-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UTzD1LrpDrTQOsgIqsmuKKny0uulxfKW0AgrmpBtHXYouE+K257dRZelVbZNB1oJ MZeR4qCKBWa+m4J9xFQ51Q== 0001104659-07-049734.txt : 20070625 0001104659-07-049734.hdr.sgml : 20070625 20070625163150 ACCESSION NUMBER: 0001104659-07-049734 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070625 ITEM INFORMATION: Other Events FILED AS OF DATE: 20070625 DATE AS OF CHANGE: 20070625 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Duke Energy Indiana, Inc. CENTRAL INDEX KEY: 0000081020 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 350594457 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-03543 FILM NUMBER: 07939103 BUSINESS ADDRESS: STREET 1: 1000 EAST MAIN STREET STREET 2: PO BOX 960 CITY: PLAINFIELD STATE: IN ZIP: 46168 BUSINESS PHONE: 3178399611 MAIL ADDRESS: STREET 1: 1000 EAST MAIN STREET STREET 2: PO BOX 960 CITY: PLAINFIELD STATE: IN ZIP: 46168 FORMER COMPANY: FORMER CONFORMED NAME: PSI ENERGY INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: PUBLIC SERVICE CO OF INDIANA INC DATE OF NAME CHANGE: 19900509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Duke Energy Ohio, Inc. CENTRAL INDEX KEY: 0000020290 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 310240030 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-01232 FILM NUMBER: 07939104 BUSINESS ADDRESS: STREET 1: 139 E FOURTH ST ROOM 362-ANNEX STREET 2: PO BOX 960 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132872291 MAIL ADDRESS: STREET 1: 139 E. FOURTH ST. STREET 2: PO BOX 960 CITY: CINCINNATTI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: CINCINNATI GAS & ELECTRIC CO DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Duke Energy CORP CENTRAL INDEX KEY: 0001326160 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 202777218 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32853 FILM NUMBER: 07939105 BUSINESS ADDRESS: STREET 1: 526 SOUTH CHURCH STREET STREET 2: EC03T CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 704-382-8114 MAIL ADDRESS: STREET 1: 1209 ORANGE STREET CITY: WILMINGTON STATE: DE ZIP: 19801 FORMER COMPANY: FORMER CONFORMED NAME: Duke Energy Holding Corp. DATE OF NAME CHANGE: 20050628 FORMER COMPANY: FORMER CONFORMED NAME: Deer Holding Corp. DATE OF NAME CHANGE: 20050504 8-K 1 a07-17291_18k.htm 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

 

Date of Report (Date of earliest event reported): June 25, 2007

 

DUKE ENERGY CORPORATION

(Exact Name of Registrant as Specified in its Charter)

 

Delaware

 

1-32853

 

20-2777218

(State or Other Jurisdiction

 

(Commission

 

(IRS Employer

 of Incorporation)

 

File Number)

 

Identification No.)

 

526 South Church Street, Charlotte, North Carolina  28202

(Address of Principal Executive Offices, including Zip code)

 

(704) 594-6200

(Registrant’s telephone number, including area code)

 

DUKE ENERGY OHIO, INC.

(Exact Name of Registrant as Specified in its Charter)

 

Delaware

 

001-1232

 

31-0240030

(State or Other Jurisdiction

 

(Commission

 

(IRS Employer

 of Incorporation)

 

File Number)

 

Identification No.)

 

139 East Fourth Street, Cincinnati, Ohio  45202

(Address of Principal Executive Offices, including Zip code)

 

(704) 594-6200

(Registrant’s telephone number, including area code)

 

DUKE ENERGY INDIANA, INC.

(Exact Name of Registrant as Specified in its Charter)

 

Indiana

 

1-3543

 

35-0594457

(State or Other Jurisdiction

 

(Commission

 

(IRS Employer

of Incorporation)

 

File Number)

 

Identification No.)

 

1000 East Main Street, Plainfield, Indiana  46168

(Address of Principal Executive Offices, including Zip code)

 

(704) 594-6200

(Registrant’s telephone number, including area code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o                                    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o                                    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o                                    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o                                    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240. 13e-4(c))

 

 



Item 8.01.  Other Events.

As previously reported in the registrants’ prior disclosures, in 1999-2000, the U.S. Justice Department, acting on behalf of the EPA, filed a number of complaints and notices of violation against multiple utilities across the country for alleged violations of the New Source Review (NSR) provisions of the Clean Air Act (CAA).  Generally, the government alleged that projects performed at various coal-fired units were major modifications, as defined in the CAA, and that the utilities violated the CAA when they undertook those projects without obtaining permits and installing emission controls for SO2, NOx and particulate matter.  The complaints seek (1) injunctive relief to require installation of pollution control technology on various allegedly violating generating units, and (2) unspecified civil penalties in amounts of up to $27,500 per day for each violation.  A number of Duke Energy’s owned and operated plants have been subject to these allegations and lawsuits.  The registrants assert that there were no CAA violations because the applicable regulations do not require permitting in cases where the projects undertaken are “routine” or otherwise do not result in a net increase in emissions.

In particular, in November 1999, the United States brought a lawsuit in the United States Federal District Court for the Southern District of Indiana against Cinergy Corp., Duke Energy Ohio, Inc., and Duke Energy Indiana, Inc. alleging various violations of the CAA for various projects at six of Cinergy’s owned and co-owned generating stations in the Midwest. Additionally, the suit claims that Cinergy violated an Administrative Consent Order entered into in 1998 between the EPA and Cinergy relating to alleged violations of Ohio’s State Implementation Plan (SIP) provisions governing particulate matter at Unit 1 at Duke Energy Ohio’s W.C. Beckjord Station.  In addition, three northeast states and two environmental groups have intervened in the case.

In August 2005, the district court ruled that in determining whether a project was projected to increase annual emissions, it would not hold hours of operation constant.  In June 2007, the district court granted the government’s motions for partial summary judgment, concluding that certain of the specified projects included in the government’s claim were not “routine”.  The district court also rejected Cinergy’s affirmative defense that it was not given fair notice of the legal standards that apply in determining whether a project was projected to result in emissions increases and whether a project qualified for the “routine” exception to NSR.  The registrants anticipate a jury trial being set for 2008 to determine whether the projects were expected to result in a net increase in emissions.  Liability and remedy phases of the case are bifurcated, and no date for a remedy trial has been set at this point.   It is not possible to predict with certainty whether the registrants will incur any liability or to estimate the damages, if any, that the registrants might incur in connection with this matter.

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SIGNATURE

Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

DUKE ENERGY CORPORATION

 

 

 

 

Date: June 25, 2007

By:

/s/Steven K. Young

 

Name:

Steven K. Young

 

Title:

Senior Vice President and Controller

 

 

DUKE ENERGY OHIO, INC.

 

 

 

 

Date: June 25, 2007

By:

/s/Steven K. Young

 

Name:

Steven K. Young

 

Title:

Senior Vice President and Controller

 

 

DUKE ENERGY INDIANA, INC.

 

 

 

 

Date: June 25, 2007

By:

/s/Steven K. Young

 

Name:

Steven K. Young

 

Title:

Senior Vice President and Controller

 

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