not include Notifications of Holding Company Status 

(FERC-65) with these filings. The document you submit should include 
PH06----000 in the caption or heading of the document, for filings made 
on or before September 30, 2006. You must include a Form of Notice for 
publication in the Federal Register, either as part of the notification 
file or as a separate file. During the e-filing submission process:
    1. Select filing type FERC 65A--Exemption Notification or FERC Form 
65B--Waiver Notifications, as appropriate for your submission [there is 
no ``form'' for FERC-65A and B; these are merely reporting 
designations].
    2. Before you browse, select, and attach the notification file (or 
notification and form of notice files), make sure that the file names 
are less than 25 characters and contain no spaces or special 
characters.
    3. On the Submission Description screen, you may edit the default 
description to more fully describe your submission. The description 
will be used in eLibrary to describe your filing.
    If you are unable to file electronically, you must submit an 
original and 14 paper copies of the filing, with a form of notice of 
the ``PH'' filing suitable for publication in the Federal Register on a 
3\1/2\ diskette, to: Magalie R. Salas, Secretary, Federal 
Energy Regulatory Commission, 888 First Street, NE., Washington, DC 
20426.
    Forms of notice for ``PH'' exemption and waiver notifications are 
available on the Commission's Web site at http://www.ferc.gov/docs-filing/not-form.asp
.

    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.
SEC-Related Financing Authorization Orders or Letters/Reports/Other 
Submissions (18 CFR 366.6(a) and (b))
    Holding companies that intend to rely on financing authorization 
orders or letters issued by the Securities and Exchange Commission 
(SEC), or that submitted reports or other submissions previously with 
the SEC and that now must file with the Commission, must file these 
orders, letters, reports or other submissions with the Commission by 
March 10, 2006.
    These filings should be submitted using the Commission's eFiling 
system, available at http://www.ferc.gov/docs-filing/ferconline.asp 

provided that the entire content of the filing is in the public domain. 
Do not include filings under any other section with the authorization 
orders. The document you submit should include HC06-2-000 (Note--do not 
use HC06-1-000 for such submittals) in the caption or heading of the 
document, for filings made on or before September 30, 2006. During the 
eFiling submission process:
    1. Select the filing type ``Production of Document.''
    2. On the Select Docket screen, enter HC06-2 in the docket number 
search block and select HC06-2-000 from the results.
    3. Before you browse, select, and attach the file, make sure that 
the file name is less than 25 characters and contains no spaces or 
special characters.
    4. On the Submission Description screen, edit the description by 
replacing ``Production of Document'' with ``SEC Financing Authorization 
Order/Letter''
    It is not necessary to include a form of notice for the Federal 
Register.
    If you are unable to file electronically, you must submit an 
original and 14 paper copies of the filing to: Magalie R. Salas, 
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426.
    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.

[[Page 19504]]

Self-Certification Notices for Exempt Wholesale Generators and Foreign 
Utility Companies (18 CFR 366.7)
    An exempt wholesale generator or a foreign utility company, or 
their representative, may file with the Commission a notice of self-
certification demonstrating that it satisfies the definition of exempt 
wholesale generator or foreign utility company. No filing fee is 
required for a notice of self-certification.
    In the case of exempt wholesale generators, the person filing a 
notice of self-certification under this section must also represent in 
its filing that it has provided a copy of the notice to the state 
regulatory authority of the state in which the facility is located, and 
must further represent in its filing, to the extent necessary, that the 
state commission has made the ``specific determination'' provided in 
section 32(c) of the Public Utility Holding Company Act of 1935 (15 
U.S.C. 79z-5a(c)).
    In the case of foreign utility companies, the person filing a 
notice of self-certification under this section must represent in its 
filing that the relevant state commissions have certified that they had 
the authority and resources to protect ratepayers of public utility 
companies associated or affiliated with the foreign utility company.
    Because notices of these filings will be published in the Federal 
Register, both exempt wholesale generators and foreign utility 
companies must include in their submission a separate file containing a 
form of notice suitable for publication in the Federal Register.
    These filings should be submitted using the Commission's eFiling 
system, available at http://www.ferc.gov/docs-filing/ferconline.asp 

provided that the entire content of the filing is in the public domain. 
Do not include filings under any other section with these filings. The 
document you submit should include EG06------000 or FC06------000, as 
applicable, in the caption or heading of the document, for filings made 
on or before September 30, 2006. During the eFiling submission process:
    1. Select the filing type ``Qualifying Facility Notice of Self 
Certification.'' (At a later date, this filing type will be changed to 
Notice of Self-Certification for QF's, EG's, and FC's.'')
    2. Before you browse, select, and attach the file, make sure that 
the file names are less than 25 characters and contain no spaces or 
special characters.
    3. On the Submission Description screen, edit the description by 
replacing ``Qualifying Facility Notice of Self Certification'' with 
either (a) ``Exempt Wholesale Generator Notice of Self Certification'' 
or (b) ``Foreign Utility Company Notice of Self Certification'', as 
applicable.
    If you are unable to file electronically, you must submit an 
original and 14 paper copies of the filing to: Magalie R. Salas, 
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426.
    You must include a form of notice of the ``EG'' or ``FC'' filing 
suitable for publication in the Federal Register on a 3\1/2\ 
diskette.
    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.
FERC Form 60--Annual Report by Service Companies
    These reports, due May 1, 2006, should be submitted using the 
Commission's electronic filing system available at http://www.ferc.gov/docs-filing/ferconline.asp.
 The report may be submitted in any of the 

file formats acceptable for efiling, including spreadsheet or scanned 
image formats.
    1. Select the filing type ``FERC Form 60--Annual Report by Service 
Companies.''
    2. On the Select Docket screen, enter HC06-3 in the docket number 
search block and select HC06-3-000 from the results.
    3. Before you browse, select, and attach the file, make sure that 
the file name is less than 25 characters and contains no spaces or 
special characters.
    4. On the Submission Description screen, edit the description, if 
necessary, to more accurately describe your submission.
    If you are unable to file electronically, you must submit an 
original and 14 paper copies of the filing to: Magalie R. Salas, 
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426.
    You must include a form of notice of the ``EG'' or ``FC'' filing 
suitable for publication in the Federal Register on a 3\1/2\ 
diskette.
    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.

Attachment C: Form 523 Filing Guidelines

Filing Guidelines for Form 523--Request for Permission To Issue 
Securities or Assume Liabilities, Filed Pursuant to Federal Power Act 
Sections 19, 20, or 204 and 18 CFR Part 34

    Applications for authorization from the Commission to issue 
securities or assume an obligation or liability that are filed by (1) 
Licensees and other entities pursuant to sections 19 and 20 of the 
Federal Power Act, and (2) Public Utilities pursuant to section 204 of 
the Federal Power Act, may now be submitted using the Commission's 
electronic filing system, subject to certain limitations. The eFiling 
system is available at http://www.ferc.gov/docs-filing/ferconline.asp.

    Persons submitting these applications must not include filings 
under Federal Power Act Section 203 with their application. Section 203 
filings must be submitted separately on paper with an original and 
eight copies [Section 203 applies to Applications for: (a) Sale or 
Lease of Facilities; (b) Merger or Consolidation of Facilities, and (c) 
Purchase of Securities of a Public Utility].
    In addition, only the public portion of an application under 18 CFR 
part 34 may be submitted via eFiling. A single copy of any Non-Public 
materials must be submitted on paper or CD. It would be beneficial to 
include the Accession Number assigned to the electronic filing with the 
Non-Public submission, if possible.
    The Form 523 application you submit should include ES06------000 in 
the caption or heading of the document, for filings made on or before 
September 30, 2006, one of the files you attach should contain a form 
of notice. The format for the notice is in the entry for 18 CFR 34.3 in 
the table at: http://www.ferc.gov/docs-filing/not-form.asp.

    Once you have logged in to the eFiling system:
    1. Select the filing type for Form 523 under the Electric Menu 
section.
    2. Before you browse, select, and attach the files and form of 
notice files, make sure that the file names are less than 25 characters 
and contain no spaces or special characters.
    3. You may attach up to 10 files with each file no greater than 10 
Mb during a single efiling session. All files must be in the Public 
domain.
    4. At the Submission screen, please edit the default description, 
if necessary, to more accurately describe your submission. This is the 
description that will appear in elibrary.

[[Page 19505]]

    5. If it is necessary to submit a large application (e.g., one in 
which there are more than 10 files) in multiple eFiling sessions, then 
at the end of the Submission Description, add ``Part 1 of ----'', 
``Part 2 of ----'', etc., to more clearly identify the parts of your 
application.
    If your submission contains non-public material that must be filed 
on paper or CD, please include the accession numbers from the related 
eFiling(s) on the cover letter for the non-public submission, if 
possible. Otherwise, please send an e-mail to efiling@ferc.gov to let 
us know that you have both eFiled and paper/CD components to your 
submission. This helps us link the components of your submission 
together in eLibrary, the Commission's online document management 
system.
    If you are unable to file electronically, you must submit an 
original and four paper copies of the public material and one original 
of any non-public material to: Magalie R. Salas, Secretary, Federal 
Energy Regulatory Commission, 888 First Street, NE., Washington, DC 
20426.
    Please be advised that the United States Postal Service scans all 
documents addressed to the Commission with a heat-treatment process 
that may corrupt diskettes and render filings unusable. Please use 
express mail or courier delivery services.

[FR Doc. E6-5559 Filed 4-13-06; 8:45 am]

BILLING CODE 6717-01-P