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Part 600: Applications For Licenses and Preliminary Permits Under The Water Power Act

[page 1 of 1]

Contents:

Sec.

§600.1 Outline of Application and Priorities

(a) Applications shall be made in writing to the Water Power and Control Commission. One original and three copies shall be filed with the commission by delivering the same to the Commissioner of Environmental Conservation as chairman of the commission, or to the secretary of the commission. They must be verified by the applicant, the affidavit of verification to be substantially in the form provided by the Civil Practice Act for the verification of a pleading. One member of an association may verify the same on behalf of the association. Whenever an affidavit of verification is taken without the State of New York, the authority, and the authenticity of the signature of the notary public or other officer taking the affidavit, must be established in the manner provided by sections 311 and 312 of the Real Property Law.

(b) They shall be plainly and legibly written or printed in black ink upon durable paper of good material and of a uniform size, but not more than 8 1/2 inches in width by 14 inches in length. The maps, plans and drawings constituting a part of the original application shall be on cloth blueprints or original drawings on tracing cloth, except that lithographed official maps issued by Federal or State agencies may be used for general maps; but when so used the copy constituting a part of the original application must be mounted on cloth.

(c) They shall be filed by the commission in the order of their receipt. The date of the receipt of the last communication from an applicant, containing any data or information required by these rules, shall be deemed to be the date of the receipt of such application for a license, except that where the commission issues to an applicant for a license a preliminary permit for the purpose of enabling him to secure the data or information required by subdivision (a), (b), (c) or (d) of section 600.6 of this Part to be set forth in an application for a license, the date of receipt of the last communication from the applicant, containing any data or information required by these rules for the issuance of such preliminary permit, shall be deemed to be the date upon which the priority of such application for a license shall be maintained, subject to the conditions of the permit.

§600.5 Applicant's Address--Form of Organization

Applications for licenses shall set forth, among other things, the following:

(a) If the applicant is an individual, his full name and place of residence (street and number); that he is a citizen of the United States; and his business address or address to which communications, notices, orders or directions from the commission may be addressed.

(b) If the applicant is an association, the full names and places of residence (street and number) of each member thereof; that each member thereof is a citizen of the United States; and the business address of the association to which communications, notices, orders or directions from the commission may be addressed. It shall point out the statute law, if any, under which the association was organized. If the association is a copartnership, a copy of the articles of copartnership shall be attached; if a joint-stock association or similar association, a copy of the articles of association shall be attached, together with a certified copy of the minutes of the meeting of the association authorizing the making of said application.

(c) If the applicant is a corporation, the full names and places of residence (street and number) of its officers and directors; its principal office and place of business within the State of New York to which communications, notices, orders or directions from the commission may be addressed, and a statement revealing when and under the laws of what state it was incorporated. If it is not incorporated under the laws of the State of New York, the application shall point out the specific statutory provisions under or pursuant to which it was incorporated, and set forth facts establishing its compliance with the provisions of section 15 of the General Corporation Law. All such applications shall set forth facts evidencing that the organization of the corporation has been fully completed, and point out the provisions of law and of its charter authorizing it to engage in the business of developing, using, furnishing or selling hydraulic or hydro-electric power within the State. A copy of the charter or certificate of incorporation of the applicant, duly certified by the Secretary of State of the state where it was organized or other officer having legal custody of the records of incorporation, must be attached to the application; also a certified copy of the minutes of the meeting of the directors of such corporation authorizing the making of said application, and if a foreign corporation, a certificate executed by the Secretary of State, pursuant to the provisions of section 15 of the General Corporation Law, to the effect that such corporation has complied with all requirements of law to authorize it to do business in this State.

(d) If the applicant is a municipal corporation, it shall set forth the names and places of residence (street and number) of the chief executive officer and the clerk thereof. It shall state whether an order has been made by the Public Service Commission approving the installation of the municipal power plant which it proposes to install under the license if granted to it by the commission, and point out the statute or statutes constituting its charter and particularly the provisions thereof which it is claimed authorize it to develop, use, furnish or sell hydraulic or hydro-electric power and to make the application and become a licensee under the provisions of the aforesaid article XIV of Conservation Law as amended. All such applications shall be accompanied by a certified copy of the minutes of the municipal legislative body authorizing the making of said application, and also a copy of the order of the Public Service Commission approving the installation of the municipal power plant referred to in such application, if such an order has been granted.

§600.6 Descriptive

(a) They shall set forth a clear and comprehensive description of the applicant's project, for which purpose detailed maps, plans or drawings, drawn to scale, and specifications of the "project", as that term is defined by section 613 of the Conservation Law, in sufficient detail to enable the commission to fully comprehend the nature and extent thereof, including the extent of the land proposed to be flooded by such project works, and the location and boundaries of the project area with respect to the boundaries of all cities, counties, towns and villages which lie in whole or in part within the same, shall accompany the application. The "project area" is considered to be the land area, the possession or ownership of which will be required for the construction, maintenance or operation of the project.

(b) They shall also include as a part thereof detailed estimates of the cost of consummating the project and a statement as to the time within which, after the granting of the license, the licensee will begin construction work, and the time within which he will put into operation the project works or each defined part or portion thereof.

(c)

(1) They shall set forth the applicant's information or estimate with respect to the flow, from time to time, of the stream which he proposes to develop, together with his information or estimate with respect to the flow thereof which will or may be utilized from time to time in his project plant for the development of power, and his information or estimate with respect to the head under which the flow of the stream can, from time to time, be utilized for power purposes in his project plant. The stream flow and elevation records, or other data from which such estimates of usable flow and head are deduced, should, if available, accompany the application. It is permissible, however, to refer to published gaging records kept by the State or federal governments, without providing copies of the same. If the stream flow or head at the power site is derived from data other than published stream gaging and water surface elevation records, or from modifications of such records, then the data, methods and factors used in making up such estimates of stream yield and head shall accompany the application.

(2) They shall also set forth the working head under which it will operate and the rated capacity of the hydraulic and electrical apparatus to be installed in the project plant.

(3) They shall also disclose the effect, if any, of the construction and operation of the project works upon any waters, whether within or without the State, which are susceptible of use for navigation purposes and also upon any canal or canal feeder lands, waters or structures.

(d) They shall set forth by reference to a map, drawn to scale, to accompany the application, the location and boundaries of the lands, the ownership or use of which is deemed necessary to the consummation of the project, and, so far as known, the names of the owners of the several parcels of land comprising the said area; also, so far as known, the names of the owners, other than the State and the applicant, of water rights and privileges, title to which must be acquired in order to enable the applicant, if he becomes a licensee of the State under the Conservation Law, to consummate his project, and a statement of the nature and extent of their several rights; also a statement of what part or portion of such lands, and water rights, and structures, are possessed by the State and the applicant respectively.

§600.7 Relationship of Other Property of Applicant

They shall also set forth the location, rated capacity and actual power output of all power plants owned or operated by the applicant, whatever the motive power thereof may be; the location of all water power sites, whether developed or undeveloped, owned or operated by the applicant, and the power, or additional power, which may be obtained by a proper and economical development effected at each such developed or only partially developed site; what developments, extensions or enlargements, if any, of said sites or plants are planned or under consideration by the applicant; the markets supplied by existing plants; the relationship, if any, of the applicant's existing plants to the project in connection with which a license is sought from the commission, and the relationship, if any, of the project plant to any other hydro-electric plants.

§600.8 Disposal of Power

They shall set forth how the applicant proposes to utilize the power output of the project works, that is, whether for public or private use; if for private use, by whom it is proposed to be used and for what purpose, and if for public use, the market wherein the applicant proposes or expects to dispose of the same.

§600.9 Experience--Responsibility

They shall set forth, in general terms, the nature and extent of the experience of the applicant in the business of developing, generating, transmitting, distributing, using or selling hydraulic or hydro-electric power, together with the facts relied upon to satisfy the commission, as required by subdivision 5 of section 616 of the act above referred to, that, financially and otherwise he is reliable and responsible and capable of consummating the project for which he seeks a license.

§600.10 Additional Information

(a) They may set forth such other information as the applicant considers material as bearing upon the merits of his application.

(b) The commission may require applicants to furnish such additional maps, plans, drawings or data as in its judgment are necessary or desirable for a full understanding of the applicant's project.

§600.11 Deferred Information

In cases where an applicant for a license accompanies his application therefor with an application for a preliminary permit under section 617 of the Conservation Law and it is made to appear that he is not possessed of sufficient data or information to enable him to comply with the foregoing subdivision (a), (b), (c) or (d) of section 600.6, and that he desires a preliminary permit to enable him to secure and furnish to the commission the data required by said rules to be furnished, compliance by him with the requirements of the said rules will, in the event that a preliminary permit is granted by the commission, be deferred until the expiration of the term of the preliminary permit, unless otherwise directed by the commission.

§600.12 Form of Application

The application should be in substantial conformity with the following form:

FORM OF APPLICATION FOR A LICENSE

To the Water Power and Control Commission:

The application of the undersigned for a license under the provisions of Article XIV of the Conservation Law (Chapter 579, Laws of 1921 as amended) shows:

1. (Here set forth the information required by Rule IV [section 600.5]).

2. That the applicant seeks a license from the commission authorizing the construction, maintenance and operation for the development of power of the following project, to wit: (here set forth a clear and comprehensive description of the project as required by Rule V [subdivision (a) of section 600.6], giving to each map, plan, drawing, specification, etc., which accompanies the application an exhibit number).

3. That hereto attached marked Exhibit is applicant's detailed estimate of the cost of consummating the aforesaid project.

4. That, if this application be granted, the undersigned will commence construction work on the project within days from the issuance of the license, and within days therefrom will complete the same and put it in operation, in the following manner: (Here set forth the information required by Rule VI [subdivision (b) of section 600.6]).

5. (Here set forth information called for by Rule VII [subdivision (c) of section 600.6] with respect to the stream flow, available head, project plant capacity, etc.).

6. (Here set forth information with respect to the ownership of the lands and water rights necessary to the consummation of the project as required by Rule VIII [subdivision (d) of section 600.6]).

7. (Here set forth full information with respect to the location, etc. of power plants owned or operated by the applicant as required by Rule IX [section 600.7]).

8. That the proposed use or market for the power to be developed is as follows: (See Rule X [section 600.8]).

9. (Here set forth the facts with respect to the experience of the applicant required by Rule XI [section 600.9]).

10. (Here set forth such other information as is considered material as bearing upon the merits of the application).

WHEREFORE, the undersigned prays that a license be issued to him (them, it) under and pursuant to the provisions of Article XIV of the Conservation Law, as amended, authorizing him (them, it) to construct at the location and in the manner above set forth, and for the period of years from the date of the license, to maintain and operate the project and project works above described for the diversion and use for power purposes of the waters above referred to and the use in connection therewith of the lands, waters and water rights to the State belonging, above referred to.

Dated, , 19 .


Applicant.

(The application must be verified as required by Rule I [subdivision (a) of section 600.1]).

§600.20 Conditions

An application for a preliminary permit will not be received except in connection with a formal application for a license.

§600.21 Descriptive

(a) Applicants for preliminary permits shall set forth, among other things, the following:

(1) a map of the project, so far as it has been worked out, showing generally the lands and waters, for the use of which the applicant desires a license, and as full and comprehensive a description of the development which the applicant has in mind as the circumstances will permit;

(2) what data pertaining to the project the applicant proposes to secure, which renders the issuance of a preliminary permit necessary or proper;

(3) what cities, villages or towns are situated within 25 miles of the site of the project works;

(4) the period of time for which a permit is desired;

(5) such other information as the applicant considers material as bearing on the merits of his application.

(b) The commission may require applicants to furnish such additional maps, plans, drawings or data as in its judgment are necessary or desirable for a full understanding of the applicant's project.

§600.22 Form of Permit

The application should be in substantial conformity with the following form:

FORM OF APPLICATION FOR A PRELIMINARY PERMIT

To the Water Power and Control Commission:

The application of the undersigned for a preliminary permit under the provisions of Article XIV of the Conservation Law (Chap. 579, Laws of 1921 as amended) shows:

1. That the applicant has filed or is about to file with the Commission pursuant to the provisions of the above mentioned act, a formal application for a license covering the project herein referred to, to which application reference is hereby made for information concerning the qualifications of the applicant and with respect to the power site involved, the nature and extent of the applicant's project, the proposed use of the power to be developed at the same, etc.

2. That the applicant seeks a license authorizing the construction, maintenance and operation for the development of power, of the project described or referred to in paragraph "2" of his aforesaid application for a license; but that it is necessary to secure further data and information to enable him (them, it) to furnish the Commission with a definite, clear and comprehensive description of this project and to furnish the information required by Rules V, VI, VII or VIII [subdivision (a), (b), (c) or (d) of section 600.6] (as the case may be) of the Commission.

(Here set forth a general description and map of the project, as far as it has been worked out, as required by Rule XVII [subdivision (d) of section 600.21] and such information required by Rules V to VIII [section 600.6], inclusive, as is possessed by the applicant.)

3. That the applicant seeks a preliminary permit for the period of weeks (months) to enable him (them, it) to secure and furnish to the Commission material data and information of the following characters: (Here set forth information required by Rule XVII, subd. b [paragraph (2) of subdivision (a) of section 600.21].)

4. That the following cities, towns and villages are situated within 25 miles of the site of the applicant's project works.

5. (Here set forth such other information as is considered material as bearing upon the merits of the application.)

WHEREFORE, the undersigned prays that a preliminary permit covering the project above described be issued to him (them, it) under and pursuant to the provisions of Article XIV of the Conservation Law for the term of months from the date thereof.

Dated , 19 .


Applicant.

§600.23 Rights Reserved by Commission

The commission reserves the right to alter, amend, suspend or revoke any or all of the foregoing rules at any time.