Appendix A to Part 221 - Part 16-Procedures Relating to Takeover and Relicensing of Licensed Projects
33:3.0.1.1.8.0.1.2.2 : Appendix A
Appendix A to Part 221 - Part 16-Procedures Relating to Takeover
and Relicensing of Licensed Projects Sec. 16.1 Purpose and
coverage. 16.2 Public notice of projects under expiring license.
16.3 When to file. 16.4 Notice upon filing of application. 16.5
Annual licenses. 16.6 Applications for new license for projects
subject to sections 14 and 15 of the Federal Power Act and all
other major projects. 16.7 Application for nonpower license. 16.8
Departmental recommendations for takeover. 16.9 Commission
recommendation to Congress. 16.10 Motion for stay by Federal
department or agency. 16.11 Procedures upon congressional
authorization of takeover. 16.12 Renewal of minor or minor part
licenses not subject to sections 14 and 15. 16.13 Acceptance for
filing or rejection of application. Authority:Federal Power Act,
secs. 7(c), 14, 15, 309 (16 U.S.C. 800, 807, 808, 825h.
Source:Order 141, 12 FR 8461, Dec. 19, 1947, as amended by Order
175, 19 FR 5212, Aug. 18, 1954; Order 260, 28 FR 814, Jan. 11,
1963; 28 FR 1680, Feb. 21, 1963; 28 FR 2270, Mar. 8, 1963; Order
288, 29 FR 14106, Oct. 14, 1964; Order 384, 34 FR 12269, July 25,
1969, unless otherwise noted. § 16.1 Purpose and coverage.
This part implements the amendments of sections 7(c), 14, and 15
of part I of the Federal Power Act, as amended, enacted by Public
Law 90-451, 82 Stat. 616, approved August 3, 1968. It applies to
projects subject to sections 14 and 15 of the Federal Power Act
including projects for which a nonpower license may be issued.
Procedures are provided for the filing of applications for either
power or nonpower licenses for projects whose licenses are
expiring. A license for a power project issued to either the
original licensee or another licensee is referred to in this part
as a “new license” and a license for a nonpower project as a
“non-power license”. Also provided are procedures for the filing of
recommendations for takeover by Federal departments or agencies and
applications for renewal of licenses not subject to section 14.
§ 16.2 Public notice of projects under expiring license.
In order that there should be adequate notice and opportunity to
file timely applications for a license the Commission's Secretary
will give notice of the expiration of license of a project (except
transmission line and minor projects) 5 years in advance thereof in
the same manner as provided in section 4(f) of the Act. The
Secretary shall upon promulgation of the rules herein give notice,
as provided in section 4(f) of the Act, of all whose license terms
have expired since January 1, 1968, or which will expire within 5
years of the effective date of this rule. In addition, the
Commission each year will publish in its annual report and in the
Federal Register a table showing the projects which will expire
during the succeeding 5 years. The table will list these licenses
according to their expiration dates and will contain the following
information: (a) License expiration date; (b) licensee's name; (c)
project number; (d) type of principal project works licensed, e.g.,
dam and reservoir, powerhouse, transmission lines; (e) location by
State, county, and stream; also by city or nearby city when
appropriate; and (f) plant installed capacity.
§ 16.3 When to file.
(a) An existing licensee must file an application for a “new
license” or “nonpower license” or a statement of intention not to
file an application for a “new license” no earlier than 5 years and
no later than 3 years prior to the expiration of its license,
except that, where the license will expire within 3 1/2 years of
the issuance of this part, such applications or statements shall be
filed within 6 months from the effective date of this part.
Applicants which have applications pending which were filed under
previous Commission regulations shall supplement their applications
in accordance with pertinent provisions of this part within 6
months of the effective date of this part.
(b) Any other person or municipality may file an application for
a “new license” or “non-power license” within 5 years of the
expiration of the license, but in no event, unless authorized by
the Commission, later than 6 months after issuance of notice of the
filing of an application or statement by the licensee under § 16.4
or 2 1/2 years before the expiration of the license, whichever is
earlier.
(c) Any application submitted after the expiration of the time
specified herein for filing must be accompanied by a motion
requesting permission to file late, which motion shall detail the
reasons of good cause why the application was not timely filed and
how the public interest would be served by its consideration.
§ 16.4 Notice upon filing of application.
When any timely application or statement within the meaning of §
16.3 is received, or when the Commission grants any motion for
consideration of a late filed application, notice of receipt
thereof will be furnished the applicant, and public notice will be
given in the same manner as provided in sections 4(f) and 15(b) of
the Act (49 Stat. 838; 41 Stat. 1072; 82 Stat. 616; 16 U.S.C. 797,
808) §§ 1.37 and 2.1 of this chapter, the Fish and Wildlife
Coordination Act, 48 Stat. 401, as amended, 16 U.S.C. 661 et
seq., and by publication in the Federal Register.
§ 16.5 Annual licenses.
No application for annual license need be filed nor will such
application be accepted under section 15 of the Act. An existing
licensee making timely filing for a new license will be deemed to
have filed for an annual license. If the Commission has not acted
upon an application by licensee for a new license at the expiration
of the license terms, by the issuance of an order granting, denying
or dismissing it, an annual license shall be issued by notice of
the Secretary.
§ 16.6 Applications for new license for projects subject to
sections 14 and 15 of the Federal Power Act and all other major
projects.
(a) Each application for a new license hereunder shall conform
in form to § 131.2 of this chapter, and shall set forth in
appropriate detail all information and exhibits prescribed in §§
4.40 through 4.42 of this chapter, inclusive and in § 4.51 of this
chapter, as well as additional information specified in paragraphs
(b) through (e) of this section, except that Exhibit A may be
incorporated in an application by reference where one applicant
files applications for several projects, one of which already
contains an Exhibit A or in any case where applicant has filed an
Exhibit A within 10 years preceding the filing of the application,
and that Exhibits N and O as specified in § 4.41 of this chapter
need only be filed as provided in paragraph (c) of this section. An
original and fourteen conformed copies of the application and all
accompanying exhibits shall be submitted to the Commission plus one
additional conformed copy for each interested State Commission.
(b) An application for a “new license” hereunder shall include a
statement showing the amount which licensee estimates would be
payable if the project were to be taken over at the end of the
license term pursuant to the provisions of sections 14 and 15 of
the Federal Power Act. This statement shall include estimates of:
(1) Fair value; (2) net investment; and (3) severance damages.
(This subsection is not applicable to State, municipal, or
nonlicensee applicants.)
(c) If the applicant proposes project works in addition to those
already under license, the maps, plans, and descriptions of the
project works (Exs. I, J, L and M) shall distinguish the project
works of parts thereof which have been constructed from those to be
constructed. Exhibits N and O shall also be included in the
application relating to new construction.
(d) Applicant shall furnish its plans for the future
modification or redevelopment of the project, if any, and shall set
forth in detail why technically feasible, additional capacity is
not proposed for installation at the time of relicensing.
(e) Applicant shall file a statement on the effect that takeover
by the United States or relicensing to another applicant would have
upon the supply of electric energy to the system with which it is
interconnected, the rates charged its customers, the licensee's
financial condition, and taxes collected by local, State, and
Federal Governments. (This subsection is not applicable to State,
municipal or nonlicensee applicants.)
§ 16.7 Application for nonpower license.
Each application for “non-power license” shall generally follow
the form prescribed in § 131.6 of this chapter, except for
subsections 7 and 8 thereof. It shall be accompanied by Exhibits K,
L, R, and S prepared as described in section 4.41, and shall
include the information specified in paragraphs (a) through (c) of
this section. Unless otherwise specified, an original and 14
conformed copies of the application and all accompanying exhibits
shall be submitted with one additional conformed copy for each
interested State commission. Additional information may be
requested by the Commission if desired.
(a) Applicant shall furnish a description of the nonpower
purpose for which the project is to be utilized and a showing of
how such use conforms with a comprehensive plan for improving or
developing a waterway or waterways for beneficial uses, including a
statement of the probable impact which conversion of the project to
nonpower use will have on the power supply of the system served by
the project.
(b) Applicant shall identify the State, municipal, interstate or
Federal agency, if any, which is authorized or willing to assume
regulatory supervision over the land, waterways and facilities to
be included within the nonpower project. (If there is such an
agency, applicant shall foward one copy of the application to such
agency.)
(c) Applicant shall submit a proposal for the removal or other
disposition of power facilities of the project.
A “non-power license” shall be effective until such time as in the
judgement of the Commission a State, municipal, interstate, or
Federal agency is authorized and willing to assume regulatory
supervision over the land, waterways, and facilities included
within the “non-power license” or until the project structures are
removed. Such State, municipal, interstate or Federal agency may
petition the Commission for termination of a “non-power license” at
any time. Where the existing project is located on the public lands
or reservations of the United States, and there is no application
for relicensing as a power project either by the original licensee,
or some other entity, or a takeover recommendation, the Commission
may, in its discretion, and upon a showing by the agency having
jurisdiction over the lands or reservations that it is prepared to
assume requisite regulatory supervision for the nonpower use of the
project, terminate the proceeding without issuing any license for
nonpower use. § 16.8 Departmental recommendations for
takeover.
A recommendation that the United States exercise its right to
take over a project may be filed by any Federal department or
agency no earlier than 5 years and no later than 2 years prior to
the expiration of the license term; Provided, however, That
such recommendation shall not be filed later than 9 months after
the issuance of a notice of application for a new license.
Departments or agencies filing such recommendations shall thereby
become parties to the relicensing-takeover proceeding. An original
and 14 copies of the recommendation shall be filed together with
one additional copy for each interested State commission. The
recommendation shall specify the project works which would be taken
over by the United States, shall include a detailed description of
the proposed Federal operation of the project, including any plans
for its redevelopment and shall indicate how takeover would serve
the public interest as fully as non-Federal development and
operation. It shall also include a statement indicating whether the
agency making the recommendation intends to undertake operation of
the project. A copy of the recommendation shall be served upon the
licensee by the Commission's Secretary. Any applicant for a new
license covering all or part of the project involved in the
takeover recommendation shall have 120 days within which to serve a
reply to the recommendation upon the Commission with copies to any
parties in the proceeding.
§ 16.9 Commission recommendation to Congress.
If the Commission, after notice and opportunity for hearing,
concludes upon departmental recommendation, a proposal of any
party, or its own motion, that the standards of section 10(a) of
the Act would best be served if a project whose license is expiring
is taken over by the United States, it will issue its findings and
recommendations to this effect, and after any modification thereof,
upon consideration of any application for reconsideration, made in
conformity with the provisions of § 1.34 of this chapter governing
applications for rehearing, forward copies of its findings and
recommendations to the Congress.
§ 16.10 Motion for stay by Federal department or agency.
If the Commission does not recommend to the Congress that a
project be taken over, a Federal department or agency which has
filed a timely recommendation for takeover as provided in this part
may, within thirty (30) days of issuance of an order granting a
license, file a motion, with copies to the parties in the
proceeding, before the Commission requesting a stay of the license
order. Upon the filing of such a motion, the license order
automatically will be stayed for 2 years from the date of issuance
of the order, unless the stay is terminated earlier upon motion of
the department or agency requesting the stay or by action of
Congress. The Commission will notify Congress of any such stay.
Upon expiration or termination of the stay, including any extension
thereof by act of Congress, the Commission's license order shall
automatically become effective in accordance with its terms. The
Commission will notify Congress of each license order which has
become effective by reason of the expiration or termination of a
stay.
§ 16.11 Procedures upon congressional authorization of
takeover.
A determination whether or not there is to be a Federal takeover
of a project would ultimately be made by Congress through the
enactment of appropriate legislation. If Congress authorizes
takeover, the Secretary will immediately give the Licensee not less
than 2 years' notice in writing of such action. Within 6 months of
issuance of such notice the Licensee shall present to the
Commission any claim for compensation consistent with the
provisions of section 14 of the Federal Power Act and the
regulations of the Commission.
§ 16.12 Renewal of minor or minor part licenses not subject to
sections 14 and 15.
Licenses whose minor or minor part licenses are not subject to
sections 14 and 15 of the Act and wish to continue operation of the
project after the end of the license term shall file an application
for a “new license” 1 year prior to the expiration of their
original license in accordance with applicable provisions of part 4
of this chapter.
§ 16.13 Acceptance for filing or rejection of application.
Acceptance for filing or rejection of applications under this
part shall be in accordance with the provisions of § 4.31 of this
chapter.