18 CFR Part 5

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ELECTRONIC CODE OF FEDERAL REGULATIONS
e-CFR data is current as of July 13, 2021
Title 18 → Chapter I → Subchapter B → Part 5
Title 18: Conservation of Power and Water Resources
PART 5—INTEGRATED LICENSE APPLICATION PROCESS
Contents
§5.1 Applicability, definitions, and requirement to consult.
§5.2 Document availability.
§5.3 Process selection.
§5.4 Acceleration of a license expiration date.
§5.5 Notification of intent.
§5.6 Pre-application document.
§5.7 Tribal consultation.
§5.8 Notice of commencement of proceeding and scoping document, or of
approval to use traditional licensing process or alternative procedures.
§5.9 Comments and information or study requests.
§5.10 Scoping Document 2.
§5.11 Potential Applicant's proposed study plan and study plan meetings.
§5.12 Comments on proposed study plan.
§5.13 Revised study plan and study plan determination.
§5.14 Formal study dispute resolution process.
§5.15 Conduct of studies.
§5.16 Preliminary licensing proposal.
§5.17 Filing of application.
§5.18 Application content.
§5.19 Tendering notice and schedule.
§5.20 Deficient applications.
§5.21 Additional information.
§5.22 Notice of acceptance and ready for environmental analysis.
§5.23 Response to notice.
§5.24 Applications not requiring a draft NEPA document.
§5.25 Applications requiring a draft NEPA document.
§5.26 Section 10(j) process.
§5.27 Amendment of application.
§5.28 Competing applications.
§5.29 Other provisions.

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§5.30 Critical energy infrastructure information.
§5.31 Transition provision.
AUTHORITY: 16 U.S.C. 792-828c, 2601-2645; 42 U.S.C. 7101-7352.

SOURCE: Order 2002, 68 FR 51121, Aug. 25, 2003, unless otherwise noted.

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§5.1 Applicability, definitions, and requirement to consult.
(a) This part applies to the filing and processing of an application for an:
(1) Original license;
(2) New license for an existing project subject to Sections 14 and 15 of the
Federal Power Act; or
(3) Subsequent license.
(b) Definitions. The definitions in §4.30(b) of this chapter and §16.2 of this
chapter apply to this chapter.
(c) Who may file. Any citizen, association of citizens, domestic corporation,
municipality, or state may develop and file a license application under this part.
(d) Requirement to consult. (1) Before it files any application for an original,
new, or subsequent license under this part, a potential applicant must consult with
the relevant Federal, state, and interstate resource agencies, including as
appropriate the National Marine Fisheries Service, the United States Fish and
Wildlife Service, Bureau of Indian Affairs, the National Park Service, the United
States Environmental Protection Agency, the Federal agency administering any
United States lands utilized or occupied by the project, the appropriate state fish and
wildlife agencies, the appropriate state water resource management agencies, the
certifying agency or Indian tribe under Section 401(a)(1) of the Federal Water
Pollution Control Act (Clean Water Act), 33 U.S.C. 1341(c)(1)), the agency that
administers the Coastal Zone Management Act, 16 U.S.C. §1451-1465, any Indian
tribe that may be affected by the project, and members of the public. A potential
license applicant must 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.
(2) 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 non-governmental organizations likely to be
interested in any license application proceeding.

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(e) Purpose. The purpose of the integrated licensing process provided for in this
part is to provide an efficient and timely licensing process that continues to ensure
appropriate resource protections through better coordination of the Commission's
processes with those of Federal and state agencies and Indian tribes that have
authority to condition Commission licenses.
(f) Default process. Each potential original, new, or subsequent license
applicant must use the license application process provided for in this part unless
the potential applicant applies for and receives authorization from the Commission
under this part to use the licensing process provided for in:
(1) 18 CFR part 4, Subparts D-H and, as applicable, part 16 (i.e., traditional
process), pursuant to paragraph (c) of this section; or
(2) Section 4.34(i) of this chapter, Alternative procedures.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003; 68 FR 69957, Dec.
16, 2003]

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§5.2 Document availability.
(a) Pre-application document. (1) From the date a potential license applicant
files a notification of intent to seek a license pursuant to §5.5 until any related
license application proceeding is terminated by the Commission, the potential
license applicant must make reasonably available to the public for inspection at its
principal place of business or another location that is more accessible to the public,
the pre-application document and any materials referenced therein. These materials
must be available for inspection during regular business hours in a form that is
readily accessible, reviewable, and reproducible.
(2) The materials specified in paragraph (a)(1) of this section must be made
available to the requester at the location specified in paragraph (a)(1) of this section
or through the mail, or otherwise. Except as provided in paragraph (a)(3) of this
section, copies of the pre-application document and any materials referenced
therein must be made available at their reasonable cost of reproduction plus, if
applicable, postage.
(3) A potential licensee must make requested copies of the materials specified
in paragraph (a)(1) of this section available to the United States Fish and Wildlife
Service, the National Marine Fisheries Service, the state agency responsible for fish
and wildlife resources, any affected Federal land managing agencies, and Indian
tribes without charge for the costs of reproduction or postage.
(b) License application. (1) From the date on which a license application is filed
under this part until the licensing proceeding for the project is terminated by the

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Commission, the license applicant must make reasonably available to the public for
inspection at its principal place of business or another location that is more
accessible to the public, a copy of the complete application for license, together with
all exhibits, appendices, and any amendments, pleadings, supplementary or
additional information, or correspondence filed by the applicant with the Commission
in connection with the application. These materials must be available for inspection
during regular business hours 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.
(2) 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.
(3) The materials specified in paragraph (b)(1) of this section must be made
available to the requester at the location specified in paragraph (b)(1) of this section
or through the mail. Except as provided in paragraph (b)(4) of this section, copies of
the license application and any materials referenced therein must be made available
at their reasonable cost of reproduction plus, if applicable, postage.
(4) A licensee applicant must make requested copies of the materials specified
in paragraph (b)(1) of this section available to the United States Fish and Wildlife
Service, the National Marine Fisheries Service, and the state agency responsible for
fish and wildlife resources, any affected Federal land managing agencies, and
Indian tribes without charge for the costs of reproduction or postage.
(c) Confidentiality of cultural information. A potential applicant must delete from
any information made available to the public under paragraphs (a) and (b) of 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 of the site at which the sources are located, or would violate any Federal law,
include the Archeological Resources Protection Act of 1979, 16 U.S.C. 470w-3, and
the National Historic Preservation Act of 1966, 16 U.S.C. 470hh.
(d) Access. Anyone may file a petition with the Commission requesting access
to the information specified in paragraphs (a) or (b) of this section if it believes that
the potential applicant or 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.
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§5.3 Process selection.
(a)(1) Notwithstanding any other provision of this part or of parts 4 and 16 of
this chapter, a potential applicant for a new, subsequent, or original license may until

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July 23, 2005 elect to use the licensing procedures of this part or the licensing
procedures of parts 4 and 16.
(2) Any potential license applicant that files its notification of intent pursuant to
§5.5 and pre-application document pursuant to §5.6 after July 23, 2005 must
request authorization to use the licensing procedures of parts 4 and 16, as provided
for in paragraphs (b)-(f) of this section.
(b) A potential license applicant may file with the Commission a request to use
the traditional licensing process or alternative procedures pursuant to this Section
with its notification of intent pursuant to §5.5.
(c)(1)(i) An application for authorization to use the traditional process must
include justification for the request and any existing written comments on the
potential applicant's proposal and a response thereto.
(ii) A potential applicant requesting authorization to use the traditional process
should address the following considerations:
(A) Likelihood of timely license issuance;
(B) Complexity of the resource issues;
(C) Level of anticipated controversy;
(D) Relative cost of the traditional process compared to the integrated process;
(E) The amount of available information and potential for significant disputes
over studies; and
(F) Other factors believed by the applicant to be pertinent
(2) A potential applicant requesting the use of §4.34(i) alternative procedures of
this chapter must:
(i) Demonstrate that a reasonable effort has been made to contact all agencies,
Indian tribes, and others affected by the applicant's request, 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 potential applicant's proposal and proposals and
recommendations of interested entities; and

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(iii) Provide a copy of the request to all affected resource agencies and Indian
tribes and to all entities contacted by the applicant that have expressed an interest
in the alternative pre-filing consultation process.
(d)(1) The potential applicant must provide a copy of the request to use the
traditional process or alternative procedures to all affected resource agencies,
Indian tribes, and members of the public likely to be interested in the proceeding.
The request must state that comments on the request to use the traditional process
or alternative procedures, as applicable, must be filed with the Commission within
30 days of the filing date of the request and, if there is no project number, that
responses must reference the potential applicant's name and address.
(2) The potential applicant must also publish notice of the filing of its notification
of intent, of the pre-application document, and of any request to use the traditional
process or alternative procedures no later than the filing date of the notification of
intent in a daily or weekly newspaper of general circulation in each county in which
the project is located. The notice must:
(i) Disclose the filing date of the request to use the traditional process or
alternative procedures, and the notification of intent and pre-application document;
(ii) Briefly summarize these documents and the basis for the request to use the
traditional process or alternative procedures;
(iii) Include the potential applicant's name and address, and telephone number,
the type of facility proposed to be applied for, its proposed location, the places
where the pre-application document is available for inspection and reproduction;
(iv) Include a statement that comments on the request to use the traditional
process or alternative procedures are due to the Commission and the potential
applicant no later than 30 days following the filing date of that document and, if there
is no project number, that responses must reference the potential applicant's name
and address;
(v) State that comments on any request to use the traditional process should
address, as appropriate to the circumstances of the request, the:
(A) Likelihood of timely license issuance;
(B) Complexity of the resource issues;
(C) Level of anticipated controversy;
(D) Relative cost of the traditional process compared to the integrated process;
and

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(E) The amount of available information and potential for significant disputes
over studies; and
(F) Other factors believed by the commenter to be pertinent; and
(vi) State that respondents must submit comments to the Secretary of the
Commission in accordance with filing procedures posted on the Commission's Web
site at http://www.ferc.gov.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003, as amended by
Order 737, 75 FR 43402, July 26, 2010]

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§5.4 Acceleration of a license expiration date.
(a) Request for acceleration. (1) No later than five and one-half years prior to
expiration of an existing license, a licensee may file with the Commission, in
accordance with the formal filing requirements in subpart T of part 385 of this
chapter, a written request for acceleration of the expiration date of its existing
license, containing the statements and information specified in §16.6(b) of this
chapter and a detailed explanation of the basis for the acceleration request.
(2) If the Commission grants the request for acceleration pursuant to paragraph
(c) of this section, the Commission will deem the request for acceleration to be a
notice of intent under §16.6 of this chapter and, unless the Commission directs
otherwise, the licensee must make available the Pre-Application Document provided
for in §5.6 no later than 90 days from the date that the Commission grants the
request for acceleration.
(b) Notice of request for acceleration. (1) Upon receipt of a request for
acceleration, the Commission will give notice of the licensee's request and provide a
45-day period for comments by interested persons by:
(i) Publishing notice in the FEDERAL REGISTER;
(ii) Publishing notice once in a daily or weekly newspaper published in the
county or counties in which the project or any part thereof or the lands affected
thereby are situated; and
(iii) Notifying appropriate Federal, state, and interstate resource agencies and
Indian tribes, and non-governmental organizations likely to be interested, by
electronic means if practical, otherwise by mail.
(2) The notice issued pursuant to paragraphs (b)(1)(A) and (B) and the written
notice given pursuant to paragraph (b)(1)(C) will be considered as fulfilling the notice
provisions of §16.6(d) of this chapter should the Commission grant the acceleration

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request and will include an explanation of the basis for the licensee's acceleration
request.
(c) Commission order. If the Commission determines it is in the public interest,
the Commission will issue an order accelerating the expiration date of the license to
not less than five years and 90 days from the date of the Commission order.
[Order 2002, 68 FR 51121, Aug. 25, 2003, as amended by Order 653, 70 FR 8724, Feb.
23, 2005]

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§5.5 Notification of intent.
(a) Notification of intent. A potential applicant for an original, new, or
subsequent license, must file a notification of its intent to do so in the manner
provided for in paragraphs (b) and (c) of this section.
(b) Requirement to notify. In order for a non-licensee to notify the Commission
that it intends to file an application for an original, new, or subsequent license, or for
an existing licensee to notify the Commission whether or not it intends to file an
application for a new or subsequent license, a potential license applicant must file
with the Secretary of the Commission in accordance with filing procedures posted
on the Commission's Web site at http://www.ferc.gov, a letter that contains the
following information:
(1) The potential applicant or existing licensee's name and address.
(2) The project number, if any.
(3) The license expiration date, if any.
(4) An unequivocal statement of the potential applicant's intention to file an
application for an original license, or, in the case of an existing licensee, to file or not
to file an application for a new or subsequent license.
(5) The type of principal project works licensed, if any, such as dam and
reservoir, powerhouse, or transmission lines.
(6) The location of the project by state, county, and stream, and, when
appropriate, by city or nearby city.
(7) The installed plant capacity, if any.
(8) The names and mailing addresses of:

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(i) Every county in which any part of the project is located, and in which any
Federal facility that is used or to be used by the project is located;
(ii) Every city, town, or similar political subdivision;
(A) In which any part of the project is or is to be located and any Federal facility
that is or is to be used by the project is located, or
(B) That has a population of 5,000 or more people and is located within 15
miles of the existing or proposed project dam;
(iii) Every irrigation district, drainage district, or similar special purpose political
subdivision:
(A) In which any part of the project is or is proposed to be located and any
Federal facility that is or is proposed to be used by the project is located; or
(B) That owns, operates, maintains, or uses any project facility or any Federal
facility that is or is proposed to be used by the project;
(iv) Every other political subdivision in the general area of the project or
proposed project that there is reason to believe would be likely to be interested in, or
affected by, the notification; and
(v) Affected Indian tribes.
(c) Requirement to distribute. Before it files any application for an original, new,
or subsequent license, a potential license applicant proposing to file a license
application pursuant to this part or to request to file a license application pursuant to
part 4 of this chapter and, as appropriate, part 16 of this chapter (i.e., the “traditional
process”), including an application pursuant to §4.34(i) alternative procedures of this
chapter must distribute to appropriate Federal, state, and interstate resource
agencies, Indian tribes, local governments, and members of the public likely to be
interested in the proceeding the notification of intent provided for in paragraph (a) of
this section.
(d) When to notify. An existing licensee or non-licensee potential applicant must
notify the Commission as required in paragraph (b) of this section at least five years,
but not more than five and one-half years, before the existing license expires.
(e) Non-Federal representatives. A potential license applicant may at the same
time it files its notification of intent and distributes its pre-application document,
request to be designated as the Commission's non-Federal representative for
purposes of consultation under section 7 of the Endangered Species Act and the
joint agency regulations thereunder at 50 CFR part 402, Section 305(b) of the
Magnuson-Stevens Fishery Conservation and Management Act and the
implementing regulations at 50 CFR 600.920. A potential license applicant may at

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the same time request authorization to initiate consultation under section 106 of the
National Historic Preservation Act and the implementing regulations at 36 CFR
800.2(c)(4).
(f) Procedural matters. The provisions of subpart F of part 16 of this chapter
apply to projects to which this part applies.
(g) Construction of regulations. The provisions of this part and parts 4 and 16
shall be construed in a manner that best implements the purposes of each part and
gives full effect to applicable provisions of the Federal Power Act.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 69957, Dec. 16, 2003, as amended by
Order 737, 75 FR 43402, July 26, 2010]

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§5.6 Pre-application document.
(a) Pre-application document. (1) Simultaneously with the filing of its notification
of intent to seek a license as provided for in §5.5, and before it files any application
for an original, new, or subsequent license, a potential applicant for a license to be
filed pursuant to this part or part 4 of this chapter and, as appropriate, part 16 of this
chapter, must file with the Secretary of the Commission in accordance with filing
procedures posted on the Commission's Web site at http://www.ferc.gov and
distribute to the appropriate Federal, state, and interstate resource agencies, Indian
tribes, local governments, and members of the public likely to be interested in the
proceeding, the pre-application document provided for in this section.
(2) The agencies referred to in paragraph (a)(1) of this section include: Any
state agency with responsibility for fish, wildlife, and botanical resources, water
quality, coastal zone management plan consistency certification, shoreline
management, and water resources; the U.S. Fish and Wildlife Service; the National
Marine Fisheries Service; Environmental Protection Agency; State Historic
Preservation Officer; Tribal Historic Preservation Officer; National Park Service;
local, state, and regional recreation agencies and planning commissions; local and
state zoning agencies; and any other state or Federal agency or Indian tribe with
managerial authority over any part of project lands and waters.
(b) Purpose of pre-application document. (1) The pre-application document
provides the Commission and the entities identified in paragraph (a) of this section
with existing information relevant to the project proposal that is in the potential
applicant's possession or that the potential applicant can obtain with the exercise of
due diligence. This existing, relevant, and reasonably available information is
distributed to these entities to enable them to identify issues and related information
needs, develop study requests and study plans, and prepare documents analyzing
any license application that may be filed. It is also a precursor to the environmental
analysis section of the Preliminary Licensing Proposal or draft license application

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provided for in §5.16, Exhibit E of the final license application, and the Commission's
scoping document(s) and environmental impact statement or environmental
assessment under the National Environmental Policy Act (NEPA).
(2) A potential applicant is not required to conduct studies in order to generate
information for inclusion in the pre-application document. Rather, a potential
applicant must exercise due diligence in determining what information exists that is
relevant to describing the existing environment and potential impacts of the project
proposal (including cumulative impacts), obtaining that information if the potential
applicant does not already possess it, and describing or summarizing it as provided
for in paragraph (d) of this section. Due diligence includes, but is not limited to,
contacting appropriate agencies and Indian tribes that may have relevant
information and review of Federal and state comprehensive plans filed with the
Commission and listed on the Commission's Web site at http://www.ferc.gov.
(c) Form and distribution protocol—(1) General requirements. As specifically
provided for in the content requirements of paragraph (d) of this section, the preapplication document must describe the existing and proposed (if any) project
facilities and operations, provide information on the existing environment, and
existing data or studies relevant to the existing environment, and any known and
potential impacts of the proposed project on the specified resources.
(2) Availability of source information and studies. The sources of information on
the existing environment and known or potential resource impacts included in the
descriptions and summaries must be referenced in the relevant section of the
document, and in an appendix to the document. The information must be provided
upon request to recipients of the pre-application document. A potential applicant
must provide the requested information within 20 days from receipt of the request.
Potential applicants and requesters are strongly encouraged to use electronic
means or compacts disks to distribute studies and other forms of information, but a
potential applicant must, upon request, provide the information in hard copy form.
The potential applicant is also strongly encouraged to include with the preapplication document any written protocol for distribution consistent with this
paragraph to which it has agreed with agencies, Indian tribes, or other entities.
(d) Content requirements—(1) Process plan and schedule. The pre-application
document must include a plan and schedule for all pre-application activity that
incorporates the time frames for pre-filing consultation, information gathering, and
studies set forth in this part. The plan and schedule must include a proposed
location and date for the scoping meeting and site visit required by §5.8(b)(3)(viii).
(2) Project location, facilities, and operations. The potential applicant must
include in the pre-application document:
(i) The exact name and business address, and telephone number of each
person authorized to act as agent for the applicant;

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(ii) Detailed maps showing lands and waters within the project boundary by
township, range, and section, as well as by state, county, river, river mile, and
closest town, and also showing the specific location of any Federal and tribal lands,
and the location of proposed project facilities, including roads, transmission lines,
and any other appurtenant facilities;
(iii) A detailed description of all existing and proposed project facilities and
components, including:
(A) The physical composition, dimensions, and general configuration of any
dams, spillways, penstocks, canals, powerhouses, tailraces, and other structures
proposed to be included as part of the project or connected directly to it;
(B) The normal maximum water surface area and normal maximum water
surface elevation (mean sea level), gross storage capacity of any impoundments;
(C) The number, type, and minimum and maximum hydraulic capacity and
installed (rated) capacity of any proposed turbines or generators to be included as
part of the project;
(D) The number, length, voltage, and interconnections of any primary
transmission lines proposed to be included as part of the project, including a singleline diagram showing the transfer of electricity from the project to the transmission
grid or point of use; and
(E) An estimate of the dependable capacity, average annual, and average
monthly energy production in kilowatt hours (or mechanical equivalent);
(iv) A description of the current (if applicable) and proposed operation of the
project, including any daily or seasonal ramping rates, flushing flows, reservoir
operations, and flood control operations.
(v) In the case of an existing licensed project;
(A) A complete description of the current license requirements; i.e., the
requirements of the original license as amended during the license term;
(B) A summary of project generation and outflow records for the five years
preceding filing of the pre-application document;
(C) Current net investment; and
(D) A summary of the compliance history of the project, if applicable, including a
description of any recurring situations of non-compliance.

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(vi) A description of any new facilities or components to be constructed, plans
for future development or rehabilitation of the project, and changes in project
operation.
(3) Description of existing environment and resource impacts—(i) General
requirements. A potential applicant must, based on the existing, relevant, and
reasonably available information, include a discussion with respect to each resource
that includes:
(A) A description of the existing environment as required by paragraphs (d)(3)
(ii)-(xiii) of this section;
(B) Summaries (with references to sources of information or studies) of existing
data or studies regarding the resource;
(C) A description of any known or potential adverse impacts and issues
associated with the construction, operation or maintenance of the proposed project,
including continuing and cumulative impacts; and
(D) A description of any existing or proposed project facilities or operations, and
management activities undertaken for the purpose of protecting, mitigating impacts
to, or enhancing resources affected by the project, including a statement of whether
such measures are required by the project license, or were undertaken for other
reasons. The type and amount of the information included in the discussion must be
commensurate with the scope and level of resource impacts caused or potentially
caused by the proposed project. Potential license applicants are encouraged to
provide photographs or other visual aids, as appropriate, to supplement text, charts,
and graphs included in the discussion.
(ii) Geology and soils. Descriptions and maps showing the existing geology,
topography, and soils of the proposed project and surrounding area. Components of
the description must include:
(A) A description of geological features, including bedrock lithology,
stratigraphy, structural features, glacial features, unconsolidated deposits, and
mineral resources at the project site;
(B) A description of the soils, including the types, occurrence, physical and
chemical characteristics, erodability and potential for mass soil movement;
(C) A description of reservoir shorelines and streambanks, including:
(1) Steepness, composition (bedrock and unconsolidated deposits), and
vegetative cover; and

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(2) Existing erosion, mass soil movement, slumping, or other forms of instability,
including identification of project facilities or operations that are known to or may
cause these conditions.
(iii) Water resources. A description of the water resources of the proposed
project and surrounding area. This must address the quantity and quality
(chemical/physical parameters) of all waters affected by the project, including but
not limited to the project reservoir(s) and tributaries thereto, bypassed reach, and
tailrace. Components of the description must include:
(A) Drainage area;
(B) The monthly 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, specifying any adjustments made for evaporation, leakage, minimum flow
releases, or other reductions in available flow;
(C) A monthly flow duration curve indicating the period of record and the
location of gauging station(s), including identification number(s), used in deriving the
curve; and a specification of the critical streamflow used to determine the project's
dependable capacity;
(D) Existing and proposed uses of project waters for irrigation, domestic water
supply, industrial and other purposes, including any upstream or downstream
requirements or constraints to accommodate those purposes;
(E) Existing instream flow uses of streams in the project area that would be
affected by project construction and operation; information on existing water rights
and water rights applications potentially affecting or affected by the project;
(F) Any federally-approved water quality standards applicable to project waters;
(G) Seasonal variation of existing water quality data for any stream, lake, or
reservoir that would be affected by the proposed project, including information on:
(1) Water temperature and dissolved oxygen, including seasonal vertical
profiles in the reservoir;
(2) Other physical and chemical parameters to include, as appropriate for the
project; total dissolved gas, pH, total hardness, specific conductance, cholorphyll a,
suspended sediment concentrations, total nitrogen (mg/L as N), total phosphorus
(mg/L as P), and fecal coliform (E. Coli) concentrations;
(H) The following data with respect to any existing or proposed lake or reservoir
associated with the proposed project; surface area, volume, maximum depth, mean
depth, flushing rate, shoreline length, substrate composition; and

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(I) Gradient for downstream reaches directly affected by the proposed project.
(iv) Fish and aquatic resources. A description of the fish and other aquatic
resources, including invasive species, in the project vicinity. This section must
discuss the existing fish and macroinvertebrate communities, including the presence
or absence of anadromous, catadromous, or migratory fish, and any known or
potential upstream or downstream impacts of the project on the aquatic community.
Components of the description must include:
(A) Identification of existing fish and aquatic communities;
(B) Identification of any essential fish habitat as defined under the MagnusonStevens Fishery Conservation and Management Act and established by the National
Marine Fisheries Service; and
(C) Temporal and spacial distribution of fish and aquatic communities and any
associated trends with respect to:
(1) Species and life stage composition;
(2) Standing crop;
(3) Age and growth data;
(4) Spawning run timing; and
(5) The extent and location of spawning, rearing, feeding, and wintering habitat.
(v) Wildlife and botanical resources. A description of the wildlife and botanical
resources, including invasive species, in the project vicinity. Components of this
description must include:
(A) Upland habitat(s) in the project vicinity, including the project's transmission
line corridor or right-of-way and a listing of plant and animal species that use the
habitat(s); and
(B) Temporal or spacial distribution of species considered important because of
their commercial, recreational, or cultural value.
(vi) Wetlands, riparian, and littoral habitat. A description of the floodplain,
wetlands, riparian habitats, and littoral in the project vicinity. Components of this
description must include:
(A) A list of plant and animal species, including invasive species, that use the
wetland, littoral, and riparian habitat;
(B) A map delineating the wetlands, riparian, and littoral habitat; and

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(C) Estimates of acreage for each type of wetland, riparian, or littoral habitat,
including variability in such availability as a function of storage at a project that is not
operated in run-of-river mode.
(vii) Rare, threatened and endangered species. A description of any listed rare,
threatened and endangered, candidate, or special status species that may be
present in the project vicinity. Components of this description must include:
(A) A list of Federal- and state-listed, or proposed to be listed, threatened and
endangered species known to be present in the project vicinity;
(B) Identification of habitat requirements;
(C) References to any known biological opinion, status reports, or recovery plan
pertaining to a listed species;
(D) Extent and location of any federally-designated critical habitat, or other
habitat for listed species in the project area; and
(E) Temporal and spatial distribution of the listed species within the project
vicinity.
(viii) Recreation and land use. A description of the existing recreational and land
uses and opportunities within the project boundary. The components of this
description include:
(A) Text description illustrated by maps of existing recreational facilities, type of
activity supported, location, capacity, ownership and management;
(B) Current recreational use of project lands and waters compared to facility or
resource capacity;
(C) Existing shoreline buffer zones within the project boundary;
(D) Current and future recreation needs identified in current State
Comprehensive Outdoor Recreation Plans, other applicable plans on file with the
Commission, or other relevant local, state, or regional conservation and recreation
plans;
(E) If the potential applicant is an existing licensee, its current shoreline
management plan or policy, if any, with regard to permitting development of piers,
boat docks and landings, bulkheads, and other shoreline facilities on project lands
and waters;
(F) A discussion of whether the project is located within or adjacent to a:

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(1) River segment that is designated as part of, or under study for inclusion in,
the National Wild and Scenic River System; or
(2) State-protected river segment;
(G) Whether any project lands are under study for inclusion in the National
Trails System or designated as, or under study for inclusion as, a Wilderness Area.
(H) Any regionally or nationally important recreation areas in the project vicinity;
(I) Non-recreational land use and management within the project boundary; and
(J) Recreational and non-recreational land use and management adjacent to
the project boundary.
(ix) Aesthetic resources. A description of the visual characteristics of the lands
and waters affected by the project. Components of this description include a
description of the dam, natural water features, and other scenic attractions of the
project and surrounding vicinity. Potential applicants are encouraged to supplement
the text description with visual aids.
(x) Cultural resources. A description of the known cultural or historical
resources of the proposed project and surrounding area. Components of this
description include:
(A) Identification of any historic or archaeological site in the proposed project
vicinity, with particular emphasis on sites or properties either listed in, or
recommended by the State Historic Preservation Officer or Tribal Historic
Preservation Officer for inclusion in, the National Register of Historic Places;
(B) Existing discovery measures, such as surveys, inventories, and limited
subsurface testing work, for the purpose of locating, identifying, and assessing the
significance of historic and archaeological resources that have been undertaken
within or adjacent to the project boundary; and
(C) Identification of Indian tribes that may attach religious and cultural
significance to historic properties within the project boundary or in the project
vicinity; as well as available information on Indian traditional cultural and religious
properties, whether on or off of any federally-recognized Indian reservation (A
potential applicant must delete from any information made available under this
section specific site or property locations, the disclosure of which would create a risk
of harm, theft, or destruction of archaeological or Native American cultural resources
or to the site at which the resources are located, or would violate any Federal law,
including the Archaeological Resources Protection Act of 1979, 16 U.S.C. 470w-3,
and the National Historic Preservation Act of 1966, 16 U.S.C. 470hh).

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(xi) Socio-economic resources. A general description of socio-economic
conditions in the vicinity of the project. Components of this description include
general land use patterns (e.g., urban, agricultural, forested), population patterns,
and sources of employment in the project vicinity.
(xii) Tribal resources. A description of Indian tribes, tribal lands, and interests
that may be affected by the project Components of this description include:
(A) Identification of information on resources specified in paragraphs (d)(2)(ii)
-(xi) of this section to the extent that existing project construction and operation
affecting those resources may impact tribal cultural or economic interests, e.g.,
impacts of project-induced soil erosion on tribal cultural sites; and
(B) Identification of impacts on Indian tribes of existing project construction and
operation that may affect tribal interests not necessarily associated with resources
specified in paragraphs (d)(3)(ii)-(xi) of this Section, e.g., tribal fishing practices or
agreements between the Indian tribe and other entities other than the potential
applicant that have a connection to project construction and operation.
(xiii) River basin description. A general description of the river basin or subbasin, as appropriate, in which the proposed project is located, including information
on:
(A) The area of the river basin or sub-basin and length of stream reaches
therein;
(B) Major land and water uses in the project area;
(C) All dams and diversion structures in the basin or sub-basin, regardless of
function; and
(D) Tributary rivers and streams, the resources of which are or may be affected
by project operations;
(4) Preliminary issues and studies list. Based on the resource description and
impacts discussion required by paragraph (d)(3) of this section; the pre-application
document must include with respect to each resource area identified above, a list of:
(i) Issues pertaining to the identified resources;
(ii) Potential studies or information gathering requirements associated with the
identified issues;
(iii) Relevant qualifying Federal and state or tribal comprehensive waterway
plans; and
(iv) Relevant resource management plans.

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(5) Summary of contacts. An appendix summarizing contacts with Federal,
state, and interstate resource agencies, Indian tribes, non-governmental
organizations, or other members of the public made in connection with preparing the
pre-application document sufficient to enable the Commission to determine if due
diligence has been exercised in obtaining relevant information.
(e) If applicable, the applicant must also provide a statement of whether or not it
will seek benefits under section 210 of the Public Utility Regulatory Policies Act of
1978 (PURPA) by satisfying the requirements for qualifying hydroelectric small
power production facilities in §292.203 of this chapter. If benefits under section 210
of PURPA are sought, a statement of whether or not the applicant believes the
project is located at a new dam or 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.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 69957, Dec. 16, 2003, as amended by
Order 737, 75 FR 43402, July 26, 2010]

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§5.7 Tribal consultation.
A meeting shall be held no later than 30 days following filing of the notification
of intent required by §5.5 between each Indian tribe likely to be affected by the
potential license application and the Commission staff if the affected Indian tribe
agrees to such meeting.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003]

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§5.8 Notice of commencement of proceeding and scoping document, or of
approval to use traditional licensing process or alternative procedures.
(a) Notice. Within 60 days of the notification of intent required under §5.5, filing
of the pre-application document pursuant to §5.6, and filing of any request to use the
traditional licensing process or alternative procedures, the Commission will issue a
notice of commencement of proceeding and scoping document or of approval of a
request to use the traditional licensing process or alternative procedures.
(b) Notice contents. The notice shall include:
(1) The decision of the Director of the Office of Energy Projects on any request
to use the traditional licensing process or alternative procedures.
(2) If appropriate, a request by the Commission to initiate informal consultation
under section 7 of the Endangered Species Act and the joint agency regulations
thereunder at 50 CFR part 402, section 305(b) of the Magnuson-Stevens Fishery

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Conservation and Management Act and implementing regulations at 50 CFR
600.920, or section 106 of the National Historic Preservation Act and implementing
regulations at 36 CFR 800.2, and, if applicable, designation of the potential applicant
as the Commission's non-federal representative.
(3) If the potential license application is to be developed and filed pursuant to
this part, notice of:
(i) The applicant's intent to file a license application;
(ii) The filing of the pre-application document;
(iii) Commencement of the proceeding;
(iv) A request for comments on the pre-application document (including the
proposed process plan and schedule);
(v) A statement that all communications to or from the Commission staff related
to the merits of the potential application must be filed with the Commission;
(vi) The request for other Federal or state agencies or Indian tribes to be
cooperating agencies for purposes of developing an environmental document;
(vii) The Commission's intent with respect to preparation of an environmental
impact statement; and
(viii) A public scoping meeting and site visit to be held within 30 days of the
notice.
(c) Scoping Document 1. At the same time the Commission issues the notice
provided for in paragraph (a) of this Section, the Commission staff will issue Scoping
Document 1. Scoping Document 1 will include:
(1) An introductory section describing the purpose of the scoping document, the
date and time of the scoping meeting, procedures for submitting written comments,
and a request for information or study requests from state and Federal resource
agencies, Indian tribes, non-governmental organizations, and individuals;
(2) Identification of the proposed action, including a description of the project's
location, facilities, and operation, and any proposed protection and enhancement
measures, and other alternatives to the proposed action, including alternatives
considered but eliminated from further study, and the no action alternative;
(3) Identification of resource issues to be analyzed in the environmental
document, including those that would be cumulatively affected along with a
description of the geographic and temporal scope of the cumulatively affected
resources;

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(4) A list of qualifying Federal and state comprehensive waterway plans;
(5) A list of qualifying tribal comprehensive waterway plans;
(6) A process plan and schedule and a draft outline of the environmental
document; and
(7) A list of recipients.
(d) Scoping meeting and site visit. The purpose of the public meeting and site
visit is to:
(1) Initiate issues scoping pursuant to the National Environmental Policy Act;
(2) Review and discuss existing conditions and resource management
objectives;
(3) Review and discuss existing information and make preliminary identification
of information and study needs;
(4) Review, discuss, and finalize the process plan and schedule for pre-filing
activity that incorporates the time periods provided for in this part and, to the extent
reasonably possible, maximizes coordination of Federal, state, and tribal permitting
and certification processes, including consultation under section 7 of the
Endangered Species Act and water quality certification or waiver thereof under
section 401 of the Clean Water Act; and
(5) Discuss the appropriateness of any Federal or state agency or Indian tribe
acting as a cooperating agency for development of an environmental document
pursuant to the National Environmental Policy Act.
(e) Method of notice. The public notice provided for in this section will be given
by:
(1) Publishing notice in the FEDERAL REGISTER;
(2) Publishing notice in a daily or weekly newspaper published in the county or
counties in which the project or any part thereof or the lands affected thereby are
situated, and, as appropriate, tribal newspapers;
(3) Notifying appropriate Federal, state, and interstate resource agencies, state
water quality and coastal zone management plan consistency certification agencies,
Indian tribes, and non-governmental organizations, by electronic means if practical,
otherwise by mail.
[Order 2002, 68 FR 51121, Aug. 25, 2003, as amended by Order 653, 70 FR 8724, Feb.
23, 2005]

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§5.9 Comments and information or study requests.
(a) Comments and study requests. Comments on the pre-application document
and the Commission staff's Scoping Document 1 must be filed with the Commission
within 60 days following the Commission's notice of consultation procedures issued
pursuant to §5.8. Comments, including those by Commission staff, must be
accompanied by any information gathering and study requests, and should include
information and studies needed for consultation under section 7 of the Endangered
Species Act and water quality certification under Section 401 of the Clean Water
Act.
(b) Content of study request. Any information or study request must:
(1) Describe the goals and objectives of each study proposal and the
information to be obtained;
(2) If applicable, explain the relevant resource management goals of the
agencies or Indian tribes with jurisdiction over the resource to be studied;
(3) If the requester is not a resource agency, explain any relevant public interest
considerations in regard to the proposed study;
(4) Describe existing information concerning the subject of the study proposal,
and the need for additional information;
(5) Explain any nexus between project operations and effects (direct, indirect,
and/or cumulative) on the resource to be studied, and how the study results would
inform the development of license requirements;
(6) Explain how any proposed study methodology (including any preferred data
collection and analysis techniques, or objectively quantified information, and a
schedule including appropriate field season(s) and the duration) is consistent with
generally accepted practice in the scientific community or, as appropriate, considers
relevant tribal values and knowledge; and
(7) Describe considerations of level of effort and cost, as applicable, and why
any proposed alternative studies would not be sufficient to meet the stated
information needs.
(c) Applicant seeking PURPA benefits; estimate of fees. If a potential applicant
has stated that it intends to seek PURPA benefits, comments on the pre-application
document by a fish and wildlife agency must provide the potential applicant with a
reasonable estimate of the total costs the agency anticipates it will incur in order to
set mandatory terms and conditions for the proposed project. An agency may
provide a potential applicant with an updated estimate as it deems necessary. If any

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agency believes that its most recent estimate will be exceeded by more than 25
percent, it must supply the potential applicant with a new estimate and submit a
copy to the Commission.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003; 68 FR 69957, Dec.
16, 2003, as amended by Order 699, 72 FR 45324, Aug. 14, 2007]

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§5.10 Scoping Document 2.
Within 45 days following the deadline for filing of comments on Scoping
Document 1, the Commission staff shall, if necessary, issue Scoping Document 2.
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§5.11 Potential Applicant's proposed study plan and study plan meetings.
(a) Within 45 days following the deadline for filing of comments on the preapplication document, including information and study requests, the potential
applicant must file with the Commission a proposed study plan.
(b) The potential applicant's proposed study plan must include with respect to
each proposed study:
(1) A detailed description of the study and the methodology to be used;
(2) A schedule for conducting the study;
(3) Provisions for periodic progress reports, including the manner and extent to
which information will be shared; and sufficient time for technical review of the
analysis and results; and
(4) If the potential applicant does not adopt a requested study, an explanation of
why the request was not adopted, with reference to the criteria set forth in §5.9(b).
(c) The potential applicant's proposed study plan must also include provisions
for the initial and updated study reports and meetings provided for in §5.15.
(d) The applicant's proposed study plan must:
(1) Describe the goals and objectives of each study proposal and the
information to be obtained;
(2) Address any known resource management goals of the agencies or Indian
tribes with jurisdiction over the resource to be studied;

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(3) Describe existing information concerning the subject of the study proposal,
and the need for additional information;
(4) Explain any nexus between project operations and effects (direct, indirect,
and/or cumulative) on the resource to be studied;
(5) Explain how any proposed study methodology (including any preferred data
collection and analysis techniques, or objectively quantified information, and a
schedule including appropriate field season(s) and the duration) is consistent with
generally accepted practice in the scientific community or, as appropriate, considers
any known tribal interests;
(6) Describe considerations of level of effort and cost, as applicable.
(e) The potential applicant's proposed study plan must be accompanied by a
proposal for conducting a study plan meeting or meetings during the 90-day period
provided for in §5.12 for the purpose of clarifying the potential applicant's proposed
study plan and any initial information gathering or study requests, and to resolve any
outstanding issues with respect to the proposed study plan. The initial study plan
meeting must be held no later than 30 days after the deadline date for filing of the
potential applicant's proposed study plan.
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§5.12 Comments on proposed study plan.
Comments on the potential applicant's proposed study plan, including any
revised information or study requests, must be filed within 90 days after the
proposed study plan is filed. This filing must also include an explanation of any study
plan concerns and any accommodations reached with the potential applicant
regarding those concerns. Any proposed modifications to the potential applicant's
proposed study plan must address the criteria in §5.9(b).
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§5.13 Revised study plan and study plan determination.
(a) Within 30 days following the deadline for filing comments on the potential
applicant's proposed study plan, as provided for in §5.12, the potential applicant
must file a revised study plan for Commission approval. The revised study plan shall
include the comments on the proposed study plan and a description of the efforts
made to resolve differences over study requests. If the potential applicant does not
adopt a requested study, it must explain why the request was not adopted, with
reference to the criteria set forth in §5.9(b).
(b) Within 15 days following filing of the potential applicant's revised study plan,
participants may file comments thereon.

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(c) Within 30 days following the date the potential applicant files its revised
study plan, the Director of Energy Projects will issue a Study Plan Determination
with regard to the potential applicant's study plan, including any modifications
determined to be necessary in light of the record.
(d) If no notice of study dispute is filed pursuant to §5.14 within 20 days of the
Study Plan Determination, the study plan as approved in the Study Plan
Determination shall be deemed to be approved and the potential applicant shall
proceed with the approved studies. If a potential applicant fails to obtain or conduct
a study as required by Study Plan Determination, its license application may be
considered deficient.
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§5.14 Formal study dispute resolution process.
(a) Within 20 days of the Study Plan Determination, any Federal agency with
authority to provide mandatory conditions on a license pursuant to FPA Section 4(e),
16 U.S.C. 797(e), or to prescribe fishways pursuant to FPA Section 18, 16 U.S.C.
811, or any agency or Indian tribe with authority to issue a water quality certification
for the project license under section 401 of the Clean Water Act, 42 U.S.C. 1341,
may file a notice of study dispute with respect to studies pertaining directly to the
exercise of their authorities under sections 4(e) and 18 of the Federal Power Act or
section 401 of the Clean Water Act.
(b) The notice of study dispute must explain how the disputing agency's or
Indian tribe's study request satisfies the criteria set forth in §5.9(b), and shall identify
and provide contact information for the panel member designated by the disputing
agency or Indian tribe, as discussed in paragraph (d) of this section.
(c) Studies and portions of study plans approved in the Study Plan
Determination that are not the subject of a notice of dispute shall be deemed to be
approved, and the potential applicant shall proceed with those studies or portions
thereof.
(d) Within 20 days of a notice of study dispute, the Commission will convene
one or more three-person Dispute Resolution Panels, as appropriate to the
circumstances of each proceeding. Each such panel will consist of:
(1) A person from the Commission staff who is not otherwise involved in the
proceeding, and who shall serve as the panel chair;
(2) One person designated by the Federal or state agency or Indian tribe that
filed the notice of dispute who is not otherwise involved in the proceeding; and
(3) A third person selected by the other two panelists from a pre-established list
of persons with expertise in the resource area. The two panelists shall make every

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reasonable effort to select the third panel member. If however no third panel
member has been selected by the other two panelists within 15 days, an appropriate
third panel member will be selected at random from the list of technical experts
maintained by the Commission.
(e) If more than one agency or Indian tribe files a notice of dispute with respect
to the decision in the preliminary determination on any information-gathering or
study request, the disputing agencies or Indian tribes must select one person to
represent their interests on the panel.
(f) The list of persons available to serve as a third panel member will be posted,
as revised from time-to-time, on the hydroelectric page of the Commission's Web
site. A person on the list who is requested and willing to serve with respect to a
specific dispute will be required to file with the Commission at that time a current
statement of their qualifications, a statement that they have had no prior involvement
with the proceeding in which the dispute has arisen, or other financial or other
conflict of interest.
(g) All costs of the panel members representing the Commission staff and the
agency or Indian tribe which filed the notice of dispute will be borne by the
Commission or the agency or Indian tribe, as applicable. The third panel member
will serve without compensation, except for certain allowable travel expenses as
defined in 31 CFR part 301.
(h) To facilitate the delivery of information to the dispute resolution panel, the
identity of the panel members and their addresses for personal service with respect
to a specific dispute resolution will be posted on the hydroelectric page of the
Commission's Web site.
(i) No later than 25 days following the notice of study dispute, the potential
applicant may file with the Commission and serve upon the panel members
comments and information regarding the dispute.
(j) Prior to engaging in deliberative meetings, the panel shall hold a technical
conference for the purpose of clarifying the matters in dispute with reference to the
study criteria. The technical conference shall be chaired by the Commission staff
member of the panel. It shall be open to all participants, and the panel shall receive
information from the participants as it deems appropriate.
(k) No later than 50 days following the notice of study dispute, the panel shall
make and deliver to the Director of the Office of Energy Projects a finding, with
respect to each information or study request in dispute, concerning the extent to
which each criteria set forth in §5.9(b) is met or not met, and why, and make
recommendations regarding the disputed study request based on its findings. The
panel's findings and recommendations must be based on the record in the
proceeding. The panel shall file with its findings and recommendations all of the

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materials received by the panel. Any recommendation for the potential applicant to
provide information or a study must include the technical specifications, including
data acquisition techniques and methodologies.
(l) No later than 70 days from the date of filing of the notice of study dispute, the
Director of the Office of Energy Projects will review and consider the
recommendations of the panel, and will issue a written determination. The Director's
determination will be made with reference to the study criteria set forth in §5.9(b)
and any applicable law or Commission policies and practices, will take into account
the technical expertise of the panel, and will explain why any panel recommendation
was rejected, if applicable. The Director's determination shall constitute an
amendment to the approved study plan.
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§5.15 Conduct of studies.
(a) Implementation. The potential applicant must gather information and
conduct studies as provided for in the approved study plan and schedule.
(b) Progress reports. The potential applicant must prepare and provide to the
participants the progress reports provided for in §5.11(b)(3). Upon request of any
participant, the potential applicant will provide documentation of study results.
(c) Initial study report. (1) Pursuant to the Commission-approved study plan and
schedule provided for in §5.13 or no later than one year after Commission approval
of the study plan, whichever comes first, the potential applicant must prepare and
file with the Commission an initial study report describing its overall progress in
implementing the study plan and schedule and the data collected, including an
explanation of any variance from the study plan and schedule. The report must also
include any modifications to ongoing studies or new studies proposed by the
potential applicant.
(2) Within 15 days following the filing of the initial study report, the potential
applicant shall hold a meeting with the participants and Commission staff to discuss
the study results and the potential applicant's and or other participant's proposals, if
any, to modify the study plan in light of the progress of the study plan and data
collected.
(3) Within 15 days following the meeting provided for in paragraph (c)(2) of this
section, the potential applicant shall file a meeting summary, including any
modifications to ongoing studies or new studies proposed by the potential applicant.
(4) Any participant or the Commission staff may file a disagreement concerning
the applicant's meeting summary within 30 days, setting forth the basis for the

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disagreement. This filing must also include any modifications to ongoing studies or
new studies proposed by the Commission staff or other participant.
(5) Responses to any filings made pursuant to paragraph (c)(4) of this section
must be filed within 30 days.
(6) No later than 30 days following the due date for responses provided for in
paragraph (c)(5) of this section, the Director will resolve the disagreement and
amend the approved study plan as appropriate.
(7) If no participant or the Commission staff files a disagreement concerning the
potential applicant's meeting summary and request to amend the approved study
plan within 30 days, any proposed amendment shall be deemed to be approved.
(d) Criteria for modification of approved study. Any proposal to modify an
ongoing study pursuant to paragraphs (c)(1)-(4) of this section must be
accompanied by a showing of good cause why the proposal should be approved,
and must include, as appropriate to the facts of the case, a demonstration that:
(1) Approved studies were not conducted as provided for in the approved study
plan; or
(2) The study was conducted under anomalous environmental conditions or that
environmental conditions have changed in a material way.
(e) Criteria for new study. Any proposal for new information gathering or studies
pursuant to paragraphs (c)(1)-(4) of this section must be accompanied by a showing
of good cause why the proposal should be approved, and must include, as
appropriate to the facts of the case, a statement explaining:
(1) Any material changes in the law or regulations applicable to the information
request;
(2) Why the goals and objectives of any approved study could not be met with
the approved study methodology;
(3) Why the request was not made earlier;
(4) Significant changes in the project proposal or that significant new
information material to the study objectives has become available; and
(5) Why the new study request satisfies the study criteria in §5.9(b).
(f) Updated study report. Pursuant to the Commission-approved study plan and
schedule provided for in §5.13, or no later than two years after Commission
approval of the study plan and schedule, whichever comes first, the potential
applicant shall prepare and file with the Commission an updated study report

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describing its overall progress in implementing the study plan and schedule and the
data collected, including an explanation of any variance from the study plan and
schedule. The report must also include any modifications to ongoing studies or new
studies proposed by the potential applicant. The review, comment, and
disagreement resolution provisions of paragraphs (c)(2)-(7) of this section shall
apply to the updated study report. Any proposal to modify an ongoing study must be
accompanied by a showing of good cause why the proposal should be approved as
set forth in paragraph (d) of this section. Any proposal for new information gathering
or studies is subject to paragraph (e) of this section except that the proponent must
demonstrate extraordinary circumstances warranting approval. The applicant must
promptly proceed to complete any remaining undisputed information-gathering or
studies under its proposed amendments to the study plan, if any, and must proceed
to complete any information-gathering or studies that are the subject of a
disagreement upon the Director's resolution of the disagreement.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003]

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§5.16 Preliminary licensing proposal.
(a) No later than 150 days prior to the deadline for filing a new or subsequent
license application, if applicable, the potential applicant must file for comment a
preliminary licensing proposal.
(b) The preliminary licensing proposal must:
(1) Clearly describe, as applicable, the existing and proposed project facilities,
including project lands and waters;
(2) Clearly describe, as applicable, the existing and proposed project operation
and maintenance plan, to include measures for protection, mitigation, and
enhancement measures with respect to each resource affected by the project
proposal; and
(3) Include the potential applicant's draft environmental analysis by resource
area of the continuing and incremental impacts, if any, of its preliminary licensing
proposal, including the results of its studies conducted under the approved study
plan.
(c) A potential applicant may elect to file a draft license application which
includes the contents of a license application required by §5.18 instead of the
Preliminary Licensing Proposal. A potential applicant that elects to file a draft license
application must include notice of its intent to do so in the updated study report
required by §5.15(f).

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(d) A potential applicant that has been designated as the Commission's nonFederal representative may include a draft Biological Assessment, draft Essential
Fish Habitat Assessment, and draft Historic Properties Management Plan with its
Preliminary Licensing Proposal or draft license application.
(e) Within 90 days of the date the potential applicant files the Preliminary
Licensing Proposal or draft license application, participants and the Commission
staff may file comments on the Preliminary Licensing Proposal or draft application,
which may include recommendations on whether the Commission should prepare
an Environmental Assessment (with or without a draft Environmental Assessment)
or an Environmental Impact Statement. Any participant whose comments request
new information, studies, or other amendments to the approved study plan must
include a demonstration of extraordinary circumstances, pursuant to the
requirements of §5.15(f).
(f) A waiver of the requirement to file the Preliminary Licensing Proposal or draft
license application may be requested, based on a consensus of the participants in
favor of such waiver.
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§5.17 Filing of application.
(a) Deadline—new or subsequent license application. An application for a new
or subsequent license must be filed no later than 24 months before the existing
license expires.
(b) Subsequent licenses. An applicant for a subsequent license must file its
application under part I of the Federal Power Act. The provisions of section 7(a) of
the Federal Power Act do not apply to licensing proceedings involving a subsequent
license.
(c) Rejection or dismissal of application. If the Commission rejects or dismisses
an application for a new or subsequent license filed under this part pursuant to the
provisions of §5.20, the application may not be refiled after the new or subsequent
license application filing deadline specified in paragraph (a) of this section.
(d)(1) Filing and service. Each applicant for a license under this part must
submit the application to the Commission's Secretary for filing pursuant to the
requirements of subpart T of part 385 of this chapter. The 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, Indian tribe, or member of the
public consulted pursuant to this part.
(2) 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

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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, and the
places where the information specified in §5.2(b) is available for inspection and
reproduction. The applicant must promptly provide the Commission with proof of the
publication of this notice.
(e) PURPA benefits. (1) Every application for a license 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, the reversal of intent will be
treated as an amendment of the application under §4.35 of this chapter and the
applicant must:
(A) Repeat the pre-filing consultation process under this part; and
(B) Satisfy all the requirements in §292.208 of this chapter; or
(ii) After the Commission issues a license for the project, the applicant is
prohibited from obtaining PURPA benefits.
(f) Limitations on submitting applications. The provisions of §§4.33(b), (c), and
(e) of this chapter apply to license applications filed under this Section.
(g) Applicant notice. An applicant for a subsequent license that proposes to
expand an existing project to encompass additional lands must include in its
application a statement that the applicant has notified, by certified mail, property
owners on the additional lands to be encompassed by the project and governmental
agencies and subdivisions likely to be interested in or affected by the proposed
expansion.
[Order 2002, 68 FR 51121, Aug. 25, 2003, as amended by Order 756, 77 FR 4893, Feb. 1,
2012]

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§5.18 Application content.
(a) General content requirements. Each license application filed pursuant to this
part must:
(1) 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;

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(2) 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 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:
(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 project
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)(3)(B) of this

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Section 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 must include a statement of the reasons
therefor.
(ii) This application 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 are true to the best of
(his or her) knowledge or belief. The undersigned Applicant(s) has (have) signed the application this
__ day of _________, 2___.

(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] this __ day of __________, 2___.
/SEAL [if any]
(Notary Public, or other authorized official)

(5) Contain the information and documents prescribed in the following Sections
of this chapter, except as provided in paragraph (b) of this Section, according to the
type of application:
(i) License for a minor water power project and a major water power project 5
MW or less: §4.61 (General instructions, initial statement, and Exhibits A, F, and G);
(ii) License for a major unconstructed project and a major modified project:
§4.41 of this chapter (General instructions, initial statement, Exhibits A, B, C, D, F,
and G);
(iii) License for a major project—existing dam: §4.51 of this chapter (General
instructions, initial statement, Exhibits A, B, C, D, F, and G); or
(iv) License for a project located at a new dam or diversion where the applicant
seeks PURPA benefits: §292.208 of this chapter.

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(b) Exhibit E—Environmental Exhibit. The specifications for Exhibit E in §§4.41,
4.51, or 4.61 of this chapter shall not apply to applications filed under this part. The
Exhibit E included in any license application filed under this part must address the
resources listed in the Pre-Application Document provided for in §5.6; follow the
Commission's “Preparing Environmental Assessments: Guidelines for Applicants,
Contractors, and Staff,” as they may be updated from time-to-time; and meet the
following format and content requirements:
(1) General description of the river basin. Describe the river system, including
relevant tributaries; give measurements of the area of the basin and length of
stream; identify the project's river mile designation or other reference point; describe
the topography and climate; and discuss major land uses and economic activities.
(2) Cumulative effects. List cumulatively affected resources based on the
Commission's Scoping Document, consultation, and study results. Discuss the
geographic and temporal scope of analysis for those resources. Describe how
resources are cumulatively affected and explain the choice of the geographic scope
of analysis. Include a brief discussion of past, present, and future actions, and their
effects on resources based on the new license term (30-50 years). Highlight the
effect on the cumulatively affected resources from reasonably foreseeable future
actions. Discuss past actions' effects on the resource in the Affected Environment
Section.
(3) Applicable laws. Include a discussion of the status of compliance with or
consultation under the following laws, if applicable:
(i) Section 401 of the Clean Water Act. The applicant must file a request for a
water quality certification (WQC), as required by Section 401 of the Clean Water Act
no later than the deadline specified in §5.23(b). Potential applicants are encouraged
to consult with the certifying agency or tribe concerning information requirements as
early as possible.
(ii) Endangered Species Act (ESA). Briefly describe the process used to
address project effects on Federally listed or proposed species in the project vicinity.
Summarize any anticipated environmental effects on these species and provide the
status of the consultation process. If the applicant is the Commission's non-Federal
designee for informal consultation under the ESA, the applicant's draft biological
assessment must be included.
(iii) Magnuson-Stevens Fishery Conservation and Management Act. Document
from the National Marine Fisheries Service (NMFS) and/or the appropriate Regional
Fishery Management Council any essential fish habitat (EFH) that may be affected
by the project. Briefly discuss each managed species and life stage for which EFH
was designated. Include, as appropriate, the abundance, distribution, available
habitat, and habitat use by the managed species. If the project may affect EFH,

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prepare a draft “EFH Assessment” of the impacts of the project. The draft EFH
Assessment should contain the information outlined in 50 CFR 600.920(e).
(iv) Coastal Zone Management Act (CZMA). Section 307(c)(3) of the CZMA
requires that all Federally licensed and permitted activities be consistent with
approved state Coastal Zone Management Programs. If the project is located within
a coastal zone boundary or if a project affects a resource located in the boundaries
of the designated coastal zone, the applicant must certify that the project is
consistent with the state Coastal Zone Management Program. If the project is within
or affects a resource within the coastal zone, provide the date the applicant sent the
consistency certification information to the state agency, the date the state agency
received the certification, and the date and action taken by the state agency (for
example, the agency will either agree or disagree with the consistency statement,
waive it, or ask for additional information). Describe any conditions placed on the
state agency's concurrence and assess the conditions in the appropriate section of
the license application. If the project is not in or would not affect the coastal zone,
state so and cite the coastal zone program office's concurrence.
(v) National Historic Preservation Act (NHPA). Section 106 of NHPA requires
the Commission to take into account the effect of licensing a hydropower project on
any historic properties, and allow the Advisory Council on Historic Preservation
(Advisory Council) a reasonable opportunity to comment on the proposed action.
“Historic Properties” are defined as any district, site, building, structure, or object
that is included in or eligible for inclusion in the National Register of Historic Places
(NRHP). If there would be an adverse effect on historic properties, the applicant may
include a Historic Properties Management Plan (HPMP) to avoid or mitigate the
effects. The applicant must include documentation of consultation with the Advisory
Council, the State Historic Preservation Officer, Tribal Historic Preservation Officer,
National Park Service, members of the public, and affected Indian tribes, where
applicable.
(vi) Pacific Northwest Power Planning and Conservation Act (Act). If the project
is not within the Columbia River Basin, this section shall not be included. The
Columbia River Basin Fish and Wildlife Program (Program) developed under the Act
directs agencies to consult with Federal and state fish and wildlife agencies,
appropriate Indian tribes, and the Northwest Power Planning Council (Council)
during the study, design, construction, and operation of any hydroelectric
development in the basin. Section 12.1A of the Program outlines conditions that
should be provided for in any original or new license. The program also designates
certain river reaches as protected from development. The applicant must document
consultation with the Council, describe how the act applies to the project, and how
the proposal would or would not be consistent with the program.
(vii) Wild and Scenic Rivers and Wilderness Acts. Include 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

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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.
(4) Project facilities and operation. Provide a description of the project to
include:
(i) Maps showing existing and proposed project facilities, lands, and waters
within the project boundary;
(ii) The configuration of any dams, spillways, penstocks, canals, powerhouses,
tailraces, and other structures;
(iii) The normal maximum water surface area and normal maximum water
surface elevation (mean sea level), gross storage capacity of any impoundments;
(iv) The number, type, and minimum and maximum hydraulic capacity and
installed (rated) capacity of existing and proposed turbines or generators to be
included as part of the project;
(v) An estimate of the dependable capacity, and average annual energy
production in kilowatt hours (or mechanical equivalent);
(vi) A description of the current (if applicable) and proposed operation of the
project, including any daily or seasonal ramping rates, flushing flows, reservoir
operations, and flood control operations.
(5) Proposed action and action alternatives. (i) The environmental document
must explain the effects of the applicant's proposal on resources. For each resource
area addressed include:
(A) A discussion of the affected environment;
(B) A detailed analysis of the effects of the applicant's licensing proposal and, if
reasonably possible, any preliminary terms and conditions filed with the
Commission; and
(C) Any unavoidable adverse impacts.
(ii) The environmental document must contain, with respect to the resources
listed in the Pre-Application Document provided for in §5.6, and any other resources
identified in the Commission's scoping document prepared pursuant to the National
Environmental Policy Act and §5.8, the following information, commensurate with
the scope of the project:
(A) Affected environment. The applicant must provide a detailed description of
the affected environment or area(s) to be affected by the proposed project by each

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resource area. This description must include the information on the affected
environment filed in the Pre-Application Document provided for in §5.6, developed
under the applicant's approved study plan, and otherwise developed or obtained by
the applicant. This section must include a general description of socio-economic
conditions in the vicinity of the project including general land use patterns (e.g.,
urban, agricultural, forested), population patterns, and sources of employment in the
project vicinity.
(B) Environmental analysis. The applicant must present the results of its studies
conducted under the approved study plan by resource area and use the data
generated by the studies to evaluate the beneficial and adverse environmental
effects of its proposed project. This section must also include, if applicable, a
description of any anticipated continuing environmental impacts of continued
operation of the project, and the incremental impact of proposed new development
of project works or changes in project operation. This analysis must be based on the
information filed in the Pre-Application Document provided for in §5.6, developed
under the applicant's approved study plan, and other appropriate information, and
otherwise developed or obtained by the Applicant.
(C) Proposed environmental measures. The applicant must provide, by
resource area, any proposed new environmental measures, including, but not
limited to, changes in the project design or operations, to address the environmental
effects identified above and its basis for proposing the measures. The applicant
must describe how each proposed measure would protect or enhance the existing
environment, including, where possible, a non-monetary quantification of the
anticipated environmental benefits of the measure. This section must also include a
statement of existing measures to be continued for the purpose of protecting and
improving the environment and any proposed preliminary environmental measures
received from the consulted resource agencies, Indian tribes, or the public. If an
applicant does not adopt a preliminary environmental measure proposed by a
resource agency, Indian tribe, or member of the public, it must include its reasons,
based on project-specific information.
(D) Unavoidable adverse impacts. Based on the environmental analysis,
discuss any adverse impacts that would occur despite the recommended
environmental measures. Discuss whether any such impacts are short- or long-term,
minor or major, cumulative or site-specific.
(E) Economic analysis. The economic analysis must include annualized, current
cost-based information. For a new or subsequent license, the applicant must include
the cost of operating and maintaining the project under the existing license. For an
original license, the applicant must estimate the cost of constructing, operating, and
maintaining the proposed project. For either type of license, the applicant should
estimate the cost of each proposed resource protection, mitigation, or enhancement
measure and any specific measure filed with the Commission by agencies, Indian
tribes, or members of the public when the application is filed. For an existing license,

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the applicant's economic analysis must estimate the value of developmental
resources associated with the project under the current license and the applicant's
proposal. For an original license, the applicant must estimate the value of the
developmental resources for the proposed project. As applicable, these
developmental resources may include power generation, water supply, irrigation,
navigation, and flood control. Where possible, the value of developmental resources
must be based on market prices. If a protection, mitigation, or enhancement
measure reduces the amount or value of the project's developmental resources, the
applicant must estimate the reduction.
(F) Consistency with comprehensive plans. Identify relevant comprehensive
plans and explain how and why the proposed project would, would not, or should not
comply with such plans and a description of any relevant resource agency or Indian
tribe determination regarding the consistency of the project with any such
comprehensive plan.
(G) Consultation Documentation. Include a list containing the name, and
address of every Federal, state, and interstate resource agency, Indian tribe, or
member of the public with which the applicant consulted in preparation of the
Environmental Document.
(H) Literature cited. Cite all materials referenced including final study reports,
journal articles, other books, agency plans, and local government plans.
(iii) The applicant must also provide in the Environmental Document:
(A) Functional design drawings of any fish passage and collection facilities or
any other facilities necessary for implementation of environmental measures,
indicating whether the facilities depicted are existing or proposed (these drawings
must conform to the specifications of §4.39 of this chapter 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 environmental measures.
(E) A map or drawing that conforms to the size, scale, and legibility
requirements of §4.39 of this chapter showing by the use of shading, cross-hatching,
or other symbols the identity and location of any measures or facilities, and

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indicating whether each measure or facility is existing or proposed (the map or
drawings in this exhibit may be consolidated).
(c) Exhibit H. The information required to be provided by this paragraph (c)
must be included in the application as a separate exhibit labeled “Exhibit H.”
(1) Information to be provided by an applicant for new license: Filing
requirements—(i) Information to be supplied by all applicants. All Applicants for a
new license under this part must file the following information with the Commission:
(A) A discussion of the plans and ability of the applicant to operate and maintain
the project in a manner most likely to provide efficient and reliable electric service,
including efforts and plans to:
(1) Increase capacity or generation at the project;
(2) Coordinate the operation of the project with any upstream or downstream
water resource projects; and
(3) Coordinate the operation of the project with the applicant's or other electrical
systems to minimize the cost of production.
(B) A discussion of the need of the applicant over the short and long term for
the electricity generated by the project, including:
(1) The reasonable costs and reasonable availability of alternative sources of
power that would be needed by the applicant or its customers, including wholesale
customers, if the applicant is not granted a license for the project;
(2) A discussion of the increase in fuel, capital, and any other costs that would
be incurred by the applicant or its customers to purchase or generate power
necessary to replace the output of the licensed project, if the applicant is not granted
a license for the project;
(3) The effect of each alternative source of power on:
(i) The applicant's customers, including wholesale customers;
(ii) The applicant's operating and load characteristics; and
(iii) The communities served or to be served, including any reallocation of costs
associated with the transfer of a license from the existing licensee.
(C) The following data showing need and the reasonable cost and availability of
alternative sources of power:

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(1) The average annual cost of the power produced by the project, including the
basis for that calculation;
(2) The projected resources required by the applicant to meet the applicant's
capacity and energy requirements over the short and long term including:
(i) Energy and capacity resources, including the contributions from the
applicant's generation, purchases, and load modification measures (such as
conservation, if considered as a resource), as separate components of the total
resources required;
(ii) A resource analysis, including a statement of system reserve margins to be
maintained for energy and capacity; and
(iii) If load management measures are not viewed as resources, the effects of
such measures on the projected capacity and energy requirements indicated
separately;
(iv) For alternative sources of power, including generation of additional power at
existing facilities, restarting deactivated units, the purchase of power off-system, the
construction or purchase and operation of a new power plant, and load management
measures such as conservation: The total annual cost of each alternative source of
power to replace project power; the basis for the determination of projected annual
cost; and a discussion of the relative merits of each alternative, including the issues
of the period of availability and dependability of purchased power, average life of
alternatives, relative equivalent availability of generating alternatives, and relative
impacts on the applicant's power system reliability and other system operating
characteristics; and the effect on the direct providers (and their immediate
customers) of alternate sources of power.
(D) If an applicant uses power for its own industrial facility and related
operations, the effect of obtaining or losing electricity from the project on the
operation and efficiency of such facility or related operations, its workers, and the
related community.
(E) If an applicant is an Indian tribe applying for a license for a project located
on the tribal reservation, a statement of the need of such Indian tribe for electricity
generated by the project to foster the purposes of the reservation.
(F) A comparison of the impact on the operations and planning of the
applicant's transmission system of receiving or not receiving the project license,
including:
(1) An analysis of the effects of any resulting redistribution of power flows on
line loading (with respect to applicable thermal, voltage, or stability limits), line

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losses, and necessary new construction of transmission facilities or upgrading of
existing facilities, together with the cost impact of these effects;
(2) An analysis of the advantages that the applicant's transmission system
would provide in the distribution of the project's power; and
(3) Detailed single-line diagrams, including existing system facilities identified
by name and circuit number, that show system transmission elements in relation to
the project and other principal interconnected system elements. Power flow and loss
data that represent system operating conditions may be appended if applicants
believe such data would be useful to show that the operating impacts described
would be beneficial.
(G) If the applicant has plans to modify existing project facilities or operations, a
statement of the need for, or usefulness of, the modifications, including at least a
reconnaissance-level study of the effect and projected costs of the proposed plans
and any alternate plans, which in conjunction with other developments in the area
would conform with a comprehensive plan for improving or developing the waterway
and for other beneficial public uses as defined in Section 10(a)(1) of the Federal
Power Act.
(H) If the applicant has no plans to modify existing project facilities or
operations, at least a reconnaissance-level study to show that the project facilities or
operations in conjunction with other developments in the area would conform with a
comprehensive plan for improving or developing the waterway and for other
beneficial public uses as defined in Section 10(a)(1) of the Federal Power Act.
(I) A statement describing the applicant's financial and personnel resources to
meet its obligations under a new license, including specific information to
demonstrate that the applicant's personnel are adequate in number and training to
operate and maintain the project in accordance with the provisions of the license.
(J) If an applicant proposes to expand the project to encompass additional
lands, a statement that the applicant has notified, by certified mail, property owners
on the additional lands to be encompassed by the project and governmental
agencies and subdivisions likely to be interested in or affected by the proposed
expansion.
(K) The applicant's electricity consumption efficiency improvement program, as
defined under Section 10(a)(2)(C) of the Federal Power Act, including:
(1) A statement of the applicant's record of encouraging or assisting its
customers to conserve electricity and a description of its plans and capabilities for
promoting electricity conservation by its customers; and

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(2) A statement describing the compliance of the applicant's energy
conservation programs with any applicable regulatory requirements.
(L) The names and mailing addresses of every Indian tribe with land on which
any part of the proposed project would be located or which the applicant reasonably
believes would otherwise be affected by the proposed project.
(ii) Information to be provided by an applicant licensee. An existing licensee that
applies for a new license must provide:
(A) The information specified in paragraph (c)(1) of this section.
(B) A statement of measures taken or planned by the licensee to ensure safe
management, operation, and maintenance of the project, including:
(1) A description of existing and planned operation of the project during flood
conditions;
(2) A discussion of any warning devices used to ensure downstream public
safety;
(3) A discussion of any proposed changes to the operation of the project or
downstream development that might affect the existing Emergency Action Plan, as
described in subpart C of part 12 of this chapter, on file with the Commission;
(4) A description of existing and planned monitoring devices to detect structural
movement or stress, seepage, uplift, equipment failure, or water conduit failure,
including a description of the maintenance and monitoring programs used or
planned in conjunction with the devices; and
(5) A discussion of the project's employee safety and public safety record,
including the number of lost-time accidents involving employees and the record of
injury or death to the public within the project boundary.
(C) A description of the current operation of the project, including any
constraints that might affect the manner in which the project is operated.
(D) A discussion of the history of the project and record of programs to upgrade
the operation and maintenance of the project.
(E) A summary of any generation lost at the project over the last five years
because of unscheduled outages, including the cause, duration, and corrective
action taken.
(F) A discussion of the licensee's record of compliance with the terms and
conditions of the existing license, including a list of all incidents of noncompliance,
their disposition, and any documentation relating to each incident.

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(G) A discussion of any actions taken by the existing licensee related to the
project which affect the public.
(H) A summary of the ownership and operating expenses that would be
reduced if the project license were transferred from the existing licensee.
(I) A statement of annual fees paid under part I of the Federal Power Act for the
use of any Federal or Indian lands included within the project boundary.
(iii) Information to be provided by an applicant who is not an existing licensee.
An applicant that is not an existing licensee must provide:
(A) The information specified in paragraph (c)(1) of this section.
(B) A statement of the applicant's plans to manage, operate, and maintain the
project safely, including:
(1) A description of the differences between the operation and maintenance
procedures planned by the applicant and the operation and maintenance
procedures of the existing licensee;
(2) A discussion of any measures proposed by the applicant to implement the
existing licensee's Emergency Action Plan, as described in subpart C of part 12 of
this chapter, and any proposed changes;
(3) A description of the applicant's plans to continue safety monitoring of
existing project instrumentation and any proposed changes; and
(4) A statement indicating whether or not the applicant is requesting the
licensee to provide transmission services under section 15(d) of the Federal Power
Act.
(d) Consistency with comprehensive plans. An application for license under this
part must include an explanation of why the project would, would not, or should not,
comply with any relevant comprehensive plan as defined in §2.19 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.
(e) Response to information requests. An application for license under this
Section must respond to any requests for additional information-gathering or studies
filed with comments on its preliminary licensing proposal or draft license application.
If the license applicant agrees to do the information-gathering or study, it must
provide the information or include a plan and schedule for doing so, along with a
schedule for completing any remaining work under the previously approved study
plan, as it may have been amended. If the applicant does not agree to any
additional information-gathering or study requests made in comments on the draft
license application, it must explain the basis for declining to do so.

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(f) Maps and drawings. All required maps and drawings must conform to the
specifications of §4.39 of this chapter.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003; 68 FR 69957, Dec.
16, 2003; Order 699, 72 FR 45324, Aug. 14, 2007; Order 756, 77 FR 4894, Feb. 1, 2012]

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§5.19 Tendering notice and schedule.
(a) Notice. Within 14 days of the filing date of any application for a license
developed pursuant to this part, the Commission will issue public notice of the
tendering for filing of the application. The tendering notice will include a preliminary
schedule for expeditious processing of the application, including dates for:
(1) Issuance of the acceptance for filing and ready for environmental analysis
notice provided for in §5.22.
(2) Filing of recommendations, preliminary terms and conditions, and fishway
prescriptions;
(3) Issuance of a draft environmental assessment or environmental impact
statement, or an environmental assessment not preceded by a draft.
(4) Filing of comments on the draft environmental assessment or environmental
impact statement, as applicable;
(5) Filing of modified recommendations, mandatory terms and conditions, and
fishway prescriptions in response to a draft NEPA document or Environmental
Analysis, if no draft NEPA document is issued;
(6) Issuance of a final NEPA document, if any;
(7) In the case of a new or subsequent license application, a deadline for
submission of final amendments, if any, to the application; and
(8) Readiness of the application for Commission decision.
(b) Modifications to process plan and schedule. The tendering notice shall also
include any known modifications to the schedules developed pursuant to §5.8 for
completion of consultation under section 7 of the Endangered Species Act and
water quality certification under section 401 of the Clean Water Act.
(c) Method of notice. The public notice provided for in paragraphs (a) and (b) of
this Section will be given by:
(1) Publishing notice in the FEDERAL REGISTER; and

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(2) Notifying appropriate Federal, state, and interstate resource agencies, state
water quality and coastal zone management plan consistency certification agencies,
Indian tribes, and non-governmental organizations, by electronic means if practical,
otherwise by mail.
(d) Resolution of pending information requests. Within 30 days of the filing date
of any application for a license developed pursuant to this part, the Director of the
Office of Energy Projects will issue an order resolving any requests for additional
information-gathering or studies made in comments on the preliminary licensing
proposal or draft license application.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61742, Oct. 30, 2003; 68 FR 69957, Dec.
16, 2003; Order 653, 70 FR 8724, Feb. 23, 2005]

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§5.20 Deficient applications.
(a) Deficient applications. (1) If an applicant believes that its application
conforms adequately to the pre-filing consultation and filing requirements of this part
without containing certain required materials 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.
(2) Within 30 days of the filing date of any application for a license under this
part, the Director of the Office of Energy Projects will notify the applicant if, in the
Director's judgment, the application does not conform to the prefiling consultation
and filing requirements of this part, and is therefore considered deficient. An
applicant having a deficient application will be afforded additional time to correct the
deficiencies, not to exceed 90 days from the date of notification. 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 an a filing pursuant to the requirements of subpart T of part 385 of this
chapter within the time specified in the notification of deficiency.
(3) If the revised application is found not to conform to the prefiling consultation
and filing requirements of this part, or if the revisions are not timely submitted, the
revised application will be rejected. Procedures for rejected applications are
specified in paragraph (b)(3) of this section.
(b) Patently deficient applications. (1) If, within 30 days of its filing date, the
Director of the Office of Energy Projects determines that an application patently fails
to substantially comply with the prefiling consultation and filing requirements of this
part, 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.

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(2) If, after 30 days following its filing date, the Director of the Office of Energy
Projects determines that an application patently fails to comply with the prefiling
consultation and filing requirements of this part, or is for a project that is precluded
by law:
(i) The application will be rejected by order of the Commission, if the
Commission determines that it is patently deficient; or
(ii) The application will be considered deficient under paragraph (a)(2) of this
Section, if the Commission determines that it is not patently deficient.
(3) Any application for an original license that is rejected may be submitted 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
of this chapter and the disposition of competing applications under §4.37 of this
chapter.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61743, Oct. 30, 2003]

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§5.21 Additional information.
An applicant may be required to submit any additional information or documents
that the Commission 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 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, Indian tribe or other entity that the Commission specifies. If an
applicant fails to provide timely additional information, documents, or copies of
submitted materials as required, the Commission may dismiss the application, hold
it in abeyance, or take other appropriate action under this chapter or the Federal
Power Act.
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§5.22 Notice of acceptance and ready for environmental analysis.
(a) When the Commission has determined that the application meets the
Commission's requirements as specified in §§5.18 and 5.19, the approved studies
have been completed, any deficiencies in the application have been cured, and no
other additional information is needed, it will issue public notice as required in the
Federal Power Act:

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(1) Accepting the application for filing and specifying the date upon which the
application was accepted for filing (which will be the application filing date if the
Secretary receives all of the information and documents necessary to conform to the
requirements of §§5.1 through 5.21, as applicable, within the time frame prescribed
in §5.20 or §5.21);
(2) Finding that the application is ready for environmental analysis;
(3) Requesting comments, protests, and interventions;
(4) Requesting recommendations, preliminary terms and conditions, and
preliminary fishway prescriptions, including all supporting documentation; and
(5) Establishing the date for final amendments to applications for new or
subsequent licenses; and
(6) Updating the schedule issued with the tendering notice for processing the
application.
(b) If the project affects lands of the United States, the Commission will notify
the appropriate Federal office of the application and the specific lands affected,
pursuant to Section 24 of the Federal Power Act.
(c) For an application for a license seeking benefits under Section 210 of the
Public Utility Regulatory Polices Act of 1978, as amended, for a project that would
be located at a new dam or diversion, the Applicant must serve the public notice
issued under paragraph (a)(1) of this Section to interested agencies at the time the
applicant is notified that the application is accepted for filing.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61743, Oct. 30, 2003]

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§5.23 Response to notice.
(a) Comments and reply comments. Comments, protests, interventions,
recommendations, and preliminary terms and conditions or preliminary fishway
prescriptions must be filed no later than 60 days after the notice of acceptance and
ready for environmental analysis. All reply comments must be filed within 105 days
of that notice.
(b) Water quality certification. (1) With regard to certification requirements for a
license applicant under Section 401(a)(1) of the Federal Water Pollution Control Act
(Clean Water Act), the license applicant must file no later than 60 days following the
date of issuance of the notice of acceptance and ready for environmental analysis
provide for in §5.22:

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(i) A copy of the water quality certification;
(ii) A copy of the request for certification, including proof of the date on which
the certifying agency received the request; or
(iii) Evidence of waiver of water quality certification as described in paragraph
(b)(5)(2) of this Section.
(2) 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.
(3) Notwithstanding any other provision in 18 CFR part 4, subpart B, any
application to amend an existing license, and any application to amend a pending
application for a license, requires a new request for water quality certification
pursuant to §4.34(b)(5) of this chapter if the amendment would have a material
adverse impact on the water quality in the discharge from the project or proposed
project.
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§5.24 Applications not requiring a draft NEPA document.
(a) If the Commission determines that a license application will be processed
with an environmental assessment rather than an environmental impact statement
and that a draft environmental assessment will not be required, the Commission will
issue the environmental assessment for comment no later than 120 days from the
date responses are due to the notice of acceptance and ready for environmental
analysis.
(b) Each environmental assessment issued pursuant to this paragraph must
include draft license articles, a preliminary determination of consistency of each fish
and wildlife agency recommendation made pursuant to Federal Power Act section
10(j) with the purposes and requirements of the Federal Power Act and other
applicable law, as provided for in §5.26, and any preliminary mandatory terms and
conditions and fishway prescriptions.
(c) Comments on an environmental assessment issued pursuant to paragraph
(a) of this section, including comments in response to the Commission's preliminary
determination with respect to fish and wildlife agency recommendations and on
preliminary mandatory terms and conditions or fishway prescriptions, must be filed
no later than 30 or 45 days after issuance of the environmental assessment, as
specified in the notice accompanying issuance of the environmental assessment, as
should any revisions to supporting documentation.

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(d) Modified mandatory prescriptions or terms and conditions must be filed no
later than 60 days following the date for filing of comments provided for in paragraph
(c) of this section, as specified in the notice accompanying issuance of the
environmental analysis.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61743, Oct. 30, 2003]

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§5.25 Applications requiring a draft NEPA document.
(a) If the Commission determines that a license application will be processed
with an environmental impact statement, or a draft and final environmental
assessment, the Commission will issue the draft environmental impact statement or
environmental assessment for comment no later than 180 days from the date
responses are due to the notice of acceptance and ready for environmental analysis
provided for in §5.22.
(b) Each draft environmental document will include for comment draft license
articles, a preliminary determination of the consistency of each fish and wildlife
agency recommendation made pursuant to section 10(j) of the Federal Power Act
with the purposes and requirements of the Federal Power Act and other applicable
law, as provided for in §5.26, and any preliminary mandatory terms and conditions
and fishways prescriptions.
(c) Comments on a draft environmental document issued pursuant to paragraph
(b) of this section, including comments in response to the Commission's preliminary
determination with respect to fish and wildlife agency recommendations and on
preliminary mandatory terms and conditions or prescriptions must be filed no later
than 30 or 60 days after issuance of the draft environmental document, as specified
in the notice accompanying issuance of the draft environmental document.
(d) Modified mandatory prescriptions or terms and conditions must be filed no
later than 60 days following the date for filing of comments provided for in paragraph
(c) of this section.
(e) The Commission will issue a final environmental document within 90 days
following the date for filing of modified mandatory prescriptions or terms and
conditions.
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§5.26 Section 10(j) process.
(a) 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

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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.
(b) 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.
(c) 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 assessment. 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.
(d) 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
paragraph to discuss section 10(j) issues, including any proposed resolutions and

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supporting analysis, and a copy of the summary will be sent to all parties, affected
resource agencies, and Indian tribes.
(e) 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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§5.27 Amendment of application.
(a) Procedures. 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
of this chapter, 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 §§5.20-5.26. Such modified recommendations, terms
and conditions, or prescriptions must be filed no later than the due date specified by
the Commission for comments on the amendment.
(b) Date of acceptance. The date of acceptance of an amendment of application
for an original license filed under this part is governed by the provisions of §4.35 of
this chapter.
(c) New and subsequent licenses. The requirements of §4.35 of this chapter do
not apply to an application for a new or subsequent license, except that the
Commission will reissue a public notice of the application in accordance with the
provisions of §4.32(d)(2) of this chapter if a material amendment, as that term is
used in §4.35(f) of this chapter, is filed.
(d) Deadline. All amendments to an application for a new or subsequent
license, including the final amendment, must be filed with the Commission and
served on all competing applicants no later than the date specified in the notice
issued under §5.22.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61743, Oct. 30, 2003]

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§5.28 Competing applications.
(a) Site access for a competing applicant. The provisions of §16.5 of this
chapter shall govern site access for a potential license application to be filed in
competition with an application for a new or subsequent license by an existing

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licensee pursuant to this part, except that references in §16.5 to the pre-filing
consultation provisions in parts 4 and 16 of this chapter shall be construed in a
manner compatible with the effective administration of this part.
(b) Competing applications. The provisions of §4.36 of this chapter shall apply
to competing applications for original, new, or subsequent licenses filed under this
part.
(c) New or subsequent license applications—final amendments; better adapted
statement. Where two or more mutually exclusive competing applications for new or
subsequent license have been filed for the same project, the final amendment date
and deadlines for complying with provisions of §4.36(d)(2) (ii) and (iii) of this chapter
established pursuant to the notice issued under §5.22 will be the same for all such
applications.
(d) Rules of preference among competing applicants. The Commission will
select among competing applications according to the provisions of §4.37 of this
chapter.
[Order 2002, 68 FR 51121, Aug. 25, 2003; 68 FR 61743, Oct. 30, 2003]

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§5.29 Other provisions.
(a) Filing requirement. Unless otherwise provided by statute, regulation or
order, all filings in hydropower hearings, except those conducted by trial-type
procedures, must conform to the requirements of 18 CFR part 385, subpart T of this
chapter.
(b) Waiver of compliance with consultation requirements. (1) If an agency,
Indian tribe, or member of the public waives in writing compliance with any
consultation requirement of this part, an applicant does not have to comply with the
requirement as to that agency, Indian tribe, or member of the public.
(2) If an agency, Indian tribe, member of the public fails to timely comply with a
provision regarding a requirement of this section, an applicant may proceed to the
next sequential requirement of this section without waiting for the agency, Indian
tribe, or member of the public.
(c) Requests for privileged or Critical Energy Infrastructure Information
treatment of pre-filing submission. If a potential Applicant requests privileged or
critical energy infrastructure information treatment of any information submitted to
the Commission during pre-filing consultation (except for the information specified in
§5.4), the Commission will treat the request in accordance with the provisions in
§388.112 of this chapter until the date the application is filed with the Commission.

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(d) Conditional applications. Any application, the effectiveness of which is
conditioned upon the future occurrence of any event or circumstance, will be
rejected.
(e) Trial-type hearing. The Commission may order a trial-type hearing on an
application for a license under this part either upon 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.
(f) Notice and comment hearings. (1) All comments and reply comments and all
other filings described in this part must be served on all persons on the service list
prepared by the Commission, in accordance with the requirements of §385.2010 of
this chapter. If a party submits any written material to the Commission relating to the
merits of an issue that may affect the responsibility of particular resource agency,
the party must also serve a copy of the submission on that resource agency.
(2) The Director of Energy Projects may waive or modify any of the provisions
of this part for good cause. 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.
(3) Late-filed recommendations by fish and wildlife agencies pursuant to the
Fish and Wildlife Coordination Act and section 10(j) of the Federal Power Act for the
protection, mitigation of damages to, and enhancement of fish and wildlife affected
by the development, operation, and management of the proposed project and latefiled terms and conditions or prescriptions filed pursuant to sections 4(e) and 18 of
the Federal Power Act, respectively, will be considered by Commission under
section 10(a) of the Federal Power Act if such consideration would not delay or
disrupt the proceeding.
(g) Settlement negotiations. (1) The Commission will consider, on a case-bycase basis, requests for a short suspension of the procedural schedule for the
purpose of participants conducting settlement negotiations, where it determines that
the suspension will not adversely affect timely action on a license application. In
acting on such requests, the Commission will consider, among other things:
(i) Whether requests for suspension of the procedural schedule have previously
been made or granted;
(ii) Whether the request is supported by a consensus of participants in the
proceeding and an explanation of objections to the request expressed by any
participant;
(iii) The likelihood that a settlement agreement will be filed within the requested
suspension period; and

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(iv) Whether the requested suspension is likely to cause any new or subsequent
license to be issued after the expiration of the existing license.
(2) The Commission reserves the right to terminate any suspension of the
procedural schedule if it concludes that insufficient progress is being made toward
the filing of a settlement agreement.
(h) License conditions and required findings. (1) 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.
(2) 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.
(3) 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.
(4) 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
filed pursuant to section 4(e) of the Federal Power Act.
(5) The Commission will require the construction, maintenance, and operation
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.
(i) Standards and factors for issuing a new license. (1) In determining whether a
final proposal for a new license under section 15 of the Federal Power Act is best
adapted to serve the public interest, the Commission will consider the factors
enumerated in sections 15(a)(2) and (a)(3) of the Federal Power Act.
(2) If there are only insignificant differences between the final applications of an
existing licensee and a competing Applicant after consideration of the factors
enumerated in section 15(a)(2) of the Federal Power Act, the Commission will
determine which Applicant will receive the license after considering:
(i) The existing licensee's record of compliance with the terms and conditions of
the existing license; and
(ii) The actions taken by the existing licensee related to the project which affect
the public.
(iii) An existing licensee that files an application for a new license in conjunction
with an entity or entities that are not currently licensees of all or part of the project

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will not be considered an existing licensee for the purpose of the insignificant
differences provision of section 15(a)(2) of the Federal Power Act.
(j) Fees under section 30(e) of the Federal Power Act. The requirements of 18
CFR part 4, subpart M, of this chapter, fees under section 30(e) of the Federal
Power Act, apply to license applications developed under this part.
[Order 2002, 68 FR 51121, Aug. 25, 2003, as amended by Order 769, 77 FR 65475, Oct.
29, 2012]

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§5.30 Critical energy infrastructure information.
If any action required by this part requires a potential Applicant or Applicant to
reveal Critical Energy Infrastructure Information, as defined by §388.113(c) of this
chapter, to the public, the Applicant must follow the procedures set out in §4.32(k) of
this chapter.
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§5.31 Transition provision.
This part shall apply to license applications for which the deadline for filing a
notification of intent to seek a new or subsequent license, or for filing a notification of
intent to file an original license application, as required by §5.5 of this part, is July
23, 2005 or later.
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