License Amendments Process

Understanding the Different Types of Amendments

FERC categorizes amendments into two main types: capacity-related amendments and non-capacity-related amendments. Understanding the difference between these two types of amendments is key to determining the complexity and required steps of the process. Note that most amendments received by FERC each year are non-capacity amendments.

Compliance Handbook

Capacity-Related Amendments [18 CFR § 4.201(b)]

Capacity-related amendments occur when there are substantial changes in the project’s generating power and hydraulic capacity. These are typically more complex than most non-capacity related amendments but not always.

Key Criteria for Capacity-Related Amendments:

Increase in installed generating capacity by 2 MW or more, AND
Increase in hydraulic capacity by 15 percent or more.

Pre-Filing Process for Capacity-Related Amendments:

First Stage Consultation: PG&E would provide agencies with sufficient information; hold a joint meeting; consult on the agenda for the joint meeting; provide FERC notice, no later than 15 days in advance of the meeting; inform and invite the public to the joint meeting; and provide meeting recordings or transcripts. No later than 60 days from the meeting, agencies must respond with any study requests.

Second Stage Consultation: PG&E would conduct necessary studies or provide an acceptable reason for not conducting a requested study; studies must be completed prior to filing the amendment application if the results are needed to determine effects and/or suitable mitigation. The licensee also provides a draft application to the agencies, tribes, and stakeholders with the results of any studies and addresses any agency concerns. Agencies, tribes, and stakeholders have 90 days to provide written comments on the draft application. If comments indicate an agency disagrees with the licensee, the licensee must hold a joint meeting within 60 days to discuss the disagreement. The licensee must provide FERC notice at least 15 days before the meeting.

Third Stage Consultation: Submit the final amendment application to FERC, including all necessary technical data, environmental studies, and consultation records. The amendment application must contain:

o Initial Statement [18 CFR § 4.201(a)]: A summary of the proposed changes and their purpose.

o Exhibits [18 CFR § 4.201(b)]: Detailed technical drawings, environmental data, and consultation records. Depending on your proposed amendment application, this could include exhibits A, B, C, D, E, F, and G.

Proposed Installed Capacity	Not Constructed at Time of Application	Constructed at Time of Application
Greater than 5 MW	A, B, C, D, E, F, G [18 CFR 4.41]	A, B, C, D, E, F, G [18 CFR 4.51]
Less than or equal to 5 MW and greater than 1.5 MW	F, G, [18 CFR 4.61] E [18 CFR 4.41]	E, F, G [18 CFR 4.61]
1.5 MW or Less	E, F, G [18 CFR 4.61]	E, F, G [18 CFR 4.61]

o Consultation Record [18 CFR § 4.38(a)]: Copies of letters soliciting comments from the resource agencies and stakeholders along with agency and stakeholder responses, which can include written letters, emails, and meeting notes. The consultation record is often included as an appendix to the application and must include the licensee’s response to each comment, often in table format.

o Water Quality Certification: Documentation of any needed request for a new or updated water quality certificate for the amendment application. Evidence that the changes meet water quality standards set by state or federal agencies.

Example 1

A hydropower operator wants to add two new turbines to an existing project to increase its total generating capacity by 3 MW. The new units would also increase the project’s hydraulic capacity by 15% or more. These changes mean the amendment application qualifies as a capacity-related amendment because it surpasses the 2 MW and 15% thresholds.

Non-Capacity-Related Amendments [18 CFR § 4.201(c)]

Under FERC’s regulations, all other changes to a project that do not qualify as capacity-related are considered non-capacity amendments. Non-capacity amendments are typically less complex and relate to operational or design changes that do not significantly alter the project’s capacity. These amendments may involve adjustments to the project’s boundary, installed capacity changes that don’t exceed 2 MW, structural changes needed for compliance with new regulations, or updates to approved operational plans.

Pre-Filing Process for Non-Capacity-Related Amendments:

1. Consultation: A licensee must consult with agencies, tribes, and other stakeholders to the extent that the proposed amendment would affect the interests of that agency, tribe, or stakeholder. The licensee must provide a draft amendment application to the above entities and give them at least 60 days to provide comments. While the consultation process is not as intensive as for capacity amendments, you still need to engage with agencies and stakeholders, particularly if the changes have the potential to affect environmental impacts.

2. Filing the Amendment Application: Submit the final amendment application to FERC including all necessary technical data, environmental studies, and consultation records. The final application must summarize the licensee’s consultation with the agencies, tribes, and stakeholders and must contain reasonable protection, mitigation, or enhancement measures to respond to identified impacts. In addition, the licensee must respond to any objections, recommendations, or conditions submitted by an agency or tribe. Copies of all written correspondence between the licensee, agencies, and tribes must be attached to the final application. The final application must contain:

a. Initial Statement [18 CFR § 4.201(a)]: A summary of the proposed changes and their purpose.

b. Exhibits [18 CFR § 4.201(c)]: Detailed technical drawings, environmental data, and consultation records. For non-capacity amendments, you only need to include those exhibits that require revision considering the nature of the proposed amendment.

c. Water Quality Certification: Documentation of any needed request for a new or updated water quality certificate for the amendment application.

A project operator wants to adjust the boundaries of the project to exclude a small area of land that is no longer required for project operations. This change qualifies as a non-capacity-related amendment, which typically does not require the full three-stage pre-filing consultation process.