[Code of Federal Regulations]
[Title 18, Volume 1]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 18CFR16.10]

[Page 217-219]
 
           TITLE 18--CONSERVATION OF POWER AND WATER RESOURCES
 
  CHAPTER I--FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY
 
PART 16_PROCEDURES RELATING TO TAKEOVER AND RELICENSING OF LICENSED 
PROJECTS--Table of Contents
 
Subpart B_Applications for Projects Subject to Sections 14 and 15 of the 
                            Federal Power Act
 
Sec. 16.10  Information to be provided by an applicant for new license: 
Filing requirements.

    (a) Information to be supplied by all applicants. All applicants for 
a new license under this part must file the following information with 
the Commission:
    (1) 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:
    (i) Increase capacity or generation at the project;
    (ii) Coordinate the operation of the project with any upstream or 
downstream water resource projects; and
    (iii) Coordinate the operation of the project with the applicant's 
or other electrical systems to minimize the cost of production.
    (2) A discussion of the need of the applicant over the short and 
long term for the electricity generated by the project, including:
    (i) 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;
    (ii) 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;
    (iii) The effect of each alternative source of power on:
    (A) The applicant's customers, including wholesale customers;
    (B) The applicant's operating and load characteristics; and
    (C) The communities served or to be served, including any 
reallocation of costs associated with the transfer of a license from the 
existing licensee.
    (3) The following data showing need and the reasonable cost and 
availability of alternative sources of power:
    (i) The average annual cost of the power produced by the project, 
including the basis for that calculation;
    (ii) The projected resources required by the applicant to meet the 
applicant's capacity and energy requirements over the short and long 
term including:
    (A) 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;
    (B) A resource analysis, including a statement of system reserve 
margins to be maintained for energy and capacity; and
    (C) If load management measures are not viewed as resources, the 
effects of such measures on the projected capacity and energy 
requirements indicated separately;
    (iii) 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:
    (A) The total annual cost of each alternative source of power to 
replace project power;
    (B) The basis for the determination of projected annual cost; and
    (C) 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
    (iv) The effect on the direct providers (and their immediate 
customers) of alternate sources of power.

[[Page 218]]

    (4) 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.
    (5) 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 tribe for electricity generated by the project to foster the 
purposes of the reservation.
    (6) 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:
    (i) 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 losses, and necessary new 
construction of transmission facilities or upgrading of existing 
facilities, together with the cost impact of these effects;
    (ii) An analysis of the advantages that the applicant's transmission 
system would provide in the distribution of the project's power; and
    (iii) 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.
    (7) 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.
    (8) 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.
    (9) 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.
    (10) 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.
    (11) The applicant's electricity consumption efficiency improvement 
program, as defined under section 10(a)(2)(C) of the Federal Power Act, 
including:
    (i) 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
    (ii) A statement describing the compliance of the applicant's energy 
conservation programs with any applicable regulatory requirements.
    (12) 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.
    (b) Information to be provided by an applicant who is an existing 
licensee. An existing licensee that applies for a new license must 
provide:
    (1) The information specified in paragraph (a).
    (2) A statement of measures taken or planned by the licensee to 
ensure safe management, operation, and maintenance of the project, 
including:

[[Page 219]]

    (i) A description of existing and planned operation of the project 
during flood conditions;
    (ii) A discussion of any warning devices used to ensure downstream 
public safety;
    (iii) 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;
    (iv) 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
    (v) 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.
    (3) A description of the current operation of the project, including 
any constraints that might affect the manner in which the project is 
operated.
    (4) A discussion of the history of the project and record of 
programs to upgrade the operation and maintenance of the project.
    (5) 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.
    (6) 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.
    (7) A discussion of any actions taken by the existing licensee 
related to the project which affect the public.
    (8) A summary of the ownership and operating expenses that would be 
reduced if the project license were transferred from the existing 
licensee.
    (9) 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.
    (c) Information to be provided by an applicant who is not an 
existing licensee. An applicant that is not an existing licensee must 
provide:
    (1) The information specified in paragraph (a).
    (2) A statement of the applicant's plans to manage, operate, and 
maintain the project safely, including:
    (i) 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;
    (ii) 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;
    (iii) A description of the applicant's plans to continue safety 
monitoring of existing project instrumentation and any proposed changes; 
and
    (iv) 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) Inclusion in application. The information required to be 
provided by this section must be included in the application as a 
separate exhibit labeled ``Exhibit H.''

[Order 513, 54 FR 23806, June 2, 1989, as amended by Order 533, 56 FR 
23154, May 20, 1991; 56 FR 61156, Dec. 2, 1991; Order 2002, 68 FR 51142, 
Aug. 25, 2003]