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CHECKLIST FOR APPLICATIONS FOR PRELIMINARY PERMITS

(Filed under 18 C.F.R. §§ 4.32, 4.36 & 4.81)

REQUIREMENT ADEQUACY 

(A = adequate

D = deficient)

COMMENTS

Section 4.32

I. Applicant must identify: [(a)(1)]

Every person, citizen, association of citizens, domestic 

corporation, municipality or state who has or intends to 

obtain and maintain proprietary right to the site.

II. Applicant must provide names and mailing addresses of 

entities affected by or whose lands or facilities would be 

used by the project, including: [(a)(2)]

A. Counties in which the project is located.

B. Cities, towns, or similar subdivisions of 5,000 or 

more people within a 15-mile radius of the project 

dam and cities, towns, or similar subdivisions in 

which any part of the project, and any federal 

facilities that would be used by the project, would be 

located.

C. Irrigation districts, drainage districts, or similar 

political subdivisions including federal facilities that 

would be used or located within the project area.

D. Every other political subdivision in the project area

that would likely be interested in or affected by the 

application.

E. All Indian tribes that may be affected by the project.

III. Applicant must subscribe and verify under oath that the 

information in the application is truthful. It must be 

notarized and in the form required by this section.

[(a)(4)(i)-(ii)].

In the alternative, the applicant may provide a statement 

in substantially the following form: “I declare (or certify, 

verify, or state) under penalty of perjury that the 

(following information, information contained herein, 

etc.) is true and correct. Executed on (date).

(Signature)” [see 385.2005(b)(3) and 28 U.S.C. 1746].

Section 4.36

IV. If competing application, applicant must provide:

 [4.36(d)(ii)]

A. Proof of service on applicant who filed initial 

application.

Section 4.81

V. Initial statement must include: [4.81(a)]

A. Location of the project, including state, county, 

nearby town, and body of water.

B. Applicant name, business address, and telephone 

number.

C. Agent name, address, and telephone number.

D. If the project would be located at an existing dam or 

other facility, provide the name and address of the 

dam or facility owner. If federally owned, provide 

the name of the agency. 

VI. If claiming municipal preference, applicant must:
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REQUIREMENT ADEQUACY 

(A = adequate

D = deficient)

COMMENTS

A. Be competent under state law to engage in the 

power business.

B. Submit evidence of municipal status with:

1. Copies of applicable state/local laws or a 

municipal charter; or

2. Other appropriate legal authority.

VII. Exhibit 1 must include, to the extent possible: [4.81(b)]

A. Project Features

1. For each dam and spillway:

a. General configuration (type)

b. Composition

c. Height

d. Length

e. If existing dam, age and condition.

2. For each penstock:

a. Length

b. Diameter

c. Composition

d. If existing penstock, age and condition.

3. For each powerhouse:

a. Composition and dimensions

b. If existing powerhouse, age and condition.

4. Description of each tailrace or other project 

structures, existing or proposed.

B. Reservoirs, existing or proposed

1. Surface area

2. Storage capacity

3. Normal maximum surface elevation

C. Transmission Lines, existing or proposed

1. Number and length

2. Voltage capacity

3. Interconnections

4. If existing, age and condition.

D. Generation Data, existing or proposed

1. Estimated average annual energy output

2. Total installed capacity

3. Number of turbines and generators

4. Turbine rating for each unit

5. Generator rating for each unit
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REQUIREMENT ADEQUACY 

(A = adequate

D = deficient)

COMMENTS

6. Hydraulic head

7. If existing, age and condition of turbines or 

generators.

E. List of federal lands within the project boundary,

including identification of lands of the U.S. on a 

completed land description form (FERC Form 587).

F. Any other information demonstrating the manner in 

which the proposed project would develop, 

conserve, and utilize in the public interest the water 

resources of the region.

VIII. Exhibit 2 must include: [4.81(c)]

 A. Study Plan

1. Description of any studies to determine the 

feasibility of the proposed project.

2. Description and location of new roads to be 

built for conducting the studies.

B. Study Costs

1. Estimated cost of studies.

2. Sources and extent of financing available for 

studies.

IX. Exhibit 3 must include: [4.81(d)]

A. Map(s) showing the location of the project as a 

whole, including:

1. Streams or other bodies of water

2. Nearby towns

3. Permanent monuments

B. Map(s) showing the relative locations and physical 

interrelationships of project features identified in 

Exhibit 1

C. Map(s) showing the proposed project boundary, 

enclosing:

1. All project features identified in Exhibit 1; if 

the project is located at an existing federal dam, 

the federal dam and impoundment must be 

shown, but may not be included within the 

project boundary.

2. Any non-federal lands and any public lands or 

reservations of the U.S. necessary for project 

purposes. 

D. Map(s) showing project areas within or that have 

been designated for study for inclusion in the 

National Wild and Scenic River System

E. Map(s) showing:

1. Designated wilderness areas under the 

Wilderness Act

2. Wilderness areas recommended for designation

3. Wilderness areas designated for study

ADDITIONAL COMMENTS: