18 CFR Part 4

18 CFR Part 4 (up to date as of 4/19/2024)
Licenses, Permits, Exemptions, and Determination of Project Costs

18 CFR Part 4 (Apr. 19, 2024)

This content is from the eCFR and is authoritative but unofficial.

Title 18 —Conservation of Power and Water Resources
Chapter I —Federal Energy Regulatory Commission, Department of Energy
Subchapter B —Regulations Under the Federal Power Act
Part 4 Licenses, Permits, Exemptions, and Determination of Project Costs
Subpart A Determination of Cost of Projects Constructed Under License
§ 4.1 Initial cost statement.
§ 4.3 Report on project cost.
§ 4.4 Service of report.
§ 4.5 Time for filing protest.
§ 4.6 Burden of proof.
§ 4.7 Findings.
Subpart B Determination of Fair Value of Constructed Projects, Under Section
23(a) of the Act
§ 4.10 Valuation data.
§ 4.11 Reports.
§ 4.12 Service of report.
§ 4.13 Time for filing protest.
§ 4.14 Hearing upon report.
Subpart C Determination of Cost of Constructed Projects not Subject to Section
23(a) of the Act
§ 4.20 Initial statement.
§ 4.21 Reports.
§ 4.22 Service of report.
§ 4.23 Time for filing protest.
§ 4.24 Determination of cost.
§ 4.25 Findings.
Subpart D Application for Preliminary Permit, License or Exemption: General
Provisions
§ 4.30 Applicability and definitions.
§ 4.31 Initial or competing application: who may file.
§ 4.32 Acceptance for filing or rejection; information to be made available to the public;
requests for additional studies.
§ 4.33 Limitations on submitting applications.
§ 4.34 Hearings on applications; consultation on terms and conditions; motions to intervene;
alternative procedures.
§ 4.35 Amendment of application; date of acceptance.
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18 CFR Part 4 (Apr. 19, 2024)

§ 4.36 Competing applications: deadlines for filing; notices of intent; comparisons of plans of
development.
§ 4.37 Rules of preference among competing applications.
§ 4.38 Consultation requirements.
§ 4.39 Specifications for maps and drawings.
Subpart E Application for License for Major Unconstructed Project and Major
Modified Project
§ 4.40 Applicability.
§ 4.41 Contents of application.
Subpart F Application for License for Major Project—Existing Dam
§ 4.50 Applicability.
§ 4.51 Contents of application.
Subpart G Application for License for Minor Water Power Projects and Major
Water Power Projects 10 Megawatts or Less
§ 4.60 Applicability and notice to agencies.
§ 4.61 Contents of application.
Subpart H Application for License for Transmission Line Only
§ 4.70 Applicability.
§ 4.71 Contents of application.
Subpart I Application for Preliminary Permit; Amendment and Cancellation of
Preliminary Permit
§ 4.80 Applicability.
§ 4.81 Contents of application.
§ 4.82 Amendments.
§ 4.83 Cancellation and loss of priority.
§ 4.84 Surrender of permit.
Subpart J Exemption of Small Conduit Hydroelectric Facilities
§ 4.90 Applicability and purpose.
§ 4.91 [Reserved]
§ 4.92 Contents of exemption application.
§ 4.93 Action on exemption applications.
§ 4.94 Standard terms and conditions of exemption.
§ 4.95 Surrender of exemption.
§ 4.96 Amendment of exemption.
Subpart K Exemption of Small Hydroelectric Power Projects of 10 Megawatts or
Less
§ 4.101 Applicability.
§ 4.102 Surrender of exemption.
§ 4.103 General provisions for case-specific exemption.
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18 CFR Part 4 (Apr. 19, 2024)

§ 4.104 Amendment of exemption.
§ 4.105 Action on exemption applications.
§ 4.106 Standard terms and conditions of case-specific exemption from licensing.
§ 4.107 Contents of application for exemption from licensing.
§ 4.108 Contents of application for exemption from provisions other than licensing.
Subpart L Application for Amendment of License
§ 4.200 Applicability.
§ 4.201 Contents of application.
§ 4.202 Alteration and extension of license.
Subpart M Fees Under Section 30(e) of the Act
§ 4.300 Purpose, definitions, and applicability.
§ 4.301 Notice to fish and wildlife agencies and estimation of fees prior to filing.
§ 4.302 Fees at filing.
§ 4.303 Post-filing procedures.
§ 4.304 Payment.
§ 4.305 Enforcement.
Subpart N Notice of Intent To Construct Qualifying Conduit Hydropower Facilities
§ 4.400 Applicability and purpose.
§ 4.401 Contents of notice of intent to construct a qualifying conduit hydropower facility.

PART 4—LICENSES, PERMITS, EXEMPTIONS, AND DETERMINATION
OF PROJECT COSTS
Authority: 16 U.S.C. 791a-825r; 42 U.S.C. 7101-7352.
Source: Order 141, 12 FR 8485, Dec. 19, 1947, unless otherwise noted.

Subpart A—Determination of Cost of Projects Constructed Under License
§ 4.1 Initial cost statement.
(a) Notification of Commission. When a project is constructed under a license issued under the Federal Power
Act, the licensee shall, within one year after the original project is ready for service, file with the
Commission a letter, in quadruplicate, declaring that the original costs have been booked in compliance
with the Commission's Uniform System of Accounts and the books of accounts are ready for audit.
(b) Licensee's books. The licensee's books of accounts for each project shall be maintained in such a fashion
that each year's additions, betterments, and deletions to the project may be readily ascertained.
(c) Availability of information to the public. The information made available to the Commission in accordance
with this section must be available to the public for inspection and copying when specifically requested.
(d) Compliance with the Act. Compliance with the provisions of this section satisfies the filing requirements
of section 4(b) of the Federal Power Act (16 U.S.C. 797(b)).
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Licenses, Permits, Exemptions, and Determination of Project Costs

18 CFR 4.3

[Order 53, 44 FR 61948, Oct. 29, 1979]

§ 4.3 Report on project cost.
(a) Scheduling an audit. When the original cost declaration letter, filed in accordance with § 4.1 is received by
the Commission, its representative will schedule and conduct an audit of the books, cost records,
engineering reports, and other records supporting the project's original cost. The audit may include an
inspection of the project works.
(b) Project records. The cost records shall be supported by memorandum accounts reflecting the indirect and
overhead costs prior to their spread to primary accounts as well as all the details of allocations including
formulas utilized to spread the indirect and overhead costs to primary accounts.
(c) Report by Commission staff. Upon completion of the audit, a report will be prepared for the Commission
setting forth the audit findings and recommendations with respect to the cost as claimed.
[Order 53, 44 FR 61948, Oct. 29, 1979]

§ 4.4 Service of report.
Copies of such report will be served upon said licensees, and copies will also be sent to the State public service
commission, or if the State has no regulatory agency, to the Governor of the State where such project is located, and
to such other parties as the Commission shall prescribe, and the report will be made available for public inspection
at the time of service upon the licensee.
(Administrative Procedure Act, 5 U.S.C. 551-557 (1976); Federal Power Act, as amended, 16 U.S.C. 291-628 (1976 &
Supp. V 1981), Dept. of Energy Organization Act 42 U.S.C. 7101-7352 (Supp. V 1981); E.O. 12009, 3 CFR 142 (1978))
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 344, 48 FR 49010, Oct. 24, 1983; Order 737, 75 FR 43402, July 26,
2010]

§ 4.5 Time for filing protest.
Thirty days after service thereof will be allowed to such licensee within which to file a protest to such reports. If no
protest is filed within the time allowed, the Commission will issue such order as may be appropriate. If a protest is
filed, a public hearing will be ordered in accordance with subpart E of part 385 of this chapter.
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 225, 47 FR 19056, May 3, 1982]

§ 4.6 Burden of proof.
The burden of proof to sustain each item of claimed cost shall be upon the licensee and only such items as are in
the opinion of the Commission supported by satisfactory proof may be entered in the electric plant accounts of the
licensee.
[Order 53, 44 FR 61948, Oct. 29, 1979]

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Licenses, Permits, Exemptions, and Determination of Project Costs

18 CFR 4.7

§ 4.7 Findings.
(a) Commission determination. Final action by the Commission will be in the form of an order served upon all
parties to the proceeding. One copy of the order will be furnished to the Secretary of Treasury by the
Commission.
(b) Adjustments to licensee's books. The licensee's books of account for the project shall be adjusted to
conform to the actual legitimate cost as revised by the order of the Commission. These adjustments and
the project may be audited by Commission representatives, as scheduled.
[Order 53, 44 FR 61948, Oct. 29, 1979]

Subpart B—Determination of Fair Value of Constructed Projects, Under Section 23(a) of the Act
§ 4.10 Valuation data.
(a) Notification of Commission. In every case arising under section 23(a) of the Federal Power Act that
requires the determination of the fair value of a project already constructed, the licensee shall, within six
months after the date of issuance of a license, file with the Commission a letter, in quadruplicate.
(b) Contents of letter. The letter referred to in paragraph (a) shall contain a statement to the effect that an
inventory and appraisal in detail, as of the effective date of the license, of all property subject thereto and
to be so valued has been completed. The letter shall also include a statement to the effect that the actual
legitimate original cost, or if not known, the estimated original cost, and accrued depreciation of the
property, classified by prime accounts as prescribed in the Commission's Uniform System of Accounts,
have been established.
(c) Licensee's books. The licensee's books of account for each project shall be maintained in such a fashion
that each year's additions, betterments, and deletions to the projects may be readily ascertained.
(d) Availability of information to the public. The information made available to the Commission in accordance
with this section must be available for inspection and copying by the public when specifically requested.
[Order 53, 44 FR 61948, Oct. 29, 1979]

§ 4.11 Reports.
Representatives of the Commission will inspect the project works, engineering reports, and other records of the
project, check the inventory and make an appraisal of the property and an audit of the books, records, and accounts
of the licensee relating to the property to be valued, and will prepare a report of their findings with respect to the
inventory, appraisal, original cost, accrued depreciation, and fair value of the property.

§ 4.12 Service of report.
A copy of such report will be served upon said licensee, and copies will also be sent to the State public service
commission, or if the State has no regulatory agency, to the Governor of the State where such project is located. The
report will be made available for public inspection at the time of service upon the licensee.
(Administrative Procedure Act, 5 U.S.C. 551-557 (1976); Federal Power Act, as amended, 16 U.S.C. 291-628 (1976 &
Supp. V 1981), Dept. of Energy Organization Act 42 U.S.C. 7101-7352 (Supp. V 1981); E.O. 12009, 3 CFR 142 (1978))

18 CFR 4.12 (enhanced display)

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18 CFR 4.13

[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 344, 48 FR 49010, Oct. 24, 1983; Order 737, 75 FR 43402, July 26,
2010]

§ 4.13 Time for filing protest.
Thirty days after service thereof will be allowed to the licensee within which to file a protest to such report.

§ 4.14 Hearing upon report.
(a) Public hearing. After the expiration of the time within which a protest may be filed, a public hearing will be
ordered in accordance with subpart E of part 385 of this chapter.
(b) Commission determination. After the conclusion of the hearing, the Commission will make a finding of fair
value, accompanied by an order which will be served upon the licensee and all parties to the proceeding.
One copy of the order shall be furnished to the Secretary of the Treasury by the Commission.
(c) Adjustment to licensee's books. The licensee's books of account for the project shall be adjusted to
conform to the fair value of the project as revised by the order of the Commission. These adjustments
and the project may be audited by Commission representatives, as scheduled.
[Order 53, 44 FR 61949, Oct. 29, 1979, as amended by Order 225, 47 FR 19056, May 3, 1982]

Subpart C—Determination of Cost of Constructed Projects not Subject to Section 23(a) of the Act
§ 4.20 Initial statement.
(a) Notification of Commission. In all cases where licenses are issued for projects already constructed, but
which are not subject to the provisions of section 23(a) of the Act (49 Stat. 846; 16 U.S.C. 816), the
licensee shall, within 6 months after the date of issuance of license, file with the Commission a letter, in
quadruplicate.
(b) Contents of letter. The letter referred to in paragraph (a) of this section shall contain a statement to the
effect that an inventory in detail of all property included under the license, as of the effective date of such
license, has been completed. The letter shall also include a statement to the effect that actual legitimate
original cost, or if not known, the estimated original cost, and accrued depreciation of the property,
classified by prime accounts as prescribed in the Commission's Uniform System of Accounts, have been
established.
(c) Licensee's books. The licensee's books of account for each project shall be maintained in such a fashion
that each year's additions, betterments, and deletions to the project may be readily ascertained.
(d) Availability of information to the public. The information made available to the Commission in accordance
with this section must be available for inspection and copying by the public when specifically requested.
(e) Compliance with the Act. Compliance with the provisions of this section satisfies the filing requirements
of section 4(b) of the Federal Power Act (16 U.S.C. 797(b)).
[Order 53, 44 FR 61949, Oct. 29, 1979]

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18 CFR 4.21

§ 4.21 Reports.
Representatives of the Commission will inspect the project works, engineering reports, and other records of the
project, check the inventory and estimated depreciation, make an audit of the books, records, and accounts of the
licensee relating to the property under license, and prepare a report of their findings with respect to the inventory,
the original cost of the property, and the estimated accrued depreciation thereon.

§ 4.22 Service of report.
Copies of such report will be served upon said licensees, and copies will also be sent to the State public service
commission, or if the State has no regulatory agency, to the Governor of the State where such project is located, and
to such other parties as the Commission shall prescribe, and the report will be made available for public inspection
at the time of service upon the licensee.
(Administrative Procedure Act, 5 U.S.C. 551-557 (1976); Federal Power Act, as amended, 16 U.S.C. 291-628 (1976 &
Supp. V 1981), Dept. of Energy Organization Act 42 U.S.C. 7101-7352 (Supp. V 1981); E.O. 12009, 3 CFR 142 (1978))
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 344, 48 FR 49010, Oct. 24, 1983; Order 737, 75 FR 43402, July 26,
2010]

§ 4.23 Time for filing protest.
Thirty days after service thereof will be allowed to such licensee within which to file a protest to such reports. If no
protest is filed within the time allowed, the Commission will issue such order as may be appropriate. If a protest is
filed, a public hearing will be ordered in accordance with subpart E of part 385 of this chapter.
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 225, 47 FR 19056, May 3, 1982]

§ 4.24 Determination of cost.
The Commission, after receipt of the reports, or after the conclusion of the hearing if one is held, will determine the
amounts to be included in the electric plant accounts of the licensee as the cost of the property and the accrued
depreciation thereon.

§ 4.25 Findings.
(a) Commission determination. Final action by the Commission will be in the form of an order served upon all
parties to the proceeding. One copy of the order shall be furnished to the Secretary of Treasury by the
Commission.
(b) Adjustment to licensee's books. The licensee's books of account for the project shall be adjusted to
conform to the actual legitimate cost as revised by the order of the Commission. These adjustments and
the project may be audited by Commission representatives, as scheduled.
[Order 53, 44 FR 61949, Oct. 29, 1979]

Subpart D—Application for Preliminary Permit, License or Exemption: General Provisions
Authority: Federal Power Act, as amended, 16 U.S.C. 792-828c; Department of Energy Organization Act, 42 U.S.C.
7101-7352; E.O. 12009, 42 FR 46267; Public Utility Regulatory Policies Act of 1978, 16 U.S.C. 2601-2645; Pub. L.
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18 CFR 4.30

96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.).

§ 4.30 Applicability and definitions.
(a)
(1) This subpart applies to applications for preliminary permit, license, or exemption from licensing.
(2) Any potential applicant for an original license for which prefiling consultation begins on or after July
23, 2005 and which wishes to develop and file its application pursuant to this part, must seek
Commission authorization to do so pursuant to the provisions of part 5 of this chapter.
(b) For the purposes of this part—
(1)
(i)

Competing development application means any application for a license or exemption from
licensing for a proposed water power project that would develop, conserve, and utilize, in whole
or in part, the same or mutually exclusive water resources that would be developed, conserved,
and utilized by a proposed water power project for which an initial preliminary permit or initial
development application has been filed and is pending before the Commission.

(ii) Competing preliminary permit application means any application for a preliminary permit for a
proposed water power project that would develop, conserve, and utilize, in whole or in part, the
same or mutually exclusive water resources that would be developed, conserved and utilized by
a proposed water power project for which an initial preliminary permit or initial development
application has been filed and is pending before the Commission.
(2) Conduit means any tunnel, canal, pipeline, aqueduct, flume, ditch, or similar manmade water
conveyance that is operated for the distribution of water for agricultural, municipal, or industrial
consumption and not primarily for the generation of electricity. The term not primarily for the
generation of electricity includes but is not limited to a conduit:
(i)

Which was built for the distribution of water for agricultural, municipal, or industrial
consumption and is operated for such a purpose; and

(ii) To which a hydroelectric facility has been or is proposed to be added.
(3) Construction of a dam, for the purposes of provisions governing application for exemption of a small
conduit hydroelectric facility, means any construction, repair, reconstruction, or modification of a
dam that creates a new impoundment or increases the normal maximum surface elevation or the
normal maximum surface area of an existing impoundment.
(4)
(i)

Dam, for the purposes of provisions governing application for license of a major
project—existing dam, means any structure for impounding or diverting water.

(ii) Dam, for the purposes of provisions governing an application for exemption of a small conduit
hydroelectric facility or a notice of intent to construct a qualifying conduit hydropower facility,
means any structure that impounds water.

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18 CFR 4.30(b)(4)(iii)

(iii) Dam, for the purposes of provisions governing application for exemption of a small
hydroelectric power project, means any structure for impounding water, including any diversion
structure that is designed to obstruct all or substantially all of the flow of a natural body of
water.
(5) Development application means any application for either a license or exemption from licensing for a
proposed water power project.
(6)
(i)

Existing dam, for the purposes of provisions governing application for license of a major
project—existing dam, means any dam (as defined in paragraph (b)(4)(i) of this section) that
has already been constructed and which does not require any construction or enlargement of
impoundment structures other than repairs or reconstruction.

(ii) Existing dam, for the purposes of provisions governing application for exemption of a small
hydroelectric power project, means any dam, the construction of which was completed on or
before July 22, 2005, and which does not require any construction or enlargement of
impoundment structures (other than repairs or reconstruction) in connection with the
installation of any small hydroelectric power project.
(7) Existing impoundment, for the purposes of provisions governing application for license of a major
project—existing dam, means any body of water that an existing dam impounds.
(8) Federal lands, for the purposes of provisions governing an application for exemption of a small
conduit hydroelectric facility or a small hydroelectric power project, means any lands to which the
United States holds fee title.
(9)
(i)

Fish and wildlife agencies means the United States Fish and Wildlife Service, the National
Marine Fisheries Service, and the state agency in charge of administrative management over
fish and wildlife resources of the state in which a proposed hydropower project is located.

(ii) Fish and wildlife recommendation means any recommendation designed to protect, mitigate
damages to, or enhance any wild member of the animal kingdom, including any migratory or
nonmigratory mammal, fish, bird, amphibian, reptile, mollusk, crustacean, or other invertebrate,
whether or not bred, hatched, or born in captivity, and includes any egg or offspring thereof,
related breeding or spawning grounds, and habitat. A “fish and wildlife recommendation”
includes a request for a study which cannot be completed prior to licensing, but does not
include a request that the proposed project not be constructed or operated, a request for
additional pre-licensing studies or analysis or, as the term is used in §§ 4.34(e)(1) and
4.34(f)(3), a recommendation for facilities, programs, or other measures to benefit recreation or
tourism.
(10) Indian tribe means, in reference to a proposal to apply for a license or exemption for a hydropower
project, an Indian tribe which is recognized by treaty with the United States, by federal statute, or by
the U.S. Department of the Interior in its periodic listing of tribal governments in the FEDERAL REGISTER
in accordance with 25 CFR 83.6(b), and whose legal rights as a tribe may be affected by the
development and operation of the hydropower project proposed (as where the operation of the
proposed project could interfere with the management and harvest of anadromous fish or where the
project works would be located within the tribe's reservation).
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18 CFR 4.30(b)(11)

(11)
(i)

Initial development application means any acceptable application for either a license or
exemption from licensing for a proposed water power project that would develop, conserve,
and utilize, in whole or in part, water resources for which no other acceptable application for a
license or exemption from licensing has been submitted for filing and is pending before the
Commission.

(ii) Initial preliminary permit application means any acceptable application for a preliminary permit
for a proposed water power project that would develop, conserve, and utilize, in whole or in part,
water resources for which no other acceptable preliminary permit application has been
submitted for filing and is pending before the Commission.
(12) Install or increase, for the purposes of provisions governing application for exemption of a small
hydroelectric power project, means to add new generating capacity at a site that has no existing
generating units, to replace or rehabilitate an abandoned or unused existing generating unit, or to
increase the generating capacity of any existing power plant by installing an additional generating
unit or by rehabilitating an operable generating unit in a way that increases its rated electric power
output.
(13) Licensed water power project means a project, as defined in section 3(11) of the Federal Power Act,
that is licensed under Part I of the Federal Power Act.
(14) Major modified project means any major project—existing dam, as defined in paragraph (b)(16) of
this section, that would 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 the normal maximum surface elevation of an
existing impoundment; or

(ii) Any change in existing project works or operations that would result in a significant
environmental impact.
(15) Major unconstructed project means any unlicensed water power project that would:
(i)

Have a total installed generating capacity of more than 1.5 MW; and

(ii) Use the water power potential of a dam and impoundment which, at the time application is filed,
have not been constructed.
(16) Major project—existing dam means a licensed or unlicensed, existing or proposed water power
project that would:
(i)

Have a total installed generating capacity or more than 2,000 horsepower (1.5 MW); and

(ii) Not use the water power potential provided by any dam except an existing dam.
(17) Minor water power project means any licensed or unlicensed, existing or proposed water power
project that would have a total installed generation capacity of 2,000 horsepower (1.5 MW), or less.
(18) New development, for the purposes of provisions governing application for license of a major
project—existing dam, means any construction, installation, repair, reconstruction, or other change in
the existing state of project works or appurtenant facilities, including any dredging and filling in
project waters.
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18 CFR 4.30(b)(19)

(19) New license means any license, except an annual license issued under section 15 of the Federal
Power Act, for a water power project that is issued under the Federal Power Act after the initial
license for that project.
(20) Non-Federal lands, for the purposes of provisions governing application for exemption of a small
conduit hydroelectric facility or a small hydroelectric power project, means any lands except lands to
which the United States holds fee title.
(21) Non-federally owned conduit, for the purposes of provisions governing the notice of intent to
construct qualifying conduit hydropower facilities, means any conduit except a conduit to which the
United States holds fee title.
(22) Person means any individual and, as defined in section 3 of the Federal Power Act, any corporation,
municipality, or state.
(23) Project, for the purposes of provisions governing application for exemption of a small hydroelectric
power project, means:
(i)

The impoundment and any associated dam, intake, water conveyance facility, power plant,
primary transmission line, and other appurtenant facility if a lake or similar natural
impoundment or a manmade impoundment is used for power generation; or

(ii) Any diversion structure other than a dam and any associated water conveyance facility, power
plant, primary transmission line, and other appurtenant facility if a natural water feature other
than a lake or similar natural impoundment is used for power generation.
(24) Qualified exemption applicant, means any person who meets the requirements specified in §
4.31(c)(2) with respect to a small hydroelectric power project for which exemption from licensing is
sought.
(25) Qualified license applicant means any person to whom the Commission may issue a license, as
specified in section 4(e) of the Federal Power Act.
(26) Qualifying conduit hydropower facility, means a facility, not including any dam or impoundment, that
is not required to be licensed under Part I of the FPA because it is determined to meet the following
criteria:
(i)

Generates electric power using only the hydroelectric potential of a non-federally owned
conduit;

(ii) Has an installed capacity that does not exceed 40 megawatts (MW); and,
(iii) Was not licensed or exempted from the licensing requirements of Part I of the FPA on or before
August 9, 2013.
(27) Ready for environmental analysis means the point in the processing of an application for an original
or new license or exemption from licensing which has been accepted for filing, where substantially
all additional information requested by the Commission has been filed and found adequate.
(28) Real property interests, for the purposes of provisions governing application for exemption of a small
conduit hydroelectric facility or a small hydroelectric power project, includes ownership in fee, rightsof-way, easements, or leaseholds.

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18 CFR 4.30(b)(29)

(29) Resource agency means a Federal, state, or interstate agency exercising administration over the
areas of flood control, navigation, irrigation, recreation, fish and wildlife, water resource management
(including water rights), or cultural or other relevant resources of the state or states in which a
project is or will be located.
(30) Small conduit hydroelectric facility, means an existing or proposed hydroelectric facility that is
constructed, operated, or maintained for the generation of electric power, and includes all structures,
fixtures, equipment, and lands used and useful in the operation or maintenance of the hydroelectric
facility, but excludes the conduit on which the hydroelectric facility is located and the transmission
lines associated with the hydroelectric facility and which:
(i)

Utilizes for electric power generation the hydroelectric potential of a conduit;

(ii) Has an installed generating capacity that does not exceed 40 MW;
(iii) Is not an integral part of a dam;
(iv) Discharges the water it uses for power generation either:
(A) Into a conduit;
(B) Directly to a point of agricultural, municipal, or industrial consumption; or
(C) Into a natural water body if a quantity of water equal to or greater than the quantity
discharged from the hydroelectric facility is withdrawn from that water body downstream
into a conduit that is part of the same water supply system as the conduit on which the
hydroelectric facility is located; and
(v) Does not rely upon construction of a dam, which construction will create any portion of the
hydrostatic head that the facility uses for power generation unless that construction would
occur for agricultural, municipal, or industrial consumptive purposes even if hydroelectric
generating facilities were not installed.
(31) Small hydroelectric power project, means any project in which capacity will be installed or increased
after the date of application under subpart K of this chapter, which will have a total installed capacity
of not more than 10 MW, and which:
(i)

Would utilize for electric power generation the water power potential of an existing dam that is
not owned or operated by the United States or by an instrumentality of the Federal Government,
including the Tennessee Valley Authority; or

(ii)
(A) Would utilize for the generation of electricity a natural water feature, such as a natural lake,
waterfall, or the gradient of a natural stream, without the need for a dam or man-made
impoundment; and
(B) Would not retain water behind any structure for the purpose of a storage and release
operation.
(32) PURPA benefits means benefits under section 210 of the Public Utility Regulatory Policies Act of
1978 (PURPA). Section 210(a) of PURPA requires electric utilities to purchase electricity from, and to
sell electricity to, qualifying facilities.

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18 CFR 4.31

[Order 413, 50 FR 11676, Mar. 25, 1985]

Editorial Note: For FEDERAL REGISTER citations affecting § 4.30, see the List of CFR Sections Affected, which
appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 4.31 Initial or competing application: who may file.
(a) Application for a preliminary permit or a license. Any citizen, association of citizens, domestic corporation,
municipality, or state may submit for filing an initial application or a competing application for a
preliminary permit or a license for a water power project under Part I of the Federal Power Act.
(b) Application for exemption of a small conduit hydroelectric facility —
(1) Exemption from provisions other than licensing —
(i)

Only federal lands involved. If only rights to use or occupy federal lands would be necessary to
develop and operate the proposed small conduit hydroelectric facility, any citizen, association
of citizens, domestic corporation, municipality, or state may apply for exemption of a small
conduit hydroelectric facility from provisions of Part I of the Federal Power Act, other than
licensing provisions.

(ii) Some non-federal lands involved. If real property interests in any non-federal lands would be
necessary to develop and operate the proposed small conduit hydroelectric facility, any citizen,
association of citizens, domestic corporation, municipality, or state that has all of the real
property interests in the lands necessary to develop and operate that project, or an option to
obtain those interests, may apply for exemption of a small conduit hydroelectric facility from
provisions of Part I of the Federal Power Act, other than licensing provisions.
(2) Exemption from licensing —
(i)

Only federal lands involved. If only rights to use or occupy federal lands would be necessary to
develop and operate the proposed small conduit hydroelectric facility, any citizen, association
of citizens, domestic corporation, municipality, or state may apply for exemption of that facility
from licensing under Part I of the Federal Power Act.

(ii) Some non-federal lands involved. If real property interests in any non-federal lands would be
necessary to develop and operate the proposed small conduit hydroelectric facility, any citizen,
association of citizens, domestic corporation, municipality, or state who has all the real
property interests in the lands necessary to develop and operate the small conduit hydroelectric
facility, or an option to obtain those interests, may apply for exemption of that facility from
licensing under Part I of the Federal Power Act.
(c) Application for case-specific exemption of a small hydroelectric power project —
(1) Exemption from provisions other than licensing. Any qualified license applicant or licensee seeking
amendment of its license may apply for exemption of the related project from provisions of Part I of
the Federal Power Act other than licensing provisions.
(2) Exemption from licensing —

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(i)

18 CFR 4.31(c)(2)(i)

Only Federal lands involved. If only rights to use or occupy Federal lands would be necessary to
develop and operate the proposed small hydroelectric power project, any citizen, association of
citizens, domestic corporation, municipality, or state may apply for exemption of that project
from licensing.

(ii) Some non-Federal lands involved. If real property interests in any non-Federal lands would be
necessary to develop and operate the proposed small hydroelectric power project, any citizen,
association of citizens, domestic corporation, municipality, or state who has all of the real
property interests in non-Federal lands necessary to develop and operate that project, or an
option to obtain those interests, may apply for exemption of that project from licensing.
[Order 413, 50 FR 11678, Mar. 25, 1985, as amended by Order 800, 79 FR 59109, Oct. 1, 2014]

§ 4.32 Acceptance for filing or rejection; information to be made available to the public;
requests for additional studies.
(a) Each application must:
(1) For a preliminary permit or license, identify every person, citizen, association of citizens, domestic
corporation, municipality, or state that has or intends to obtain and will maintain any proprietary right
necessary to construct, operate, or maintain the project;
(2) For a preliminary permit or a license, identify (providing names and mailing addresses):
(i)

Every county in which any part of the project, and any Federal facilities that would be used by
the project, would be located;

(ii) Every city, town, or similar local political subdivision:
(A) In which any part of the project, and any Federal facilities that would be used by the
project, would be located; or
(B) That has a population of 5,000 or more people and is located within 15 miles of the project
dam;
(iii) Every irrigation district, drainage district, or similar special purpose political subdivision:
(A) In which any part of the project, and any Federal facilities that would be used by the
project, would be located; or
(B) That owns, operates, maintains, or uses any project facilities or any Federal facilities that
would be used by the project;
(iv) Every other political subdivision in the general area of the project that there is reason to believe
would likely be interested in, or affected by, the application; and
(v) All Indian tribes that may be affected by the project.
(3)
(i)

For a license (other than a license under section 15 of the Federal Power Act) state that the
applicant has made, either at the time of or before filing the application, a good faith effort to
give notification by certified mail of the filing of the application to:

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18 CFR 4.32(a)(3)(i)(A)

(A) Every property owner of record of any interest in the property within the bounds of the
project, or in the case of the project without a specific boundary, each such owner of
property which would underlie or be adjacent to any project works including any
impoundments; and
(B) The entities identified in paragraph (a)(2) of this section, as well as any other Federal,
state, municipal or other local government agencies that there is reason to believe would
likely be interested in or affected by such application.
(ii) Such notification must contain the name, business address, and telephone number of the
applicant and a copy of the Exhibit G contained in the application, and must state that a license
application is being filed with the Commission.
(4)
(i)

As to any facts alleged in the application or other materials filed, be subscribed and verified
under oath in the form set forth in paragraph (a) (4)(ii) of this section by the person filing, an
officer thereof, or other person having knowledge of the matters sent forth. If the subscription
and verification is by anyone other than the person filing or an officer thereof, it shall include a
statement of the reasons therefor.

(ii) This (application, etc.) is executed in the
State of
County of
by
(Name)
(Address)
being duly sworn, depose(s) and say(s) that the contents of this (application, etc.) are true to the
best of (his or her) knowledge or belief. The undersigned applicant(s) has (have) signed the
(application, etc.) this ____________ day of ______________, 19____.

(Applicant(s))
By:
Subscribed and sworn to before me, a [Notary Public, or title of other official authorized by the state
to notarize documents, as appropriate] of the State of ________________ this day of ______________,
19____.
/SEAL/ [if any]

(Notary Public, or other authorized official)
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18 CFR 4.32(a)(5)

(5) Contain the information and documents prescribed in the following sections of this chapter,
according to the type of application:
(i)

Preliminary permit: § 4.81;

(ii) License for a minor water power project and a major water power project 10 MW or less: § 4.61;
(iii) License for a major unconstructed project and a major modified project: § 4.41;
(iv) License for a major project—existing dam: § 4.51;
(v) License for a transmission line only: § 4.71;
(vi) Nonpower license for a licensed project: § 16.11;
(vii) Exemption of a small conduit hydroelectric facility: § 4.92;
(viii) Case-specific exemption of a small hydroelectric power project: § 4.107; or
(ix) License or exemption for a project located at a new dam or diversion where the applicant seeks
PURPA benefits: § 292.208.
(b)
(1) Each applicant for a preliminary permit, license, and transfer or surrender of license and each
petitioner for surrender of an exemption must submit the application or petition to the Secretary of
the Commission in accordance with filing procedures posted on the Commission's Web site at
http://www.ferc.gov. The applicant or petitioner must serve one copy of the application or petition on
the Director of the Commission's Regional Office for the appropriate region and on each resource
agency, Indian tribe, and member of the public consulted pursuant to § 4.38 or § 16.8 of this chapter
or part 5 of this chapter. In the case of an application for a preliminary permit, the applicant must, if
the Commission so directs, serve copies of the application on the U.S. Department of the Interior
and the U.S. Army Corps of Engineers. The application may include reduced prints of maps and
drawings conforming to § 4.39(d). The Commission may also ask for the filing of full-sized prints in
appropriate cases.
(2) Each applicant for exemption must submit the application to the Secretary of the Commission in
accordance with filing procedures posted on the Commission's Web site at http://www.ferc.gov. An
applicant must serve one copy of the application on the Director of the Commission's Regional Office
for the appropriate region and on each resource agency consulted pursuant to § 4.38. For each
application filed following October 23, 2003, maps and drawings must conform to the requirements
of § 4.39.
(3)
(i)

An applicant must make information regarding its proposed project reasonably available to the
public for inspection and reproduction, from the date on which the applicant files its application
for a license or exemption until the licensing or exemption proceeding for the project is
terminated by the Commission. This information includes a copy of the complete application
for license or exemption, together with all exhibits, appendices and any amendments, and any
comments, pleadings, supplementary or additional information, or correspondence filed by the
applicant with the Commission in connection with the application.

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18 CFR 4.32(b)(3)(ii)

(ii) An applicant must delete from any information made available to the public under this section,
specific site or property locations the disclosure of which would create a risk of harm, theft, or
destruction of archeological or Native American cultural resources or to the site at which the
sources are located, or would violate any federal law, including the Archaeological Resources
Protection Act of l979, 16 U.S.C. 470w-3, and the National Historic Preservation Act of 1966, 16
U.S.C. 470hh.
(4)
(i)

An applicant must make available the information specified in paragraph (b)(3) of this section
in a form that is readily accessible, reviewable, and reproducible, at the same time as the
information is filed with the Commission or required by regulation to be made available.

(ii) An applicant must make the information specified in paragraph (b)(3) of this section available
to the public for inspection:
(A) At its principal place of business or at any other location that is more accessible to the
public, provided that all the information is available in at least one location;
(B) During regular business hours; and
(C) In a form that is readily accessible, reviewable and reproducible.
(iii) The applicant must provide a copy of the complete application (as amended) to a public library
or other convenient public office located in each county in which the proposed project is
located.
(iv) An applicant must make requested copies of the information specified in paragraph (b)(3) of
this section available either:
(A) At its principal place of business or at any other location that is more accessible to the
public, after obtaining reimbursement for reasonable costs of reproduction; or
(B) Through the mail, after obtaining reimbursement for postage fees and reasonable costs of
reproduction.
(5) Anyone may file a petition with the Commission requesting access to the information specified in
paragraph (b)(3) of this section if it believes that an applicant is not making the information
reasonably available for public inspection or reproduction. The petition must describe in detail the
basis for the petitioner's belief.
(6) An applicant must publish notice twice of the filing of its application, no later than 14 days after the
filing date, in a daily or weekly newspaper of general circulation in each county in which the project is
located. The notice must disclose the filing date of the application and briefly summarize it, including
the applicant's name and address, the type of facility applied for, its proposed location, the places
where the information specified in paragraph (b)(3) of this section is available for inspection and
reproduction, and the date by which any requests for additional scientific studies are due under
paragraph (b)(7) of this section, and must state that the Commission will publish subsequent
notices soliciting public participation if the application is found acceptable for filing. The applicant
must promptly provide the Commission with proof of the publications of this notice.
(7) If any resource agency, Indian tribe, or person believes that an additional scientific study should be
conducted in order to form an adequate factual basis for a complete analysis of the application on
its merits, the resource agency, Indian tribe, or person must file a request for the study with the
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18 CFR 4.32(b)(8)

Commission not later than 60 days after the application is filed and serve a copy of the request on
the applicant. The Commission will issue public notice of the tendering for filing of each application
for hydropower license or exemption; each such applicant must submit a draft of this notice to the
Commission with its application. For any such additional study request, the requester must describe
the recommended study and the basis for the request in detail, including who should conduct and
participate in the study, its methodology and objectives, whether the recommended study methods
are generally accepted in the Scientific community, how the study and information sought will be
useful in furthering the resource goals that are affected by the proposed facilities, and approximately
how long the study will take to complete, and must explain why the study objectives cannot be
achieved using the data already available. In addition, in the case of a study request by a resource
agency or Indian tribe that had failed to request the study during the pre-filing consultation process
under § 4.38 of this part or § 16.8 of this chapter, the agency or Indian tribe must explain why this
request was not made during the pre-filing consultation process and show good cause why its
request for the study should be considered by the Commission.
(8) An applicant may file a response to any such study request within 30 days of its filing, serving a copy
of the response on the requester.
(9) The requirements of paragraphs (b)(3) to (b)(8) of this section only apply to an application for license
or exemption filed on or after May 20, 1991. Paragraphs (b)(3) and (b)(4) of this section do not apply
to applications subject to the requirements of § 16.7 of this chapter.
(c)
(1) Every applicant for a license or exemption for a project with a capacity of 80 megawatts or less must
include in its application copies of the statements made under § 4.38(b)(2)(vi).
(2) If an applicant reverses a statement of intent not to seek PURPA benefits:
(i)

Prior to the Commission issuing a license or exemption, the reversal of intent will be treated as
an amendment of the application under § 4.35 and the applicant must:
(A) Repeat the pre-filing consultation process under § 4.38; and
(B) Satisfy all the requirements in § 292.208 of this chapter; or

(ii) After the Commission issues a license or exemption for the project, the applicant is prohibited
from obtaining PURPA benefits.
(d) When any application is found to conform to the requirements of paragraphs (a), (b) and (c) of this
section, the Commission or its delegate will:
(1) Notify the applicant that the application has been accepted for filing, specifying the project number
assigned and the date upon which the application was accepted for filing, and, for a license or
exemption application, direct the filing of the originals (microfilm) of required maps and drawings;
(2)
(i)

For an application for a preliminary permit or a license, issue public notice of the application as
required in the Federal Power Act;

(ii) For an application for exemption from licensing, publish notice once in a daily or weekly
newspaper of general circulation in each county in which the project is or will be located; and

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18 CFR 4.32(d)(3)

(3) If the project affects lands of the United States, notify the appropriate Federal office of the
application and the specific lands affected, pursuant to section 24 of the Federal Power Act.
(4) For an application for a license seeking benefits under section 210 of the Public Utility Regulatory
Policies Act of 1978, as amended, for a project that would be located at a new dam or diversion,
serve the public notice issued for the application under paragraph (d)(2)(i) of this section to
interested agencies at the time the applicant is notified that the application is accepted for filing.
(e) In order for an application to conform adequately to the requirements of paragraphs (a), (b) and (c) of this
section and of § 4.38, an application must be completed fully. No blanks should be left in the application.
No material or information required in the application should be omitted. If an applicant believes that its
application conforms adequately without containing certain required material or information, it must
explain in detail why the material or information is not being submitted and what steps were taken by the
applicant to provide the material or information. If the Commission finds that an application does not
adequately conform to the requirements of paragraphs (a), (b) and (c) of this section and of § 4.38, the
Commission or its designee will consider the application either deficient or patently deficient.
(1) Deficient applications.
(i)

An application that in the judgment of the Director of the Office of Energy Projects does not
conform to the requirements of paragraphs (a), (b) and (c) of this section and of § 4.38, may be
considered deficient. An applicant having a deficient application will be afforded additional time
to correct deficiencies, not to exceed 45 days from the date of notification in the case of an
application for a preliminary permit or exemption from licensing or 90 days from the date of
notification in the case of an application for license. Notification will be by letter or, in the case
of minor deficiencies, by telephone. Any notification will specify the deficiencies to be
corrected. Deficiencies must be corrected by submitting the specified materials or information
to the Secretary of the Commission within the time specified in the notification of deficiency in
accordance with filing procedures posted on the Commission's Web site at http://www.ferc.gov.

(ii) Upon submission of a conforming application, action will be taken in accordance with
paragraph (d) of this section.
(iii) If the revised application is found not to conform to the requirements of paragraphs (a), (b) and
(c) of this section and of § 4.38, or if the revisions are not timely submitted, the revised
application will be rejected. Procedures for rejected applications are specified in paragraph
(e)(2)(iii).
(2) Patently deficient applications.
(i)

If, within 90 days of its filing date, the Director of the Office of Energy Projects determines that
an application patently fails to substantially comply with the requirements of paragraph (a), (b),
and (c) of this section and of § 4.38 of this part or § 16.8 of this chapter, or is for a project that
is precluded by law, the application will be rejected as patently deficient with the specification
of the deficiencies that render the application patently deficient.

(ii) If, after 90 days of its filing date, the Director of the Office of Energy Projects determines that an
application patently fails to substantially comply with the requirements of paragraphs (a), (b),
and (c) of this section and of § 4.38 of this part or § 16.8 of this chapter, or is for a project that
is precluded by law:

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18 CFR 4.32(e)(2)(ii)(A)

(A) The application will be rejected by order of the Commission, if the Commission determines
it is patently deficient; or
(B) The application will be considered deficient under paragraph (e)(1) of this section, if the
Commission determines it is not patently deficient.
(iii) Any application that is rejected may be resubmitted if the deficiencies are corrected and if, in
the case of a competing application, the resubmittal is timely. The date the rejected application
is resubmitted will be considered the new filing date for purposes of determining its timeliness
under § 4.36 and the disposition of competing applications under § 4.37.
(f) Any application will be considered accepted for filing as of the application filing date if the Secretary
receives all of the information and documents necessary to conform to the requirements of paragraphs
(a), (b) and (c) of this section and of § 4.38 within the time prescribed by the Commission or its delegate
under paragraph (e) of this section.
(g) An applicant may be required to submit any additional information or documents that the Commission or
its designee considers relevant for an informed decision on the application. The information or
documents must take the form, and must be submitted within the time, that the Commission or its
designee prescribes. An applicant may also be required to provide within a specified time additional
copies of the complete application, or any of the additional information or documents that are filed, to the
Commission or to any person, agency, or other entity that the Commission or its designee specifies. If an
applicant fails to provide timely additional information, documents, or copies of submitted materials as
required, the Commission or its designee may dismiss the application, hold it in abeyance, or take other
appropriate action under this chapter or the Federal Power Act.
(h) A prospective applicant, prior to submitting its application for filing, may seek advice from the
Commission staff regarding the sufficiency of the application. For this purpose, five copies of the draft
application should be submitted to the Director of the Division of Hydropower Licensing. An applicant or
prospective applicant may confer with the Commission staff at any time regarding deficiencies or other
matters related to its application. All conferences are subject to the requirements of § 385.2201 of this
chapter governing ex parte communications. The opinions or advice of the staff will not bind the
Commission or any person delegated authority to act on its behalf.
(i)

Intervention in any preliminary permit proceeding will not constitute intervention in any subsequent
licensing or exemption proceeding.

(j)

Any application, the effectiveness of which is conditioned upon the future occurrence of any event or
circumstance, will be rejected.

(k) Critical Energy Infrastructure Information.
(1) If this section requires an applicant to reveal Critical Energy Infrastructure Information (CEII), as
defined in § 388.113(c) of this chapter, to any person, the applicant shall omit the CEII from the
information made available and insert the following in its place:
(i)

A statement that CEII is being withheld;

(ii) A brief description of the omitted information that does not reveal any CEII; and
(iii) This statement: “Procedures for obtaining access to Critical Energy Infrastructure Information
(CEII) may be found at 18 CFR 388.113. Requests for access to CEII should be made to the
Commission's CEII Coordinator.”
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18 CFR 4.32(k)(2)

(2) The applicant, in determining whether information constitutes CEII, shall treat the information in a
manner consistent with any filings that applicant has made with the Commission and shall to the
extent practicable adhere to any previous determinations by the Commission or the CEII Coordinator
involving the same or like information.
(3) The procedures contained in §§ 388.112 and 388.113 of this chapter regarding designation of, and
access to, CEII, shall apply in the event of a challenge to a CEII designation or a request for access to
CEII. If it is determined that information is not CEII or that a requester should be granted access to
CEII, the applicant will be directed to make the information available to the requester.
(4) Nothing in this section shall be construed to prohibit any persons from voluntarily reaching
arrangements or agreements calling for the disclosure of CEII.
[Order 413, 50 FR 11678, Mar. 25, 1985]

Editorial Note: For FEDERAL REGISTER citations affecting § 4.32, see the List of CFR Sections Affected, which
appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 4.33 Limitations on submitting applications.
(a) Limitations on submission and acceptance of a preliminary permit application. The Commission will not
accept an application for a preliminary permit for project works that:
(1) Would develop, conserve, and utilize, in whole or in part, the same water resources that would be
developed, conserved, and utilized by a project for which there is an unexpired preliminary permit.
(2) Would interfere with a licensed project in a manner that, absent the licensee's consent, would be
precluded by Section 6 of the Federal Power Act.
(3) Would develop, conserve, and utilize, in whole or in part, the same water resources that would be
developed, conserved, and utilized by a project for which an initial development application has been
filed unless the preliminary permit application is filed not later than the time allowed under § 4.36(a)
for the filing of applications in competition against an initial application for a preliminary permit that
would develop, conserve, and utilize, in whole or in part, the same resources.
(b) Limitations on submissions and acceptance of a license application. The Commission will not accept an
application for a license or project works that would develop, conserve, or utilize, in whole or part, the
same water resources that would be developed, conserved, and utilized by a project for which there is:
(1) An unexpired preliminary permit, unless the permittee has submitted an application for license; or
(2) An unexpired license, except as provided for in Section 15 of the Federal Power Act.
(c) Limitations on submission and acceptance of an application for a license that would affect an exempted
project.
(1) Except as permitted under § 4.33(c)(2), § 4.94(d), or § 4.106 (c), (e) or (f), the Commission will not
accept an application for a license for project works that are already exempted from licensing under
this part.
(2) If a project is exempted from licensing pursuant to § 4.103 or § 4.109 and real property interests in
any non-Federal lands would be necessary to develop or operate the project, any person who is both
a qualified license applicant and has any of those real property interests in non-Federal lands may
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18 CFR 4.33(d)

submit a license application for that project. If a license application is submitted under this clause,
any other qualified license applicant may submit a competing license application in accordance with
§ 4.36.
(d) Limitations on submission and acceptance of exemption applications —
(1) Unexpired permit or license.
(i)

If there is an unexpired permit in effect for a project, the Commission will accept an application
for exemption of that project from licensing only if the exemption applicant is the permittee.
Upon acceptance for filing of the permittee's application, the permit will be considered to have
expired.

(ii) If there is an unexpired license in effect for a project, the Commission will accept an application
for exemption of that project from licensing only if the exemption applicant is the licensee.
(2) Pending license applications. If an accepted license application for a project was submitted by a
permittee before the preliminary permit expired, the Commission will not accept an application for
exemption of that project from licensing submitted by a person other than the former permittee.
(3) Submitted by qualified exemption applicant. If the first accepted license application for a project was
filed by a qualified exemption applicant, the applicant may request that its license application be
treated initially as an application for exemption from licensing by so notifying the Commission in
writing and, unless only rights to use or occupy Federal lands would be necessary to develop and
operate the project, by submitting documentary evidence showing that the applicant holds the real
property interests required under § 4.31. Such notice and documentation must be submitted not
later than the last date for filing protests or motions to intervene prescribed in the public notice
issued for its license application under § 4.32(d)(2).
(e) Priority of exemption applicant's earlier permit or license application. Any accepted preliminary permit or
license application submitted by a person who later applies for exemption of the project from licensing
will retain its validity and priority under this subpart until the preliminary permit or license application is
withdrawn or the project is exempted from licensing.
[Order 413, 50 FR 11680, Mar. 25, 1985, as amended by Order 499, 53 FR 27002, July 18, 1988; Order 2002, 68 FR 51116, Aug. 25,
2003; Order 699, 72 FR 45324, Aug. 14, 2007]

§ 4.34 Hearings on applications; consultation on terms and conditions; motions to intervene;
alternative procedures.
(a) Trial-type hearing. The Commission may order a trial-type hearing on an application for a preliminary
permit, a license, or an exemption from licensing upon either its own motion or the motion of any
interested party of record. Any trial-type hearing will be limited to the issues prescribed by order of the
Commission. In all other cases the hearings will be conducted by notice and comment procedures.
(b) Notice and comment hearings. All comments (including mandatory and recommended terms and
conditions or prescriptions) on an application for exemption or license must be filed with the Commission
no later than 60 days after issuance by the Commission of public notice declaring that the application is
ready for environmental analysis. All reply comments must be filed within 105 days of that notice. All
comments and reply comments and all other filings described in this section must be served on all
persons listed in the service list prepared by the Commission, in accordance with the requirements of §
385.2010 of this chapter. If a party or interceder (as defined in § 385.2201 of this Chapter) submits any
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18 CFR 4.34(b)(1)

written material to the Commission relating to the merits of an issue that may affect the responsibilities
of a particular resource agency, the party or interceder must also serve a copy of the submission on this
resource agency. The Commission may allow for longer comment or reply comment periods if
appropriate. A commenter or reply commenter may obtain an extension of time from the Commission
only upon a showing of good cause or extraordinary circumstances in accordance with § 385.2008 of this
chapter. Late-filed fish and wildlife recommendations will not be subject to the requirements of
paragraphs (e), (f)(1)(ii), and (f)(3) of this section, and late-filed terms and conditions or prescriptions will
not be subject to the requirements of paragraphs (f)(1)(iv), (f)(1)(v), and (f)(2) of this section. Late-filed
fish and wildlife recommendations, terms and conditions, or prescriptions will be considered by the
Commission under section 10(a) of the Federal Power Act if such consideration would not delay or
disrupt the proceeding.
(1) Agencies responsible for mandatory terms and conditions and presentations. Any agency responsible
for mandatory terms and conditions or prescriptions for licenses or exemptions, pursuant to
sections 4(e), 18, and 30(c) of the Federal Power Act and section 405(d) of the Public Utility
Regulatory Policies Act of l978, as amended, must provide these terms and conditions or
prescriptions in its initial comments filed with the Commission pursuant to paragraph (b) of this
section. In those comments, the agency must specifically identify and explain the mandatory terms
and conditions or prescriptions and their evidentiary and legal basis. In the case of an application
prepared other than pursuant to part 5 of this chapter, if ongoing agency proceedings to determine
the terms and conditions or prescriptions are not completed by the date specified, the agency must
submit to the Commission by the due date:
(i)

Preliminary terms and conditions or prescriptions and a schedule showing the status of the
agency proceedings and when the terms and conditions or prescriptions are expected to
become final; or

(ii) A statement waiving the agency's right to file the terms and conditions or prescriptions or
indicating the agency does not intend to file terms and conditions or prescriptions.
(2) Fish and Wildlife agencies and Indian tribes. All fish and wildlife agencies must set forth any
recommended terms and conditions for the protection, mitigation of damages to, or enhancement of
fish and wildlife, pursuant to the Fish and Wildlife Coordination Act and section 10(j) of the Federal
Power Act, in their initial comments filed with the Commission by the date specified in paragraph (b)
of this section. All Indian tribes must submit recommendations (including fish and wildlife
recommendations) by the same date. In those comments, a fish and wildlife agency or Indian tribe
must discuss its understanding of the resource issues presented by the proposed facilities and the
evidentiary basis for the recommended terms and conditions.
(3) Other Government agencies and members of the public. Resource agencies, other governmental
units, and members of the public must file their recommendations in their initial comments by the
date specified in paragraph (b) of this section. The comments must clearly identify all
recommendations and present their evidentiary basis.
(4) Submittal of modified recommendations, terms and conditions or prescriptions.
(i)

If the information and analysis (including reasonable alternatives) presented in a draft
environmental document, issued for comment by the Commission, indicate a need to modify
the recommendations or terms and conditions or prescriptions previously submitted to the
Commission pursuant to paragraphs (b)(1), (b)(2), or (b)(3) of this section, the agency, Indian
tribe, or member of the public must file with the Commission any modified recommendations or

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terms and conditions or prescriptions on the proposed project (and reasonable alternatives) no
later than the due date for comments on the draft environmental impact statement. Modified
recommendations or terms and conditions or prescriptions must be clearly distinguished from
comments on the draft document.
(ii) If an applicant files an amendment to its application that would materially change the project's
proposed plans of development, as provided in § 4.35, an agency, Indian tribe or member of the
public may modify the recommendations or terms and conditions or prescriptions it previously
submitted to the Commission pursuant to paragraphs (b)(1), (b)(2), or (b)(3) of this section no
later than the due date specified by the Commission for comments on the amendment.
(5)
(i)

With regard to certification requirements for a license applicant under section 401(a)(1) of the
Federal Water Pollution Control Act (Clean Water Act), an applicant shall file within 60 days
from the date of issuance of the notice of ready for environmental analysis:
(A) A copy of the water quality certification;
(B) A copy of the request for certification, including proof of the date on which the certifying
agency received the request; or
(C) Evidence of waiver of water quality certification as described in paragraph (b)(5)(ii) of this
section.

(ii) In the case of an application process using the alternative procedures of paragraph 4.34(i), the
filing requirement of paragraph (b)(5)(i) shall apply upon issuance of notice the Commission
has accepted the application as provided for in paragraph 4.32(d) of this part.
(iii) A certifying agency is deemed to have waived the certification requirements of section
401(a)(1) of the Clean Water Act if the certifying agency has not denied or granted certification
by one year after the date the certifying agency received a written request for certification. If a
certifying agency denies certification, the applicant must file a copy of the denial within 30 days
after the applicant received it.
(c) Additional procedures. If necessary or appropriate the Commission may require additional procedures
(e.g., a pre-hearing conference, further notice and comment on specific issues or oral argument). A party
may request additional procedures in a motion that clearly and specifically sets forth the procedures
requested and the basis for the request. Replies to such requests may be filed within 15 days of the
request.
(d) Consultation procedures. Pursuant to the Federal Power Act and the Public Utility Regulatory Policies Act
of 1978, as amended, the Commission will coordinate as appropriate with other government agencies
responsible for mandatory terms and conditions for exemptions and licenses for hydropower projects.
Pursuant to the Federal Power Act and the Fish and Wildlife Coordination Act, the Commission will
consult with fish and wildlife agencies concerning the impact of a hydropower proposal on fish and
wildlife and appropriate terms and conditions for license to adequately and equitably protect, mitigate
damages to, and enhance fish and wildlife (including related spawning grounds and habitat). Pursuant to
the Federal Power Act and the Endangered Species Act, the Commission will consult with the U.S. Fish
and Wildlife Service or the National Marine Fisheries Service, as appropriate, concerning the impact of a
hydropower proposal on endangered or threatened species and their critical habitat.
(e) Consultation on recommended fish and wildlife conditions; Section 10(j) process.
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(1) In connection with its environmental review of an application for license, the Commission will
analyze all terms and conditions timely recommended by fish and wildlife agencies pursuant to the
Fish and Wildlife Coordination Act for the protection, mitigation of damages to, and enhancement of
fish and wildlife (including related spawning grounds and habitat) affected by the development,
operation, and management of the proposed project. Submission of such recommendations marks
the beginning of the process under section 10(j) of the Federal Power Act.
(2) The agency must specifically identify and explain the recommendations and the relevant resource
goals and objectives and their evidentiary or legal basis. The Commission may seek clarification of
any recommendation from the appropriate fish and wildlife agency. If the Commission's request for
clarification is communicated in writing, copies of the request will be sent by the Commission to all
parties, affected resource agencies, and Indian tribes, which may file a response to the request for
clarification within the time period specified by the Commission. If the Commission believes any fish
and wildlife recommendation may be inconsistent with the Federal Power Act or other applicable
law, the Commission will make a preliminary determination of inconsistency in the draft
environmental document or, if none, the environmental assessment. The preliminary determination,
for any recommendations believed to be inconsistent, shall include an explanation why the
Commission believes the recommendation is inconsistent with the Federal Power Act or other
applicable law, including any supporting analysis and conclusions, and an explanation of how the
measures recommended in the environmental document would adequately and equitably protect,
mitigate damages to, and enhance, fish and wildlife (including related spawning grounds and
habitat) affected by the development, operation, and management of the project.
(3) Any party, affected resource agency, or Indian tribe may file comments in response to the preliminary
determination of inconsistency, including any modified recommendations, within the time frame
allotted for comments on the draft environmental document or, if none, the time frame for
comments on the environmental analysis. In this filing, the fish and wildlife agency concerned may
also request a meeting, telephone or video conference, or other additional procedure to attempt to
resolve any preliminary determination of inconsistency.
(4) The Commission shall attempt, with the agencies, to reach a mutually acceptable resolution of any
such inconsistency, giving due weight to the recommendations, expertise, and statutory
responsibilities of the fish and wildlife agency. If the Commission decides, or an affected resource
agency requests, the Commission will conduct a meeting, telephone, or video conference, or other
procedures to address issues raised by its preliminary determination of inconsistency and
comments thereon. The Commission will give at least 15 days' advance notice to each party,
affected resource agency, or Indian tribe, which may participate in the meeting or conference. Any
meeting, conference, or additional procedure to address these issues will be scheduled to take place
within 90 days of the date the Commission issues a preliminary determination of inconsistency. The
Commission will prepare a written summary of any meeting held under this subsection to discuss
section 10(j) issues, including any proposed resolutions and supporting analysis, and a copy of the
summary will be sent to all parties, affected resource agencies, and Indian tribes.
(5) The section 10(j) process ends when the Commission issues an order granting or denying the
license application in question. If, after attempting to resolve inconsistencies between the fish and
wildlife recommendations of a fish and wildlife agency and the purposes and requirements of the
Federal Power Act or other applicable law, the Commission does not adopt in whole or in part a fish
and wildlife recommendation of a fish and wildlife agency, the Commission will publish the findings
and statements required by section 10(j)(2) of the Federal Power Act.
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18 CFR 4.34(f)

(f) Licenses and exemption conditions and required findings —
(1) License conditions.
(i)

All licenses shall be issued on the conditions specified in section 10 of the Federal Power Act
and such other conditions as the Commission determines are lawful and in the public interest.

(ii) Subject to paragraph (f)(3) of this section, fish and wildlife conditions shall be based on
recommendations timely received from the fish and wildlife agencies pursuant to the Fish and
Wildlife Coordination Act.
(iii) The Commission will consider the timely recommendations of resource agencies, other
governmental units, and members of the public, and the timely recommendations (including
fish and wildlife recommendations) of Indian tribes affected by the project.
(iv) Licenses for a project located within any Federal reservation shall be issued only after the
findings required by, and subject to any conditions that may be timely received pursuant to,
section 4(e) of the Federal Power Act.
(v) The Commission will require the construction, maintenance, and operation by a licensee at its
own expense of such fishways as may be timely prescribed by the Secretary of Commerce or
the Secretary of the Interior, as appropriate, pursuant to section 18 of the Federal Power Act.
(2) Exemption conditions. Any exemption from licensing issued for conduit facilities, as provided in
section 30(b) of the Federal Power Act, or for small hydroelectric power projects having a proposed
installed capacity of 10,000 kilowatts or less, as provided in section 405(d) of the Public Utility
Regulatory Policies Act of 1978, as amended, shall include such terms and conditions as the fish
and wildlife agencies may timely determine are appropriate to carry out the responsibilities specified
in section 30(c) of the Federal Power Act.
(3) Required findings. If, after attempting to resolve inconsistencies between the fish and wildlife
recommendations of a fish and wildlife agency and the purposes and requirements of the Federal
Power Act or other applicable law, the Commission does not adopt in whole or in part a fish and
wildlife recommendation of a fish and wildlife agency, the Commission will publish the findings and
statements required by section 10(j)(2) of the Federal Power Act.
(g) Application. The provisions of paragraphs (b) through (d) and (f) of this section apply only to applications
for license or exemption; paragraph (e) applies only to applications for license.
(h) Unless otherwise provided by statute, regulation or order, all filings in hydropower hearings, except those
conducted by trial-type procedures, shall conform to the requirements of subpart T of part 385 of this
chapter.
(i)

Alternative procedures.
(1) An applicant may submit to the Commission a request to approve the use of alternative procedures
for pre-filing consultation and the filing and processing of an application for an original, new or
subsequent hydropower license or exemption that is subject to § 4.38 or § 16.8 of this chapter, or for
the amendment of a license that is subject to the provisions of § 4.38.
(2) The goal of such alternative procedures shall be to:

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(i)

18 CFR 4.34(i)(2)(i)

Combine into a single process the pre-filing consultation process, the environmental review
process under the National Environmental Policy Act and administrative processes associated
with the Clean Water Act and other statutes;

(ii) Facilitate greater participation by and improve communication among the potential applicant,
resource agencies, Indian tribes, the public and Commission staff in a flexible pre-filing
consultation process tailored to the circumstances of each case;
(iii) Allow for the preparation of a preliminary draft environmental assessment by an applicant or its
contractor or consultant, or of a preliminary draft environmental impact statement by a
contractor or consultant chosen by the Commission and funded by the applicant;
(iv) Promote cooperative efforts by the potential applicant and interested entities and encourage
them to share information about resource impacts and mitigation and enhancement proposals
and to narrow any areas of disagreement and reach agreement or settlement of the issues
raised by the hydropower proposal; and
(v) Facilitate an orderly and expeditious review of an agreement or offer of settlement of an
application for a hydropower license, exemption or amendment to a license.
(3) A potential hydropower applicant requesting the use of alternative procedures must:
(i)

Demonstrate that a reasonable effort has been made to contact all resource agencies, Indian
tribes, citizens' groups, and others affected by the applicant's proposal, and that a consensus
exists that the use of alternative procedures is appropriate under the circumstances;

(ii) Submit a communications protocol, supported by interested entities, governing how the
applicant and other participants in the pre-filing consultation process, including the
Commission staff, may communicate with each other regarding the merits of the applicant's
proposal and proposals and recommendations of interested entities; and
(iii) Serve a copy of the request on all affected resource agencies and Indian tribes and on all
entities contacted by the applicant that have expressed an interest in the alternative pre-filing
consultation process.
(4) As appropriate under the circumstances of the case, the alternative procedures should include
provisions for:
(i)

Distribution of an initial information package and conduct of an initial information meeting open
to the public;

(ii) The cooperative scoping of environmental issues (including necessary scientific studies), the
analysis of completed studies and any further scoping; and
(iii) The preparation of a preliminary draft environmental assessment or preliminary draft
environmental impact statement and related application.
(5)
(i)

If the potential applicant's request to use the alternative procedures is filed prior to July 23,
2005, the Commission will give public notice in the FEDERAL REGISTER inviting comment on the
applicant's request to use alternative procedures. The Commission will consider any such
comments in determining whether to grant or deny the applicant's request to use alternative
procedures. Such a decision will not be subject to interlocutory rehearing or appeal.

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(ii) If the potential applicant's request to use the alternative procedures is filed on or after July 23,
2005 and prior to the deadline date for filing a notification of intent to seek a new or
subsequent license required by § 5.5 of this chapter, the Commission will give public notice and
invite comments as provided for in paragraph (i)(5)(i) of this section. Commission approval of
the potential applicant's request to use the alternative procedures prior to the deadline date for
filing of the notification of intent does not waive the potential applicant's obligation to file the
notification of intent required by § 5.5 of this chapter and Pre-Application Document required by
§ 5.6 of this chapter.
(iii) If the potential applicant's request to use the alternative procedures is filed on or after July 23,
2005 and is at the same time as the notification of intent to seek a new or subsequent license
required by § 5.5, the public notice and comment procedures of part 5 of this chapter shall
apply.
(6) If the Commission accepts the use of alternative procedures, the following provisions will apply.
(i)

To the extent feasible under the circumstances of the proceeding, the Commission will give
notice in the FEDERAL REGISTER and the applicant will give notice, in a local newspaper of general
circulation in the county or counties in which the project is located, of the initial information
meeting and the scoping of environmental issues. The applicant will also send notice of these
stages to a mailing list approved by the Commission.

(ii) Every six months, the applicant shall file with the Commission a report summarizing the
progress made in the pre-filing consultation process and referencing the applicant's public file,
where additional information on that process can be obtained. Summaries or minutes of
meetings held in the process may be used to satisfy this filing requirement. The applicant must
also file with the Commission a copy of its initial information package, each scoping document,
and the preliminary draft environmental review document. All filings with the Commission under
this section must include the number of copies required by paragraph (h) of this section, and
the applicant shall send a copy of these filings to each participant that requests a copy.
(iii) At a suitable location, the applicant will maintain a public file of all relevant documents,
including scientific studies, correspondence, and minutes or summaries of meetings, compiled
during the pre-filing consultation process. The Commission will maintain a public file of the
applicant's initial information package, scoping documents, periodic reports on the pre-filing
consultation process, and the preliminary draft environmental review document.
(iv) An applicant authorized to use alternative procedures may substitute a preliminary draft
environmental review document and additional material specified by the Commission instead
of Exhibit E to its application and need not supply additional documentation of the pre-filing
consultation process. The applicant will file with the Commission the results of any studies
conducted or other documentation as directed by the Commission, either on its own motion or
in response to a motion by a party to the licensing or exemption proceeding.
(v) Pursuant to the procedures approved, the participants will set reasonable deadlines requiring all
resource agencies, Indian tribes, citizens' groups, and interested persons to submit to the
applicant requests for scientific studies during the pre-filing consultation process, and
additional requests for studies may be made to the Commission after the filing of the
application only for good cause shown.

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18 CFR 4.34(i)(6)(vi)

(vi) During the pre-filing process the Commission may require the filing of preliminary fish and
wildlife recommendations, prescriptions, mandatory conditions, and comments, to be
submitted in final form after the filing of the application; no notice that the application is ready
for environmental analysis need be given by the Commission after the filing of an application
pursuant to these procedures.
(vii) Any potential applicant, resource agency, Indian tribe, citizens' group, or other entity
participating in the alternative pre-filing consultation process may file a request with the
Commission to resolve a dispute concerning the alternative process (including a dispute over
required studies), but only after reasonable efforts have been made to resolve the dispute with
other participants in the process. No such request shall be accepted for filing unless the entity
submitting it certifies that it has been served on all other participants. The request must
document what efforts have been made to resolve the dispute.
(7) If the potential applicant or any resource agency, Indian tribe, citizens' group, or other entity
participating in the alternative pre-filing consultation process can show that it has cooperated in the
process but a consensus supporting the use of the process no longer exists and that continued use
of the alternative process will not be productive, the participant may petition the Commission for an
order directing the use by the potential applicant of appropriate procedures to complete its
application. No such request shall be accepted for filing unless the entity submitting it certifies that
it has been served on all other participants. The request must recommend specific procedures that
are appropriate under the circumstances.
(8) The Commission may participate in the pre-filing consultation process and assist in the integration
of this process and the environmental review process in any case, including appropriate cases where
the applicant, contractor, or consultant funded by the applicant is not preparing a preliminary draft
environmental assessment or preliminary draft environmental impact statement, but where staff
assistance is available and could expedite the proceeding.
(9) If this section requires an applicant to reveal Critical Energy Infrastructure Information (CEII), as
defined by § 388.113(c) of this chapter, to any person, the applicant shall follow the procedures set
out in § 4.32(k).
[Order 533, 56 FR 23148, May 20, 1991, as amended at 56 FR 61155, Dec. 2, 1991; Order 540, 57 FR 21737, May 22, 1992; Order
596, 62 FR 59810, Nov. 5, 1997; Order 2002, 68 FR 51116, Aug. 25, 2003; Order 643, 68 FR 52094, Sept. 2, 2003; 68 FR 61742, Oct.
30, 2003; Order 756, 77 FR 4893, Feb. 1, 2012; Order 800, 79 FR 59110, Oct. 1, 2014]

§ 4.35 Amendment of application; date of acceptance.
(a) General rule. Except as provided in paragraph (d) of this section, if an applicant amends its filed
application as described in paragraph (b) of this section, the date of acceptance of the application under
§ 4.32(f) is the date on which the amendment to the application was filed.
(b) Paragraph (a) of this section applies if an applicant:
(1) Amends its filed license or preliminary permit application in order to change the status or identity of
the applicant or to materially amend the proposed plans of development; or
(2) Amends its filed application for exemption from licensing in order to materially amend the proposed
plans of development, or

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(3) Amends its filed application in order to change its statement of intent of whether or not it will seek
benefits under section 210 of PURPA, as originally filed under § 4.32(c)(1).
(c) An application amended under paragraph (a) is a new filing for:
(1) The purpose of determining its timeliness under § 4.36 of this part;
(2) Disposing of competing applications under § 4.37; and
(3) Reissuing public notice of the application under § 4.32(d)(2).
(d) If an application is amended under paragraph (a) of this section, the Commission will rescind any
acceptance letter already issued for the application.
(e) Exceptions. This section does not apply to:
(1) Any corrections of deficiencies made pursuant to § 4.32(e)(1);
(2) Any amendments made pursuant to § 4.37(b)(4) by a State or a municipality to its proposed plans of
development to make them as well adapted as the proposed plans of an applicant that is not a state
or a municipality;
(3) Any amendments made pursuant to § 4.37(c)(2) by a priority applicant to its proposed plans of
development to make them as well adapted as the proposed plans of an applicant that is not a
priority applicant;
(4) Any amendments made by a license or an exemption applicant to its proposed plans of development
to satisfy requests of resource agencies or Indian tribes submitted after an applicant has consulted
under § 4.38 or concerns of the Commission; and
(5)
(i)

Any license or exemption applicant with a project located at a new dam or diversion who is
seeking PURPA benefits and who:
(A) Has filed an adverse environmental effects (AEE) petition pursuant to § 292.211 of this
chapter; and
(B) Has proposed measures to mitigate the adverse environmental effects which the
Commission, in its initial determination on the AEE petition, stated the project will have.

(ii) This exception does not protect any proposed mitigative measures that the Commission finds
are a pretext to avoid the consequences of materially amending the application or are outside
the scope of mitigating the adverse environmental effects.
(f) Definitions.
(1) For the purposes of this section, a material amendment to plans of development proposed in an
application for a license or exemption from licensing means any fundamental and significant
change, including but not limited to:
(i)

A change in the installed capacity, or the number or location of any generating units of the
proposed project if the change would significantly modify the flow regime associated with the
project;

(ii) A material change in the location, size, or composition of the dam, the location of the
powerhouse, or the size and elevation of the reservoir if the change would:
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18 CFR 4.35(f)(1)(ii)(A)

(A) Enlarge, reduce, or relocate the area of the body of water that would lie between the
farthest reach of the proposed impoundment and the point of discharge from the
powerhouse; or
(B) Cause adverse environmental impacts not previously discussed in the original application;
or
(iii) A change in the number of discrete units of development to be included within the project
boundary.
(2) For purposes of this section, a material amendment to plans of development proposed in an
application for a preliminary permit means a material change in the location of the powerhouse or
the size and elevation of the reservoir if the change would enlarge, reduce, or relocate the area of the
body of water that would lie between the farthest reach of the proposed impoundment and the point
of discharge from the powerhouse.
(3) For purposes of this section, a change in the status of an applicant means:
(i)

The acquisition or loss of preference as a state or a municipality under section 7(a) of the
Federal Power Act; or

(ii) The loss of priority as a permittee under section 5 of the Federal Power Act.
(4) For purposes of this section, a change in the identity of an applicant means a change that either
singly, or together with previous amendments, causes a total substitution of all the original
applicants in a permit or a license application.
[Order 413, 50 FR 11680, Mar. 25, 1985, as amended by Order 499, 53 FR 27002, July 18, 1988; Order 533, 56 FR 23149, May 20,
1991; Order 2002, 68 FR 51115, Aug. 25, 2003; Order 756, 77 FR 4893, Feb. 1, 2012]

§ 4.36 Competing applications: deadlines for filing; notices of intent; comparisons of plans of
development.
The public notice of an initial preliminary permit application or an initial development application shall prescribe the
deadline for filing protests and motions to intervene in that proceeding (the prescribed intervention deadline).
(a) Deadlines for filing applications in competition with an initial preliminary permit application.
(1) Any preliminary permit application or any development application not filed pursuant to a notice of
intent must be submitted for filing in competition with an initial preliminary permit application not
later than the prescribed intervention deadline.
(2) Any preliminary permit application filed pursuant to a notice of intent must be submitted for filing in
competition with an initial preliminary permit application not later than 30 days after the prescribed
intervention deadline.
(3) Any development application filed pursuant to a notice of intent must be submitted for filing in
competition with an initial preliminary permit application not later than 120 days after the prescribed
intervention deadline.
(b) Deadlines for filing applications in competition with an initial development application.

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18 CFR 4.36(b)(1)

(1) Any development application not filed pursuant to a notice of intent must be submitted for filing in
competition with an initial development application not later than the prescribed intervention
deadline.
(2) Any development application filed pursuant to a notice of intent must be submitted for filing in
competition with an initial development application not later than 120 days after the prescribed
intervention deadline.
(3) If the Commission has accepted an application for exemption of a project from licensing and the
application has not yet been granted or denied, the applicant for exemption may submit a license
application for the project if it is a qualified license applicant. The pending application for exemption
from licensing will be considered withdrawn as of the date the Commission accepts the license
application for filing. If a license application is accepted for filing under this provision, any qualified
license applicant may submit a competing license application not later than the prescribed
intervention deadline set for the license application.
(4) Any preliminary permit application must be submitted for filing in competition with an initial
development application not later than the deadlines prescribed in paragraphs (a)(1) and (a)(2) for
the submission of preliminary permit applications filed in competition with an initial preliminary
permit application.
(c) Notices of intent.
(1) Any notice of intent to file an application in competition with an initial preliminary permit or an initial
development application must be submitted for filing not later than the prescribed intervention
deadline for the initial application.
(2) A notice of intent must include:
(i)

The exact name, business address, and telephone number of the prospective applicant; and

(ii) An unequivocal statement of intent to submit a preliminary permit application or a development
application (specify which type of application).
(d) Requirements for competing applications.
(1) Any competing application must:
(i)

Conform to all requirements for filing an initial application; and

(ii) Include proof of service of a copy of the competing application on the person(s) designated in
the public notice of the initial application for service of pleadings, documents, or
communications concerning the initial application.
(2) Comparisons of plans of development.
(i)

After the deadline for filing applications in competition against an initial development
application has expired, the Commission will notify each license and exemption applicant of the
identity of the other applicants.

(ii) Not later than 14 days after the Commission serves the notification described in paragraph
(d)(2)(i) of this section, if a license or exemption applicant has not already done so, it must
serve a copy of its application on each of the other license and exemption applicants.

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18 CFR 4.36(d)(2)(iii)

(iii) Not later than 60 days after the Commission serves the notification described in paragraph
(d)(2)(i) of this section, each license and exemption applicant must file with the Commission a
detailed and complete statement of how its plans are as well or better adapted than are the
plans of each of the other license and exemption applicants to develop, conserve, and utilize in
the public interest the water resources of the region. These statements should be supported by
any technical analyses that the applicant deems appropriate to support its proposed plans of
development.
[Order 413, 50 FR 11680, Mar. 25, 1985; 50 FR 23947, June 7, 1985]

§ 4.37 Rules of preference among competing applications.
Except as provided in § 4.33(e), the Commission will select among competing applications on the following bases:
(a) If an accepted application for a preliminary permit and an accepted application for a license propose
project works that would develop, conserve, and utilize, in whole or in part, the same water resources, and
the applicant for a license has demonstrated its ability to carry out its plans, the Commission will favor
the license applicant unless the permit applicant substantiates in its filed application that its plans are
better adapted to develop, conserve, and utilize in the public interest the water resources of the region.
(b) If two or more applications for preliminary permits or two or more applications for licenses (not including
applications for a new license under section 15 of the Federal Power Act) are filed by applicants for
project works that would develop, conserve, and utilize, in whole or in part, the same water resources, and
if none of the applicants is a preliminary permittee whose application for license was accepted for filing
within the permit period, the Commission will select between or among the applicants on the following
bases:
(1) If both or neither of two applicants are either a municipality or a state, the Commission will favor the
applicant whose plans are better adapted to develop, conserve, and utilize in the public interest the
water resources of the region, taking into consideration the ability of each applicant to carry out its
plans.
(2) If both of two applicants are either a municipality or a state, or neither of them is a municipality or a
state, and the plans of the applicants are equally well adapted to develop, conserve, and utilize in the
public interest the water resources of the region, taking into consideration the ability of each
applicant to carry out its plans, the Commission will favor the applicant with the earliest application
acceptance date.
(3) If one of two applicants is a municipality or a state, and the other is not, and the plans of the
municipality or a state are at least as well adapted to develop, conserve, and utilize in the public
interest the water resources of the region, the Commission will favor the municipality or state.
(4) If one of two applicant is a municipality or a state, and the other is not, and the plans of the applicant
who is not a municipality or a state are better adapted to develop, conserve, and utilize in the public
interest the water resources of the region, the Commission will inform the municipality or state of
the specific reasons why its plans are not as well adapted and afford a reasonable period of time for
the municipality or state to render its plans at least as well adapted as the other plans. If the plans of
the municipality or state are rendered at least as well adapted within the time allowed, the
Commission will favor the municipality or state. If the plans are not rendered at least as well adapted
within the time allowed, the Commission will favor the other applicant.
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18 CFR 4.37(c)

(c) If two or more applications for licenses are filed for project works which would develop, conserve, and
utilize, in whole or in part, the same water resources, and one of the applicants was a preliminary
permittee whose application was accepted for filing within the permit period (priority applicant), the
Commission will select between or among the applicants on the following bases:
(1) If the plans of the priority applicant are at least as well adapted as the plans of each other applicant
to develop, conserve, and utilize in the public interest the water resources of the region, taking into
consideration the ability of each applicant to carry out its plans, the Commission will favor the
priority applicant.
(2) If the plans of an applicant who is not a priority applicant are better adapted than the plans of the
priority applicant to develop, conserve, and utilize in the public interest the water resources of the
region, taking into consideration the ability of each applicant to carry out its plans, the Commission
will inform the priority applicant of the specific reasons why its plans are not as well adapted and
afford a reasonable period of time for the priority applicant to render its plans at least as well
adapted as the other plans. If the plans of the priority applicant are rendered at least as well adapted
within the time allowed, then the Commission will favor the priority applicant. If the plans of the
priority applicant are not rendered as well adapted within the time allowed, the criteria specified in
paragraph (b) will govern.
(3) The criteria specified in paragraph (b) will govern selection among applicants other than the priority
applicant.
(d) With respect to a project for which an application for an exemption from licensing has been accepted for
filing, the Commission will select among competing applications on the following bases:
(1) If an accepted application for a preliminary permit and an accepted application for exemption from
licensing propose to develop mutually exclusive small hydroelectric power projects, the Commission
will favor the applicant whose substantiated plans in the application received by the Commission are
better adapted to develop, conserve, and utilize in the public interest the water resources of the
region. If the substantiated plans are equally well adapted, the Commission will favor the application
for exemption from licensing.
(2) If an application for a license and an application for exemption from licensing, or two or more
applications for exemption from licensing are each accepted for filing and each proposes to develop
a mutually exclusive project, the Commission will favor the applicant whose plans are better adapted
to develop, conserve, and utilize in the public interest the water resources of the region. If the plans
are equally well adapted, the Commission will favor the applicant with the earliest application
acceptance date.
(e) A municipal applicant must provide evidence that the municipality is competent under applicable state
and local laws to engage in the business of developing, transmitting, utilizing, or distributing power, or
such applicant will be considered a non-municipal applicant for the purpose of determining the
disposition of competing applications.
[Order 413, 50 FR 11682, Mar. 25, 1985, as amended by Order 2002, 68 FR 51117, Aug. 25, 2003]

§ 4.38 Consultation requirements.
(a) Requirement to consult.

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18 CFR 4.38(a)(1)

(1) Before it files any application for an original license or an exemption from licensing that is described
in paragraph (a)(6) of this section, a potential applicant must consult with the relevant Federal, State,
and interstate resource agencies, including the National Marine Fisheries Service, the United States
Fish and Wildlife Service, the National Park Service, the United States Environmental Protection
Agency, the Federal agency administering any federal lands or facilities utilized or occupied by the
project, the appropriate State fish and wildlife agencies, the appropriate State water resource
management agencies, the certifying agency under section 401(a)(1) of the Federal Water Pollution
Control Act (Clean Water Act), 33 U.S.C. § 1341(c)(1), and any Indian tribe that may be affected by
the proposed project.
(2) Each requirement in this section to contact or consult with resource agencies or Indian tribes shall
be construed to require as well that the potential applicant contact or consult with members of the
public.
(3) If a potential applicant for an original license commences first stage pre-filing consultation on or
after July 23, 2005 it shall file a notification of intent to file a license application pursuant to § 5.5
and a pre-application document pursuant to the provisions of § 5.6.
(4) The Director of the Office of Energy Projects will, upon request, provide a list of known appropriate
Federal, state, and interstate resource agencies, Indian tribes, and local, regional, or national nongovernmental organizations likely to be interested in any license application proceeding.
(5) An applicant for an exemption from licensing or an applicant for a license seeking benefits under
section 210 of the Public Utility Regulatory Policies Act, as amended, for a project that would be
located at a new dam or diversion must, in addition to meeting the requirements of this section,
comply with the consultation requirements in § 4.301.
(6) The pre-filing consultation requirements of this section apply only to an application for:
(i)

Original license;

(ii) Exemption;
(iii) Amendment to an application for original license or exemption that materially amends the
proposed plans of development as defined in § 4.35(f)(1);
(iv) Amendment to an existing license that would increase the capacity of the project as defined in
§ 4.201(b); or
(v) Amendment to an existing license that would not increase the capacity of the project as defined
in § 4.201(b), but that would involve:
(A) The construction of a new dam or diversion in a location where there is no existing dam or
diversion;
(B) Any repair, modification, or reconstruction of an existing dam that would result in a
significant change in the normal maximum surface area or elevation of an existing
impoundment; or
(C) The addition of new water power turbines other than to replace existing turbines.
(7) Before it files a non-capacity related amendment as defined in § 4.201(c), an applicant must consult
with the resource agencies and Indian tribes listed in paragraph (a)(1) of this section to the extent
that the proposed amendment would affect the interests of the agencies or tribes. When
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18 CFR 4.38(a)(8)

consultation is necessary, the applicant must, at a minimum, provide the resource agencies and
Indian tribes with copies of the draft application and allow them at least 60 days to comment on the
proposed amendment. The amendment as filed with the Commission must summarize the
consultation with the resource agencies and Indian tribes on the proposed amendment, propose
reasonable protection, mitigation, or enhancement measures to respond to impacts identified as
being caused by the proposed amendment, and respond to any objections, recommendations, or
conditions submitted by the agencies or Indian tribes. Copies of all written correspondence between
the applicant, the agencies, and the tribes must be attached to the application.
(8) This section does not apply to any application for a new license, a nonpower license, a subsequent
license, or surrender of a license subject to sections 14 and 15 of the Federal Power Act.
(9) If a potential applicant has any doubt as to whether a particular application or amendment would be
subject to the pre-filing consultation requirements of this section or if a waiver of the pre-filing
requirements would be appropriate, the applicant may file a written request for clarification or waiver
with the Director, Office of Energy Projects.
(b) First stage of consultation.
(1) A potential applicant for an original license that commences pre-filing consultation on or after July
23, 2005 must, at the time it files its notification of intent to seek a license pursuant to § 5.5 of this
chapter and a pre-application document pursuant to § 5.6 of this chapter and, at the same time,
provide a copy of the pre-application document to the entities specified in § 5.6(a) of this chapter.
(2) A potential applicant for an original license that commences pre-filing consultation under this part
prior to July 23, 2005 or for an exemption must promptly contact each of the appropriate resource
agencies, affected Indian tribes, and members of the public likely to be interested in the proceeding;
provide them with a description of the proposed project and supporting information; and confer with
them on project design, the impact of the proposed project (including a description of any existing
facilities, their operation, and any proposed changes), reasonable hydropower alternatives, and what
studies the applicant should conduct. The potential applicant must provide to the resource agencies,
Indian tribes and the Commission the following information:
(i)

Detailed maps showing project boundaries, if any, proper land descriptions of the entire project
area by township, range, and section, as well as by state, county, river, river mile, and closest
town, and also showing the specific location of all proposed project facilities, including roads,
transmission lines, and any other appurtenant facilities;

(ii) A general engineering design of the proposed project, with a description of any proposed
diversion of a stream through a canal or penstock;
(iii) A summary of the proposed operational mode of the project;
(iv) Identification of the environment to be affected, the significant resources present, and the
applicant's proposed environmental protection, mitigation, and enhancement plans, to the
extent known at that time;
(v) Streamflow and water regime information, including drainage area, natural flow periodicity,
monthly flow rates and durations, mean flow figures illustrating the mean daily streamflow
curve for each month of the year at the point of diversion or impoundment, with location of the
stream gauging station, the method used to generate the streamflow data provided, and copies
of all records used to derive the flow data used in the applicant's engineering calculations;
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18 CFR 4.38(b)(2)(vi)

(vi)
(A) A statement (with a copy to the Commission) of whether or not the applicant will seek
benefits under section 210 of PURPA by satisfying the requirements for qualifying
hydroelectric small power production facilities in § 292.203 of this chapter;
(B) If benefits under section 210 of PURPA are sought, a statement on whether or not the
applicant believes diversion (as that term is defined in § 292.202(p) of this chapter) and a
request for the agencies' view on that belief, if any;
(vii) Detailed descriptions of any proposed studies and the proposed methodologies to be
employed; and
(viii) Any statement required by § 4.301(a) of this part.
(3)
(i)

A potential exemption applicant and a potential applicant for an original license that
commences pre-filing consultation;
(A) On or after July 23, 2005 pursuant to part 5 of this chapter and receives approval from the
Commission to use the license application procedures of part 4 of this chapter; or
(B) Elects to commence pre-filing consultation under part 4 of this chapter prior to July 23,
2005; must:
(1) Hold a joint meeting at a convenient place and time, including an opportunity for a
site visit, with all pertinent agencies, Indian tribes, and members of the public to
explain the applicant's proposal and its potential environmental impact, to review the
information provided, and to discuss the data to be obtained and studies to be
conducted by the potential applicant as part of the consultation process;
(2) Consult with the resource agencies, Indian tribes and members of the public on the
scheduling and agenda of the joint meeting; and
(3) No later than 15 days in advance of the joint meeting, provide the Commission with
written notice of the time and place of the meeting and a written agenda of the
issues to be discussed at the meeting.

(ii) The joint meeting must be held no earlier than 30 days, but no later than 60 days, from, as
applicable;
(A) The date of the Commission's approval of the potential applicant's request to use the
license application procedures of this part pursuant to the provisions of part 5 of this
chapter; or
(B) The date of the potential applicant's letter transmitting the information required by
paragraph (b)(2) of this section, in the case of a potential exemption applicant or a
potential license applicant that commences pre-filing consultation under this part prior to
July 23, 2005.
(4) Members of the public must be informed of and invited to attend the joint meeting held pursuant to
paragraph (b)(3) of this section by means of the public notice provision published in accordance
with paragraph (g) of this section. Members of the public attending the meeting are entitled to
participate in the meeting and to express their views regarding resource issues that should be
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18 CFR 4.38(b)(5)

addressed in any application for license or exemption that may be filed by the potential applicant.
Attendance of the public at any site visit held pursuant to paragraph (b)(3) of this section will be at
the discretion of the potential applicant. The potential applicant must make either audio recordings
or written transcripts of the joint meeting, and must promptly provide copies of these recordings or
transcripts to the Commission and, upon request, to any resource agency, Indian tribe, or member of
the public.
(5) Not later than 60 days after the joint meeting held under paragraph (b)(3) of this Section (unless
extended within this time period by a resource agency, Indian tribe, or members of the public for an
additional 60 days by sending written notice to the applicant and the Director of the Office of Energy
Projects within the first 60 day period, with an explanation of the basis for the extension), each
interested resource agency and Indian tribe must provide a potential applicant with written
comments:
(i)

Identifying its determination of necessary studies to be performed or the information to be
provided by the potential applicant;

(ii) Identifying the basis for its determination;
(iii) Discussing its understanding of the resource issues and its goals and objectives for these
resources;
(iv) Explaining why each study methodology recommended by it is more appropriate than any other
available methodology alternatives, including those identified by the potential applicant
pursuant to paragraph (b)(2)(vii) of this section;
(v) Documenting that the use of each study methodology recommended by it is a generally
accepted practice; and
(vi) Explaining how the studies and information requested will be useful to the agency, Indian tribe,
or member of the public in furthering its resource goals and objectives that are affected by the
proposed project.
(6)
(i)

If a potential applicant and a resource agency or Indian tribe disagree as to any matter arising
during the first stage of consultation or as to the need to conduct a study or gather information
referenced in paragraph (c)(2) of this section, the potential applicant or resource agency or
Indian tribe may refer the dispute in writing to the Director of the Office of Energy Projects
(Director) for resolution.

(ii) At the same time as the request for dispute resolution is submitted to the Director, the entity
referring the dispute must serve a copy of its written request for resolution on the disagreeing
party and any affected resource agency or Indian tribe, which may submit to the Director a
written response to the referral within 15 days of the referral's submittal to the Director.
(iii) Written referrals to the Director and written responses thereto pursuant to paragraphs (b)(6)(i)
or (b)(6)(ii) of this section must be filed with the Commission in accordance with the
Commission's Rules of Practice and Procedure, and must indicate that they are for the attention
of the Director pursuant to § 4.38(b)(6).
(iv) The Director will resolve the disputes by letter provided to the potential applicant and all
affected resource agencies and Indian tribes.
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18 CFR 4.38(b)(6)(v)

(v) If a potential applicant does not refer a dispute regarding a request for a potential applicant to
obtain information or conduct studies (other than a dispute regarding the information specified
in paragraph (b)(2) of this section), or a study to the Director under paragraph (b)(6) of this
section, or if a potential applicant disagrees with the Director's resolution of a dispute regarding
a request for information (other than a dispute regarding the information specified in paragraph
(b)(2) of this section) or a study, and if the potential applicant does not provide the requested
information or conduct the requested study, the potential applicant must fully explain the basis
for its disagreement in its application.
(vi) Filing and acceptance of an application will not be delayed, and an application will not be
considered deficient or patently deficient pursuant to § 4.32(e)(1) or (e)(2) of this part, merely
because the application does not include a particular study or particular information if the
Director had previously found, under paragraph (b)(6)(iv) of this section, that each study or
information is unreasonable or unnecessary for an informed decision by the Commission on
the merits of the application or use of the study methodology requested is not a generally
accepted practice.
(7) The first stage of consultation ends when all participating agencies and Indian tribes provide the
written comments required under paragraph (b)(5) of this section or 60 days after the joint meeting
held under paragraph (b)(3) of this section, whichever occurs first, unless a resource agency or
Indian tribe timely notifies the applicant and the Director of Energy Projects of its need for more time
to provide written comments under paragraph (b)(5) of this section, in which case the first stage of
consultation ends when all participating agencies and Indian tribes provide the written comments
required under paragraph (b)(5) of this section or 120 days after the joint meeting held under
paragraph (b)(5) of this section, whichever occurs first.
(c) Second stage of consultation.
(1) Unless determined to be unnecessary by the Director pursuant to paragraph (b)(6) of this section, a
potential applicant must diligently conduct all reasonable studies and obtain all reasonable
information requested by resource agencies and Indian tribes under paragraph (b) of this section
that are necessary for the Commission to make an informed decision regarding the merits of the
application. These studies must be completed and the information obtained:
(i)

Prior to filing the application, if the results:
(A) Would influence the financial (e.g., instream flow study) or technical feasibility of the
project (e.g., study of potential mass soil movement); or
(B) Are needed to determine the design or location of project features, reasonable alternatives
to the project, the impact of the project on important natural or cultural resources (e.g.,
resource surveys), or suitable mitigation or enhancement measures, or to minimize impact
on significant resources (e.g., wild and scenic river, anadromous fish, endangered species,
caribou migration routes);

(ii) After filing the application but before issuance of a license or exemption, if the applicant
otherwise complied with the provisions of paragraph (b)(2) of this section and the study or
information gathering would take longer to conduct and evaluate than the time between the
conclusion of the first stage of consultation and the expiration of the applicant's preliminary
permit or the application filing deadline set by the Commission;

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18 CFR 4.38(c)(1)(iii)

(iii) After a new license or exemption is issued, if the studies can be conducted or the information
obtained only after construction or operation of proposed facilities, would determine the
success of protection, mitigation, or enhancement measures (e.g., post-construction
monitoring studies), or would be used to refine project operation or modify project facilities.
(2) If, after the end of the first stage of consultation as defined in paragraph (b)(7) of this section, a
resource agency or Indian tribe requests that the potential applicant conduct a study or gather
information not previously identified and specifies the basis and reasoning for its request, under
paragraphs (b)(5) (i)-(vi) of this section, the potential applicant must promptly initiate the study or
gather the information, unless the study or information is unreasonable or unnecessary for an
informed decision by the Commission on the merits of the application or use of the methodology
requested by a resource agency or Indian tribe for conducting the study is not a generally accepted
practice. The applicant may refer any such request to the Director of the Office of Energy Projects for
dispute resolution under the procedures set forth in paragraph (b)(6) of this section and need not
conduct prior to filing any study determined by the Director to be unreasonable or unnecessary or to
employ a methodology that is not generally accepted.
(3)
(i)

The results of studies and information-gathering referenced in paragraphs (c)(1)(ii) and (c)(2) of
this section will be treated as additional information; and

(ii) Filing and acceptance of an application will not be delayed and an application will not be
considered deficient or patently deficient pursuant to § 4.32 (e)(1) or (e)(2) merely because the
study or information gathering is not complete before the application is filed.
(4) A potential applicant must provide each resource agency and Indian tribe with:
(i)

A copy of its draft application that:
(A) Indicates the type of application the potential applicant expects to file with the
Commission; and
(B) Responds to any comments and recommendations made by any resource agency and
Indian tribe either during the first stage of consultation or under paragraph (c)(2) of this
section;

(ii) The results of all studies and information-gathering either requested by that resource agency or
Indian tribe in the first stage of consultation (or under paragraph (c)(2) of this section if
available) or which pertain to resources of interest to that resource agency or Indian tribe and
which were identified by the potential applicant pursuant to paragraph (b)(2)(vii) of this section,
including a discussion of the results and any proposed protection, mitigation, or enhancement
measures; and
(iii) A written request for review and comment.
(5) A resource agency or Indian tribe will have 90 days from the date of the potential applicant's letter
transmitting the paragraph (c)(4) information to it to provide written comments on the information
submitted by a potential applicant under paragraph (c)(4) of this section.

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18 CFR 4.38(c)(6)

(6) If the written comments provided under paragraph (c)(5) of this section indicate that a resource
agency or Indian tribe has a substantive disagreement with a potential applicant's conclusions
regarding resource impacts or its proposed protection, mitigation, or enhancement measures, the
potential applicant will:
(i)

Hold a joint meeting with the disagreeing resource agency or Indian tribe and other agencies
with similar or related areas of interest, expertise, or responsibility not later than 60 days from
the date of the written comments of the disagreeing agency or Indian tribe to discuss and to
attempt to reach agreement on its plan for environmental protection, mitigation, or
enhancement measures;

(ii) Consult with the disagreeing agency or Indian tribe and other agencies with similar or related
areas of interest, expertise, or responsibility on the scheduling of the joint meeting; and
(iii) At least 15 days in advance of the meeting, provide the Commission with written notice of the
time and place of the meeting and a written agenda of the issues to be discussed at the
meeting.
(7) The potential applicant and any disagreeing resource agency or Indian tribe may conclude a joint
meeting with a document embodying any agreement among them regarding environmental
protection, mitigation, or enhancement measures and any issues that are unresolved.
(8) The potential applicant must describe all disagreements with a resource agency or Indian tribe on
technical or environmental protection, mitigation, or enhancement measures in its application,
including an explanation of the basis for the applicant's disagreement with the resource agency or
Indian tribe, and must include in its application any document developed pursuant to paragraph
(c)(7) of this section.
(9) A potential applicant may file an application with the Commission if:
(i)

It has complied with paragraph (c)(4) of this section and no resource agency or Indian tribe has
responded with substantive disagreements by the deadline specified in paragraph (c)(5) of this
section; or

(ii) It has complied with paragraph (c)(6) of this section and a resource agency or Indian tribe has
responded with substantive disagreements.
(10) The second stage of consultation ends:
(i)

Ninety days after the submittal of information pursuant to paragraph (c)(4) of this section in
cases where no resource agency or Indian tribe has responded with substantive disagreements;
or

(ii) At the conclusion of the last joint meeting held pursuant to paragraph (c)(6) of this section in
cases where a resource agency or Indian tribe has responded with substantive disagreements.
(d) Third stage of consultation.
(1) The third stage of consultation is initiated by the filing of an application for a license or exemption,
accompanied by a transmittal letter certifying that at the same time copies of the application are
being mailed to the resource agencies, Indian tribes, other government offices, and consulted
members of the public specified in paragraph (d)(2) of this section.

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18 CFR 4.38(d)(2)

(2) As soon as an applicant files such application documents with the Commission, or promptly after
receipt in the case of documents described in paragraph (d)(2)(iii) of this section, as the
Commission may direct the applicant must serve on every resource agency, Indian tribes, and
member of the public consulted, and on other government offices copies of:
(i)

Its application for a license or an exemption from licensing;

(ii) Any deficiency correction, revision, supplement, response to additional information request, or
amendment to the application; and
(iii) Any written correspondence from the Commission requesting the correction of deficiencies or
the submittal of additional information.
(e) Waiver of compliance with consultation requirements.
(1) If a resource agency or Indian tribe waives in writing compliance with any requirement of this section,
a potential applicant does not have to comply with that requirement as to that agency or tribe.
(2) If a resource agency or Indian tribe fails to timely comply with a provision regarding a requirement of
this section, a potential applicant may proceed to the next sequential requirement of this section
without waiting for the resource agency or Indian tribe to comply.
(3) The failure of a resource agency or Indian tribe to timely comply with a provision regarding a
requirement of this section does not preclude its participation in subsequent stages of the
consultation process.
(4) Following October 23, 2003, a potential license applicant engaged in pre-filing consultation under
part 4 may during first stage consultation request to incorporate into pre-filing consultation any
element of the integrated license application process provided for in part 5 of this chapter. Any such
request must be accompanied by a:
(i)

Specific description of how the element of the part 5 license application would fit into the prefiling consultation process under this part; and

(ii) Demonstration that the potential license applicant has made every reasonable effort to contact
all resource agencies, Indian tribes, non-governmental organizations, and others affected by the
applicant's proposal, and that a consensus exists in favor of incorporating the specific element
of the part 5 process into the pre-filing consultation under this part.
(f) Application requirements documenting consultation and any disagreements with resource agencies. An
applicant must show in Exhibit E of its application that it has met the requirements of paragraphs (b)
through (d) and paragraphs (g) and (h) of this section, and must include a summary of the consultation
process and:
(1) Any resource agency's or Indian tribe's letters containing comments, recommendations, and
proposed terms and conditions;
(2) Any letters from the public containing comments and recommendations;
(3) Notice of any remaining disagreement with a resource agency or Indian tribe on:
(i)

The need for a study or the manner in which a study should be conducted and the applicant's
reasons for disagreement, and

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18 CFR 4.38(f)(3)(ii)

(ii) Information on any environmental protection, mitigation, or enhancement measure, including
the basis for the applicant's disagreement with the resource agency or Indian tribe;
(4) Evidence of any waivers under paragraph (e) of this section;
(5) Evidence of all attempts to consult with a resource agency or Indian tribe, copies of related
documents showing the attempts, and documents showing the conclusion of the second stage of
consultation;
(6) An explanation of how and why the project would, would not, or should not, comply with any relevant
comprehensive plan as defined in § 2.l9 of this chapter and a description of any relevant resource
agency or Indian tribe determination regarding the consistency of the project with any such
comprehensive plan;
(7) A description of how the applicant's proposal addresses the significant resource issues raised at the
joint meeting held pursuant to paragraph (b)(3) of this section; and
(8) A list containing the name and address of every federal, state, and interstate resource agency and
Indian tribe with which the applicant consulted pursuant to paragraph (a)(1) of this section.
(g) Public participation.
(1) At least 14 days in advance of the joint meeting held pursuant to paragraph (b)(3) of this section, the
potential applicant must publish notice, at least once, of the purpose, location, and timing of the joint
meeting, in a daily or weekly newspaper published in each county in which the proposed project or
any part thereof is situated. The notice shall include a summary of the major issues to be discussed
at the joint meeting.
(2)
(i)

A potential applicant must make available to the public for inspection and reproduction the
information specified in paragraph (b)(2) of this section from the date on which the notice
required by paragraph (g)(1) of this section is first published until a final order is issued on any
license application.

(ii) The provisions of § 4.32(b) will govern the form and manner in which the information is to be
made available for public inspection and reproduction.
(iii) A potential applicant must make available to the public for inspection at the joint meeting
required by paragraph (b)(3) of this section at least two copies of the information specified in
paragraph (b)(2) of this section.
(h) Critical Energy Infrastructure Information. If this section requires an applicant to reveal Critical Energy
Infrastructure Information (CEII), as defined by § 388.113(c) of this chapter, to any person, the applicant
shall follow the procedures set out in § 4.32(k).
[Order 533, 56 FR 23153, May 20, 1991, as amended at 56 FR 61155, Dec. 2, 1991; Order 2002, 68 FR 51117, Aug. 25, 2003; Order
643, 68 FR 52094, Sept. 2, 2003; 68 FR 61742, Oct. 30, 2003; Order 756, 77 FR 4894, Feb. 1, 2012; Order 800, 79 FR 59110, Oct. 1,
2014]

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18 CFR 4.39

§ 4.39 Specifications for maps and drawings.
(a) Full-sized prints of maps and drawings must be on sheets no smaller than 22 by 34 inches and no larger
than 24 by 36 inches. A space five inches high by seven inches wide must be provided in the lower right
hand corner of each sheet. The upper half of this space must bear the title, numerical and graphical scale,
and other pertinent information concerning the map or drawing. The lower half of the space must be left
clear. Exhibit G drawings must be stamped by a registered land surveyor. If the drawing size specified in
this paragraph limits the scale of structural drawings (exhibit F drawings) described in paragraph (c) of
this section, a smaller scale may be used for those drawings. Potential applicants or licensees may be
required to file maps or drawings in electronic format as directed by the Commission.
(b) Each map must have a scale in full-sized prints no smaller than one inch equals 0.5 miles for transmission
lines, roads, and similar linear features and no smaller than one inch equals 1,000 feet for other project
features, including the project boundary. Where maps at this scale do not show sufficient detail, large
scale maps may be required. Each map must have:
(1) True and magnetic meridians;
(2) State, county, and town lines; and
(3) Boundaries of public lands and reservations of the United States [see 16 U.S.C. 796 (1) and (2)], if
any. If a public land survey is available, the maps must show all lines of that survey crossing the
project area and all official subdivisions of sections for the public lands and reservations, including
lots and irregular tracts, as designated on the official plats of survey that may be obtained from the
Bureau of Land Management, Washington, DC, or examined in the local land survey office; to the
extent that a public land survey is not available for public lands and reservations of the United
States, the maps must show the protractions of townships and section lines, which, if possible, must
be those recognized by the Federal agency administering those lands.
(c) Drawings depicting details of project structures must have a scale in full-sized prints no smaller than:
(1) One inch equals 50 feet for plans, elevations, and profiles; and
(2) One inch equals 10 feet for sections.
(d) Each map or drawing must be drawn and lettered to be legible when it is reduced to a print that is 11
inches on its shorter side. Following notification to the applicant that the application has been accepted
for filing [see § 4.32(d)], prints reduced to that size must be bound in each copy of the application which is
required to be submitted to the Commission or provided to any person, agency, or other entity.
(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; 83 FR 53575, Oct. 24, 2018]

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

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18 CFR 4.40

§ 4.40 Applicability.
(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 10 megawatts, and any
application for an initial or new license for a major modified project with a total installed capacity more
than 10 megawatts. An applicant for license for any major unconstructed or major modified water power
project that would have a total installed generating capacity of 10 megawatts or less must submit
application under subpart G of this part (§§ 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; Order 877, 86 FR 42714, Aug. 5, 2021]

§ 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:
County:
Township or nearby town:
Stream or other body of water:
(3) The exact name, business address, and telephone number of the applicant are:

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18 CFR 4.41(b)

(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 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.

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18 CFR 4.41(c)(3)

(3) A statement as to whether operation of the power plant will be manual or automatic, an estimate of
the annual 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 one-half, 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 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:
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(i)

18 CFR 4.41(d)(3)(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:
(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;

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18 CFR 4.41(e)(5)

(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;
(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;

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18 CFR 4.41(f)(2)(iv)

(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 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;
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18 CFR 4.41(f)(3)(iv)(B)

(B) A description of proposed operation and maintenance procedures for any proposed
measures or facilities;
(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;
(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.

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18 CFR 4.41(f)(4)(vii)

(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;

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18 CFR 4.41(f)(6)(ii)

(ii) A detailed description of the soils, including the types, occurrence, physical and chemical
characteristics, erodability and potential for mass soil movement;
(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 commercial 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;
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18 CFR 4.41(f)(7)(vi)

(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;
(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

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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
(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.

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(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;
(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 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).

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(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.

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(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 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]

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.

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(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 10 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 10 megawatts or less must submit application under subpart G of this part (§§ 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; Order 877, 86 FR 42714, Aug. 5, 2021]

§ 4.51 Contents of application.
An application for license under this subpart must contain the following information in the form specified. As
provided in paragraph (f) of this section, the appropriate Federal, state, and local resource agencies must be given
the opportunity to comment on the proposed project, prior to filing of the application for license for major
project—existing dam. Information from the consultation process must be included in this Exhibit E, as appropriate.
(a) Initial statement.

Before the Federal Energy Regulatory Commission
Application for License for Major Project—Existing Dam
(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 project is:
State or territory:
County:
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18 CFR 4.51(b)

Township or nearby town:
Stream or other body of water:
(3) The exact name and business address of the applicant are:

The exact name and business address of each person authorized to act as agent for the applicant in this
application are:

(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 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 and local laws or a municipal
charter, or, if such laws or documents are not clear, 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 law).
(6) The applicant must provide the name and address of the owner of any existing project facilities. If the dam
is federally owned or operated, provide the name of the agency.
(b) Exhibit A is a description of the project. This exhibit need not include information on project works
maintained and operated by the U.S. Army Corps of Engineers, the Bureau of Reclamation, or any other
department or agency of the United States, except for any project works that are proposed to be altered or
modified. If the project includes more 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, whether existing or proposed, to be included as part of
the project;

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(2) The normal maximum surface area and normal maximum surface elevation (mean sea level), gross
storage capacity, and usable storage capacity of any impoundments to be included as part of the
project;
(3) The number, type, and rated capacity of any turbines or generators, whether existing or proposed, to
be included as part of the project;
(4) The number, length, voltage, and interconnections of any primary transmission lines, whether existing
or proposed, to be included as part of the project (see 16 U.S.C. 796(11));
(5) The specifications of any additional mechanical, electrical, and transmission equipment appurtenant
to the project; and
(6) All lands of the United States 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 of the affected area or, in the absence 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 such discrete
development. The exhibit must contain:
(1) A statement whether operation of the powerplant will be manual or automatic, an estimate of the
annual plant factor, and a statement of how the project will be operated during adverse, mean, and
high water years;
(2) An estimate of the dependable capacity and average annual energy production in kilowatt-hours (or a
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
adjustments 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
period of 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 hydraulic capacity of the powerplant (minimum and maximum flow through the
powerplant) in cubic feet per second;
(iv) A tailwater rating curve; and
(v) A curve showing powerplant capability versus head and specifying maximum, normal, and
minimum heads;
(3) A statement, with load curves and tabular data, if necessary, of 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, the
amount of power to be sold, and the identity of any proposed purchasers; and

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(4) A statement of the applicant's plans, if any, for future development of the project or of any other
existing or proposed water power project on the stream or other body of water, indicating the
approximate location and estimated installed capacity of the proposed developments.
(d) Exhibit C is a construction history and proposed construction schedule for the project. The construction
history and schedules must contain:
(1) If the application is for an initial license, a tabulated chronology of construction for the existing
projects structures and facilities described under paragraph (b) of this section (Exhibit A), specifying
for each structure or facility, to the extent possible, the actual or approximate dates (approximate
dates must be identified as such) of:
(i)

Commencement and completion of construction or installation;

(ii) Commencement of commercial operation; and
(iii) Any additions or modifications other than routine maintenance; and
(2) If any new development is proposed, a proposed schedule describing the necessary work and
specifying the intervals following issuance of a license when the work would be commenced and
completed.
(e) Exhibit D is a statement of costs and financing. The statement must contain:
(1) If the application is for an initial license, a tabulated statement providing the actual or approximate
original cost (approximate costs must be identified as such) of:
(i)

Any land or water right necessary to the existing project; and

(ii) Each existing structure and facility described under paragraph (b) of this section (Exhibit A).
(2) 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 upon expiration of the license in effect [see 16 U.S.C. 807],
including:
(i)

Fair value;

(ii) Net investment; and
(iii) Severance damages.
(3) If the application includes proposals for any new development, a statement of estimated costs,
including:
(i)

The cost of any land or water rights necessary to the new development; and

(ii) The cost of the new development work, with a specification of:
(A) Total cost of each major item;
(B) Indirect construction costs such as costs of construction equipment, camps, and
commissaries;
(C) Interest during construction; and
(D) Overhead, construction, legal expenses, taxes, administrative and general expenses, and
contingencies.
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(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 and 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, specifying any projected
changes in the cost of power from that source over the estimated financing or licensing period if the
applicant takes such changes into account.
(6) A statement specifying the sources and extent of financing and annual revenues available to the
applicant to meet the costs identified in paragraphs (e) (3) and (4) of this section.
(7) An estimate of the cost to develop the license application;
(8) 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; and
(9) The estimated average annual increase or decrease in project generation, and the estimated average
annual increase or decrease of the value of project power, due to a change in project operations (i.e.,
minimum bypass flows; limits on reservoir fluctuations).
(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
proposed project:
(1) General description of the locale. The applicant must provide a general description of the
environment of the project and its immediate vicinity. The description must include general
information concerning climate, topography, wetlands, vegetative cover, land development,
population size and density, the presence of any floodplain and the occurrence of flood events in the
vicinity of the project, and any other factors important to an understanding of the setting.
(2) Report on water use and quality. The report must discuss the consumptive use of project waters and
the impact of the project on water quality. The report must be prepared in consultation with the state
and Federal agencies with responsibility for management of water quality in the affected stream or
other body of water. Consultation must be documented by appending to the report a letter from each
agency consulted that indicates the nature, extent, and results of the consultation. The report must
include:

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(i)

18 CFR 4.51(f)(2)(i)

A description (including specified volume over time) of existing and proposed uses of project
waters for irrigation, domestic water supply, steam-electric plant, industrial, and other
consumptive purposes;

(ii) A description of existing water quality in the project impoundment and downstream water
affected by the project and the applicable water quality standards and stream segment
classifications;
(iii) A description of any minimum flow releases specifying the rate of flow in cubic feet per second
(cfs) and duration, changes in the design of project works or in project operation, or other
measures recommended by the agencies consulted for the purposes of protecting or improving
water quality, including measures to minimize the short-term impacts on water quality of any
proposed new development of project works (for any dredging or filling, refer to 40 CFR part
230 and 33 CFR 320.3(f) and 323.3(e))[1] ;

(iv) A statement of the existing measures to be continued and new measures proposed by the
applicant for the purpose of protecting or improving water quality, including an explanation of
why the applicant has rejected any measures recommended by an agency and described under
paragraph (f)(2)(iii) of this section.
(v) A description of the continuing impact on water quality of continued operation of the project
and the incremental impact of proposed new development of project works or changes in
project operation; and
(3) Report on fish, wildlife, and botanical resources. The report must discuss fish, wildlife, and botanical
resources in the vicinity of the project and the impact of the project on those resources. The report
must be prepared in consultation with any state agency with responsibility for fish, wildlife, and
botanical resources, the U.S. Fish and Wildlife Service, the National Marine Fisheries Service (if the
project may affect anadromous fish resources subject to that agency's jurisdiction), and any other
state or Federal agency with managerial authority over any part of the project lands. Consultation
must be documented by appending to the report a letter from each agency consulted that indicates
the nature, extent, and results of the consultation. The report must include:
(i)

A description of the fish, wildlife, and botanical resources of the project and its vicinity, and of
downstream areas affected by the project, including identification of any species listed as
threatened or endangered by the U.S. Fish and Wildlife Service (See 50 CFR 17.11 and 17.12);

(ii) A description of any measures or facilities recommended by the agencies consulted for the
mitigation of impacts on fish, wildlife, and botanical resources, or for the protection or
improvement of those resources;
(iii) A statement of any existing measures or facilities to be continued or maintained and any
measures or facilities proposed by the applicant for the mitigation of impacts on fish, wildlife,
and botanical resources, or for the protection or improvement of such resources, including an
explanation of why the applicant has rejected any measures or facilities recommended by an
agency and described under paragraph (f)(3)(ii) of this section.

[1]

33 CFR part 323 was revised at 47 FR 31810, July 22, 1982, and § 323.3(e) no longer exists.

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18 CFR 4.51(f)(3)(iv)

(iv) A description of any anticipated continuing impact on fish, wildlife, and botanical resources of
continued operation of the project, and the incremental impact of proposed new development
of project works or changes in project operation; and
(v) The following materials and information regarding the measures and facilities identified under
paragraph (f)(3)(iii) of this section:
(A) Functional design drawings of any fish passage and collection facilities, indicating
whether the facilities depicted are existing or proposed (these drawings must conform to
the specifications of § 4.39 regarding dimensions of full-sized prints, scale, and legibility);
(B) A description of operation and maintenance procedures for any existing or proposed
measures or facilities;
(C) An implementation or construction schedule for any proposed measures or facilities,
showing the intervals following issuance of a license when implementation of the
measures or construction of the facilities would be commenced and completed;
(D) An estimate of the costs of construction, operation, and maintenance, of any proposed
facilities, and of implementation of any proposed measures, including a statement of the
sources and extent of financing; and
(E) A map or drawing that conforms to the size, scale, and legibility requirements of § 4.39
showing by the use of shading, cross-hatching, or other symbols the identity and location
of any measures or facilities, and indicating whether each measure or facility is existing or
proposed (the map or drawings in this exhibit may be consolidated).
(4) Report on historical and archeological resources. The report must discuss the historical and
archeological resources in the project area and the impact of the project on those resources. The
report must be prepared in consultation with the State Historic Preservation Officer and the National
Park Service. Consultation must be documented by appending to the report a letter from each
agency consulted that indicates the nature, extent, and results of the consultation. The report must
contain:
(i)

Identification of any sites either listed or determined to be eligible for inclusion in the National
Register of Historic Places that are located in the project area, or that would be affected by
operation of the project or by new development of project facilities (including facilities
proposed in this exhibit);

(ii) A description of any measures recommended by the agencies consulted for the purpose of
locating, identifying, and salvaging historical or archaeological resources that would be
affected by operation of the project, or by new development of project facilities (including
facilities proposed in this exhibit), together with a statement of what measures the applicant
proposes to implement and an explanation of why the applicant rejects any measures
recommended by an agency.
(iii) The following materials and information regarding the survey and salvage activities described
under paragraph (f)(4)(ii) of this section:
(A) A schedule for the activities, showing the intervals following issuance of a license when
the activities would be commenced and completed; and

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18 CFR 4.51(f)(4)(iii)(B)

(B) An estimate of the costs of the activities, including a statement of the sources and extent
of financing.
(5) Report on recreational resources. The report must discuss existing and proposed recreational
facilities and opportunities at the project. The report must be prepared in consultation with local,
state, and regional recreation agencies and planning commissions, the National Park Service, and
any other state or Federal agency with managerial authority over any part of the project lands.
Consultation must be documented by appending to the report a letter from each agency consulted
indicating the nature, extent, and results of the consultation. The report must contain:
(i)

A description of any existing recreational facilities at the project, indicating whether the
facilities are available for public use;

(ii) An estimate of existing and potential recreational use of the project area, in daytime and
overnight visits;
(iii) A description of any measures or facilities recommended by the agencies consulted for the
purpose of creating, preserving, or enhancing recreational opportunities at the project and in its
vicinity (including opportunities for the handicapped), and for the purpose of ensuring the
safety of the public in its use of project lands and waters;
(iv) A statement of the existing measures or facilities to be continued or maintained and the new
measures or facilities proposed by the applicant for the purpose of creating, preserving, or
enhancing recreational opportunities at the project and in its vicinity, 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
described under paragraph (f)(5)(iii) of this section; and
(v) The following materials and information regarding the measures and facilities identified under
paragraphs (f)(5) (i) and (iv) of this section:
(A) Identification of the entities responsible for implementing, constructing, operating, or
maintaining any existing or proposed measures or facilities;
(B) A schedule showing the intervals following issuance of a license at which implementation
of the measures or construction of the facilities would be commenced and completed;
(C) An estimate of the costs of construction, operation, and maintenance of any proposed
facilities, including a statement of the sources and extent of financing;
(D) A map or drawing that conforms to the size, scale, and legibility requirements of § 4.39
showing by the use of shading, cross-hatching, or other symbols the identity and location
of any facilities, and indicating whether each facility is existing or proposed (the maps or
drawings in this exhibit may be consolidated); and
(vi) 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, the National Wild and Scenic
Rivers System, or that have been designated as wilderness area, recommended for such
designation, or designated as a wilderness study area under the Wilderness Act.
(6) Report on land management and aesthetics. The report must discuss the management of land within
the proposed project boundary, including wetlands and floodplains, and the protection of the
recreational and scenic values of the project. The report must be prepared following consultation
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18 CFR 4.51(f)(6)(i)

with local and state zoning and land management authorities and any Federal or state agency with
managerial authority over any part of the project lands. Consultation must be documented by
appending to the report a letter from each agency consulted indicating the nature, extent, and results
of the consultation. The report must contain:
(i)

A description of existing development and use of project lands and all other lands abutting the
project impoundment;

(ii) A description of the measures proposed by the applicant to ensure that any proposed project
works, rights-of-way, access roads, and other topographic alterations blend, to the extent
possible, with the surrounding environment; (see, e.g., 44 F.P.C. 1496, et seq.);
(iii) A description of wetlands or floodplains within, or adjacent to, the project boundary, any shortterm or long-term impacts of the project on those wetlands or floodplains, and any mitigative
measures in the construction or operation of the project that minimize any adverse impacts on
the wetlands or floodplains;
(iv) A statement, including an analysis of costs and other constraints, of the applicant's ability to
provide a buffer zone around all or any part of the impoundment, for the purpose of ensuring
public access to project lands and waters and protecting the recreational and aesthetic values
of the impoundment and its shoreline;
(v) A description of the applicant's policy, if any, with regard to permitting development of piers,
docks, boat landings, bulkheads, and other shoreline facilities on project lands and waters; and
(vi) Maps or drawings that conform to the size, scale and legibility requirements of § 4.39, or
photographs, sufficient to show the location and nature of the measures proposed under
paragraph (f)(6)(ii) of this section (maps or drawings in this exhibit may be consolidated).
(7) List of literature. The report 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. See § 4.41(g) of this chapter.
(h) Exhibit G. See § 4.41(h) of this chapter.
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 123, 46 FR 9029, Jan. 28, 1981; Order 183, 46 FR 55251, Nov. 9,
1981; Order 184, 46 FR 55942, Nov. 13, 1981; 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 51120, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003]

Subpart G—Application for License for Minor Water Power Projects and Major Water Power
Projects 10 Megawatts or Less
§ 4.60 Applicability and notice to agencies.
(a) Applicability. The provisions of this subpart apply to any application for an initial license or a new license
for:
(1) A minor water power project, as defined in § 4.30(b)(17);
(2) Any major project—existing dam, as defined in § 4.30(b)(16), that has a total installed capacity of 10
MW or less; or
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18 CFR 4.60(a)(3)

(3) Any major unconstructed project or major modified project, as defined in § 4.30(b)(15) and (14)
respectively, that has a total installed capacity of 10 MW or less.
(b) Notice to agencies. The Commission will supply interested Federal, state, and local agencies with notice
of any application for license for a water power project 10 MW or less and request comment on the
application. Copies of the application will be available for inspection through the Commission's website,
https://www.ferc.gov. The applicant shall also furnish copies of the filed application to any Federal, state,
or local agency that so requests.
(c) Unless an applicant for a license for a minor water power project requests in its application that the
Commission apply the following provisions of Part I of the Federal Power Act when it issues a minor
license for a project, the Commission, unless it determines it would not be in the public interest to do so,
will waive:
(1) Section 4(b), insofar as it requires a licensee to file a statement showing the actual legitimate costs
of construction of a project;
(2) Section 4(e), insofar as it relates to approval by the Chief of Engineers and the Secretary of the Army
of plans affecting navigation;
(3) Section 6, insofar as it relates to the acceptance and expression in the license of terms and
conditions of the Federal Power Act that are waived in the licensing order;
(4) Section 10(c), insofar as it relates to a licensee's maintenance of depreciation reserves;
(5) Sections 10(d) and 10(f);
(6) Section 14, with the exception of the right of the United States or any state or municipality to take
over, maintain, and operate a project through condemnation proceedings; and
(7) Sections 15, 16, 19, 20 and 22.
[Order 413, 50 FR 11685, Mar. 25, 1985, as amended by Order 513, 54 FR 23806, June 2, 1989; Order 2002, 68 FR 51120, Aug. 25,
2003; Order 877, 86 FR 42714, Aug. 5, 2021; Order 899, 88 FR 74030, Oct. 30, 2023]

§ 4.61 Contents of application.
(a) General instructions —
(1) Entry upon land. No work may be started on any proposed project works until the applicant receives
a signed license from the Commission. Acceptance of an application does not authorize entry upon
public lands or reservations of the United States for any purpose. The applicant should determine
whether any additional Federal, state, or local permits are required.
(2) Exhibits F and G must be submitted on separate drawings. Drawings for Exhibits F and G must have
identifying title blocks and bear the following certification: “This drawing is a part of the application
for license made by the undersigned this ______________ day of ______________, 19____.”
(3) Each application for a license for a water power project 10 megawatts or less must include the
information requested in the initial statement and lettered exhibits described by paragraphs (b)
through (f) of this section, and must be provided in the form specified. The Commission reserves the
right to require additional information, or another filing procedure, if data provided indicate such
action to be appropriate.
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18 CFR 4.61(b)

(b) Initial statement.

Before the Federal Energy Regulatory Commission
Application for License for a [Minor Water Power Project, or Major Water Power
Project, 10 Megawatts or Less, as Appropriate]
(1) __________ (Name of Applicant) applies to the Federal Energy Regulatory Commission for __________ (license
or new license, as appropriate) for the __________ (name of project) water power project, as described
hereinafter. (Specify any previous FERC project number designation.)
(2) The location of the project is:
State or territory:
County:
Township or nearby town:
Stream or other body of water:
(3) The exact name, address, and telephone number of the applicant are:

(4) The exact name, address, and telephone number of each person authorized to act as agent for the applicant
in this application, if applicable, are:

(5) 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.
(6)(i) The statutory or regulatory requirements of the state(s) in which the project would be located that affect
the project as proposed with respect to bed and banks and 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.]

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18 CFR 4.61(c)

(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]
(7) Brief project description
(i) Proposed installed generating capacity ______ MW.
(ii) Check appropriate box:
☐ existing dam ☐ unconstructed dam
☐ existing dam, major modified project (see § 4.30(b)(14))
(8) Lands of the United States affected (shown on Exhibit G):
(Name)

(Acres)

(i) National Forest
(ii) Indian Reservation
(iii) Public Lands Under Jurisdiction of
(iv) Other
(v) Total U.S. Lands

(vi) Check appropriate box:
☐ Surveyed land ☐ Unsurveyed land
(9) Construction of the project is planned to start within ____ months, and is planned to be completed within
____ months, from the date of issuance of license.
(c) Exhibit A is a description of the project and the proposed mode of operation.
(1) The exhibit must include, in tabular form if possible, as appropriate:
(i)

The number of generating units, including auxiliary units, the capacity of each unit, and
provisions, if any, for future units;

(ii) The type of hydraulic turbine(s);
(iii) A description of how the plant is to be operated, manual or automatic, and whether the plant is
to be used for peaking;
(iv) The estimated average annual generation in kilowatt-hours or mechanical energy equivalent;
(v) The estimated average head on the plant;
(vi) The reservoir surface area in acres and, if known, the net and gross storage capacity;

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18 CFR 4.61(c)(1)(vii)

(vii) The estimated minimum and maximum hydraulic capacity of the plant (flow through the plant)
in cubic feet per second and estimated average flow of the stream or water body at the plant or
point of diversion; for projects with installed capacity of more than 1.5 megawatts, monthly
flow duration curves and a description of the drainage area for the project site must be
provided;
(viii) Sizes, capacities, and construction materials, as appropriate, of pipelines, ditches, flumes,
canals, intake facilities, powerhouses, dams, transmission lines, and other appurtenances; and
(ix) The estimated cost of the project.
(x) The estimated capital costs and estimated annual operation and maintenance expense of each
proposed environmental measure.
(2) State the purposes of project (for example, use of power output).
(3) An estimate of the cost to develop the license application; and
(4) 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.
(5) The estimated average annual increase or decrease in project generation, and the estimated average
annual increase or decrease of the value of project power due to a change in project operations (i.e.,
minimum bypass flows, limiting reservoir fluctuations) for an application for a new license;
(6) The remaining undepreciated net investment, or book value of the project;
(7) The annual operation and maintenance expenses, including insurance, and administrative and
general costs;
(8) A detailed single-line electrical diagram;
(9) A statement of measures taken or planned to ensure safe management, operation, and maintenance
of the project.
(d) Exhibit E is an Environmental Report.
(1) For major unconstructed and major modified projects 10 MW or less. Any application must contain an
Exhibit E conforming with the data and consultation requirements of § 4.41(f), if the application is
for license for a water power project which has or is proposed to have a total installed generating
capacity greater than 1.5 MW but not greater than 10 MW, and which:
(i)

Would use the water power potential of a dam and impoundment which, at the time of
application, has not been constructed (see § 4.30(b)(15)); or

(ii) Involves any repair, modification or reconstruction of an existing dam that would result in a
significant change in the normal maximum surface area or elevation of an existing
impoundment or involves any change in existing project works or operations that would result
in a significant environmental impact (see § 4.30(b)(14)).
(2) For minor projects and major projects at existing dams 10 MW or less. An application for license for
either a minor water power project with a total proposed installed generating capacity of 1.5 MW or
less or a major project—existing dam with a proposed total installed capacity of 10 MW or less must
contain an Exhibit E under this paragraph (d)(2). See § 4.38 for consultation requirements. The
Environmental Report must contain the following information:
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(i)

18 CFR 4.61(d)(2)(i)

A description, including any maps or photographs which the applicant considers appropriate, of
the environmental setting of the project, including vegetative cover, fish and wildlife resources,
water quality and quantity, land and water uses, recreational uses, historical and archeological
resources, and scenic and aesthetic resources. The report must include a discussion of
endangered or threatened plant and animal species, any critical habitats, and any sites included
in, or eligible for inclusion in, the National Register of Historic Places. The applicant may obtain
assistance in the preparation of this information from state natural resources agencies, the
state historic preservation officer, and from local offices of Federal natural resources agencies.

(ii) A description of the expected environmental impacts from proposed construction or
development and the proposed operation of the power project, including any impacts from any
proposed changes in the capacity and mode of operation of the project if it is already
generating electric power, and an explanation of the specific measures proposed by the
applicant, the agencies, and others to protect and enhance environmental resources and values
and to mitigate adverse impacts of the project on such resources. The applicant must explain
its reasons for not undertaking any measures proposed by any agency consulted.
(iii) A description of the steps taken by the applicant in consulting with Federal, state, and local
agencies with expertise in environmental matters during the preparation of this exhibit prior to
filing the application for license with the Commission. In this report, the applicant must:
(A) Indicate which agencies were consulted during the preparation of the environmental report
and provide copies of letters or other documentation showing that the applicant consulted
or attempted to consult with each of the relevant agencies (specifying each agency)
before filing the application, including any terms or conditions of license that those
agencies have determined are appropriate to prevent loss of, or damage to, natural
resources; and
(B) List those agencies that were provided copies of the application as filed with the
Commission, the date or dates provided, and copies of any letters that may be received
from agencies commenting on the application.
(iv) Any additional information the applicant considers important.
(e) Exhibit F. See § 4.41(g) of this chapter.
(f) Exhibit G. See § 4.41(h) of this chapter.
[Order 185, 46 FR 55949, Nov. 13, 1981, as amended by Order 413, 50 FR 11685, Mar. 25, 1985; Order 464, 52 FR 5449, Feb. 23,
1987; Order 513, 54 FR 23806, June 2, 1989; Order 2002, 68 FR 51120, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003; Order 877, 86
FR 42714, Aug. 5, 2021]

Subpart H—Application for License for Transmission Line Only
§ 4.70 Applicability.
This subpart applies to any application for license issued solely for a transmission line that transmits power from a
licensed water power project to the point of junction with the distribution system or with the interconnected primary
transmission system.
[Order 184, 46 FR 55942, Nov. 13, 1981, as amended by Order 2002, 68 FR 51120, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003]

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18 CFR 4.71

§ 4.71 Contents of application.
An application for license for transmission line only must contain the following information in the form specified.
(a) Initial statement.

Before the Federal Energy Regulation Commission
Application for License for Transmission Line Only
(1) [Name of applicant] applies to the Federal Energy Regulatory Commission for a [license or new license, as
appropriate] for the [name of project] transmission line only, as described in the attached exhibits, that is
connected with FERC Project No. ______, for which a license [was issued, or application was made, as
appropriate] on the ______________ day of ______________, 19____.
(2) The location of the transmission line would be:
State or territory:
County:
Township or nearby town:
(3) The proposed use or market for the power to be transmitted.
(4) The exact name, business address, and telephone number of the applicant are:

(5) 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.
(6)(i) [For any applicant which, at the time of application for license for transmission line only, is a nonlicensee.] 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, 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.]

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18 CFR 4.71(b)

(ii) [For any applicant which, at the time of application for license for transmission line only, is a licensee.] The
statutory or regulatory requirements of the state(s) in which the transmission line 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, are: [provide citations and brief identification of the nature of each requirement.]
(iii) The steps which the applicant has taken or plans to take to comply with each of the laws cited above are:
[provide brief descriptions for each law.]
(b) Required exhibits. The application must contain the following exhibits, as appropriate:
(1) For any transmission line that, at the time the application is filed, is not constructed and is proposed
to be connected to a licensed water power project with an installed generating capacity of more than
10 MW—Exhibits A, B, C, D, E, F, and G under § 4.41;
(2) For any transmission line that, at the time the application is filed, is not constructed and is proposed
to be connected to a licensed water power project with an installed generating capacity of 10 MW or
less—Exhibits E, F, and G under § 4.61; and
(3) For any transmission line that, at the time the application is filed, has been constructed and is
proposed to be connected to any licensed water power project—Exhibits E, F, and G under § 4.61 of
this chapter.
[Order 184, 46 FR 55942, Nov. 13, 1981, as amended by Order 413, 50 FR 11685, Mar. 25, 1985; Order 699, 72 FR 45324, Aug. 14,
2007; Order 877, 86 FR 42714, Aug. 5, 2021]

Subpart I—Application for Preliminary Permit; Amendment and Cancellation of Preliminary
Permit
Authority: Federal Power Act, as amended 16 U.S.C. 792-828c; Department of Energy Organization Act, 42 U.S.C.
7101-7352; E.O. 12009, 42 FR 46267; Public Utility Regulatory Policies Act of 1978, 16 U.S.C. 2601-2645, unless
otherwise noted.

§ 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:

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18 CFR 4.81(b)

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:
County:
Township or nearby town:
Stream or other body of water:

(3) The exact name, business address, and telephone number of the applicant are:

The exact name and business address of each person authorized to act as agent for the applicant in this
application are:

(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
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 48 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:
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18 CFR 4.81(b)(1)

(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 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.
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18 CFR 4.81(c)(2)(iii)

(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 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 (quarter-quarter 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;

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18 CFR 4.81(d)(5)(ii)

(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; Order 857, 84 FR 7991, Mar. 6,
2019]

§ 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 total term to exceed eight 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), and (d).
(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
eight 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.
(d) At the end of the extension period granted under paragraph (a) of this section, the Commission may issue
an additional permit to the permittee if the Commission determines that there are extraordinary
circumstances that warrant the issuance of the additional permit.
[Order 413, 50 FR 11685, Mar. 25, 1985, as amended by Order 499, 53 FR 27002, July 18, 1988; Order 800, 79 FR 59110, Oct. 1,
2014; Order 857, 84 FR 7991, Mar. 6, 2019]

§ 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.
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18 CFR 4.90

[Order 413, 50 FR 11686, Mar. 25, 1985]

Subpart J—Exemption of Small Conduit Hydroelectric Facilities
§ 4.90 Applicability and purpose.
This subpart implements section 30(b) of the Federal Power Act and provides procedures for obtaining an
exemption for constructed or unconstructed small conduit hydroelectric facilities, as defined in § 4.30(b)(30), from
all or part of the requirements of Part I of the Federal Power Act, including licensing, and the regulations issued
under Part I.
[Order 800, 79 FR 59110, Oct. 1, 2014]

§ 4.91 [Reserved]
§ 4.92 Contents of exemption application.
(a) An application for exemption for this subpart must include:
(1) An introductory statement, including a declaration that the facility for which application is made
meets the requirements of § 4.30(b)(30), or if the facility qualifies but for the discharge requirement
of § 4.30(b)(30)(iv), the introductory statement must identify that fact and state that the application
is accompanied by a petition for waiver of § 4.30(b)(30)(iv) filed pursuant to § 385.207 of this
chapter;
(2) Exhibits A, E, F, and G.
(3) If the project structures would use or occupy any lands other than federal lands, an appendix
containing documentary evidence showing that the applicant has the real property interests required
under § 4.31(b); and
(4) Identification of all Indian tribes that may be affected by the project.
(b) Introductory Statement. The introductory statement must be set forth in the following format:

Before the Federal Energy Regulatory Commission
Application for Exemption for Small Conduit Hydroelectric Facility
[Name of applicant] applies to the Federal Energy Regulatory Commission for an exemption for the [name of
facility], a small conduit hydroelectric facility that meets the requirements of [insert the following language, as
appropriate: “§ 4.30(b)(30) of this subpart” or “§ 4.30(b)(30) of this subpart, except paragraph (b)(30)(iv)”],
from certain provisions of Part I of the Federal Power Act.
The location of the facility is:
State or Territory:
County:
Township or nearby town:
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18 CFR 4.92(c)

The exact name and business address of each applicant are:

The exact name and business address of each person authorized to act as agent for the applicant in this
application are:

[Name of applicant] is [a citizen of the United States, an association of citizens of the United States, a
municipality, State, or a corporation incorporated under the laws of (specify the United States or the state of
incorporation, as appropriate)].
The provisions of Part I of the Federal Power Act for which exemption is requested are:
[List here all sections or subsections for which exemption is requested.]
[If the facility does not meet the requirement of § 4.30(b)(30)(iv), add the following sentence: “This application
is accompanied by a petition for waiver of § 4.30(b)(30)(iv), submitted pursuant to 18 CFR 385.207.”]
(c) Exhibit A. Exhibit A must describe the small conduit hydroelectric facility and proposed mode of operation
with appropriate references to Exhibits F and G. To the extent feasible the information in this exhibit may
be submitted in tabular form. The following information must be included:
(1) A brief description of any conduits and associated consumptive water supply facilities, intake
facilities, powerhouses, and any other structures associated with the facility.
(2) The proximate natural sources of water that supply the related conduit.
(3) The purposes for which the conduit is used.
(4) The number of generating units, including auxiliary units, the capacity of each unit, and provisions, if
any, for future units.
(5) The type of each hydraulic turbine.
(6) A description of how the plant is to be operated, manually or automatically, and whether the plant is
to be used for peaking.
(7) Estimations of:
(i)

The average annual generation in kilowatt hours;

(ii) The average head of the plant;
(iii) The hydraulic capacity of the plant (flow through the plant) in cubic feet per second;
(iv) The average flow of the conduit at the plant or point of diversion (using best available data and
explaining the sources of the data and the method of calculation); and
(v) The average amount of the flow described in paragraph (c)(7)(iv) of this section available for
power generation.
(8) The planned date for beginning construction of the facility.

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18 CFR 4.92(c)(9)

(9) If the hydroelectric facility discharges directly into a natural body of water and a petition for waiver of
§ 4.30(b)(30)(iv) has not been submitted, evidence that a quantity of water equal to or greater than
the quantity discharged from the hydroelectric facility is withdrawn from that water body
downstream into a conduit that is part of the same water supply system as the conduit on which the
hydroelectric facility is located.
(10) If the hydroelectric facility discharges directly to a point of agricultural, municipal, or industrial
consumption, a description of the nature and location of that point of consumption.
(11) A description of the nature and extent of any construction of a dam that would occur in association
with construction of the proposed small conduit hydroelectric facility, including a statement of the
normal maximum surface area and normal maximum surface elevation of any existing
impoundment before and after that construction; and any evidence that the construction of the dam
would occur for agricultural, municipal, or industrial consumptive purposes even if hydroelectric
generating facilities were not installed.
(d) Exhibit G. Exhibit G is a map of the project and boundary and must conform to the specifications of §
4.41(h) of this chapter.
(e) Exhibit E. This exhibit is an Environmental Report. It must be prepared pursuant to § 4.38 and must
include the following information, commensurate with the scope and environmental impact of the
facility's construction and operation:
(1) A description of the environmental setting in the vicinity of the facility, including vegetative cover, fish
and wildlife resources, water quality and quantity, land and water uses, recreational use, socioeconomic conditions, historical and archeological resources, and visual resources. The report must
give special attention to endangered or threatened plant and animal species, critical habitats, and
sites eligible for or included on the National Register of Historic Places. The applicant may obtain
assistance in the preparation of this information from State natural resources agencies, the State
historic preservation officer, and from local offices of Federal natural resources agencies.
(2) A description of the expected environmental impacts resulting from the continued operation of an
existing small conduit hydroelectric facility, or from the construction and operation of a proposed
small conduit hydroelectric facility, including a discussion of the specific measures proposed by the
applicant and others to protect and enhance environmental resources and to mitigate adverse
impacts of the facility on them.
(3) A description of alternative means of obtaining an amount of power equivalent to that provided by
the proposed or existing facility.
(4) Any additional information the applicant considers important.
(f) Exhibit F. Exhibit F is a set of drawings showing the structures and equipment of the small conduit
hydroelectric facility and must conform to the specifications of § 4.41(g) of this chapter.
[Order 76, 45 FR 28090, Apr. 28, 1980, as amended by Order 413, 50 FR 11686, Mar. 25, 1985; Order 533, 56 FR 23153, May 20,
1991; Order 2002, 68 FR 51121, Aug. 25, 2003; Order 699, 72 FR 45324, Aug. 14, 2007; Order 800, 79 FR 59110, Oct. 1, 2014]

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18 CFR 4.93

§ 4.93 Action on exemption applications.
(a) An application for exemption that does not meet the eligibility requirements of § 4.30(b)(30)(iv) may be
accepted, provided the application has been accompanied by a request for waiver under § 4.92(a)(1) and
the waiver request has not been denied. Acceptance of an application that has been accompanied by a
request for waiver under § 4.92(a)(1) does not constitute a ruling on the waiver request, unless expressly
stated in the acceptance.
(b) The Commission will circulate a notice of application for exemption to interested agencies and Indian
tribes at the time the applicant is notified that the application is accepted for filing.
(c) In granting an exemption the Commission may prescribe terms or conditions in addition to those set forth
in § 4.94, in order to:
(1) Protect the quality or quantity of the related water supply for agricultural, municipal, or industrial
consumption;
(2) Otherwise protect life, health, or property;
(3) Avoid or mitigate adverse environmental impact; or
(4) Conserve, develop, or utilize in the public interest the water power resources of the region.
(d) Conversion to license application.
(1) If an application for exemption under this subpart is denied by the Commission, the applicant may
convert the exemption application into an application for license for the hydroelectric project.
(2) The applicant must provide the Commission with written notification, within 30 days after the date of
issuance of the order denying exemption, that it intends to convert the exemption application into a
license application. The applicant must submit to the Commission, no later than 90 days after the
date of issuance of the order denying exemption, additional information that is necessary to
conform the exemption application to the relevant regulations for a license application.
(3) If all the information timely submitted is found sufficient, together with the application for exemption,
to conform to the relevant regulations for a license application, the converted application will be
considered accepted for filing as of the date that the exemption application was accepted for filing.
[Order 76, 45 FR 28090, Apr. 28, 1980, as amended by Order 413, 50 FR 11687, Mar. 25, 1985; Order 533, 56 FR 23153, May 20,
1991; Order 2002, 68 FR 51121, Aug. 25, 2003; Order 800, 79 FR 59110, Oct. 1, 2014]

§ 4.94 Standard terms and conditions of exemption.
Any exemption granted under § 4.93 for a small conduit hydroelectric facility is subject to the following standard
terms and conditions:
(a) Article 1. The Commission reserves the right to conduct investigations under sections 4(g), 306, 307, and
311 of the Federal Power Act with respect to any acts, complaints, facts, conditions, practices, or other
matters related to the construction, operation, or maintenance of the exempt facility. If any term or
condition of the exemption is violated, the Commission may revoke the exemption, issue a suitable order
under section 4(g) of the Federal Power Act, or take appropriate action for enforcement, forfeiture, or
penalties under Part III of the Federal Power Act.

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18 CFR 4.94(b)

(b) Article 2. The construction, operation, and maintenance of the exempt project must comply with any
terms and conditions that the United States Fish and Wildlife Service, the National Marine Fisheries
Service, and any state fish and wildlife agencies have determined are appropriate to prevent loss of, or
damage to, fish or wildlife resources or otherwise to carry out the purposes of the Fish and Wildlife
Coordination Act, as specified in exhibit E of the application for exemption from licensing or in the
comments submitted in response to the notice of exemption application.
(c) Article 3. The Commission may revoke this exemption if actual construction of any proposed generating
facilities has not begun within two years or has not been completed within four years from the effective
date of this exemption. If an exemption is revoked under this article, the Commission will not accept from
the prior exemption holder a subsequent application for exemption from licensing or a notice of
exemption from licensing for the same project within two years of the revocation.
(d) Article 4. This exemption does not confer any right to use or occupy any federal lands that may be
necessary for the development or operation of the project. Any right to use or occupy any federal lands for
those purposes must be obtained from the administering federal land agencies. The Commission may
accept a license application submitted by any qualified license applicant and revoke this exemption, if any
necessary right to use or occupy federal lands for those purposes has not been obtained within one year
from the date on which this exemption was granted.
(e) Article 5. In order to best develop, conserve, and utilize in the public interest the water resources of the
region, the Commission may require that the exempt facilities be modified in structure or operation or may
revoke this exemption.
(f) Article 6. The Commission may revoke this exemption if, in the application process, material
discrepancies, inaccuracies, or falsehoods were made by or on behalf of the applicant.
(g) Article 7. Before transferring any property interests in the exempt project, the exemption holder must
inform the transferee of the terms and conditions of the exemption. Within 30 days of transferring the
property interests, the exemption holder must inform the Commission of the identity and address of the
transferee.
[Order 76, 45 FR 28090, Apr. 28, 1980, as amended by Order 413, 50 FR 11687, Mar. 25, 1985; Order 413-A, 56 FR 31331, July 10,
1991; Order 800, 79 FR 59110, Oct. 1, 2014]

§ 4.95 Surrender of exemption.
(a) To voluntarily surrender its exemption, a holder of an exemption for a small conduit hydroelectric facility
must file a petition with the Commission.
(b)
(1) If construction has begun, prior to filing a petition with the Commission, the exemption holder must
consult with the fish and wildlife agencies in accordance with § 4.38, substituting for the information
required under § 4.38(b)(1) information appropriate to the disposition and restoration of the project
works and lands. The petition must set forth the exemption holder's plans with respect to disposition
and restoration of the project works and lands.
(2) If construction has begun, public notice of the petition will be given, and, at least 30 days thereafter,
the Commission will act upon the petition.

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18 CFR 4.95(c)

(c) If no construction has begun, unless the Commission issues an order to the contrary, the exemption will
remain in effect through the thirtieth day after the Commission issues a public notice of receipt of the
petition. New applications involving the site of the surrendered exemption may be filed on the next
business day.
(d) Exemptions may be surrendered only upon fulfillment by the exemption holder of such obligations under
the exemption as the Commission may prescribe and, if construction has begun, upon such conditions
with respect to the disposition of such project works and restoration of project lands as may be
determined by the Commission and the Federal and state fish and wildlife agencies.
(e) Where occupancy of federal lands or reservations has been permitted by a federal agency having
supervision over such lands, the exemption holder must concurrently notify that agency of the petition to
surrender and of the steps that will be taken to restore the affected federal lands or reservations.
[Order 413, 50 FR 11687, Mar. 25, 1985, as amended by Order 800, 79 FR 59111, Oct. 1, 2014]

§ 4.96 Amendment of exemption.
(a) An exemption holder must construct and operate its project as described in the exemption application
approved by the Commission or its delegate.
(b) If an exemption holder desires to change the design, location, method of construction or operation of its
project, it must first notify the appropriate Federal and state fish and wildlife agencies and inform them in
writing of the changes it intends to implement. If these agencies determine that the changes would not
cause the project to violate the terms and conditions imposed by the agencies, and if the changes would
not materially alter the design, location, method of construction or operation of the project, the exemption
holder may implement the changes. If any of these agencies determines that the changes would cause
the project to violate the terms and conditions imposed by the agencies, or if the changes would
materially alter the design, location, method of construction or the operation of the project works, the
exemption holder may not implement the changes without first acquiring authorization from the
Commission to amend its exemption, or acquiring a license that authorizes the project, as changed.
(c) An application to amend an exemption may be filed only by the holder of the exemption. An application to
amend an exemption will be governed by the Commission's regulations governing applications for
exemption. The Commission will not accept applications in competition with an application to amend an
exemption, unless the Director of the Office of Energy Projects determines that it is in the public interest
to do so.
[Order 413, 50 FR 11687, Mar. 25, 1985, as amended by Order 699, 72 FR 45324, Aug. 14, 2007]

Subpart K—Exemption of Small Hydroelectric Power Projects of 10 Megawatts or Less
§ 4.101 Applicability.
This subpart provides procedures for exemption on a case-specific basis from all or part of Part I of the Federal
Power Act (Act), including licensing, for small hydroelectric power projects as defined in § 4.30(b)(31).
(Energy Security Act of 1980, Pub. L. 96-294, 94 Stat. 611; Federal Power Act, as amended (16 U.S.C. 792-828c);
Public Utility Regulatory Policies Act of 1978 (16 U.S.C. 2601-2645); and the Department of Energy Organization Act
(42 U.S.C. 7101-7352); E.O. 12009, 3 CFR 142 (1978))
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18 CFR 4.102

[Order 202, 47 FR 4243, Jan. 29, 1982, as amended by Order 413, 50 FR 11687, Mar. 25, 1985; Order 482, 52 FR 39630, Oct. 23,
1987; Order 2002, 68 FR 51121, Aug. 25, 2003; Order 800, 79 FR 59111, Oct. 1, 2014]

§ 4.102 Surrender of exemption.
(a) To voluntarily surrender its exemption, a holder of an exemption for a small hydroelectric power project
must file a petition with the Commission.
(b)
(1) If construction has begun, prior to filing a petition with the Commission, the exemption holder must
consult with the fish and wildlife agencies in accordance with § 4.38, substituting for the information
required under § 4.38(b)(1) information appropriate to the disposition and restoration of the project
works and lands. The petition must set forth the exemption holder's plans with respect to disposition
and restoration of the project works and lands.
(2) If construction has begun, public notice of the petition will be given, and, at least 30 days thereafter,
the Commission will act upon the petition. New applications involving the site may be filed on the
next business day.
(c) If no construction had begun, unless the Commission issues an order to the contrary, the surrender will
take effect at the close of the thirtieth day after the Commission issues a public notice of receipt of the
petition. New applications involving the site may be filed on the next business day.
(d) Exemptions may be surrendered only upon fulfillment by the exemption holder of such obligations under
the exemption as the Commission may prescribe and, if construction has begun, upon such conditions
with respect to the disposition of such project works and restoration of project lands as may be
determined by the Commission and the Federal and state fish and wildlife agencies.
(e) Where occupancy of federal lands or reservations has been permitted by a Federal agency having
supervision over such lands, the exemption holder must concurrently notify that agency of the petition to
surrender and of the steps that will be taken to restore the affected U.S. lands or reservations.
[Order 413, 50 FR 11688, Mar. 25, 1985, as amended by Order 800, 79 FR 59111, Oct. 1, 2014]

§ 4.103 General provisions for case-specific exemption.
(a) Exemptible projects. Subject to the provisions in paragraph (b) of this section, § 4.31(c), and §§ 4.105 and
4.106, the Commission may exempt on a case-specific basis any small hydroelectric power project from
all or part of Part I of the Act, including licensing requirements. Any applications for exemption for a
project shall conform to the requirements of §§ 4.107 or 4.108, as applicable.
(b) Limitation for licensed water power project. The Commission will not accept for filing an application for
exemption from licensing for any project that is only part of a licensed water power project.
(c) Waiver. In applying for case-specific exemption from licensing, a qualified exemption applicant may
petition under § 385.207 of this chapter for waiver of any specific provision of §§ 4.102 through 4.107.
The Commission will grant a waiver only if consistent with section 408 of the Energy Security Act of 1980.
[Order 413, 50 FR 11688, Mar. 25, 1985, as amended by Order 503, 53 FR 36568, Sept. 21, 1988]

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18 CFR 4.104

§ 4.104 Amendment of exemption.
(a) An exemption holder must construct and operate its project as described in the exemption application
approved by the Commission or its delegate.
(b) If an exemption holder desires to change the design, location, method of construction or operation of its
project, it must first notify the appropriate Federal and state fish and wildlife agencies and inform them in
writing of the changes it intends to implement. If these agencies determine that the changes would not
cause the project to violate the terms and conditions imposed by the agencies, and if the changes would
not materially alter the design, location, method of construction or operation of the project, the exemption
holder may implement the changes. If any of these agencies determines that the changes would cause
the project to violate the terms and conditions imposed by that agency, or if the changes would materially
alter the design, location, method of construction or the operation of the project works, the exemption
holder may not implement the changes without first acquiring authorization from the Commission to
amend its exemption or acquiring a license for the project works that authorizes the project, as changed.
(c) An application to amend an exemption may be filed only by the holder of an exemption. An application to
amend an exemption will be governed by the Commission's regulations governing applications for
exemption. The Commission will not accept applications in competition with an application to amend an
exemption, unless the Director of the Office of Energy Projects determines that it is in the public interest
to do so.
[Order 413, 50 FR 11688, Mar. 25, 1985, as amended by Order 699, 72 FR 45324, Aug. 14, 2007]

§ 4.105 Action on exemption applications.
(a) Exemption from provisions other than licensing. An application for exemption of a small hydroelectric
power project from provisions of Part I of the Act other than the licensing requirement will be processed
and considered as part of the related application for license or amendment of license.
(b)
(1) Consultation. The Commission will circulate a notice of application for exemption from licensing to
interested agencies and Indian tribes at the time the applicant is notified that the application is
accepted for filing.
(2) Non-standard terms and conditions. In approving any application for exemption from licensing, the
Commission may prescribe terms or conditions in addition to those set forth in § 4.106 in order to:
(i)

Protect the quality or quantity of the related water supply;

(ii) Otherwise protect life, health, or property;
(iii) Avoid or mitigate adverse environmental impact; or
(iv) Better conserve, develop, or utilize in the public interest the water resources of the region.
(Energy Security Act of 1980, Pub. L. 96-294, 94 Stat. 611; Federal Power Act, as amended (16 U.S.C. 792-828c);
Public Utility Regulatory Policies Act of 1978 (16 U.S.C. 2601-2645); and the Department of Energy Organization Act
(42 U.S.C. 7101-7352); E.O. 12009, 3 CFR 142 (1978))
[Order 106, 45 FR 76123, Nov. 18, 1980, as amended by Order 202, 47 FR 4246, Jan. 29, 1982; Order 413, 50 FR 11688, Mar. 25,
1985; Order 533, 56 FR 23154, May 20, 1991]
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18 CFR 4.106

§ 4.106 Standard terms and conditions of case-specific exemption from licensing.
Any case-specific exemption from licensing granted for a small hydroelectric power project is subject to the
following standard terms and conditions:
(a) Article 1. The Commission reserves the right to conduct investigations under sections 4(g), 306, 307, and
311 of the Federal Power Act with respect to any acts, complaints, facts, conditions, practices, or other
matters related to the construction, operation, or maintenance of the exempt project. If any term or
condition of the exemption is violated, the Commission may revoke the exemption, issue a suitable order
under section 4(g) of the Federal Power Act, or take appropriate action for enforcement, forfeiture, or
penalties under Part III of the Federal Power Act.
(b) Article 2. The construction, operation, and maintenance of the exempt project must comply with any
terms and conditions that the United States Fish and Wildlife Service, the National Marine Fisheries
Service, and any state fish and wildlife agencies have determined are appropriate to prevent loss of, or
damage to, fish or wildlife resources or otherwise to carry out the purposes of the Fish and Wildlife
Coordination Act, as specified in exhibit E of the application for exemption from licensing or in the
comments submitted in response to the notice of exemption application.
(c) Article 3. The Commission may revoke this exemption if actual construction of any proposed generating
facilities has not begun within two years or has not been completed within four years from the date on
which this exemption was granted. If an exemption is revoked under this article, the Commission will not
accept from the prior exemption holder a subsequent application for exemption from licensing for the
same project within two years of the revocation.
(d) Article 4. This exemption is subject to the navigation servitude of the United States if the project is located
on navigable waters of the United States.
(e) Article 5. This exemption does not confer any right to use or occupy any Federal lands that may be
necessary for the development or operation of the project. Any right to use or occupy any Federal lands
for those purposes must be obtained from the administering Federal land agencies. The Commission may
accept a license application submitted by any qualified license applicant and revoke this exemption, if any
necessary right to use or occupy Federal lands for those purposes has not been obtained within one year
from the date on which this exemption was granted.
(f) Article 6. In order to best develop, conserve, and utilize in the public interest the water resources of the
region, the Commission may require that the exempt facilities be modified in structure or operation or may
revoke this exemption.
(g) Article 7. The Commission may revoke this exemption if, in the application process, material
discrepancies, inaccuracies, or falsehoods were made by or on behalf of the applicant.
(h) Article 8. Any exempted small hydroelectric power project that utilizes a dam that is more than 33 feet in
height above streambed, as defined in 18 CFR 12.31(c) of this chapter, impounds more than 2,000 acrefeet of water, or has a significant or high hazard potential, as defined in 33 CFR part 222, is subject to part
12 of the Commission's regulations, part 12 of this title (as they may be amended from time to time).
(i)

Article 9. Before transferring any property interests in the exempt project, the exemption holder must
inform the transferee of the terms and conditions of the exemption. Within 30 days of transferring the
property interests, the exemption holder must inform the Commission of the identity and address of the
transferee.

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18 CFR 4.107

[Order 106, 45 FR 76123, Nov. 18, 1980; 45 FR 77420, Nov. 24, 1980, as amended by Order 202, 47 FR 4246, Jan. 29, 1982; Order
413, 50 FR 11688, Mar. 25, 1985; Order 482, 52 FR 39630, Oct. 23, 1987; Order 413-A, 56 FR 31331, July 10, 1991; Order 756, 77
FR 4894, Feb. 1, 2012; Order 800, 79 FR 59111, Oct. 1, 2014]

§ 4.107 Contents of application for exemption from licensing.
(a) General requirements. An application for exemption from licensing submitted under this subpart must
contain the introductory statement, the exhibits described in this section, and, if the project structures
would use or occupy any lands other than Federal lands, an appendix containing documentary evidence
showing that applicant has the real property interests required under § 4.31(c)(2)(ii). The applicant must
identify in its application all Indian tribes that may be affected by the project.
(b) Introductory statement. The application must include an introductory statement that conforms to the
following format:

Before the Federal Energy Regulatory Commission
Application for Exemption of Small Hydroelectric Power Project From Licensing
(1) [Name of applicant] applies to the Federal Energy Regulatory Commission for an exemption for [name of
project], a small hydroelectric power project that is proposed to have an installed capacity of 10 megawatts or
less, from licensing under the Federal Power Act. [If applicable: The project is currently licensed as FERC
Project No. ________.]
(2) The location of the project is:
[State or territory]

[County]
[Township or nearby town]

[Stream or body of water]

(3) The exact name and business address of each applicant are:

(4) The exact name and business address of each person authorized to act as agent for the applicant in this
application are:

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18 CFR 4.107(c)

(5) [Name of applicant] is [specify, as appropriate: a citizen of the United States or other identified nation; an
association of citizens of the United States or other identified nation; a municipality; a state; or a corporation
incorporated under the laws of (specify the United States or the state or nation of incorporation, as
appropriate).]
(c) Exhibit A. Exhibit A must describe the small hydroelectric power project and its proposed mode of
operation. To the extent feasible, the information in this exhibit may be submitted in tabular form. The
applicant must submit the following information:
(1) A brief description of any existing dam and impoundment proposed to be utilized by the small
hydroelectric power project and any other existing or proposed project works and appurtenant
facilities, including intake facilities, diversion structures, powerhouses, primary transmission lines,
penstocks, pipelines, spillways, and other structures, and the sizes, capacities, and construction
materials of those structures.
(2) The number of existing and proposed generating units at the project, including auxiliary units, the
capacity of each unit, any provisions for future units, and a brief description of any plans for
retirement or rehabilitation of existing generating units.
(3) The type of each hydraulic turbine of the small hydroelectric power project.
(4) A description of how the power plant is to be operated, that is, run-of-river or peaking.
(5) A graph showing a flow duration curve for the project. Identify stream gauge(s) and period of record
used. If a synthetic record is utilized, provide details concerning its derivation. Furnish justification
for selection of installed capacity if the hydraulic capacity of proposed generating unit(s) plus the
minimum flow requirements, if not usable for power production, is less than the stream flow that is
exceeded 25 percent of the time.
(6) Estimations of:
(i)

The average annual generation in kilowatt-hours;

(ii) The average and design head of the power plant;
(iii) The hydraulic capacity of each turbine of the power plant (flow through the plant) in cubic feet
per second;
(iv) The number of surface acres of the man-made or natural impoundment used, if any, at its
normal maximum surface elevation and its net and gross storage capacities in acre-feet.
(7) The planned date for beginning and completing the proposed construction or development of
generating facilities.
(8) A description of the nature and extent of any repair, reconstruction, or other modification of a dam
that would occur in association with construction or development of the proposed small
hydroelectric power project, including a statement of the normal maximum surface area and normal
maximum surface elevation of any existing impoundment before and after construction.
(d) Exhibit G. Exhibit G is a map of the project and boundary and must conform to the specifications of §
4.41(h) of this chapter.

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18 CFR 4.107(e)

(e) Exhibit E. This exhibit is an environmental report that must include the following information,
commensurate with the scope and environmental impact of the construction and operation of the small
hydroelectric power project. See § 4.38 for consultation requirements.
(1) A description of the environmental setting of the project, including vegetative cover, fish and wildlife
resources, water quality and quantity, land and water uses, recreational uses, historical and
archeological resources, and scenic and aesthetic resources. The report must list any endangered or
threatened plant and animal species, any critical habitats, and any sites eligible for or included on
the National Register of Historic Places. The applicant may obtain assistance in the preparation of
this information from state natural resources agencies, the state historic preservation officer, and
from local offices of Federal natural resources agencies.
(2) A description of the expected environmental impacts from the proposed construction or
development and the proposed operation of the small hydroelectric power project, including any
impacts from any proposed changes in the capacity and mode of operation of the project if it is
already generating electric power, and an explanation of the specific measures proposed by the
applicant, the agencies consulted, and others to protect and enhance environmental resources and
values and to mitigate adverse impacts of the project on such resources.
(3) Any additional information the applicant considers important.
(f) Exhibit F. Exhibit F is a set of drawings showing the structures and equipment of the small hydroelectric
facility and must conform to the specifications of § 4.41(g) of this chapter.
[Order 106, 45 FR 76123, Nov. 18, 1980, as amended by Order 225, 47 FR 19056, May 3, 1982; Order 413, 50 FR 11689, Mar. 25,
1985; Order 494, 53 FR 15381, Apr. 29, 1988; Order 533, 56 FR 23154, May 20, 1991; Order 2002, 68 FR 51121, Aug. 25, 2003;
Order 699, 72 FR 45324, Aug. 14, 2007; Order 800, 79 FR 59111, Oct. 1, 2014]

§ 4.108 Contents of application for exemption from provisions other than licensing.
An application for exemption of a small hydroelectric power project from provisions of Part I of the Act other than
the licensing requirement need not be prepared according to any specific format, but must be included as an
identified appendix to the related application for license or amendment of license. The application for exemption
must list all sections or subsections of Part I of the Act for which exemption is requested.
[Order 106, 45 FR 76123, Nov. 18, 1980]

Subpart L—Application for Amendment of License
§ 4.200 Applicability.
This part applies to any application for amendment of a license, if the applicant seeks to:
(a) Make a change in the physical features of the project or its boundary, or make an addition, betterment,
abandonment, or conversion, of such character as to constitute an alteration of the license;
(b) Make a change in the plans for the project under license; or
(c) Extend the time fixed in the license for commencement or completion of project works.
[Order 184, 46 FR 55943, Nov. 13, 1981, as amended by Order 2002, 68 FR 51121, Aug. 25, 2003]
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18 CFR 4.201

§ 4.201 Contents of application.
An application for amendment of a license for a water power project must contain the following information in the
form specified.
(a) Initial statement.

Before the Federal Energy Regulatory Commission
Application for Amendment of License
(1) [Name of applicant] applies to the Federal Energy Regulatory Commission for an amendment of license for
the [name of project] water power project.
(2) The exact name, business address, and telephone number of the applicant are:

(3) The applicant is a [citizen of the United States, association of citizens of the United States, domestic
corporation, municipality, or state, as appropriate, see 16 U.S.C. 796], licensee for the water power project,
designated as Project No. ______ in the records of the Federal Energy Regulatory Commission, issued on the
____________ day of ______________, 19____.
(4) The amendments of license proposed and the reason(s) why the proposed changes are necessary, are:
[Give a statement or description]
(5)(i) The statutory or regulatory requirements of the state(s) in which the project would be located that affect
the project as proposed with respect to bed and banks and to the appropriation, diversion, and use of water for
power purposes are: [provide citation and brief identification of the nature of each requirement.]
(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 law.]
(b) Required exhibits for capacity related amendments. Any application to amend a license for a hydropower
project that involves additional capacity not previously authorized, and that would increase the actual or
proposed total installed capacity of the project, would result in an increase in the maximum hydraulic
capacity of the project of 15 percent or more, and would result in an increase in the installed name-plate
capacity of 2 megawatts or more, must contain the following exhibits, or revisions or additions to any
exhibits on file, commensurate with the scope of the licensed project:
(1) For amendment of a license for a water power project that, at the time the application is filed, is not
constructed and is proposed to have a total installed generating capacity of more than 10
MW—Exhibits A, B, C, D, E, F, and G under § 4.41;
(2) For amendment of a license for a water power project that, at the time the application is filed, is not
constructed and is proposed to have a total installed generating capacity of 1.5 MW or less—Exhibits
E, F, and G under § 4.61 of this chapter;
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18 CFR 4.201(b)(3)

(3) For amendment of a license for a water power project that, at the time the application is filed, is not
constructed and is proposed to have a total installed generating capacity of 10 MW or less, but more
than 1.5 MW—Exhibits F and G under § 4.61, and Exhibit E under § 4.41;
(4) For amendment of a license for a water power project that, at the time the application for
amendment is filed, has been constructed, and is proposed to have a total installed generating
capacity of 10 MW or less—Exhibit E, F, and G under § 4.61; and
(5) For amendment of a license for a water power project that, at the time the application is filed, has
been constructed and is proposed to have a total installed generating capacity of more than 10
MW—Exhibits A, B, C, D, E, F, and G under § 4.51.
(c) Required exhibits for non-capacity related amendments. Any application to amend a license for a water
power project that would not be a capacity related amendment as described in paragraph (b) of this
section must contain those exhibits that require revision in light of the nature of the proposed
amendments.
(d) Consultation and waiver.
(1) If an applicant for license amendment under this subpart believes that any exhibit required under
paragraph (b) of this section is inappropriate with respect to the particular amendment of license
sought by the applicant, a petition for waiver of the requirement to submit such exhibit may be
submitted to the Commission under § 385.207 of this chapter, after consultation with the
Commission's Division of Hydropower Compliance and Administration.
(2) A licensee wishing to file an application for amendment of license under this section may seek
advice from the Commission staff regarding which exhibits(s) must be submitted and whether the
proposed amendment is consistent with the scope of the existing licensed project.
[Order 184, 46 FR 55943, Nov. 13, 1981, as amended by Order 225, 47 FR 19056, May 3, 1982; 48 FR 4459, Feb. 1, 1983; 48 FR
16653, Apr. 19, 1983; Order 413, 50 FR 11689, Mar. 25, 1985; Order 533, 56 FR 23154, May 20, 1991; Order 756, 77 FR 4894, Feb.
1, 2012; Order 877, 86 FR 42714, Aug. 5, 2021]

§ 4.202 Alteration and extension of license.
(a) If it is determined that approval of the application for amendment of license would constitute a significant
alteration of license pursuant to section 6 of the Act, 16 U.S.C. 799, public notice of such application shall
be given at least 30 days prior to action upon the application.
(b) Any application for extension of time fixed in the license for commencement or completion of
construction of project works must be filed with the Commission not less than three months prior to the
date or dates so fixed.
[Order 184, 46 FR 55943, Nov. 13, 1981]

Subpart M—Fees Under Section 30(e) of the Act
Source: Order 487, 52 FR 48404, Dec. 22, 1987, unless otherwise noted.

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18 CFR 4.300

§ 4.300 Purpose, definitions, and applicability.
(a) Purpose. This subpart implements the amendments of section 30 of the Federal Power Act enacted by
section 7(c) of the Electric Consumers Protection Act of 1986 (ECPA). It establishes procedures for
reimbursing fish and wildlife agencies for costs incurred in connection with applications for an exemption
from licensing and applications for licenses seeking benefits under section 210 of the Public Utility
Regulatory Policies Act of 1978, as amended, for a project that would impound or divert the water of a
natural watercourse by means of a new dam or diversion.
(b) Definitions. For the purposes of this subpart—
(1) Cost means an expenditure made by a fish and wildlife agency:
(i)

On or after the effective date of this regulation for an application filed on or after the effective
date of this regulation; and

(ii) Directly related to setting mandatory terms and conditions for a proposed project pursuant to
section 30(c) of the Federal Power Act.
(2) Cost statement means a statement of the total costs for which a fish and wildlife agency requests
reimbursement including an itemized schedule of costs including, but not limited to, costs of
fieldwork and testing, contract costs, travel costs, personnel costs, and administrative and overhead
costs.
(3) Mandatory terms and conditions means terms and conditions of a license or exemption that a fish
and wildlife agency determines are appropriate to prevent loss of, or damage to, fish and wildlife
resources pursuant to section 30(c) of the Federal Power Act.
(4) New dam or diversion license applicant means an applicant for a license for a project that would
impound or divert the water of a natural watercourse by means of a new dam or diversion, as defined
in section 210(k) of the Public Utility Regulatory Policies Act of 1978, as amended.
(5) PURPA benefits means benefits under section 210 of the Public Utility Regulatory Policies Act of
1978, as amended.
(6) Section 30(c) application means an application for an exemption from licensing or a new dam or
diversion license application seeking PURPA benefits.
(c) Applicability. Except as provided in paragraph (d) of this section, this subpart applies to:
(1) Any application for exemption filed on or after the effective date of these regulations for costs
incurred by fish and wildlife agencies after the effective date of these regulations;
(2) Any new dam or diversion license application seeking PURPA benefits filed on or after April 16, 1988;
(3) Any new dam or diversion license application seeking PURPA benefits filed after the effective date of
this regulation, but before April 16, 1988, if the applicant fails to demonstrate in a monetary
resources petition filed with the Commission pursuant to § 292.208 of this chapter that, before
October 16, 1986, it had committed substantial monetary resources directly related to the
development of the proposed project and to the diligent and timely completion of all requirements of
the Commission for filing an acceptable application; and
(4) Any new dam or diversion license application seeking PURPA benefits filed after the effective date of
this regulation, if the application is not accepted for filing before October 16, 1989.
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18 CFR 4.300(d)

(d) Exceptions.
(1) This subpart does not apply to any new dam or diversion license application seeking PURPA benefits
if the moratorium described in section 8(e) of ECPA is in effect. The moratorium will end at the
expiration of the first full session of Congress following the session during which the Commission
reports to Congress on the results of the study required under section 8(d) of ECPA.
(2) This subpart does not apply to any new dam or diversion license application seeking PURPA benefits
for a project located at a Government dam, as defined in section 3(10) of the Federal Power Act, at
which non-Federal hydroelectric development is permissible.

§ 4.301 Notice to fish and wildlife agencies and estimation of fees prior to filing.
(a) Notice to agencies —
(1) New dam or diversion license applicants. During the initial stage or pre-filing agency consultation
under § 4.38(b)(1), a prospective new dam or diversion license applicant must inform each fish and
wildlife agency consulted in writing with a copy to the Commission whether it will seek PURPA
benefits.
(2) Exemption applicants. During the initial stage of pre-filing agency consultation under § 4.38(b)(1), a
prospective exemption applicant must notify each fish and wildlife agency consulted that it will seek
an exemption from licensing.
(b) Estimate of fees. Within the comment period provided in § 4.38(c)(5), a fish and wildlife agency must
provide a prospective section 30(c) applicant with a reasonable estimate of the total costs the agency
anticipates it will incur to set mandatory terms and conditions for the proposed project. An agency may
provide an applicant with an updated estimate as it deems necessary. If an agency believes that its most
recent estimate will be exceeded by more than 25 percent, it must supply the prospective applicant or
applicant with a new estimate and submit a copy to the Commission.
[Order 141, 12 FR 8485, Dec. 19, 1947, as amended by Order 756, 77 FR 4894, Feb. 1, 2012]

§ 4.302 Fees at filing.
(a) Filing requirement. A section 30(c) application must be accompanied by a fee or a bond, together with
copies of the most recent cost estimates provided by fish and wildlife agencies pursuant to § 4.301(b).
(b) Amount. The fee required under paragraph (a) of this section must be in an amount equal to 50 percent of
the most recent cost estimates provided by fish and wildlife agencies pursuant to § 4.301(b). In lieu of
this amount, an applicant may provide an unlimited term surety bond from a company on the Department
of Treasury's list of companies certified to write surety bonds. Applicants bonded by a company whose
certification by the Department of the Treasury lapses must provide evidence of purchase of another
bond from a certified company. A bond must be for an amount no less than 100 percent of the agencies'
most recent cost estimates pursuant to § 4.301(b).
(c) Failure to file. The Commission will reject a section 30(c) application if the applicant fails to comply with
the provisions of paragraphs (a) and (b) of this section.

§ 4.303 Post-filing procedures.
(a) Submission of cost statement —

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18 CFR 4.303(a)(1)

(1) Accepted applications. Within 60 days after the last date for filing mandatory terms and conditions
pursuant to § 4.32(c)(4) for a new dam or diversion license application seeking PURPA benefits, §
4.93(b) for an application for exemption of a small conduit hydroelectric facility, or § 4.105(b)(1) for
an application for case-specific exemption of a small hydroelectric power project, a fish and wildlife
agency must file with the Commission a cost statement of the reasonable costs the agency incurred
in setting mandatory terms and conditions for the proposed project. An agency may request, in
writing, along with any supporting documentation an extension of this 60-day period.
(2) Rejected, withdrawn or dismissed applications. The Director of the Office of Energy Projects
(Director) will, by letter, notify each fish and wildlife agency if a section 30(c) application is rejected,
withdrawn or dismissed. Within 60 days from the date of notification, a fish and wildlife agency must
file with the Commission a cost statement of the reasonable costs the agency incurred prior to the
date the application was rejected, withdrawn, or dismissed. An agency may submit a written request
for an extension of this 60-day period along with any supporting documentation.
(b) If an agency has not submitted a cost statement or extension request within the time provided in
paragraph (a)(2) of this section, it waives its right to receive fees for that project pursuant to this subpart.
(c) Billing. After the Commission receives a cost statement from all fish and wildlife agencies as required by
paragraph (a) of this section, the Commission will bill the section 30(c) applicant. The bill will show:
(1) The cost statement submitted to the Commission by each fish and wildlife agency;
(2) Any amounts already paid by the applicant pursuant to § 4.302; and
(3)
(i)

The amount due, if the amount already paid by the applicant pursuant to § 4.302 is less than the
total of all the cost statements; or

(ii) The amount to be refunded to the applicant, if the amount already paid by the applicant
pursuant to § 4.302 is more than the total of all the cost statements.
(d) Within 45 days from the date of a bill issued under paragraph (b) of this section, a section 30(c) applicant
must pay in full to the Commission any remaining amounts due on the cost statements regardless of
whether any of these amounts are in dispute.
(e) Dispute procedures —
(1) When to dispute. Any dispute regarding the reasonableness of any fish and wildlife agency cost
statement must be made within 45 days from the date of a bill issued under paragraph (b) of this
section.
(2) Assessment of disputed cost statements The burden of showing that an agency's cost statement is
unreasonable is on the applicant. However, a fish and wildlife agency must supply the disputing
applicant and the Commission with the documentation necessary to support its cost statement. The
Director of the Office of Energy Projects will determine the reasonableness of a disputed fish and
wildlife agency cost statement. The Director's decision will be in writing. The Director will notify the
disputing applicant and the fish and wildlife agency of the decision by letter. Any decision of the
Director may be appealed by either party pursuant to 18 CFR 385.1902. In deciding whether or not a

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18 CFR 4.303(e)(2)(i)

disputed cost statement is reasonable, the Director will review the application, the disputed cost
statement and any other documentation relating to the particular environmental problems
associated with the disputing applicant's proposed project. The Director will consider such factors
as:
(i)

The time the fish and wildlife agency spent reviewing the application;

(ii) The proportion of the cost statement to the time the fish and wildlife agency spent reviewing
the application;
(iii) Whether the fish and wildlife agency's expenditures conform to Federal expenditure guidelines
for such items as travel, per diem, personnel, and contracting; and
(iv) Whether the studies conducted by the agency, if any, are duplicative, limited to the proposed
project area, unnecessary to determine the impacts to or mitigation measures for the particular
fish and wildlife resources affected by the proposed project, or otherwise unnecessary to set
terms and conditions for the proposed project.
(3) Unreasonable cost statements. If the Director determines that a disputed fish and wildlife agency
cost statement is unreasonable, the disputing applicant and the fish and wildlife agency will be
afforded 45 days from the date of notification to attempt to reach an agreement regarding the
reimbursable costs of the agency. If the disputing applicant and the fish and wildlife agency fail to
reach an agreement on the disputed cost statement within 45 days from the date of notification, the
Director will determine the costs that the agency should reasonably have incurred.
(f) Refunds.
(1) If the amount paid by a section 30(c) applicant under § 4.302 exceeds the total amount of the cost
statements submitted by fish and wildlife agencies under paragraph (a) of this section, the
Commission will notify the Treasury to refund the difference to the applicant within 45 days from the
date of the bill issued to the applicant under paragraph (b) of this section.
(2) If the amount paid by a section 30(c) applicant exceeds the amount determined to be reasonable by
the Director pursuant to paragraph (d)(2) of this section, the Commission will notify the Treasury to
refund the difference to the applicant within 45 days of the resolution of all dispute proceedings.
[Order 487, 52 FR 48404, Dec. 22, 1987, as amended by Order 647, 69 FR 32438, June 10, 2004]

§ 4.304 Payment.
(a) A payment required under this subpart must be made by check payable to the United States Treasury. The
check must indicate that the payment is for ECPA Fees.
(b) If a payment required under this subpart is not made within the time period prescribed for making such
payment, interest and penalty charges will be assessed. Interest and penalty charges will be computed in
accordance with 31 U.S.C. 3717 and 4 CFR part 102.
(c) The Commission will not issue a license or exemption, unless the applicant has made full payments of
any fees due under § 4.303(c).

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18 CFR 4.305

§ 4.305 Enforcement.
(a) The Commission may take any appropriate action permitted by law if a section 30(c) applicant does not
make a payment required under this subpart. The Commission will not be liable to any fish and wildlife
agency for failure to collect any amounts under this subpart.
(b) If the Commission is unable to collect the full amount due by a section 30(c) applicant on behalf of more
than one agency, the amount the Commission does collect will be distributed to the agencies on a pro-rata
basis except if an agency's cost statement is greater than its most recent estimate to the applicant under
§ 4.301(b), then the difference between the estimate and the cost statement will not be reimbursed until
any amounts owed to other agencies have been paid.

Subpart N—Notice of Intent To Construct Qualifying Conduit Hydropower Facilities
Source: Order 800, 79 FR 59111, Oct. 1, 2014, unless otherwise noted.

§ 4.400 Applicability and purpose.
This part implements section 30(a) of the Federal Power Act, as amended, and provides procedures for obtaining a
determination from the Commission that the facility to be constructed is a qualifying conduit hydropower facility, as
defined in § 4.30(b)(26), and thus, is not required to be licensed under Part I of the FPA.
[Order 800, 79 FR 59111, Oct. 1, 2014, as amended by Order 857, 84 FR 7991, Mar. 6, 2019]

§ 4.401 Contents of notice of intent to construct a qualifying conduit hydropower facility.
(a) A notice of intent to construct a qualifying conduit hydropower facility submitted under this subpart must
contain the following:
(1) An introductory statement as described in paragraph (b) of this section;
(2) A statement that the proposed project will use the hydroelectric potential of a non-federally owned
conduit as set forth in paragraph (c) of this section;
(3) A statement that the proposed facility has not been licensed or exempted from the licensing
requirements of Part I of the FPA, on or before August 9, 2013, as set forth in in paragraph (d) of this
section;
(4) A description of the proposed facility as set forth in paragraph (e) of this section;
(5) Project drawings as set forth in paragraph (f) of this section;
(6) If applicable, the preliminary permit project number for the proposed facility; and,
(7) Verification as set forth in paragraph (g) of this section.
(b) Introductory statement. The introductory statement must be set forth in the following format:

BEFORE THE FEDERAL ENERGY REGULATORY COMMISSION

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18 CFR 4.401(c)

NOTICE OF INTENT TO CONSTRUCT QUALIFYING CONDUIT HYDROPOWER FACILITY
[Name of applicant] applies to the Federal Energy Regulatory Commission for a determination that the
[facility name] is a qualifying conduit hydropower facility, meeting the requirements of section 30(a) of the
Federal Power Act, as amended.
The location of the facility is:
State or Territory:
County:
Township or nearby town:
Water source:
The exact name and business address of the applicant(s) are:
Applicant's Name:
Address:
Telephone Number:
Email Address:
The exact name and business address of each person authorized to act as an agent for the applicant(s) in this
notice of intent are:
Name of Agent:
Address:
Telephone Number:
Email Address:
[Name of applicant] is [a citizen of the United States, an association of citizens of the United States, a
municipality, State, or a corporation incorporated under the laws of (specify the United States or the state of
incorporation), as appropriate].
(c) Non-Federal Conduit Statement. The non-federal conduit statement must be set forth in the following
format:
The [facility name] will use the hydroelectric potential of a non-federally owned conduit.
(d) Original facility statement. The original facility statement must be set forth in the following format:
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18 CFR 4.401(e)

The [facility name] has not been licensed or exempted from the licensing requirements of Part I of the
FPA, on or before August 9, 2013, the date of enactment of the Hydropower Regulatory Efficiency Act.
(e) Description of proposed facility. Description of proposed facility must include:
(1) A detailed description of any conduits and associated consumptive water supply facilities, intake
facilities, powerhouses, and any other structures associated with the facility;
(2) The purposes for which the conduit is used;
(3) The number, type, generating capacity (kW or MW), and estimated average annual generation (kWh
or MWh) of the generating units and brief description of any plans for future units; and,
(4) A description of the nature and extent of the dam that would occur in association with construction
of the proposed qualifying conduit hydroelectric facility, including a statement of the normal
maximum surface area and normal maximum surface elevation of any existing impoundment before
and after that construction; and any evidence that the construction of the dam would occur for
agricultural, municipal, or industrial consumptive purposes even if the hydropower generating
facilities were not installed.
(f) Drawings, maps, diagrams. Include a set of drawings/maps/diagrams showing the structures and
equipment of the hydropower facility in relation to the existing conduit. Drawings of the facility must
include:
(1) A Plan View (overhead view) drawing of the proposed hydropower facilities, which includes the
following:
(i)

The hydropower facilities, including all intake and discharge pipes, and how those pipes
connect to the conduit;

(ii) The portion of the conduit in proximity to the facilities on which the hydropower facilities will be
located;
(iii) The dimensions (e.g., length, width, diameter) of all facilities, intakes, discharges, and conduits;
(iv) Identification of facilities as either existing or proposed;
(v) The flow direction labelled on all intakes, discharges, and conduits; and,
(2) A Location Map showing the facilities and their relationship to the nearest town, which includes the
following:
(i)

The powerhouse location labeled, and its latitude and longitude identified; and,

(ii) The nearest town, if possible, or other permanent monuments or objects, such as roads or other
structures that can be easily noted on the map and identified in the field.
(g) Verification. Provide verification using either a sworn, notarized statement set forth in paragraph (g)(1) of
this section or an unsworn statement set forth in paragraph (g)(2) of this section.
(1) As to any facts alleged in the notice of intent to construct or other materials filed, be subscribed and
verified under oath in the form set forth below by the person filing, an officer thereof, or other person
having knowledge of the matters set forth. If the subscription and verification is by anyone other
than the person filing or an officer thereof, it shall include a statement of the reasons therefor.
This (notice of intent to construct, etc.) is executed in the:
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18 CFR 4.401(g)(1)

State of:
County of:
by:
(Name)
(Address)
being duly sworn, depose(s) and say(s) that the contents of this (notice of intent to construct, etc.) are true to
the best of (his or her) knowledge or belief. The undersigned applicant(s) has (have) signed the (notice of
intent to construct, etc.) this __________day of ____________, 20____.
By:
Subscribed and sworn to before me, a ____________ [Notary Public, or title of other official authorized by the
state to notarize documents, as appropriate] of the State of ____________this day of ____________, 20____.
/SEAL/[if any]

(Notary Public, or other authorized official)
(2) I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed
on ____________[date].

(Signature)
[Order 800, 79 FR 59111, Oct. 1, 2014, as amended by Order 857, 84 FR 7991, Mar. 6, 2019; Order 877, 86 FR 42715, Aug. 5, 2021]

18 CFR 4.401(g)(1) (enhanced display)

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