18 CFR 4.41h

Federal Energy Regulatory Commission
(e) The maps and drawings showing
project location information and details of project structures must be filed
in accordance with the Commission’s
instructions on submission of privileged materials and Critical Energy Infrastructure Information in §§ 388.112
and 388.113 of this chapter.
[Order 54, 44 FR 61334, Oct. 25, 1979. Redesignated by Order 413, 50 FR 11678, Mar. 25, 1985;
Order 2002, 68 FR 51119, Aug. 25, 2003; 68 FR
61742, Oct. 30, 2003; Order 756, 77 FR 4894, Feb.
1, 2012; Order 769, 77 FR 65474, Oct. 29, 2012;
Order 798, 79 FR 42974, July 24, 2014; Order
800, 79 FR 59110, Oct. 1, 2014]

Subpart E—Application for License
for
Major
Unconstructed
Project and Major Modified
Project
§ 4.40

Applicability.

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(a) Applicability. The provisions of
this subpart apply to any application
for an initial license for a major
unconstructed project that would have
a total installed capacity of more than
5 megawatts, and any application for
an initial or new license for a major
modified project with a total installed
capacity more than 5 megawatts. An
applicant for license for any major
unconstructed or major modified water
power project that would have a total
installed generating capacity of 5
megawatts or less must submit application under subpart G (§§ 4.60 and 4.61).
(b) Guidance from Commission staff. A
prospective applicant for a license for a
major unconstructed project or major
modified project may seek advice from
the Commission’s Office of Energy
Projects regarding the applicability of
this subpart to its project [see § 4.32(h)],
including the determinations whether
any proposed repair, modification or
reconstruction of an existing dam
would result in a significant change in
the normal maximum surface elevation
of an existing impoundment, or whether any proposed change in existing
project works or operation would result in a significant environmental impact.
[Order 184, 46 FR 55936, Nov. 13, 1981, as
amended by Order 413, 50 FR 11683, Mar. 25,
1985; Order 499, 53 FR 27002, July 18, 1988;
Order 2002, 68 FR 51119, Aug. 25, 2003]

§ 4.41
§ 4.41

Contents of application.

Any application under this subpart
must contain the following information in the form prescribed:
(a) Initial statement.
BEFORE THE FEDERAL ENERGY REGULATORY
COMMISSION
Application
for
License
for
Major
Unconstructed Project or Major Modified
Project
(1) [Name of applicant] applies to the Federal Energy Regulatory Commission for a [license or new license, as appropriate] for the
[name of project] water power project, as described in the attached exhibits. [Specify
any previous FERC project number designation.]
(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
(3) The exact name, business address, and
telephone number of the applicant are:
llllllllllllllllllllllll
llllllllllllllllllllllll
(4) The applicant is a (citizen of the United
States, association of citizens of the United
States, domestic corporation, municipality,
or State, as appropriate) and (is/is not)
claiming preference under section 7(a) of the
Federal Power Act. See 16 U.S.C. 796.
(5)(i) The statutory or regulatory requirements of the state(s) in which the project
would be located and that affect the project
as proposed with respect to bed and banks
and to the appropriation, diversion, and use
of water for power purposes, and with respect
to the right to engage in the business of developing, transmitting, and distributing
power and in any other business necessary to
accomplish the purposes of the license under
the Federal Power Act, are: [provide citation
and brief identification of the nature of each
requirement; if the applicant is 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 developing, transmitting, utilizing,
or distributing power.]
(ii) The steps which the applicant has
taken, or plans to take, to comply with each
of the laws cited above are: [provide brief description for each requirement]

(b) Exhibit A is a description of the
project. If the project includes more

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§ 4.41

18 CFR Ch. I (4–1–15 Edition)

than one dam with associated facilities, each dam and the associated component parts must be described together as a discrete development. The
description for each development must
contain:
(1) The physical composition, dimensions, and general configuration of any
dams,
spillways,
penstocks,
powerhouses, tailraces or other structures proposed to be included as part of
the project;
(2) The normal maximum water surface area and normal maximum water
surface elevation (mean sea level),
gross storage capacity of any impoundments to be included as part of the
project;
(3) The number, type and rated capacity of any proposed turbines or generators to be included as part of the
project;
(4) The number, length, voltage and
interconnections of any primary transmission lines proposed to be included a
part of the project [See 16 U.S.C.
796(11)];
(5) The description of any additional
mechanical, electrical, and transmission equipment appurtenant to the
project; and
(6) All lands of the United States, including lands patented subject to the
provisions of section 24 of the Act, 16
U.S.C. 818, that are enclosed within the
project boundary described under paragraph (h) of this section (Exhibit G),
identified and tabulated by legal subdivisions of a public land survey, by
the best available legal description.
The tabulation must show the total
acreage of the lands of the United
States within the project boundary.
(c) Exhibit B is a statement of project
operation and resource utilization. If
the project includes more than one
dam with associated facilities, the information must be provided separately
for each discrete development. The exhibit must contain:
(1) A description of each alternative
site considered in selecting of the proposed site;
(2) A description of any alternative
facility designs, processes, and operations that were considered.
(3) A statement as to whether operation of the power plant will be manual
or automatic, an estimate of the an-

nual plant factor, and a statement of
how the project will be operated during
adverse, mean, and high water years;
(4) An estimate of the dependable capacity and average annual energy production in kilowatt-hours (or mechanical equivalent), supported by the following data:
(i) The minimum, mean, and maximum recorded flows in cubic feet per
second of the stream or other body of
water at the powerplant intake or
point of diversion, with a specification
of any adjustment made for evaporation, leakage minimum flow releases
(including duration of releases) or
other reductions in available flow;
monthly flow duration curves indicating the period of record and the
gauging stations used in deriving the
curves; and a specification of the critical streamflow used to determine the
dependable capacity;
(ii) An area-capacity curve showing
the gross storage capacity and usable
storage capacity of the impoundment,
with a rule curve showing the proposed
operation of the impoundment and how
the usable storage capacity is to be utilized;
(iii) The estimated minimum and
maximum hydraulic capacity of the
powerplant in terms of flow and efficiency (cubic feet per second at onehalf, full and best gate), and the corresponding generator output in kilowatts;
(iv) A tailwater rating curve; and
(v) A curve showing powerplant capability versus head and specifying maximum, normal, and minimum heads;
(5) A statement of system and regional power needs and the manner in
which the power generated at the
project is to be utilized, including the
amount of power to be used on-site, if
any, supported by the following data:
(i) Load curves and tabular data, if
appropriate;
(ii) Details of conservation and rate
design programs and their historic and
projected impacts on system loads; and
(iii) The amount of power to be sold
and the identity of proposed purchaser(s); and
(6) A statement of the applicant’s
plans for future development of the

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Federal Energy Regulatory Commission
project or of any other existing or proposed water power project on the affected stream or other body of water,
indicating the approximate location
and estimated installed capacity of the
proposed developments.
(d) Exhibit C is a proposed construction schedule for the project. The information required may be supplemented
with a bar chart. The construction
schedule must contain:
(1) The proposed commencement and
completion dates of any new construction, modification, or repair of major
project works;
(2) The proposed commencement date
of first commercial operation of each
new major facility and generating unit;
and
(3) If any portion of the proposed
project consists of previously constructed, unlicensed water power structures or facilities, a chronology of
original completion dates of those
structures or facilities specifying dates
(approximate dates must be identified
as such) of:
(i) Commencement and completion of
construction or installation;
(ii) Commencement of first commercial operation; and
(iii) Any additions or modifications
other than routine maintenance.
(e) Exhibit D is a statement of project
costs and financing. The exhibit must
contain:
(1) A statement of estimated costs of
any new construction, modification, or
repair, including:
(i) The cost of any land or water
rights necessary to the development;
(ii) The total cost of all major
project works;
(iii) Indirect construction costs such
as costs of construction equipment,
camps, and commissaries;
(iv) Interest during construction; and
(v) Overhead, construction, legal expenses, and contingencies;
(2) If any portion of the proposed
project consists of previously constructed, unlicensed water power structures or facilities, a statement of the
original cost of those structures or facilities specifying for each, to the extent possible, the actual or approximate total costs (approximate costs
must be identified as such) of:

§ 4.41
(i) Any land or water rights necessary to the existing project works;
(ii) All major project works; and
(iii) Any additions or modifications
other than routine maintenance;
(3) If the applicant is a licensee applying for a new license, and is not a
municipality or a state, an estimate of
the amount which would be payable if
the project were to be taken over pursuant to section 14 of the Federal
Power Act, 16 U.S.C. 807, upon expiration of the license in effect including:
(i) Fair value;
(ii) Net investment; and
(iii) Severance damages;
(4) A statement of the estimated average annual cost of the total project
as proposed, specifying any projected
changes in the costs (life-cycle costs)
over the estimated financing or licensing period if the applicant takes such
changes into account, including:
(i) Cost of capital (equity and debt);
(ii) Local, state, and Federal taxes;
(iii) Depreciation or amortization,
(iv) Operation and maintenance expenses, including interim replacements, insurance, administrative and
general expenses, and contingencies;
and
(v) The estimated capital cost and estimated annual operation and maintenance expense of each proposed environmental measure;
(5) A statement of the estimated annual value of project power based on a
showing of the contract price for sale
of power or the estimated average annual cost of obtaining an equivalent
amount of power (capacity and energy)
from the lowest cost alternative source
of power, specifying any projected
changes in the costs (life-cycle costs)
of power from that source over the estimated financing or licensing period if
the applicant takes such changes into
account;
(6) A statement describing other electric energy alternatives, such as gas,
oil, coal and nuclear-fueled powerplants and other conventional and
pumped storage hydroelectric plants;
(7) A statement and evaluation of the
consequences of denial of the license
application and a brief perspective of
what future use would be made of the
proposed site if the proposed project
were not constructed;

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§ 4.41

18 CFR Ch. I (4–1–15 Edition)

(8) A statement specifying the
sources and extent of financing and annual revenues available to the applicant to meet the costs identified in
paragraphs (e) (1) and (4) of this section;
(9) An estimate of the cost to develop
the license application; and
(10) The on-peak and off-peak values
of project power, and the basis for estimating the values, for projects which
are proposed to operate in a mode
other than run-of-river.
(f) Exhibit E is an Environmental Report. Information provided in the report must be organized and referenced
according to the itemized subparagraphs below. See § 4.38 for consultation
requirements. The Environmental Report must contain the following information, commensurate with the scope of
the project:
(1) General description of the locale.
The applicant must provide a general
description of the environment of the
proposed project area and its immediate vicinity. The description must include location and general information
helpful to an understanding of the environmental setting.
(2) Report on water use and quality.
The report must discuss water quality
and flows and contain baseline data
sufficient to determine the normal and
seasonal variability, the impacts expected during construction and operation, and any mitigative, enhancement, and protective measures proposed by the applicant. The report
must be prepared in consultation with
the state and Federal agencies with responsibility for management of water
quality and quantity in the affected
stream or other body of water. The report must include:
(i) A description of existing instream
flow uses of streams in the project area
that would be affected by construction
and operation; estimated quantities of
water discharged from the proposed
project for power production; and any
existing and proposed uses of project
waters for irrigation, domestic water
supply, industrial and other purposes;
(ii) A description of the seasonal variation of existing water quality for any
stream, lake, or reservoir that would
be affected by the proposed project, including (as appropriate) measurements

of: significant ions, chlorophyll a, nutrients, specific conductance, pH, total
dissolved solids, total alkalinity, total
hardness, dissolved oxygen, bacteria,
temperature, suspended sediments, turbidity and vertical illumination;
(iii) A description of any existing
lake or reservoir and any of the proposed project reservoirs including surface area, volume, maximum depth,
mean depth, flushing rate, shoreline
length, substrate classification, and
gradient for streams directly affected
by the proposed project;
(iv) A quantification of the anticipated impacts of the proposed construction and operation of project facilities on water quality and downstream flows, such as temperature, turbidity and nutrients;
(v) A description of measures recommended by Federal and state agencies and the applicant for the purpose
of protecting or improving water quality and stream flows during project
construction and operation; an explanation of why the applicant has rejected any measures recommended by
an agency; and a description of the applicant’s alternative measures to protect or improve water quality stream
flow;
(vi) A description of groundwater in
the vicinity of the proposed project, including water table and artesian conditions, the hydraulic gradient, the degree to which groundwater and surface
water are hydraulically connected,
aquifers and their use as water supply,
and the location of springs, wells, artesian flows and disappearing streams; a
description of anticipated impacts on
groundwater and measures proposed by
the applicant and others for the mitigation of impacts on groundwater; and
(3) Report on fish, wildlife, and botanical resources. The applicant must provide a report that describes the fish,
wildlife, and botanical resources in the
vicinity of the proposed project; expected impacts of the project on these
resources; and mitigation, enhancement, or protection measures proposed
by the applicant. The report must be
prepared in consultation with the state
agency or agencies with responsibility
for these resources, the U.S. Fish and
Wildlife Service, the National Marine
Fisheries Service (if the proposed

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Federal Energy Regulatory Commission
project may affect anadromous, estuarine, or marine fish resources), and any
state or Federal agency with managerial authority over any part of the proposed project lands. The report must
contain:
(i) A description of existing fish,
wildlife, and plant communities of the
proposed project area and its vicinity,
including any downstream areas that
may be affected by the proposed
project and the area within the transmission line corridor or right-of-way. A
map of vegetation types should be included in the description. For species
considered important because of their
commercial or recreational value, the
information provided should include
temporal and spatial distributions and
densities of such species. Any fish,
wildlife, or plant species proposed or
listed as threatened or endangered by
the U.S. Fish and Wildlife Service or
National Marine Fisheries Service [see
50 CFR 17.11 and 17.12] must be identified;
(ii) A description of the anticipated
impacts on fish, wildlife and botanical
resources of the proposed construction
and operation of project facilities, including possible changes in size, distribution, and reproduction of essential
population of these resources and any
impacts on human utilization of these
resources;
(iii) A description of any measures or
facilities recommended by state or
Federal agencies for the mitigation of
impacts on fish, wildlife, and botanical
resources, or for the protection or enhancement of these resources, the impact on threatened or endangered species, and an explanation of why the applicant has determined any measures
or facilities recommended by an agency are inappropriate as well as a description of alternative measures proposed by applicant to protect fish,
wildlife and botanical resources; and
(iv) The following materials and information regarding any mitigation
measures or facilities, identified under
clause (iii), proposed for implementation or construction:
(A) Functional design drawings;
(B) A description of proposed operation and maintenance procedures for
any proposed measures or facilities;

§ 4.41
(C) An implementation, construction
and operation schedule for any proposed measures or facilities;
(D) An estimate of the costs of construction, operation, and maintenance
of any proposed facilities or implementation of any measures;
(E) A statement of the sources and
amount of financing for mitigation
measures or facilities; and
(F) A map or drawing showing, by the
use of shading, crosshatching or other
symbols, the identity and location of
any proposed measures or facilities.
(4) Report on historic and archaeological resources. The applicant must
provide a report that discusses any historical and archaeological resources in
the proposed project area, the impact
of the proposed project on those resources and the avoidance, mitigation,
and protection measures proposed by
the applicant. The report must be prepared in consultation with the State
Historic Preservation Officer (SHPO)
and the National Park Service of the
U.S. Department of Interior. The report must contain:
(i) A description of any discovery
measures, such as surveys, inventories,
and limited subsurface testing work,
recommended by the specified state
and Federal agencies for the purpose of
locating, identifying, and assessing the
significance of historic and archaeological resources that would be affected by construction and operation of
the proposed project, together with a
statement of the applicant’s position
regarding the acceptability of the recommendations;
(ii) The results of surveys, inventories, and subsurface testing work recommended by the state and Federal
agencies listed above, together with an
explanation by the applicant of any
variations from the survey, inventory,
or testing procedures recommended;
(iii) An identification (without providing specific site or property locations) of any historic or archaeological
site in the proposed project area, with
particular emphasis on sites or properties either listed in, or recommended
by the SHPO for inclusion in, the National Register of Historic Places that
would be affected by the construction
of the proposed project;

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§ 4.41

18 CFR Ch. I (4–1–15 Edition)

(iv) A description of the likely direct
and indirect impacts of proposed
project construction or operation on
sites or properties either listed in, or
recommended as eligible for, the National Register of Historic Places;
(v) A management plan for the avoidance of, or mitigation of, impacts on
historic or archaeological sites and resources based upon the recommendations of the state and Federal agencies
listed above and containing the applicant’s explanation of variations from
those recommendations; and
(vi) The following materials and information regarding the mitigation
measures described under paragraph
(f)(4)(v) of this section:
(A) A schedule for implementing the
mitigation proposals;
(B) An estimate of the cost of the
measures; and
(C) A statement of the sources and
extent of financing.
(vii) The applicant must provide five
copies (rather than the eight copies required under § 4.32(b)(1) of the Commission’s regulations) of any survey, inventory, or subsurface testing reports
containing specific site and property
information, and including maps and
photographs showing the location and
any required alteration of historic and
archaeological resources in relation to
proposed project facilities.
(5) Report on socio-economic impacts.
The applicant must provide a report
which identifies and quantifies the impacts of constructing and operating the
proposed project on employment, population, housing, personal income, local
governmental services, local tax revenues and other factors within the
towns and counties in the vicinity of
the proposed project. The report must
include:
(i) A description of the socio-economic impact area;
(ii) A description of employment,
population and personal income trends
in the impact area;
(iii) An evaluation of the impact of
any substantial in-migration of people
on the impact area’s governmental facilities and services, such as police,
fire, health and educational facilities
and programs;
(iv) On-site manpower requirements
and payroll during and after project

construction, including a projection of
total on-site employment and construction payroll provided by month;
(v) Numbers of project construction
personnel who:
(A) Currently reside within the impact area;
(B) Would commute daily to the construction site from places situated outside the impact area; and
(C) Would relocate on a temporary
basis within the impact area;
(vi) A determination of whether the
existing supply of available housing
within the impact area is sufficient to
meet the needs of the additional population;
(vii) Numbers and types of residences
and business establishments that
would be displaced by the proposed
project, procedures to be utilized to acquire these properties, and types and
amounts of relocation assistance payments that would be paid to the affected property owners and businesses;
and
(viii) A fiscal impact analysis evaluating the incremental local government expenditures in relation to the
incremental local government revenues
that would result from the construction of the proposed project. Incremental expenditures may include, but
are not be limited to, school operating
costs, road maintenance and repair,
public safety, and public utility costs.
(6) Report on geological and soil resources. The applicant must provide a
report on the geological and soil resources in the proposed project area
and other lands that would be directly
or indirectly affected by the proposed
action and the impacts of the proposed
project on those resources. The information required may be supplemented
with maps showing the location and description of conditions. The report
must contain:
(i) A detailed description of geological features, including bedrock lithology, stratigraphy, structural features,
glacial features, unconsolidated deposits, and mineral resources;
(ii) A detailed description of the
soils, including the types, occurrence,
physical and chemical characteristics,
erodability and potential for mass soil
movement;

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Federal Energy Regulatory Commission
(iii) A description showing the location of existing and potential geological and soil hazards and problems, including earthquakes, faults, seepage,
subsidence, solution cavities, active
and abandoned mines, erosion, and
mass soil movement, and an identification of any large landslides or potentially unstable soil masses which could
be aggravated by reservoir fluctuation;
(iv) A description of the anticipated
erosion, mass soil movement and other
impacts on the geological and soil resources due to construction and operation of the proposed project; and
(v) A description of any proposed
measures or facilities for the mitigation of impacts on soils.
(7) Report on recreational resources.
The applicant must prepare a report
containing a proposed recreation plan
describing utilization, design and development of project recreational facilities, and public access to the
project area. Development of the plan
should include consideration of the
needs of the physically handicapped.
Public and private recreational facilities provided by others that would abut
the project should be noted in the report. The report must be prepared in
consultation with appropriate local, regional, state and Federal recreation
agencies and planning commissions,
the National Park Service of the U.S.
Department of the Interior, and any
other state or Federal agency with
managerial responsibility for any part
of the project lands. The report must
contain:
(i) A description of any areas within
or in the vicinity of the proposed
project boundary that are included in,
or have been designated for study for
inclusion in:
(A) The National Wild and Scenic
Rivers Systems (see 16 U.S.C. 1271);
(B) The National Trails System (see
16 U.S.C. 1241); or
(C) A wilderness area designated
under the Wilderness Act (see 16 U.S.C.
1132);
(ii) A detailed description of existing
recreational
facilities
within
the
project vicinity, and the public recreational facilities which are to be provided by the applicant at its sole cost
or in cooperation with others no later
than 3 years from the date of first com-

§ 4.41
mercial operation of the proposed
project and those recreation facilities
planned for future development based
on anticipated demand. When public
recreation facilities are to be provided
by other entities, the applicant and
those entities should enter into an
agreement on the type of facilities to
be provided and the method of operation. Copies of agreements with cooperating entities are to be appended
to the plan;
(iii) A provision for a shoreline buffer
zone that must be within the project
boundary, above the normal maximum
surface elevation of the project reservoir, and of sufficient width to allow
public access to project lands and waters and to protect the scenic, public
recreational, cultural, and other environmental values of the reservoir
shoreline;
(iv) Estimates of existing and future
recreational use at the project, in daytime and overnight visitation (recreation days), with a description of the
methodology used in developing these
data;
(v) A development schedule and cost
estimates of the construction, operation, and maintenance of existing, initial, and future public recreational facilities, including a statement of the
source and extent of financing for such
facilities;
(vi) A description of any measures or
facilities recommended by the agencies
consulted for the purpose of creating,
preserving, or enhancing recreational
opportunities at the proposed project,
and for the purpose of ensuring the
safety of the public in its use of project
lands and waters, including an explanation of why the applicant has rejected any measures or facilities recommended by an agency; and
(vii) A drawing or drawings, one of
which describes the entire project area,
clearly showing:
(A) The location of project lands, and
the types and number of existing recreational facilities and those proposed
for initial development, including access roads and trails, and facilities for
camping, picnicking, swimming, boat
docking and launching, fishing and
hunting, as well as provisions for sanitation and waste disposal;

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§ 4.41

18 CFR Ch. I (4–1–15 Edition)

(B) The location of project lands, and
the type and number of recreational facilities planned for future development;
(C) The location of all project lands
reserved for recreational uses other
than those included in paragraphs
(f)(7)(vii) (A) and (B) of this section;
and
(D) The project boundary (excluding
surveying details) of all areas designated for recreational development,
sufficiently referenced to the appropriate Exhibit G drawings to show that
all lands reserved for existing and future public recreational development
and the shoreline buffer zone are included within the project boundary.
Recreational cottages, mobile homes
and year-round residences for private
use are not to be considered as public
recreational facilities, and the lands on
which these private facilities are to be
developed are not to be included within
the proposed project boundary.
(8) Report on aesthetic resources. The
applicant must provide a report that
describes the aesthetic resources of the
proposed project area, the expected impacts of the project on these resources,
and the mitigation, enhancement or
protection measures proposed. The report must be prepared following consultation with Federal, state, and local
agencies having managerial responsibility for any part of the proposed
project lands or lands abutting those
lands. The report must contain:
(i) A description of the aesthetic
character of lands and waters directly
and indirectly affected by the proposed
project facilities;
(ii) A description of the anticipated
impacts on aesthetic resources from
construction activity and related
equipment and material, and the subsequent presence of proposed project facilities in the landscape;
(iii) A description of mitigative
measures proposed by the applicant, including architectural design, landscaping, and other reasonable treatment to be given project works to preserve and enhance aesthetic and related resources during construction
and operation of proposed project facilities; and
(iv) Maps, drawings and photographs
sufficient to provide an understanding

of the information required under this
paragraph. Maps or drawings may be
consolidated with other maps or drawings required in this exhibit and must
conform to the specifications of § 4.39.
(9) Report on land use. The applicant
must provide a report that describes
the existing uses of the proposed
project lands and adjacent property,
and those land uses which would occur
if the project is constructed. The report may reference the discussions of
land uses in other sections of this exhibit. The report must be prepared following consultation with local and
state zoning or land management authorities, and any Federal or state
agency with managerial responsibility
for the proposed project or abutting
lands. The report must include:
(i) A description of existing land use
in the proposed project area, including
identification of wetlands, floodlands,
prime or unique farmland as designated
by the Natural Resources Conservation
Service of the U.S. Department of Agriculture, the Special Area Management
Plan of the Office of Coastal Zone Management, National Oceanic and Atmospheric Administration, and lands
owned or subject to control by government agencies;
(ii) A description of the proposed land
uses within and abutting the project
boundary that would occur as a result
of development and operation of the
project; and
(iii) Aerial photographs, maps, drawings or other graphics sufficient to
show the location, extent and nature of
the land uses referred to in this section.
(10) Alternative locations, designs, and
energy sources. The applicant must provide an environment assessment of the
following:
(i) Alternative sites considered in arriving at the selection of the proposed
project site;
(ii) Alternative facility designs, processes, and operations that were considered and the reasons for their rejection;
(iii) Alternative electrical energy
sources, such as gas, oil, coal, and nuclear-fueled power plants, purchased
power or diversity exchange, and other
conventional and pumped-storage hydroelectric plants; and

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Federal Energy Regulatory Commission
(iv) The overall consequences if the
license application is denied.
(11) List of literature. Exhibit E must
include a list of all publications, reports, and other literature which were
cited or otherwise utilized in the preparation of any part of the environmental
report.
(g) Exhibit F consists of general design drawings of the principal project
works described under paragraph (b) of
this section (Exhibit A) and supporting
information used as the basis of design.
If the Exhibit F submitted with the application is preliminary in nature, applicant must so state in the application. The drawings must conform to
the specifications of § 4.39.
(1) The drawings must show all major
project structures in sufficient detail
to provide a full understanding of the
project, including:
(i) Plans (overhead view);
(ii) Elevations (front view);
(iii) Profiles (side view); and
(iv) Sections.
(2) The applicant may submit preliminary design drawings with the application. The final Exhibit F may be
submitted during or after the licensing
process and must show the precise
plans and specifications for proposed
structures. If the project is licensed on
the basis of preliminary designs, the
applicant must submit a final Exhibit
F for Commission approval prior to
commencement of any construction of
the project.
(3) Supporting design report. The applicant must furnish, at a minimum, the
following supporting information to
demonstrate that existing and proposed structures are safe and adequate
to fulfill their stated functions and
must submit such information in a separate report at the time the application is filed. The report must include:
(i) An assessment of the suitability of
the site and the reservoir rim stability
based on geological and subsurface investigations, including investigations
of soils and rock borings and tests for
the evaluation of all foundations and
construction materials sufficient to determine the location and type of dam
structure suitable for the site;
(ii) Copies of boring logs, geology reports and laboratory test reports;

§ 4.41
(iii) An identification of all borrow
areas and quarry sites and an estimate
of required quantities of suitable construction material;
(iv) Stability and stress analyses for
all major structures and critical abutment slopes under all probable loading
conditions, including seismic and hydrostatic forces induced by water loads
up to the Probable Maximum Flood as
appropriate; and
(v) The bases for determination of
seismic loading and the Spillway Design Flood in sufficient detail to permit independent staff evaluation.
(4) The applicant must submit two
copies of the supporting design report
described in paragraph (g)(3) of this
section at the time preliminary and
final design drawings are submitted to
the Commission for review. If the report contains preliminary drawings, it
must be designated a ‘‘Preliminary
Supporting Design Report.’’
(h) Exhibit G is a map of the project
that must conform to the specifications of § 4.39. In addition, to the other
components of Exhibit G, the Applicant must provide the project boundary data in a geo-referenced electronic
format—such as ArcView shape files,
GeoMedia files, MapInfo files, or any
similar format. The electronic boundary data must be positionally accurate
to ±40 feet, in order to comply with the
National Map Accuracy Standards for
maps at a 1:24,000 scale (the scale of
USGS quadrangle maps). The electronic exhibit G data must include a
text file describing the map projection
used (i.e., UTM, State Plane, Decimal
Degrees, etc.), the map datum (i.e.,
feet, meters, miles, etc.). Three sets of
the maps must be submitted on compact disk or other appropriate electronic media. If more than one sheet is
used for the paper maps, the sheets
must be numbered consecutively, and
each sheet must bear a small insert
sketch showing the entire project and
indicate that portion of the project depicted on that sheet. Each sheet must
contain a minimum of three known reference points. The latitude and longitude coordinates, or state plane coordinates, of each reference point must
be shown. If at any time after the application is filed there is any change in
the project boundary, the applicant

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§ 4.41

18 CFR Ch. I (4–1–15 Edition)

must submit, within 90 days following
the completion of project construction,
a final exhibit G showing the extent of
such changes. The map must show:
(1) Location of the project and principal
features. The map must show 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 other permanent
monuments or objects, such as roads,
transmission lines or other structures,
that can be noted on the map and recognized in the field. The map must also
show the relative locations and physical interrelationships of the principal
project works and other features described under paragraph (b) of this section (Exhibit A).
(2) Project boundary. The map must
show a project boundary enclosing all
project works and other features described under paragraph (b) of this section (Exhibit A) that are to be licensed.
If accurate survey information is not
available at the time the application is
filed, the applicant must so state, and
a tentative boundary may be submitted. The boundary must enclose
only those lands necessary for operation and maintenance of the project
and for other project purposes, such as
recreation, shoreline control, or protection of environmental resources (see
paragraph (f) of this section (Exhibit
E)). Existing residential, commercial,
or other structures may be included
within the boundary only to the extent
that underlying lands are needed for
project purposes (e.g., for flowage, public recreation, shoreline control, or
protection
of
environmental
resources). If the boundary is on land
covered by a public survey, ties must
be shown on the map at sufficient
points to permit accurate platting of
the position of the boundary relative to
the lines of the public land survey. If
the lands are not covered by a public
land survey, the best available legal
description of the position of the
boundary must be provided, including
distances and directions from fixed
monuments or physical features. The
boundary must be described as follows:
(i) Impoundments. (A) The boundary
around a project impoundment must be
described by one of the following:

(1) Contour lines, including the contour elevation (preferred method);
(2) Specified courses and distances
(metes and bounds);
(3) If the project lands are covered by
a public land survey, lines upon or parallel to the lines of the survey; or
(4) Any combination of the above
methods.
(B) The boundary must be located no
more than 200 feet (horizontal measurement) from the exterior margin of the
reservoir, defined by the normal maximum surface elevation, except where
deviations may be necessary in describing the boundary according to the
above methods or where additional
lands are necessary for project purposes, such as public recreation, shoreline control, or protection of environmental resources.
(ii) Continuous features. The boundary
around linear (continuous) project features such as access roads, transmission lines, and conduits may be described by specified distances from center lines or offset lines of survey. The
width of such corridors must not exceed 200 feet unless good cause is shown
for a greater width. Several sections of
a continuous feature may be shown on
a single sheet with information showing the sequence of contiguous sections.
(iii) Noncontinuous features. (A) The
boundary
around
noncontinuous
project works such as dams, spillways,
and powerhouses must be described by
one of the following:
(1) Contour lines;
(2) Specified courses and distances;
(3) If the project lands are covered by
a public land survey, lines upon or parallel to the lines of the survey; or
(4) Any combination of the above
methods.
(B) The boundary must enclose only
those lands that are necessary for safe
and efficient operation and maintenance of the project or for other specified project purposes, such as public
recreation or protection of environmental resources.
(3) Federal lands. Any public lands
and reservations of the United States
(Federal lands) [see 16 U.S.C. 796 (1) and
(2)] that are within the project boundary, such as lands administered by the
U.S. Forest Service, Bureau of Land

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Management, or National Park Service, or Indian tribal lands, and the
boundaries of those Federal lands,
must be identified as such on the map
by:
(i) Legal subdivisions of a public land
survey of the affected area (a protraction of identified township and section
lines is sufficient for this purpose); and
(ii) The Federal agency, identified by
symbol or legend, that maintains or
manages each identified subdivision of
the public land survey within the
project boundary; or
(iii) In the absence of a public land
survey, the location of the Federal
lands according to the distances and directions from fixed monuments or
physical features. When a Federal survey monument or a Federal bench
mark will be destroyed or rendered unusable by the construction of project
works, at least two permanent, marked
witness monuments or bench marks
must be established at accessible
points. The maps show the location
(and elevation, for bench marks) of the
survey monument or bench mark
which will be destroyed or rendered unusable, as well as of the witness monuments or bench marks. Connecting
courses and distances from the witness
monuments or bench marks to the
original must also be shown.
(iv) The project location must include the most current information
pertaining to affected Federal lands as
described under § 4.81(b)(5).
(4) Non-Federal lands. For those lands
within the project boundary not identified under paragraph (h)(3) of this section, the map must identify by legal
subdivision:
(i) Lands owned in fee by the applicant and lands that the applicant plans
to acquire in fee; and
(ii) Lands over which the applicant
has acquired or plans to acquire rights
to occupancy and use other than fee
title, including rights acquired or to be
acquired by easement or lease.
[Order 184, 46 FR 55936, Nov. 13, 1981; 48 FR
4459, Feb. 1, 1983, as amended by Order 413, 50
FR 11684, Mar. 25, 1985; Order 464, 52 FR 5449,
Feb. 23, 1987; Order 540, 57 FR 21737, May 22,
1992; Order 2002, 68 FR 51119, Aug. 25, 2003; 68
FR 61742, Oct. 30, 2003; 68 FR 63194, Nov. 7,
2003; 68 FR 69957, Dec. 16, 2003; Order 699, 72
FR 45324, Aug. 14, 2007]

§ 4.50

Subpart F—Application for License
for Major Project—Existing Dam
AUTHORITY: Federal Power Act, as amended (16 U.S.C. 792–828c); Public Utility Regulatory Policies Act of 1978 (16 U.S.C. 2601–
2645); Department of Energy Organization
Act (42 U.S.C. 7101–7352); E.O. 12009, 42 FR
46267; Pub. L. 96–511, 94 Stat. 2812 (44 U.S.C.
3501 et seq.).

§ 4.50

Applicability.

(a) Applicability. (1) Except as provided in paragraph (a)(2) of this section, the provisions of this subpart
apply to any application for either an
initial license or new license for a
major project—existing dam that is
proposed to have a total installed capacity of more than 5 megawatts.
(2) This subpart does not apply to any
major project—existing dam (see § 4.40)
that is proposed to entail or include:
(i) Any repair, modification or reconstruction of an existing dam that
would result in a significant change in
the normal maximum surface area or
normal maximum surface elevation of
an existing impoundment; or
(ii) Any new development or change
in project operation that would result
in a significant environmental impact.
(3) An applicant for license for any
major project—existing dam that
would have a total installed capacity of
5 megawatts or less must submit application under subpart G (§§ 4.60 and 4.61).
(b) Guidance from Commission staff. A
prospective applicant for a major license—existing dam may seek advice
from the Commission staff regarding
the applicability of these sections to
its project (see § 4.32(h)), including the
determinations whether any proposed
repair or reconstruction of an existing
dam would result in a significant
change in the normal maximum surface area or the normal maximum surface elevation of an existing impoundment, or whether any proposed new development or change in project operation would result in a significant environmental impact.
[Order 59, 44 FR 67651, Nov. 27, 1979, as
amended by Order 184, 46 FR 55942, Nov. 13,
1981; Order 413, 50 FR 11684, Mar. 25, 1985;
Order 499, 53 FR 27002, July 18, 1988]

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