18 Cfr 4.8-4.81

Federal Energy Regulatory Commission
§ 4.80 Applicability.
Sections 4.80 through 4.83 pertain to
preliminary permits under Part I of the
Federal Power Act. The sole purpose of
a preliminary permit is to secure priority of application for a license for a
water power project under Part I of the
Federal Power Act while the permittee
obtains the data and performs the acts
required to determine the feasibility of
the project and to support an application for a license.
[Order 54, 44 FR 61336, Oct. 25, 1979, as amended by Order 413, 50 FR 11685, Mar. 25, 1985]

§ 4.81 Contents of application.
Each application for a preliminary
permit must include the following initial statement and numbered exhibits
containing the information and documents specified:
(a) Initial statement:
BEFORE THE FEDERAL ENERGY REGULATORY
COMMISSION
Application for Preliminary Permit
(1) [Name of applicant] applies to the Federal Energy Regulatory Commission for a
preliminary permit for the proposed [name
of project] water power project, as described
in the attached exhibits. This application is
made in order that the applicant may secure
and maintain priority of application for a license for the project under Part I of the Federal Power Act while obtaining the data and
performing the acts required to determine
the feasibility of the project and to support
an application for a license.
(2) The location of the proposed project is:
State or territory:
lllllllllllll
County: lllllllllllllllllll
Township or nearby town:
lllllllll
Stream or other body of water: lllllll
llllllllllllllllllllllll
(3) The exact name, business address, and
telephone number of the applicant are:
llllllllllllllllllllllll
llllllllllllllllllllllll
llllllllllllllllllllllll
The exact name and business address of
each person authorized to act as agent for
the applicant in this application are:
llllllllllllllllllllllll
llllllllllllllllllllllll
llllllllllllllllllllllll
(4) [Name of applicant] is a [citizen, association, citizens, domestic corporation, municipality, or State, as appropriate] and (is/is
not) claiming preference under section 7(a)
of the Federal Power Act. [If the applicant is

§ 4.81
a municipality, the applicant must submit
copies of applicable state or local laws or a
municipal charter or, if such laws or documents are not clear, any other appropriate
legal authority, evidencing that the municipality is competent under such laws to engage in the business of development, transmitting, utilizing, or distributing power].
(5) The proposed term of the requested permit is [period not to exceed 36 months].
(6) If there is any existing dam or other
project facility, the applicant must provide
the name and address of the owner of the
dam and facility. If the dam is federally
owned or operated, provide the name of the
agency.

(b) Exhibit 1 must contain a description of the proposed project, specifying
and including, to the extent possible:
(1) The number, physical composition, dimensions, general configuration
and, where applicable, age and condition,
of
any
dams,
spillways,
penstocks, powerhouses, tailraces, or
other structures, whether existing or
proposed, that would be part of the
project;
(2) The estimated number, surface
area, storage capacity, and normal
maximum surface elevation (mean sea
level) of any reservoirs, whether existing or proposed, that would be part of
the project;
(3) The estimated number, length,
voltage, interconnections, and, where
applicable, age and condition, of any
primary transmission lines whether existing or proposed, that would be part
of the project [see 16 U.S.C. 796(11)];
(4) The total estimated average annual energy production and installed
capacity (provide only one energy and
capacity value), the hydraulic head for
estimating capacity and energy output,
and the estimated number, rated capacity, and, where applicable, the age
and condition, of any turbines and generators, whether existing or proposed,
that would be part of the project
works;
(5) All lands of the United States
that are enclosed within the proposed
project boundary described under paragraph (d)(3)(i) of this section, identified
and tabulated on a separate sheet by
legal subdivisions of a public land survey of the affected area, if available. If
the project boundary includes lands of
the United States, such lands must be
identified on a completed land description form (FERC Form 587), provided

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§ 4.81

18 CFR Ch. I (4–1–13 Edition)

by the Commission. The project location must identify any Federal reservation, Federal tracts, and townships of
the public land surveys (or official protractions thereof if unsurveyed). A
copy of the form must also be sent to
the Bureau of Land Management state
office where the project is located;
(6) Any other information demonstrating in what manner the proposed project would develop, conserve,
and utilize in the public interest the
water resources of the region.
(c) Exhibit 2 is a description of studies
conducted or to be conducted with respect to the proposed project, including
field studies. Exhibit 2 must supply the
following information:
(1) General requirement. For any proposed project, a study plan containing
a description of:
(i) Any studies, investigations, tests,
or surveys that are proposed to be carried out, and any that have already
taken place, for the purposes of determining the technical, economic, and financial feasibility of the proposed
project, taking into consideration its
environmental impacts, and of preparing an application for a license for
the project; and
(ii) The approximate locations and
nature of any new roads that would be
built for the purpose of conducting the
studies; and
(2) Work plan for new dam construction. For any development within the
project that would entail new dam construction, a work plan and schedule
containing:
(i) A description, including the approximate location, of any field study,
test, or other activity that may alter
or disturb lands or waters in the vicinity of the proposed project, including
floodplains and wetlands; measures
that would be taken to minimize any
such disturbance; and measures that
would be taken to restore the altered
or disturbed areas; and
(ii) A proposed schedule (a chart or
graph may be used), the total duration
of which does not exceed the proposed
term of the permit, showing the intervals at which the studies, investigations, tests, and surveys, identified
under this paragraph are proposed to
be completed.

(iii) For purposes of this paragraph,
new dam construction means any dam
construction the studies for which
would require test pits, borings, or
other foundation exploration in the
field.
(3) Waiver. The Commission may
waive the requirements of paragraph
(c)(2) pursuant to § 385.207 of this chapter, upon a showing by the applicant
that the field studies, tests, and other
activities to be conducted under the
permit would not adversely affect cultural resources or endangered species
and would cause only minor alterations
or disturbances of lands and waters,
and that any land altered or disturbed
would be adequately restored.
(4) Exhibit 2 must contain a statement of costs and financing, specifying
and including, to the extent possible:
(i) The estimated costs of carrying
out or preparing the studies, investigations, tests, surveys, maps, plans or
specifications identified under paragraph (c) of this section;
(ii) The expected sources and extent
of financing available to the applicant
to carry out or prepare the studies, investigations, tests, surveys, maps,
plans, or specifications identified under
paragraph (c) of this section; and
(d) Exhibit 3 must include a map or
series of maps, to be prepared on
United States Geological Survey topographic quadrangle sheets or similar
topographic maps of a State agency, if
available. The maps need not conform to
the precise specifications of § 4.39 (a) and
(b). If the scale of any base map is not
sufficient to show clearly and legibly
all of the information required by this
paragraph, the maps submitted must
be enlarged to a scale that is adequate
for that purpose. (If Exhibit 3 comprises a series of maps, it must also include an index sheet showing, by outline, the parts of the entire project covered by each map of the series.) The
maps must show:
(1) The location of the project as a
whole with reference to the affected
stream or other body of water and, if
possible, to a nearby town or any permanent monuments or objects that can
be noted on the maps and recognized in
the field;
(2) The relative locations and physical interrelationships of the principal

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Federal Energy Regulatory Commission
project features identified under paragraph (b) of this section;
(3) A proposed boundary for the
project, enclosing:
(i) All principal project features identified under paragraph (b) of this section, including but not limited to any
dam, reservoir, water conveyance facilities,
powerplant,
transmission
lines, and other appurtenances; if the
project is located at an existing Federal dam, the Federal dam and impoundment must be shown, but may
not be included within the project
boundary;
(ii) Any non-Federal lands and any
public lands or reservations of the
United States [see 16 U.S.C. 796 (1) and
(2)] necessary for the purposes of the
project. To the extent that those public
lands or reservations are covered by a
public land survey, the project boundary must enclose each of and only the
smallest legal subdivisions (quarterquarter section, lots, or other subdivisions, identified on the map by subdivision) that may be occupied in whole or
in part by the project.
(4) Areas within or in the vicinity of
the proposed project boundary which
are included in or have been designated
for study for inclusion in the National
Wild and Scenic Rivers System; and
(5) Areas within the project boundary
that, under the provisions of the Wilderness Act, have been:
(i) Designated as wilderness area;
(ii) Recommended for designation as
wilderness area; or
(iii) Designated as wilderness study
area.
(Federal Power Act, as amended, 16 U.S.C.
792–828c (1976); Department of Energy Organization Act, 42 U.S.C. 7101–7352 (Supp. IV 1980);
E.O. 12009, 3 CFR part 142 (1978); 5 U.S.C. 553
(Supp. IV 1980))
[Order 54, 44 FR 61336, Oct. 25, 1979, as amended by Order 123, 46 FR 9029, Jan. 28, 1981; 46
FR 11811, Feb. 11, 1981; Order 225, 47 FR 19056,
May 3, 1982; Order 413, 50 FR 11685, Mar. 25,
1985; Order 2002, 68 FR 51120, Aug. 25, 2003;
Order 655, 70 FR 33828, June 10, 2005; Order
699, 72 FR 45324, Aug. 14, 2007; Order 756, 77
FR 4894, Feb. 1, 2012]

§ 4.82 Amendments.
(a) Any permittee may file an application for amendment of its permit, including any extension of the term of
the permit that would not cause the

§ 4.84
total term to exceed three years.
(Transfer of a permit is prohibited by
section 5 of the Federal Power Act.)
Each application for amendment of a
permit must conform to any relevant
requirements of § 4.81 (b), (c), (d), and
(e).
(b) If an application for amendment
of a preliminary permit requests any
material change in the proposed
project, public notice of the application will be issued as required in
§ 4.32(d)(2)(i).
(c) If an application to extend the
term of a permit is submitted not less
than 30 days prior to the termination
of the permit, the permit term will be
automatically extended (not to exceed
a total term for the permit of three
years) until the Commission acts on
the application for an extension. The
Commission will not accept extension
requests that are filed less than 30 days
prior to the termination of the permit.
[Order 413, 50 FR 11685, Mar. 25, 1985, as
amended by Order 499, 53 FR 27002, July 18,
1988]

§ 4.83 Cancellation and loss of priority.
(a) The Commission may cancel a
preliminary permit after notice and opportunity for hearing if the permittee
fails to comply with the specific terms
and conditions of the permit. The Commission may also cancel a permit for
other good cause shown after notice
and opportunity for hearing. Cancellation of a permit will result in loss of
the permittee’s priority of application
for a license for the proposed project.
(b) Failure of a permittee to file an
acceptable application for a license before the permit expires will result in
loss of the permittee’s priority of application for a license for the proposed
project.
[Order 413, 50 FR 11686, Mar. 25, 1985]

§ 4.84 Surrender of permit.
A permittee must submit a petition
to the Commission before the permittee may voluntarily surrender its
permit. Unless the Commission issues
an order to the contrary, the permit
will remain in effect through the thirtieth day after the Commission issues a
public notice of receipt of the petition.
[Order 413, 50 FR 11686, Mar. 25, 1985]

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