Guidance for Shoreline Management Planning

at Hydropower Projects

Office of Energy Projects

Federal Energy Regulatory Commission

April 2001
Guidance for Shoreline Management Planning 

at Hydropower Projects

Federal Energy Regulatory Commission

888 First Street NE

Washington, DC 20426

April 2001

Shoreline Management Guide
TABLE OF CONTENTS

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .I

CHAPTER 1- THE HISTORY AND REGULATORY BASIS

FOR SHORELINE MANAGEMENT AT FERC PROJECTS . . . . . . . . . . . . . . . . . . . . . . . . . .1-1

1.1 The Federal Power Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1

1.2 Standard License Articles Related to Shoreline Management Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1

1.3 Evolving Management and Planning at Project Shorelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-2

1.4 How FERC Reviews a Shoreline Management Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-3

CHAPTER 2 PRE-PLANNING ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-1

2.1 Goals and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-1

2.2 Gathering Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3

2.2.1 Lands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-4

2.2.2 Natural Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5

2.2.3 Public and Private Shoreline Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-5

2.2.4 Recreational Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6

2.2.5 Socioeconomics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6

2.2.6 Aesthetic Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7

2.2.7 Cultural Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-7

2.2.8 Soils/Erosion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7

2.3 Identifying Preliminary Stakeholder Concerns, Goals, and Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8

Shoreline Management Guide
CHAPTER 3 PREPARING THE SHORELINE MANAGEMENT PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3

3.1 Stakeholder Involvement in the Planning and Development Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1

3.1.1 Types of Stakeholder Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1

3.1.2 Opportunities for Stakeholder Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3

3.2 Items Typically Included in Shoreline Management Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4

3.3 Shoreline Use Classification Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-5

3.4 Shoreline Management Policies, Permits, and Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-7

CHAPTER 4 IMPLEMENTING THE SHORELINE MANAGEMENT PLAN . . . . . . . . . . . . . . . . . . . . . . . . . .4-1

4.1 Using the Shoreline Management Plan to Carry Out the Intent of the Standard 

Land Use Article and Other License Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1

4.2 Using the Shoreline Management Plan to Guide Future Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-3

4.3 Enforcement of the Shoreline Management Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-3

4.4 Monitoring, Reviewing, and Updating the Shoreline Management Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-4

APPENDICES:

A Federal Power Act & Standard Article 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A-1

B Standard Land Use Article . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .B-1

C Suggested Contents of Applications for Non-Project Uses and Occupancies of Project Lands or Waters . . . . . . . . .C-1

D Sample List of Commission Orders on Shoreline Management Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D-1

E Frequently Asked Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E-1

This document was prepared by the staff of the Office of Energy Projects and does not necessarily reflect the views of the

Federal Energy Regulatory Commission.

ACKNOWLEDGMENTS

We gratefully acknowledge the assistance of Hydro Public Safety Issues Group in the review of the preliminary draft of this document.

Shoreline Management Guide
INTRODUCTION

The Federal Energy Regulatory Commission

(FERC or the Commission) is responsible for

issuing licenses for the construction,

operation, and maintenance of non-federal

hydropower projects. Licensees are

responsible for operating and maintaining

these projects in accordance with license

requirements and project purposes (i.e.,

public recreation, environmental protection,

etc.). Consistent with these license responsibilities, a licensee may, with Commission

approval, authorize specific uses and

occupancies of the project reservoir

shoreline that are not related to hydroelectric

power production or other project purposes

(non-project uses).

In recent years, FERC has received an

increasing number of applications for

shoreline development activities at licensed

projects. Many of these applications have

been for commercial dock construction. The

increase in development pressure on 

shorelines for non-project uses and 

occupancies is fueled largely by increasing

demand for water-oriented recreation and

waterfront property. The demand for

waterfront property or property that has

water access (water-privileged) is especially

keen. Historically, waterfront real estate

development often focused on second-home

and vacation rental properties. Recently,

significant numbers of year-round homes are

being built near many projects. These yearround developments include upscale homes,

planned communities, and retirement homes.

They are frequently located next to project

lands and often have access to project

waters via boat ramps, community parks,

and commercial developments such as

marinas.

As demands for residential development

near projects increase, there is a

corresponding increase in demands for

additional recreational development of

project lands and waters. All of these

developments take advantage of access to

or views of project waters, and exist because

of their proximity to the water. Private

recreational facilities include resorts,

marinas, dry docks, boat services and sales,

golf courses, and campgrounds. Public

recreational facilities include local parks,

state parks, campgrounds, trails, hunting

areas, fishing areas, and wildlife preserves. 

As development pressure on lands adjacent

to or near project lands increases, a wider

range of stakeholders are becoming involved

in FERC review processes. In recent years,

FERC has noticed an increase in the number

of stakeholder comments and inquiries

regarding shoreline issues. Stakeholders

such as federal, state, and local agencies,

along with homeowners' associations, 

environmental groups, hunting and fishing

clubs, water-based recreation groups, real 

Shoreline Management Guide

i
estate interests, and the general public are

now frequently participating in project review.

Many of these stakeholders have different,

and sometimes conflicting concerns. Local

governments often support development

activities adjacent to projects because these

activities can increase tax bases, provide

jobs, and boost local economies. The real

estate and construction industries also often

support waterfront development. Groups

that are frequently concerned about the

effects of waterfront development on natural

resources include federal, state, and local

government resource agencies;

environmental groups; and a variety of

recreation and sporting interests. Other

groups are concerned about public safety,

water craft traffic, and even commercial

navigation.

Licensees have a responsibility to ensure

that shoreline development activities that

occur within project boundaries are

consistent with project license requirements,

purposes, and operations. As development

and multiple uses of the shoreline continue

to grow, licensees will face more and more

challenges related to the effects of such 

development on project lands and waters,

including public recreational use and

environmental resources.

A comprehensive plan, such as a shoreline

management plan (SMP), can assist the

licensee in meeting its responsibilities

throughout the term of its license. An SMP

is a comprehensive plan to manage the

multiple resources and uses of the project's

shorelines in a manner that is consistent with

license requirements and project purposes,

and addresses the needs of the public. The

Commission expects all licensees

developing comprehensive plans to involve

the public and allow for agency consultation,

review, and comment.

The SMP planning process allows project

stakeholders to voice their concerns. One of

the primary purposes of this guidebook is to

educate both licensees and stakeholders

about how to participate in the SMP planning

process. In FERC's experience, when

stakeholders with different views work

together during the development of an SMP,

they often are able to create plans that are

acceptable to all, or at least most, of the 

parties. Striking a balance that supports

local economic interests, protects

environmental resources, and allows the

public to enjoy those resources is vital for

the long-term success of an SMP.

Commission staff believes that by including

various stakeholders in the development of

the SMP, the resulting plan will be stronger

and more acceptable to all parties. 

This guidebook has been written to assist

both licensees and stakeholders. It is

intended to provide general guidance on

developing an SMP, including potential

pitfalls and how to avoid them, what to

expect from FERC and other involved

agencies, ways to involve the public in the

SMP development process, and how to

implement, monitor, and enforce the SMP

once it is in place. This document is not

intended to provide detailed, step-by-step

instructions on how to develop and

implement an SMP, but instead is a basic

framework to guide licensees and

stakeholders. Each individual licensee will

need to determine how the information in this

guidebook applies to its particular project.

The guidebook is organized as follows: 

Shoreline Management Guide

ii
n Chapter 1

— The History and

Regulatory Basis for Shoreline

Management at FERC Projects details

the regulatory history of shoreline

management at FERC projects.

n Chapter 2— Pre-Planning Activities

outlines a number of activities that a

licensee can complete to ensure a

meaningful and efficient SMP

development process.

n Chapter 3— Preparing the Shoreline

Management Plan gives instructions

and guidance for preparing the SMP.

n Chapter 4— Implementing the

Shoreline Management Plan guides the

licensee through the implementation

process once the SMP has been

completed and discusses non-project

uses that need Commission approval

whether or not an SMP is in place at the

project.

Shoreline Management Guide

iii
1.1 The Federal Power Act

The Federal Power Act of 1935 (FPA)

authorized FERC to regulate non-federal

hydroelectric projects. Included in FERC's

regulatory mandate are specific

requirements for protecting non-power

resources, including fish and wildlife habitat,

irrigation, water supply, recreation, flood

control, and water quality. The FPA, along

with its various amendments, sets the stage

for shoreline management planning for

licensed hydroelectric developments.

Section 10(a)(1) of the FPA charges the

Commission with ensuring that all licensed

projects: 

n Be best adapted to a comprehensive

plan for improving or developing a

waterway or waterways for the use or

benefit of interstate or foreign

commerce, for the improvement and

utilization of waterpower development,

for the adequate protection, mitigation,

and enhancement of fish and wildlife 

(including related spawning grounds and

habitat), and for other beneficial public

uses, including irrigation, flood control,

water supply, and recreational and other

purposes referred to in section 4(e); and,

if necessary, in order to secure such a

plan, the Commission shall have

authority to require the modification of

any project and of the plans and specifications of the project works before

approval.

In addition, section 4(e) of the FPA, as

amended by the Electric Consumers

Protection Act of 1986, requires that the

Commission, when issuing a license, give

"equal consideration to the purposes of

energy conservation, the protection,

mitigation of, damage to, and enhancement

of, fish and wildlife (including related

spawning grounds and habitat), the

protection of recreational opportunities, and

the preservation of other aspects of

environmental quality."

1.2 Standard License Articles

Related to Shoreline 

Management Plans 

There are two standard license articles found

in almost all major (i.e., projects with an

installed capacity of greater than 5

megawatts) FERC project licenses that

relate directly to shoreline management

planning. Standard Article 5 requires a

project licensee to acquire and retain fee title

or the right to use in perpetuity all property

necessary or appropriate to construct,

maintain, and operate the project. In

general, sufficient property and/or rights are

needed to carry out project purposes. These

purposes may include, but are not limited to,

operation and maintenance, flowage,

recreation, public access, protection of

environmental resources, and shoreline

control. Article 5 also states that licensees

cannot dispose of these project interests

without the Commission's approval, unless

permitted under specific requirements of the

license. 

Shoreline Management Guide

1 - 1

CHAPTER 1

THE HISTORY AND REGULATORY BASIS FOR SHORELINE MANAGEMENT AT FERC PROJECTS
In an order issued in 1980 involving the

Brazos River Authority (Project No. 1490) (11

FERC §61,162), FERC began including a

new standard article in licenses. This new

article (land use article) gives licensees

much broader authority to act on relatively

routine shoreline matters without FERC

approval. This article gives licensees the

authority to grant permission to applicants for

specific non-project uses, subject to specific

license conditions. Examples of relatively

routine, non-project use applications that

licensees may approve include noncommercial boating access facilities (boat

docks and piers), erosion control structures,

certain types of recreation development,

bulkheading, and vegetative removal or

trimming, and planting new vegetation. 

To exercise these authorities, licensees must

ensure that the proposed uses and

occupancies are consistent with the

purposes of protecting and enhancing the

environmental values of the project, while

safely operating and maintaining the project.

Project environmental values that must be

protected and enhanced include a number of

natural resources (fish, vegetation, wildlife),

public recreation access, scenic character,

and cultural resources. 

Paragraph B of the land use article includes

a clause that states "the licensee may,

among other things, establish a program for

issuing permits for the specified types of use

and occupancy of project lands and waters"

to assist the licensee in managing project

lands and waters. It goes on to say that "the

Commission reserves the right to require the

licensee to file a description of its standards,

guidelines, and procedures for implementing

this paragraph (b) and to require modification

of those standards, guidelines, and

procedures." Depending on how extensively

the licensee exercises its authority under the

standard land use article, most licensees do

find a permitting program useful, if not

necessary.

1.3 Evolving Management 

and Planning at

Project Shorelines

Shoreline management is not a new FERC

initiative. The need to protect a marginal

strip of shoreline land around project 

reservoirs has long been recognized by the

Commission. FERC's early attempts to

encourage licensees to manage their

shorelines came in the form of buffer zone

management plans, resource plans, and

even the exhibit R (which was essentially a

recreation and public use plan). In most

cases, buffers incorporated into resource

plans during the licensing process were

established to protect specific resources,

such as wildlife, aesthetics, recreation, or

cultural resources. Typically, these earlier

resource plans did not consider multiple

resources along the shoreline in a

comprehensive manner, even though the

management of individual resources often

influenced how project shorelines were

managed. Interest in multiple nondevelopmental resources such as recreation,

cultural, aesthetic, fish, wildlife, and habitat

resources, has increased over the years to

the point where these resources are now

given considerable attention by licensees

and FERC. 

As interest in non-developmental resources

increased, so did applications to FERC for

project shoreline permits, licenses, and

amendments to licenses. Through the

Shoreline Management Guide

1 - 2
issuance of the 1980 order involving the

Brazos River Authority, the Commission

responded to this increasing number of

applications. The land use article addresses

the licensee's authorization and

management of specific shoreline uses and

facilities.

The purpose for the article recommending

permitting systems was not to manage

shorelines comprehensively, but instead to

allow the licensee to have basic oversight of

the use of project shorelines. Because many

licensees used permits as information bases,

the permitting systems allowed many

licensees to begin to track what was

occurring on project shorelines.

As waterfront development at licensed

projects increased, the Commission and

many licensees realized that more

comprehensive approaches to shoreline

management were needed. Although

permitting systems began to address and

direct development, these systems, like the

single-resource management plans, were not

designed for comprehensive management.

Some licensees have developed and are

using comprehensive SMPs to manage their

shorelines. FERC, licensees, and

stakeholders alike have found that a

comprehensive, resource-based planning

approach is appropriate for most SMPs.

Most, if not all, projects will experience

conflicting demands on how to manage

project shorelines. By developing and using

an SMP at the earliest possible time, the

licensee can make progress toward 

comprehensively managing the shorelines of

their projects.

1.4 How FERC Reviews

a Shoreline 

Management Plan

For licensees that are in the process of

licensing their projects, the review of

proposed comprehensive plans, such as an

SMP, is completed as part of the licensing

process. If an SMP is filed with FERC

during the license term, the following

process applies. Initially, staff reviews the

plan to determine its adequacy. The

document must be consistent with the overall

requirements of the project's license and

should address issues raised by interested

entities. Any shoreline use regulations,

permits, or guidelines that are part of an

SMP must also be consistent with the project

license. 

In addition, the SMP must contain adequate

information from which the Commission can

base its decisions on the plan. If FERC

determines that there is missing information

or unresolved questions or issues, the

Commission may request additional

information from the licensee that may be

necessary to properly analyze the effects of

implementing the SMP. 

Once the SMP is filed with FERC, there will

likely be a public comment period. If the

Commission determines that the SMP entails

material changes in the terms and conditions

of the license, or would adversely affect the

rights of property owners in a manner not

contemplated by the license, a public notice

requesting comments is issued and

published in a local newspaper. During the

review and comment period, interested

parties are given the opportunity to file

comments and other information regarding

the proposed SMP for FERC to review and

consider. 

Shoreline Management Guide

1 - 3
The next steps of the typical SMP review

process involves preparation of a National

Environmental Policy Act (NEPA) document,

under FERC's NEPA regulations (18 CFR

Part 380). In most cases, FERC's staff will

prepare an environmental assessment (EA)

for the proposed SMP. Typically, the EA will

address the potential environmental effects

of implementing the plan on resources within

the project area.

Resources that are generally examined

include water use and quality, fisheries,

wetlands, wildlife, threatened and

endangered species, land use and

aesthetics, recreation, cultural resources,

and socioeconomics. Occasionally,

individual development proposals do

accompany an SMP, or are included as a

part of a plan. Most commonly, these are

recreational enhancements, and the effects

of these individual proposals have to be

considered along with the effects of the plan.

In deciding whether, or under what

conditions to approve the plan, the

Commission will consider the entire record of

the proceeding, including the proposed plan,

any comments filed on the plan, and the EA.

The Commission will approve the plan if it

determines that the plan is consistent with

the requirements of the project license and

adequately addresses issues raised during

the proceeding.

Shoreline Management Guide

1 - 4
Prior to preparing an SMP, the licensee

should undertake a number pre-planning

activities. These activities will help the

licensee guide, define, and establish the

parameters of the plan. These pre-planning

activities can be extremely valuable for the

licensee for a number of reasons:

n To define what they hope to accomplish

with an SMP by clarifying and

developing goals and objectives 

n To identify the issues that will need to be

addressed in the SMP 

n To assess how much existing information

is available that relates to the SMP and

how much information will need to be

gathered

n To gather and organize enough

background information to allow the

licensee to meet with relevant agencies

and stakeholders to determine the likely

scope and complexity of the SMP.

For licensees that are in the process of

licensing their projects, the efforts described

in this chapter and Chapter 3 will likely be

completed as part of the licensing process

(18 CFR Part 4). 

The following sections describe the

components of the pre-planning phase of the

development of an SMP.

2.1 Goals and Objectives

Goals are statements that help define what

the licensee wants to accomplish with an

SMP. Goals can be fairly general policy

statements or very specific. Objectives are

action items that, when completed, help to

achieve the goal and/or measure the goal's

success. Examining the project license will

help the licensee establish goals and

objectives for the SMP. In general, a

licensee's overall goal for an SMP is to

develop a tool that will help it fulfill its license

responsibilities and obligations for the

project, including protecting and enhancing

the project's environmental, scenic, and

recreation values. 

Developing goals and objectives during the

pre-planning phase will help determine the

form and level of complexity that will be

required for the SMP. For example, at a

project where the primary goal of the planning effort would simply be to develop a

permitting system for shoreline structures,

the SMP would be relatively simple, whereas, for a project where there were multiple

goals dealing with multiple issues and

resources, the SMP could be quite complex.

Examples of goals that might be developed

for a complex project might include: (1)

retaining sport fish habitat, (2) concentrating

new shoreline development in areas that

have already been developed, (3) stabilizing

erosion, (4) improving water quality by

reducing the amount of runoff of

contaminants from neighboring properties,

(5) cooperating with the multiple governing

entities that surround the project to

coordinate adjacent land uses with shoreline

uses, (6) working with the same entities to

"piggyback" permitting efforts, and (7)

preserving the natural aesthetic quality of the

shoreline for both boaters and shore viewers.

Shoreline Management Guide

2 - 1

CHAPTER 2—PRE-PLANNING ACTIVITIES
Example Goals and Objectives for a

Shoreline Management Plan

Goal 1: Improve public access to the south

half of the project.

Objective 1: Cooperate with the Forest 

Service in identifying one 

new boat ramp site in this 

area

Objective 2: Determine how a boat ramp 

in a given area can be

rehabilitated

Objective 3: Provide a fishing pier at the 

project picnic area next to a 

particular highway

Goal 2: Protect shoreline wildlife habitat 

Objective 1: Assign a shoreline 

classification of "Protected" 

to 25 percent of project 

shoreline

Objective 2: Accurately locate and 

classify undeveloped 

shoreline areas on a 

geographic information 

system(GIS)

Objective 3: Accurately locate all heron 

rookeries and osprey nests 

Goal 3: Create a public education program

to encourage plan compliance

Objective 1: Write and distribute a semiannual newsletter

Objective 2: Establish a "model" 

shoreline area with plantings

from a suggested plant list

Objective 3: Meet with public service and

community groups once a 

year to update them on 

progress and changes and 

to get feedback

Objective 4: Use website and e-mail as 

tool to communicate with 

interested party.

Objective 5: Develop and implement an 

educational program for 

contractors who want to be 

on the approved contractor 

list

Shoreline Management Guide

2 - 2
The goals and objectives that are developed

during the pre-planning phase may evolve or

change during the development of the SMP

as various stakeholder groups become

involved. However, it is important for the

licensee to have a clear set of goals and

objectives early in the development process

prior to stakeholder involvement. A clear set

of goals and objectives will help ensure that

the SMP meets the needs and capabilities of

the licensee, while allowing the licensee to

work with stakeholder groups.

2.2 Gathering Information

Because it is likely that multiple resource

concerns and interests will be taken into

account when developing an SMP, it is

critical for the licensee to have a thorough

understanding of existing shoreline

conditions. Gathering shoreline information

will help identify issues early and allow the

licensee to have meaningful discussions with

stakeholders about the project. These

discussions will help determine the issues to

be addressed in the SMP and give an early

indication of the necessary level of

complexity for the SMP.

If the licensee is preparing or has recently

prepared a relicense application, data

appropriate for the SMP may already be

available. Existing project records, such as

permit inventories or FERC Form 80

(Licensed Hydropower Development

Recreation Report, 18 CFR §8.11), may also

be excellent sources of information. Federal,

state, and local resource agencies can also

provide data, including National Wetlands

Inventory maps, aerial photos, threatened

and endangered species habitat maps,

zoning and critical areas maps, state

comprehensive outdoor recreation plans

(SCORPs), U.S. Geological Survey maps,

and real estate platting maps. Other data

sources could include non-governmental

organizations such as environmental groups,

chambers of commerce, and homeowners'

associations.

It is important to note that the Commission

does not expect licensees to perform

extensive existing conditions surveys for the

development of an SMP. FERC encourages

the use of existing relevant data as a way to

keep costs down. However, as

circumstances dictate, issues that must be

addressed in the SMP may require the

licensee to perform some existing conditions

surveys.

When data are obtained, licensees that have

a geographic information system (GIS) are

encouraged to use it to store and use

shoreline data. Using a GIS application for

projects with large land bases and long

shorelines will allow licensees to perform a

number of functions relevant to shoreline

management, ranging from mapping to

quantitative analysis. A GIS system will also

allow the licensee to easily input new data,

and share data (if desired) with stakeholders

and the general public. Those licensees that

do not have GIS systems should consider

developing an appropriate system to make

Shoreline Management Guide

2 - 3
data retrieval and compilation as efficient as

possible. The appropriate system, of course,

will depend on the specific needs and

financial capabilities of the licensee. 

The following is a brief discussion regarding

the type of information that may be useful to

obtain in the pre-planning phase of the SMP

development. Collecting this kind of

information prior to meeting with agencies

and other stakeholders would encourage

relevant discussions between all interested

entities at the very start of the process. 

2.2.1 Lands 

The licensee must have an understanding,

not only of project lands, but also of lands

adjacent to the project boundary because

development activities on these lands can

affect lands within the project boundary.

Therefore, it is important to be familiar with

ownership patterns and land uses on

adjacent lands. Information regarding land

ownership and use should be available from

local or regional entities such as planning,

zoning, and building departments and

agencies. 

Land ownership can also be an indication of

potential future uses. All public lands (and

the managing agency) should be identified.

It is not necessary to identify individual, small

private land owners, but private owners

controlling significant amounts of land

adjacent to the project should be identified.

Generally, licensees already know who owns

large tracts of lands adjacent to their

projects. 

It is also important to have a clear

understanding of project boundaries and the

extent of licensee-owned lands. Because

adjacent land owners may have unique

access or use easements, it is important to

find out as much information as possible

regarding this subject during the preplanning phase. 

As with land ownership, the licensee should

have an understanding of current land uses

on adjacent properties. Typical adjacent land

uses include residential (primary and second

home/vacation), industrial, recreation,

conservation, agriculture, and forestry.

Development density on adjacent lands is

useful to understand development patterns,

distribution, and trends near the project.

Adjacent lands at many projects will likely

have been assigned land use designations

and/or zoning designations by city, county, or

perhaps state entities. These designations

influence the type and intensity of

development that has, and could, occur on

adjacent lands.

Shoreline Management Guide

2 - 4
2.2.2 Natural Resources 

Agencies and other interested entities are

frequently concerned about the potential

effect of shoreline development on natural

resources such as vegetation, wildlife, and

aquatic species. Natural resource issues

related to project shorelines will almost

certainly play a major role in the

development of land use classifications for

an SMP. It is therefore important that the

licensee have information regarding

shoreline natural resources, particularly prior

to any discussions with agencies or

stakeholder groups. 

The vegetation found along project

shorelines and adjacent uplands is frequently

habitat for terrestrial and aquatic wildlife

species. Removal of native shoreline and

aquatic vegetation can result in a loss of

terrestrial and aquatic habitat used by fish

and wildlife for cover, food, nesting areas,

and rearing areas for young. Even

seemingly minor activities, such as clearing

underbrush or building piers can affect some

species. 

Because different types of habitat have

different values for wildlife and aquatic

species, it is important to understand the

relative value of the habitat found along

project shorelines. Areas of undisturbed

vegetation, wetlands, riparian areas, and

certain types of aquatic vegetation typically

have high value as habitat. Existing

information may be adequate, but in many

cases, an inventory of some sort is required.

The level of effort for the inventory will

depend upon available information, input

from agencies, the complexity of the project's

shoreline vegetation and plant communities,

and cost.

In addition to having and understanding the

project's existing habitat, the licensee should

be aware of the presence, or potential

presence, of plant, animal, and fish species

that are listed as threatened or endangered

species, or are considered species of

concern by federal or state agencies. The

presence, or potential presence, of these

species could have shoreline management

implications.

2.2.3 Public and Private 

Shoreline Facilities

Because the SMP will guide the

management of the project shoreline for

multiple resource objectives, it is critical that

the licensee know the types and numbers of

facilities located on project shorelines, the

conditions of the facilities, and the entity that

manages the facilities. Facilities to inventory

include both private and public piers, docks,

boat ramps, marinas, water intakes and

discharges, bulkheads, riprapped shoreline

Shoreline Management Guide

2 - 5
(or other areas of artificial shoreline

protection), developed beaches, and

portages. The licensee should also know

where dispersed or non-designated

recreational areas (i.e., fishing, swimming,

and camping areas) are located. An

accurate inventory of developed facilities and

dispersed areas will eventually need to be

completed for the SMP. If the information is

available during the pre-planning phase, it

will be very valuable. If it is not, the licensee

should at least have an understanding of the

general location, condition, and management

of most of these types of facilities. 

2.2.4 Recreational Use

In addition to having an understanding of the

project-area recreation facilities, the licensee

should have an understanding of other

recreation issues that might be relevant. For

example, increases in certain types of

recreational activities such as jet skiing,

overcrowding in certain parts of a project

reservoir as a result of adjacent

development, or fishing closures at nearby

reservoirs that result in displaced anglers

using the licensee's project. The licensee

should also be aware of plans for potential

future recreation developments or changes

to existing facilities that may need to be

addressed in an SMP. Other recreationoriented issues that could influence an SMP

include determining the carrying capacity of

the project, perceptions of overcrowding,

competition between different kinds of users,

local and regional recreation trends, and

changes in recreational use patterns. 

2.2.5 Socioeconomics

A general understanding of the social and

economic conditions of the area around a

project is important for licensees. Changing

demographic and economic conditions can

influence demands on projects and on

adjacent lands. For example, projects that

are located in rural areas that may not be

economically robust are sometimes seen as

important income generators for the local

economy. Projects with recreation

opportunities can bring tourist dollars into the

local economy and attract real estate

development, both of which provide jobs and

increase tax bases. Many areas near

projects are experiencing second-home

development, as well as primary home

development for retirees and urban refugees.

An understanding of these social 

Shoreline Management Guide

2 - 6
and economic trends and factors can give

the licensee an indication of how local

jurisdictions and interest groups may view

shoreline management planning and what

issues may be important to these groups.

2.2.6 Aesthetic Resources

The licensee should have an idea of what

the project's aesthetic resources are, areas

of the project that are considered to have

high aesthetic value, why those areas have

high values, and who values the aesthetic

resources. Aesthetic attributes that are

commonly valued include vegetated

shorelines, clean water, the presence of

wildlife, and views of water. Conversely,

licensees should have an idea of highly

valued shoreline views that are threatened or

have been degraded by past development. 

2.2.7 Cultural Resources 

The presence of cultural resources at a

project can significantly influence shoreline

management decisions. The Commission

has specific requirements under Section 106

of the National Historic Preservation Act that

address cultural resources. It is advisable for

the licensee to have an understanding of

whether or not there are likely to be cultural

resources present near project shorelines.

State Historic Preservation Officers (SHPOs)

are good sources of information or advice.

SHPOs may recommend that the licensee

conduct detailed cultural resource surveys,

but generally only for areas where there are

known concentrations of cultural resources

that could be disturbed by management

decisions (for example, areas where

shoreline development might be permitted).

2.2.8 Soils/Erosion

At many projects, erosion is a concern for

many stakeholders involved with the

development of an SMP. Erosion can affect

water quality and cultural resource sites, and

can generally cause property damage. If

erosion that may result from SMP decisions

is an issue, the licensee may want to

conduct a shoreline inventory to determine

the location and condition of areas that are

eroding (or have erosion potential) and

consider ways to address this in the SMP.

Shoreline Management Guide

2 - 7
2.3 Identifying Preliminary 

Stakeholder Concerns, 

Goals, and Issues

Plans such as SMPs are not "made in

vacuums." Although the licensee will be the

primary entity responsible for formulating,

developing, implementing, and monitoring

the plan, other entities will have input

throughout the planning process. These

other entities, or stakeholders, will influence

the form of the plan, possibly have a part in

implementing the plan, and may be involved

in plan monitoring and modification. It is

important to identify potential stakeholders

and their concerns, goals, and issues as

early as possible so that the licensee has a

better idea of where there may be

agreement or disagreement among

stakeholders and with the licensee. This

early identification or scoping process should

not be confused with the more formal public

involvement process that occurs during the

development of the SMP. Preliminary

scoping efforts of stakeholders will allow the

licensee to formulate ways to address their

concerns, goals, and issues of stakeholders

during the more formal planning process.

Identifying stakeholders and issues during the

pre-planning phase can be done in a number

ways. Informal telephone conversations or

meetings with federal, state, and local

agencies can help identify agency concerns

and identify other potential stakeholders.

Likewise, informal conversations and

meetings with non-governmental

organizations (NGOs), such as homeowners'

associations, environmental groups, and

chambers of commerce can also help identify

stakeholders and their issues.

Potential Resource Agency Issues 

or Preferences

Resource agencies may:

n Prefer to maintain shorelines in as 

natural a state as possible to 

preserve fish and wildlife habitat

n Advocate establishing a shoreline 

buffer zone of limited or no 

development to protect habitat

n Propose restricting or prohibiting 

vegetation clearing within the 

buffers or near the water's edge 

n Propose to restrict or prohibit 

building "hard" shoreline erosion 

control facilities such as bulkheads, 

embankments, and retaining walls

n Propose development of "fish 

friendly" design standards for 

docks and piers

n Prefer "soft" erosion control 

techniques, such as planting 

vegetation (bio-engineering 

techniques)

n Request inventories of existing 

vegetated and unvegetated shoreline

n Require locations of shallow-water 

fish spawning and nursery habitats 

to be identified.

Potential Stakeholder Issues

n Increasing public access to project 

waters on the north shore of project.

n Establishing a designated waterfowl 

hunting area.

n Preventing construction of new docks 

in water willow beds.

n Preserving all known striped bass 

spawning areas uplake of X Creek

n Developing a lakeside trail on private 

and project land between X and Y 

points

n Allowing continued shoreline

development to increase the local tax 

base of X County.

Shoreline Management Guide

2 - 8
In most cases, there will not be a clean

break between the pre-planning phase and

the actual preparation of the SMP. The preplanning work will help identify conditions,

situations, and trends that will determine the

level of complexity that will be required for

an SMP. Before starting the preparation

phase in earnest, the licensee should have:

(1) defined goals and objectives, (2) an

understanding of the sufficiency of existing

data and data that need to be obtained, and

(3) an understanding of the issues that will

likely have to be addressed in preparing the

SMP. The following sections discuss the

components of preparing an SMP.

3.1 Stakeholder Involvement

in the Planning and 

Development Process

As mentioned briefly in Chapter 2, 

stakeholder involvement in the development

of comprehensive plans is needed to ensure

that all relevant issues are raised and

addressed. The level of stakeholder

involvement will vary from project to project.

However, it is in the licensee's own interest

to include stakeholders in the SMP 

preparation process for a number of

reasons. If stakeholders are given the

opportunity to comment or offer input on the

SMP only during the final stages of 

preparation, they may not have an

understanding or appreciation of the issues

that were involved and considered in the 

development of the SMP. Also, their issues

may not be adequately addressed. By

including them early in the process, they will

have a more meaningful part in the process.

A well-crafted SMP does result in a 

stakeholder and licensee partnership. This

can have many positive benefits, including

reducing potential resistance to the SMP and

having the stakeholders serve as information

liaisons and project advocates with the

general public. In addition, stakeholders

(particularly agencies) will likely have 

information that is useful in the SMP

development process. 

3.1.1 Types of Stakeholder Groups

The stakeholders who are likely to be

involved in the development of an SMP are

generally government agencies, Indian

Tribes, NGOs, and individuals. All of these

stakeholders will have a desire to influence

the management direction of the SMP, and

frequently stakeholders have differing

interests. Because the level of stakeholder

participation in the SMP process can often

vary, it is important that both the licensee

and the stakeholders to have an 

understanding of roles and responsibilities. 

Federal Agencies and Tribes - Federal

agencies often represent the general public.

Their involvement in the development of an

SMP varies depending upon the project and

the potential effect of the SMP on agency

Shoreline Management Guide

3 - 1

CHAPTER 3—PREPARING A SHORELINE MANAGEMENT PLAN
interests or lands. The U.S. Fish and

Wildlife Service, which is responsible for,

among other things, federally listed fish and

wildlife species, is often a participant in the

development of SMPs. The U.S. Forest

Service, the National Park Service, the

Bureau of Land Management, and the

Bureau of Indian Affairs may be involved, but

generally only if the lands they manage

might be affected by the provisions of the

SMP. In addition to federal agencies,

federally recognized Indian Tribes may also

need to be consulted if the SMP could affect

their lands, treaty rights, or traditional cultural

properties.

State Agencies - Each state is unique in

regard to the statutory roles and 

responsibilities of its agencies. In general,

state agencies responsible for parks and

recreation, fish and wildlife, water quality,

and historic preservation are most likely to

be involved in the SMP planning process.

For some projects, the participation of state

agencies that are responsible for forestry,

transportation, and economic development is

also warranted.

Local Jurisdictions and Agencies - Local

jurisdictions and agencies may have an

interest in working with licensees on SMPrelated issues. These entities may include

regional councils, county agencies, and/or

municipal departments that are responsible

for planning, zoning, building inspection,

parks and recreation, environmental and

water quality, economic development, and

law enforcement. 

Non-Governmental Organizations and

Interest Groups - There are a wide variety

of NGOs and other interest groups that could

become involved in the development and/or

review of an SMP. NGOs could be local,

state, or national interest groups, and their

perspectives could vary greatly. Local

interest groups can add valuable local

expertise and interest, and can represent

local perspectives. 

Types of NGOs and Interest Groups

That Might be Involved in the SMP

Process

n Homeowners' associations 

n Environmental groups 

n Business interests (chambers of 

commerce, builders, real estate 

agents, marine construction and 

dredging contractors, lakeside 

business owners, resort owners, 

non-profit camps)

n Sporting clubs (with interests in 

fishing, hunting, and/or flatwaterrelated activities, such as motor 

boating and water skiing)

n Individual lakeside property owners 

(of undeveloped land, primary 

homes, and second homes)

Shoreline Management Guide

3 - 2
Individuals - Individuals may be interested

in becoming involved in the development of

an SMP for a number of reasons. Adjacent

landowners would be among the individuals

potentially most affected by an SMP.

Licensees should attempt to inform these

individuals of opportunities to become

involved in the SMP planning process and of

any changes being considered that could

affect them. Other individuals that live in the

vicinity of the project and use it for

recreation, commerce, or simply enjoy the

project's aesthetic qualities may also

become involved in the development of an

SMP. In addition, the licensee's public

outreach program should make information

available to interested members of the

general public. 

3.1.2 Opportunities for Stakeholder 

Involvement

There are various ways in which

stakeholders can become involved in the

planning and development of an SMP.

Several of the more formal public

involvement techniques are discussed below. 

Public Meetings and Other Public

Involvement Vehicles - There are a variety

of options for involving stakeholders in the

development of an SMP and receiving public

comments. Public involvement can happen

at numerous planning stages and through a

variety of formal and informal interactions

and relationships. 

During the development of an SMP, the

licensee may choose to hold a series of

informal public meetings. Such informal

meetings promote interaction among the

participants and can range in size from a few

individuals to hundreds of people.

Public Involvement Techniques and

Options

n Public hearings— Formal meetings 

with the public at various stages of 

the SMP process

n Informal meetings— Informal 

meetings with high amounts of 

interaction between participants

n Surveys— Mail, telephone, or inperson surveys of stakeholder 

groups or individuals

n Focus groups— Key individuals are 

included as members of an advisory 

group to assist in SMP development

n Key interview— Extended discussion 

with opinion leaders

n Field office— Onsite office staffed 

with individuals to disseminate and 

gather information

n Newsletter— Disseminates 

information at various stages; 

opportunity for feedback ("letters to 

the editor")

n Event— Special activity to draw 

attention to the project

n Mediation— Working with the help of 

a professional facilitator

Shoreline Management Guide

3 - 3
In addition to regular public meetings, it may

be appropriate to develop focus groups or

create working groups consisting of

interested parties that concentrate on

specific issues. The use of regularly

scheduled focus group or working group

meetings can be extremely useful. A diverse

group of individuals that represent a variety

of interests can provide valuable information

and assistance in the development of the

SMP. However, it is important that the role

of the groups is clear from the beginning.

Licensees may choose to give groups

certain roles in decision making or may

choose to use groups solely in an advisory

role. 

FERC's Process - As described in section

1.4, stakeholders such as government

agencies, NGOs, organized groups, and

interested individuals have the opportunity to

formally participate in FERC proceedings.

Comments and other information that are

filed during the comment period are 

considered by the Commission when taking

action on a proposed SMP.

3.2 Items Typically Included 

in Shoreline 

Management Plans 

Although there is no set format for an SMP,

certain items should be considered for

inclusion in the document. An executive

summary can be valuable. It generally

consists of several paragraphs summarizing

the purpose of the SMP, goals and

objectives of the SMP, some of the main

issues involved in developing and

implementing the SMP, how issues were

resolved, a brief description of shoreline use

classifications, where the classifications

generally occur (including reference to the

project land use classification map that is

included later in the SMP), and a brief

description of all types of permitted uses. A

summary of other relevant project-related

information, such as project purpose, history,

and operations may also be appropriate to

include. 

The licensee may also consider including a

description of the entities that were involved

in developing the SMP. This can illustrate to

the reader the collaborative process involved

in developing the SMP and may give many 

of the stakeholders that participated in the

process an acknowledgment for their effort.

SMPs may also include descriptions of the

planned land use classifications, maps

identifying the locations of the land use classifications, how these use classifications

were defined and delineated, and

descriptions of activities and uses that would

be allowed in those classifications. In

addition to land use classifications, SMPs

contain sections on management policies,

permits, and guidelines. Samples of permits

and required drawings are often included to

give the reader an idea of the level of detail

that is necessary for permit approval. 

Descriptions of monitoring programs,

schedules, and enforcement provisions are

frequently part of the SMP. This allows the

reader to understand ways in which they can

participate in monitoring and enforcement

activities, and the scope of the activities.

Descriptions of enforcement provisions can

also educate the public about the 

ramifications of not following provisions

established in the SMP. 

Shoreline Management Guide

3 - 4
3.3 Shoreline Use 

Classification Strategies 

Shoreline use classifications are areas within

the project boundary designated for certain

existing and future uses consistent with the

goals and objectives of the SMP. These

classifications are not assigned to lands

outside the project boundary, but instead

refer to the use of project shoreline property. 

The assignment of use classifications to

project shorelines is often the cornerstone of

an SMP. In many cases, the process of

developing shoreline use classifications will

be the most scrutinized aspect of the SMP.

By using sound information to help make

resource-based decisions, and by including

stakeholders in the SMP process, the

eventual designation of shoreline use 

classifications will hopefully be acceptable to

most, if not all, parties involved in the 

development of the SMP. 

Because of the amount of development that

has occurred along the shores of many

projects, natural resource agencies and 

environmental groups often want to restrict

or control shoreline development. At the

same time, parties interested in business

and economic growth development may

desire the ability to continue to develop

project shorelines. Developing and

assigning shoreline use classifications often

requires balancing demands for preserving

shoreline habitat with pressures to allow

shoreline development. Licensees preparing

SMPs for projects that have seen significant

shoreline development are often under

pressure from resource agencies to restrict

or not allow new shoreline development. No

two projects are the same, but it is safe to

say that at most projects, balancing 

conflicting desires will be a challenge. 

Currently, there are no standard descriptions

for shoreline use classification systems used

by licensees at FERC-regulated projects.

These systems can be called shoreline

management zones, shoreline use

designations, or another appropriate

descriptor. However, despite an array of

titles, there are three general types of

shoreline use classifications: 

n A classification oriented towards 

preserving natural resources and

minimizing or prohibiting shoreline 

development

n A classification that allows limited

development along the shoreline

n A classification that allows more intense

levels of development within the project

shoreline. 

Within these three broad classifications are

other sub-classifications, which vary from

project to project. Some projects may only

have a few shoreline use classifications and

others may have many classifications. The

number of classifications can depend upon

factors such as shoreline complexity, levels

of existing development, future development

pressures, the presence of sensitive fish and

wildlife species or habitats. 

Making a decision about what to call the

classification system and developing the

actual shoreline classifications or 

designations may be a difficult process. For

example, in some parts of the country, the

term "zone" would be acceptable to most

local stakeholders. In other areas, the use

of the word zone would be reacted to

negatively because it would imply land use

Shoreline Management Guide

3 - 5
controls. Also, we suggest an SMP not use

a shoreline use classification called

"undeveloped." This is a misleading classification and in most cases the land is

designated, zoned, or even under contract

for some

foreseeable use, especially at or near

projects for which an SMP is being prepared.

This guidebook offers suggestions on 

terminology in an effort to promote

consistency. 

Suggested Shoreline Use Classification

System Categories and Sub-Categories

The classifications listed below are for lands

and waters within the project boundary only,

and are not referring to the construction of

residences or commercial buildings within

the project boundary. They refer to the use

of project shoreline property for structures

(e.g., docks, ramps, bulkheads) associated

with uses of land adjacent to the project.

Shoreline Management Guide

3 - 6

Categories Sub-Categories

Conservation 

(no development except for 

conservation purposes) 

Limited Development/Sensitive Areas

Public Recreation - Limited Development 

Single Family Residential - Limited Development - (e.g., boat 

docks/shoreline stabilization)

General Development

Recreation Development - (e.g., public marinas and campgrounds)

Multi-Unit Residential and Vacation Development - (e.g., cluster 

docks and shoreline stabilization)

Commercial Development - (e.g., private marinas and community 

docks)
3.4 Shoreline Management 

Policies, Permits, and 

Guidelines

Because most or all shoreline is owned by

licensees and is usually open for public

recreational access, developing shoreline

management policies, permitting systems,

and development guidelines is an important

part of the SMP development process. A

strong set of shoreline policies is the 

foundation upon which management of

project shorelines rests. The policy 

development process requires that the

licensee clarify their positions regarding

management of the project's shorelines. The

policies will serve as the basis upon which

permits and guidelines are developed, and

will help interested parties understand why

the permits and guidelines are written as

they are. The policies should be consistent

with, and help reinforce, the licensee's goals

and objectives for the SMP.

After the licensee's policies have been

established, permitting systems and 

development guidelines are generally

developed. These are the primary tools that

are used to control the type, location, design,

and material of shoreline development

projects. Permits and guidelines may vary

considerably, depending on the specific 

characteristics and requirements of a project.

Projects that are experiencing less

development pressure may only require a

permitting program with a simple set of

guidelines to address a relatively small

number of common issues, such as the

development of docks and/or erosion control.

Projects that are more complex, and/or have

a number of different shoreline use 

classifications, may require the development

of both permits and guidelines. 

Licensee-issued permits are typically

revokable privileges that adjacent

landowners must apply to the licensee to

obtain if they wish to develop a facility on

project lands owned or managed by the

licensee. The permit application typically

requires information that the licensee uses to

determine the potential effect of the

proposed facility on the environment and its

consistency with the SMP. Permits often

include specifications that regulate the size

and location of the proposed shoreline

facility along with the type of materials that

can be used for its construction.

Construction method and timing 

requirements can also be included in the

permit. The SMP's permit requirements and

standards for construction may be more

stringent than or may be the same as those

of local governments.

Guidelines typically prescribe construction

methodologies, protection measures, and

maintenance practices that would be 

consistent with the goals of the SMP and

individual permits. Guidelines can also

identify the various types of permits needed

and the application process. Sometimes

these guidelines can be generic enough that

they can be used by adjacent land owners to

manage their own properties in ways that will

help meet the intent of the SMP. One type of

guideline that is often developed by

licensees describes the kind of development

activities that are allowed and not allowed at

the project. By describing the types of

permitted and prohibited facilities and 

activities, adjacent property owners and the

public will know the kinds of shoreline uses

that are allowed at the project before they 

Shoreline Management Guide

3 - 7
approach the licensee about their particular

proposal.

A permit and guideline component of the

SMP should be specific enough to be easily

understood and implemented, while being

flexible enough to allow for a variety of

proposals. It should clearly explain the

process for applying for and obtaining

permits. It has proven helpful for permitting

information be made available to applicants

as a stand-alone information piece, such as

a booklet and/or website. The information

piece should include tips, suggestions,

and/or examples of how to fill out 

applications, and should clearly describe the

process and expected length of time to get a

permit. Information regarding permits

required by other entities (e.g., the U.S.

Army Corps of Engineers and local building

departments) should also be included in the

information package, as should contact

numbers for the other entities. Typically,

licensees do assist development proponents

in the application process.

It is common for licensees to require fees for

processing permits. The licensee may also

wish to consider requiring a construction

deposit from the adjacent land owner or 

contractor before work is allowed to proceed.

Typically, licensees require their personnel to

inspect the site prior to allowing construction

to begin. It is also common to have an

inspection at the end of the construction

period before final approval of the project. If

a new development does not meet the

requirements set forth in the permit, the

licensee has several options to ensure 

compliance. Those are discussed in Chapter

4 under Enforcement. The length of time that

an issued permit is valid varies. Some

licensees require annual renewal fees and

some not as often. In some cases, permits

can be transferred to new property owners

and in other cases (generally with nonconforming uses that were grandfathered in)

a transfer can not be made. 

Examples of Facilities for Which

Shoreline Development Permits Are

Issued

n Individual docks and piers (private 

and commercial)

n Common (or group) docks and piers

n Boat houses

n Excavation and dredging

n Erosion control

n Riprapping

n Water removal from reservoir

n Effluent discharge

n Retaining walls, bulkheads

n Fences

n Walkways

n Landscape plantings

n Hunting blinds

Shoreline Management Guide

3 - 8
An SMP may be implemented upon

completion as long as it is fully consistent

with the project license (including the general

scheme of development, license

requirements, and existing Commissionapproved plans). If there are inconsistencies

with the project license, the plan must be filed

for Commission approval as an amendment

to the license before being implemented. In

most instances, an SMP does require

Commission approval prior to implementation. If the plan is prepared as a part of a

license application, it will be reviewed and

considered for approval as a part of the

licensing process.

One example of a plan that may not require

Commission approval is when the licensee,

along with stakeholders, have prepared a

plan that is fully consistent with the license.

This can be accomplished by combining

existing license requirements (found in the

various approved plans) and those found in

license articles to establish the plan. In some

cases, the licensee may choose to file their

plan for Commission review and 

approval even if they believe it is fully

consistent with the license.

In any event, the SMP is a valuable tool for

carrying out many aspects of the license

under an "umbrella program," which

otherwise may be handled separately. The

following sections describe how a carefully

crafted SMP can be implemented in a way

that streamlines various license 

responsibilities.

4.1 Using the Shoreline 

Management Plan to 

Carry Out the Intent of 

the Standard Land 

Use Article and Other 

License Requirements

A well-prepared SMP goes hand-in-hand with

the standard land use article. The standard

land use article allows licensees to grant 

permission for certain types of use and 

occupancies of project lands and waters

without prior Commission approval. These

land and water uses are typically referred to

as "non-project uses." The land use article

says that the licensee may exercise the

authority provided to it by this article only if

the proposed use (or occupancy) of project

lands and waters is consistent with the

purposes of protecting and enhancing the

scenic, recreational, and other environmental

values of the project. The licensee also has

a continuing responsibility under the article to

supervise and control the use and 

occupancies for which it grants permission,

and to ensure compliance with the permits

and instruments of conveyance that it

executed under the article. 

Shoreline Management Guide

4 - 1

CHAPTER 4—IMPLEMENTING THE SHORELINE MANAGEMENT PLAN
While an SMP is typically more 

comprehensive than the standard land use

article, the article can be considered a

subpart or underlying component of the SMP.

The SMP, in and of itself, does not

supercede or change the land use article.

Implementation of the SMP can help the

licensee carry out the intent of the standard

land use article and other license

requirements in the following ways:

n The SMP will help the licensee, the

Commission, and the stakeholders to

view individual shoreline development

proposals in a project-wide or even

regional perspective, rather than as 

individual, isolated actions.

n The SMP will help track trends of 

developmental activities.

n The SMP will allow for consistent review

and approval of the various 

developmental proposals.

Shoreline Management Guide

4 - 2

Non-Project Uses of Project Lands and Waters

One of the most prevalent uses of an SMP is to oversee and guide non-project uses of project

land (whether the uses are developmental or non-developmental). The term "non-project

uses" is used by the Commission to describe uses of project lands and waters that are not

necessarily related to hydroelectric power production. Under the land use article, many nonproject uses are permitted by the licensee without Commission approval. Non-project uses

outside the scope of the land use article require Commission approval. Those that need

Commission approval must be filed with the Commission in the form of an 

application. These applications are treated as amendments to the license. The proposals are

typically larger and more involved than anything that the licensee may permit on its own under

the land use article. Commercial marina applications that involve dredging and 

associated shoreline amenities and services, such as marine gas-filling stations, human waste

pumpout stations, and boat ramps are examples of non-project use proposals filed with the

Commission.

The applications for non-project uses include information regarding the affected environment,

the environmental impacts associated with the proposal, and documentation of 

consultation with the resource agencies (refer to the appendices of the document for a more

complete itemized list of the contents of these applications). The Commission uses this

information to approve (possibly with conditions) or disapprove the proposal. When 

appropriate, the Commission issues a public notice of the proposal in a local newspaper and

prepares an EA as required under NEPA. If the Commission approves the proposal, it issues

an Order Approving Non-Project Uses of Project Lands. Once Approved, the licensee may

issue the necessary permit or conveyance instrument for that use. The licensee is

responsible for overseeing and monitoring the ensuing construction related to this approved

action and future use and maintenance of the facilities within the project boundary.
n Developmental proposals (requiring

Commission approval) that are 

inconsistent with the SMP will be either

modified and conditioned in their early

stages to comply with the SMP or not

allowed to proceed by not forwarding

them for Commission action. This

results in the early dismissal of

inadequate proposals at the earliest

stages.

4.2 Using the Shoreline 

Management Plan to 

Guide Future 

Development

SMPs can be used in a number of ways,

including helping to guide future 

development of project lands. Measures,

such as assigning shoreline use 

classifications and establishing development

standards, guide future development and set

development parameters. With a strong

SMP, licensees alone or with other interested

stakeholders can develop comprehensive

strategies for project shorelines. Potential

future uses can be assigned to project areas

where those uses would be encouraged. An

example might be a cove at a project where

the shoreline had been assigned a classification that recognizes its current undisturbed,

natural state. If the licensee and

stakeholders agreed and existing information

showed that the cove was not a good

location for future development, such as a

marina, it could be indicated in the SMP.

Such an indication would alert the

development community that the licensee

and interested stakeholders would not

support future development at that location. 

In addition, an SMP can be used to monitor

cumulative or project-wide impacts that can

result from the incremental impacts

associated with individual shoreline facilities

that occur over time. By closely monitoring

shoreline conditions, a licensee can

recognize potential cumulative effects and

take appropriate management actions for

future development at the project.

4.3 Enforcement of 

the Shoreline 

Management Plan 

The project license, particularly the land use

articles, directs licensees to oversee

shoreline activities and take action to prevent

unauthorized uses of project shorelines.

Examples of enforcement tools that

licensees have used are to revoke or

suspend existing permits, remove nonconforming facilities, deny applications for

permits, and keep deposits. Permits have

been suspended or revoked for any number

of infractions, including failure to maintain

facilities, unauthorized additions to existing

facilities, unauthorized development of new

facilities, and unauthorized changes to

project shorelines (such as removing

vegetation). Other enforcement measures

that licensees can use include removing

contractors that fail to conform to permit

conditions from a list of licensee-suggested

contractors, issuing stop work orders (which

can result in unwanted construction delays),

and increasing application fees. It is also

possible to require modification or removal of

non-conforming structures and restoration of

disturbed shoreline at the owner's expense.

Shoreline Management Guide

4 - 3
4.4 Monitoring, Reviewing, 

and Updating the 

Shoreline Management 

Plan

SMPs are evolving documents that need to

be flexible. The SMP should be monitored

and reviewed on a regular basis to

determine how effective it is in accomplishing

the licensee's goals, and to respond to new

or evolving situations or conditions. As

conditions change, it may be necessary to

make changes to the SMP. Stakeholders

that are involved in helping to develop an

SMP may very well want to stay involved in

monitoring and reviewing activities. Their

knowledge of the project and experience

with the development of the SMP is often

valuable. The licensee will likely want to

include them in regular discussions involving

the effectiveness of the SMP and possible

changes to it. Establishing a formal review

and advisory committee composed of

members representing a variety of interests

and resources would prove to be beneficial

to licensees. 

To determine if changes to the SMP are

necessary over time, a monitoring and

review process should be established.

Some SMPs will be simple and will likely

have no monitoring actions associated with

them. SMPs developed for more complex

projects may have a significant monitoring

component. What is monitored and how

often it is monitored will depend in large part

upon agreements that were made during the

SMP development process between the

licensee and stakeholders. The purpose of a

monitoring program is to track specific

shoreline management-related conditions

and situations to determine the level of

change that takes place over time. If a

changing condition crosses a certain

threshold, certain actions may be required.

For example, when the number of docks in a

specific area of a reservoir reaches a certain

number, no more docks would be permitted.

Data to Track in an SMP Monitoring

Program

n Amount of undisturbed shoreline 

n Undisturbed shoreline that is 

developed 

n Number of new docks constructed

n Number of boats launched at specific 

project ramps

n Number of permit violations

n Changes in land uses adjacent to or 

near the project

Shoreline Management Guide

4 - 4
Depending on the monitoring program used,

the effort requires an investment of time and

money by the licensee. For some monitoring

activities, such as keeping track of illegal

shoreline development, personnel in 

motorboats may be required. For other 

situations, such as tracking the spread of

shoreline development, aerial photography

and building permit data from local building

departments may be appropriate. The

licensee should consider sharing monitoring

duties with other stakeholders to defray

expenses and to keep the stakeholders that

are participating in the review process

involved. 

SMPs, in whole or in part, need to be

reviewed periodically. The frequency with

which SMPs should be reviewed depends

upon several factors. One factor to consider

is the rate of change at a project and on

lands adjacent to the projects. SMPs for

projects that are located in areas that are

receiving heavy development pressures

and/or other changes will need to be

reviewed and upgraded more often than

those at projects located in areas that are

not experiencing rapid change. Another

factor to consider is the amount of

stakeholder concern. For projects that are

located in areas that are not rapidly changing

and are not of particular concern to

stakeholders, SMP review could occur less

frequently. 

Conclusion 

An SMP can assist a licensee in meeting its

responsibilities and obligations under the

project license. It can be extremely valuable

and useful for managing project resources

and in addressing multiple demands for

various stakeholder groups. The process of

developing the goals and objectives for the

SMP should result in the licensee thinking

comprehensively about how they want to

manage their project's shorelines.

Developing the SMP can bring to light many

issues and concerns that stakeholders have,

and can result in new ways of addressing

those concerns. It can also help licensees

when conflicting demands are placed on the

project's resources. An effective SMP can

help the licensee control and direct shoreline

development in a way that meets project

license obligation and generally satisfies

stakeholders.

Further information regarding shoreline

management planning or other Commissionrelated matters may be found at the FERC

website (www.ferc.fed.us). Please note that

the CIPS portion of the website can be used

to search for FERC documents related to

shoreline management planning.

Shoreline Management Guide

4 - 5
Section 10. (a) (1) 

That the project adopted, including the

maps, plans, and specifications, shall be

such as in the judgment of the Commission

will be best adapted to a comprehensive

plan for improving or developing a waterway

or waterways for the use or benefit of

interstate or foreign commerce, for the

improvement and utilization of water-power

development, for the adequate protection,

mitigation, and enhancement of fish and

wildlife (including related spawning grounds

and habitat), and for other beneficial public

uses, including irrigation, flood control, water

supply, and recreational and other purposes

referred to in section 4(e); and if necessary

in order to secure such plan the Commission

shall have authority to require the 

modification of any project and of the plans

and specifications of the project works

before approval.

Section 4. (e) 

To issue licenses to citizens of the United

States, or to any association of such citizens,

or to any corporation organized under the

laws of the United States or any State

thereof, or to any State or municipality for

the purpose of constructing, operating, and

maintaining dams, water conduits, 

reservoirs, power houses, transmission lines,

or other project works necessary or 

convenient for the development and

improvement of navigation and for the 

development, transmission, and utilization of

power across, along, from, or in any of the

streams or other bodies of water over which

Congress has jurisdiction under its authority

to regulate commerce with foreign nations

and among the several States, or upon any

part of the public lands and reservations of

the United States (including the Territories),

or for the purpose of utilizing the surplus

water or water power from any Government

dam, except as herein provided: Provided,

That licenses shall be issued within any

reservation only after a finding by the

Commission that the license will not interfere

or be inconsistent with the purpose for which

such reservation was created or acquired,

and shall be subject to and contain such

conditions as the Secretary of the 

department under whose supervision such

reservation falls shall deem necessary for

the adequate protection and utilization of

such reservations: Provided further, That no

license affecting the navigable capacity of

any navigable waters of the United States

shall be issued until the plans of the dam or

other structures affecting the navigation have

been approved by the Chief of Engineers

and the Secretary of the Army. Whenever the

contemplated improvement is, in the

judgment of the Commission, desirable and

justified in the public interest for the purpose

of improving or developing a waterway or

waterways for the use or benefit of interstate

or foreign commerce, a finding to that effect

shall be made by the Commission and shall

become a part of the records of the

Commission: Provided further, That in case

the Commission shall find that any

Government dam may be advantageously

used by the United States for public

Shoreline Management Guide

Appendix A - 1

APPENDIX A: FEDERAL POWER ACT
purposes in addition to navigation, no license

therefor shall be issued until two years after

it shall have reported to Congress the facts

and conditions relating thereto, except that

this provision shall not apply to any

Government dam constructed prior to June

10, 1920: And provided further, That upon

the filing of any application for a license

which has not been preceded by a 

preliminary permit under subsection (f) of

this section, notice shall be given and

published as required by the proviso of said

subsection. In deciding whether to issue any

license under this Part for any project, the

Commission, in addition to the power and

development purposes for which licenses are

issued, shall give equal consideration to the

purposes of energy conservation, the 

protection, mitigation of damage to, and

enhancement of, fish and wildlife (including

related spawning grounds and habitat), the

protection of recreational opportunities, and

the preservation of other aspects of 

environmental quality.

Standard Article 5

The Licensee, within five years from the date

of issuance of the license, shall acquire title

in fee or the right to use in perpetuity all

lands, other than lands of the United States,

necessary or appropriate for the construction

maintenance, and operation of the project.

The Licensee or its successors and assigns

shall, during the period of the license, retain

the possession of all project property

covered by the license as issued or as later

amended, including the project area, the

project works, and all franchises, easements,

water rights, and rights or occupancy and

use; and none of such properties shall be

voluntarily sold, leased, transferred,

abandoned, or otherwise disposed of without

the prior written approval of the Commission,

except that the Licensee may lease or

otherwise dispose of interests in project

lands or property without specific written

approval of the Commission pursuant to the

then current regulations of the Commission.

The provisions of this article are not intended

to prevent the abandonment or the 

retirement from service of structures,

equipment, or other project works in

connection with replacements thereof when

they become obsolete, inadequate, or

inefficient for further service due to wear and

tear; and mortgage or trust deeds or judicial

sales made thereunder, or tax sales, shall

not be deemed voluntary transfers within the

meaning of this article.

Shoreline Management Guide

Appendix A - 2
Article (a) 

In accordance with the provisions of this

article, the Licensee shall have the authority

to grant permission for certain types of use

and occupancy of project lands and waters

and to convey certain interests in project

lands and waters for certain other types of

use and occupancy, without prior

Commission approval. The Licensee may

exercise the authority only if the proposed

use and occupancy is consistent with the

purposes of protecting and enhancing the

scenic, recreational, and other environmental

values of the project. For those purposes,

the Licensee shall also have continuing

responsibility to supervise and control the

use and occupancies for which it grants 

permission, and to monitor the use of,

ensure compliance with the covenants of the

instrument of conveyance for, any interests

that it has conveyed under this article. If a

permitted use and occupancy violates any

condition of this article or any other condition

imposed by the Licensee for protection and

enhancement of the project's scenic, 

recreational, or other environmental values,

or, if a covenant of a conveyance made

under the authority of this article is violated,

the Licensee shall take any lawful action

necessary to correct the violation. For a

permitted use or occupancy, that action

includes, if necessary, canceling the 

permission to use and occupy the project

lands and waters and requiring the removal

of any noncomplying structures and facilities. 

(b)

The type of use and occupancy of project

lands and waters for which the Licensee may

grant permission without prior Commission

approval are: (1) landscape plantings; (2)

noncommercial piers, landings, boat docks,

or similar structures and facilities that can

accommodate no more than 10 watercraft at

a time where said facility is intended to serve

single-family type dwellings; (3)

embankments, bulkheads, retaining walls, or

similar structures for erosion control to

protect the existing shoreline (4); food plots

and other wildlife enhancements. To the

extent feasible and desirable to protect and

enhance the project's scenic, recreational,

and other environmental values, the

Licensee shall require multiple use and

occupancy of facilities for access to project

lands or waters. The Licensee shall also

ensure, to the satisfaction of the

Commission's authorized representative, that

the uses and occupancies for which it grants

permission are maintained in good repair

and comply with applicable state and local

health and safety requirements. Before

granting permission for construction of

bulkheads or retaining walls, the Licensee

shall: (1) inspect the site of the proposed

construction; (2) consider whether the

planting of vegetation or the use of riprap

would be adequate to control erosion at the

site; and (3) determine that the proposed

construction is needed and would not

change the basic contour of the reservoir

shoreline. To implement this paragraph (b),

the Licensee may, among other things,

establish a program for issuing permits for

the specified types of use and occupancy of

project lands and waters, which may be

subject to the payment of a reasonable 

fee to cover the Licensee's costs of

Shoreline Management Guide

Appendix B - 1

APPENDIX B: STANDARD LAND USE ARTICLE
administering the permit program. The

Commission reserves the right to require the

Licensee to file a description of its standards,

guidelines, and procedures for implementing

this paragraph (b) and to require modification

of those standards, guidelines, or

procedures.

(c)

The Licensee may convey easements or

rights-of-way across, or leases of, project

lands for: (1) replacement, expansion,

realignment, or maintenance of bridges or

roads where all necessary state and Federal

approvals have been obtained; (2) storm

drains and water mains; (3) sewers that do

not discharge into project waters; (4) minor

access roads; (5) telephone, gas, and

electric utility distribution lines; (6) 

non-project overhead electric transmission

lines that do not require erection of support

structures within the project boundary; (7)

submarine, overhead, or underground major

telephone distribution cables or major

electric distribution lines (69 kV or less); and

(8) water intake or pumping facilities that do

not extract more than one million gallons per

day from a project reservoir. No later than 

January 31 of each year, the Licensee shall

file three copies of a report briefly describing

for each conveyance made under this

paragraph (c ) during the prior calendar year,

the type of interest conveyed, the location of

the lands subject to the conveyance, and the

nature of the use for which the interest was

conveyed.

(d)

The Licensee may convey fee title to,

easements or rights-of-way across, or leases

of project lands for: (1) construction of new

bridges or roads for which all necessary

state and Federal approvals have been

obtained; (2) sewer or effluent lines that

discharge into project waters, for which all

necessary Federal and state water quality

certificates or permits have been obtained;

(3) other pipelines that cross project lands or

waters but do not discharge into project

waters; (4) non-project overhead electric

transmission lines that require erection of

support structures within the project

boundary, for which all necessary Federal

and state approvals have been obtained; (5)

private or public marinas that can

accommodate no more than 10 watercraft at

a time and are located at least one-half mile

(measured over project waters) from any

other private or public marina; (6)

recreational development consistent with an

approved Exhibit R or approved report on

recreational resources of an Exhibit E; and

(7) other uses, if: (i) the amount of land

conveyed for a particular use is five acres or

less; (ii) all of the land conveyed is located at

least 75 feet, measured horizontally, from the

edge of the project reservoir at normal

maximum surface elevation; and (iii) no more

than 50 total acres of project lands for each

project development are conveyed under this

clause (d)(7) in any calendar year. At least

60 days before conveying any interest in

project lands under this paragraph (d), the

Licensee must submit a letter to the Director,

Office of Hydropower Licensing, stating its

intent to convey the interest and briefly

describing the type of interest and location of

the lands to be conveyed (a marked Exhibit

G or K map may be used), the nature of the

proposed use, the identity of any Federal or

state agency official consulted, and any

Federal or state approvals required for the

proposed use. Unless the Director, within 45

days from the filing date, requires the

Shoreline Management Guide

Appendix B - 2
Licensee to file an application for prior

approval, the Licensee may convey the

intended interest at the end of that 

period.

(e)

The following additional conditions apply to

any intended conveyance under paragraphs

(c ) or (d) of this article: 

(1) Before conveying the interest, the

Licensee shall consult with Federal and

state fish and wildlife or recreation

agencies, as appropriate, and the State

Historic Preservation Officer.

(2) Before conveying the interest, the

Licensee shall determine that the

proposed use of the lands to be

conveyed is not inconsistent with any

approved Exhibit R or approved report

on recreational resources of an Exhibit

E; or, if the project does not have an

approved Exhibit R or approved report

on recreational resources, that the lands

to be conveyed do not have recreational

value.

(3) The instrument of conveyance must

include the following covenants running

with the land: (I) the use of the lands

conveyed shall not endanger health,

create a nuisance, or otherwise be

incompatible with overall project

recreational use; (ii) the grantee shall

take all reasonable precautions to

ensure that the construction, operation,

and maintenance of structures or

facilities on the conveyed lands will

occur in a manner that will protect the

scenic, recreational, and environmental

values of the project; and (iii) the grantee

shall not unduly restrict public access to

project waters.

(4) The Commission reserves the right to

require the Licensee to take reasonable

remedial action to correct any violation of

the terms and conditions of this article,

for the protection and enhancement of

the project's scenic, recreational, and

other environmental values.

(f) 

The conveyance of an interest in project

lands under this article does not in itself

change the project boundaries. The project

boundaries may be changed to exclude land

conveyed under this article only upon

approval of revised Exhibit G or K drawings

(project boundary maps) reflecting exclusion

of that land. Lands conveyed under this

article will be excluded from the project only

upon a determination that the lands are not

necessary for project purposes, such as

operation and maintenance, flowage, 

recreation, public access, protection of 

environmental resources, and shoreline

control, including shoreline aesthetic values.

Absent extraordinary circumstances,

proposals to exclude lands conveyed under

this article from the project shall be

consolidated for consideration when revised

Exhibit G or K drawings would be filed for

approval for other purposes.

(g)

The authority granted to the licensee under

this article, shall not apply to any part of the

public land and reservation of the United

States included within the project

boundaries.

Shoreline Management Guide

Appendix B - 3
The following is a general list of the

information that should be included in

applications for proposed non-project uses or

facilities. Applications containing this

information allows Commission staff to

review and process them in a more efficient

and timely manner and is less likely to result

the Commission requests for additional

information in order to prepare environmental

assessments on such proposals. While the

information below applies to most

applications, it is not an inclusive list and not

all the individual items may apply to every

proposed facility or use. As necessary,

please contact Commission staff if you have

questions about the application contents or

consultation needs for your specific proposal.

1) Description of proposed nonproject use or facility 

n location, quantity, type of 

conveyance (i.e. lease, right-ofway, easement, fee-title, etc.) 

n major components, materials, 

and layout or design

n construction and operation 

methods, construction duration 

and approximate start and 

completion dates

n purpose of proposed use

n description of any Federal, state, 

and local permits or approvals 

required or obtained for proposed 

use

n if available, copies of any 

government agency permits or 

agency review documents 

obtained for the proposed use

n maps or drawings showing the 

location and/or layout of the 

proposed facility

2) Description of Affected 

Environment (the immediate area 

surrounding the site of the 

proposed facility or use) 

n common fish and wildlife species 

n threatened and endangered species 

n wetlands, critical habitats, or 

significant features

n cultural resources

n common vegetation and trees 

n soils and lakebed material

n water quality and approximate depth

n scenic quality 

n existing recreation facilities and uses

Shoreline Management Guide

Appendix C - 1

APPENDIX C: SUGGESTED CONTENTS OF APPLICATIONS FOR NON-PROJECT USES

AND OCCUPANCIES OF PROJECT LANDS OR WATERS
n existing land and water uses and 

structures

3) Evaluation of how the proposed 

use is compatible with:

n Commission approved management 

plans (i.e. recreation, shoreline or 

land use, dredging, cultural resource,

wildlife protection, etc.)

n project operations and purposes and

applicable license requirements

n licensee's own project management 

guidelines or requirements 

4) Documentation of consultation 

(copies of correspondence) with 

appropriate Federal, state, and 

local government agencies and 

interested non-governmental 

organizations (NGOs) including:

n government agencies or NGOs that 

own or manage lands or facilities in 

the immediate area

n government agencies that would 

likely need to authorize or approve 

the proposed use

n government agencies that have

jurisdiction over resources that may 

be affected by the proposed use (i.e.

T & E species or habitats, wetlands, 

dredging activities, cultural 

resources, etc.) These agencies 

typically include the U.S. Fish and 

Wildlife Service, the State Historic 

Preservation Officer, the U.S. Army 

Corps of Engineers, and state fish, 

wildlife, recreation and environmental

protection agencies.

In addition, please note the following: 

n a minimum of 30 days should be 

provided for consulted parties to 

reply to requests for comments on a 

proposed use

n if no reply is received, the filing 

should include a copy of written 

request for comments

n filing should include responses to 

any specific agency or NGO 

comments or recommendations. If 

recommendations are rejected, 

include site specific reasons for the 

rejection. 

n following a Commission public notice

period for the application, please 

file responses to any specific 

comments or recommendations 

provided on the proposed use 

n if it is generally known that local 

property owners or entities are 

opposed to the proposed use, the 

filing should identify the nature of 

this opposition and include general 

responses to the concerns raised.

5) A description of the proposed 

use's potential impact on each 

resource area identified under 

item (2) above. For example, 

impacts may include:

n vegetation removal 

Shoreline Management Guide

Appendix C - 2
n shoreline erosion or turbidity

n dredging and lakebed disturbance 

n disturbance of significant resources, 

species, or habitats

n specific impacts on existing land 

uses or structures

n cumulative effects on water quality or

shoreline resources 

n potential discharge of pollutants

6) A description of any proposed 

construction, design, and/ or 

operation practices or measures 

to minimize or mitigate for any 

specific impacts identified under 

item (5) above. For example, 

measures may include:

n erosion control measures 

n avoidance of affected resources 

n changes in design or location of a 

proposed facility 

n close oversight to ensure compliance

with licensee mandated permitting 

programs or land use regulations, 

Commission approved plans, or 

agency permit requirements

Shoreline Management Guide

Appendix C - 3
The following Commission orders represent

a partial list of orders related to shoreline

management plans at licensed hydropower

projects. The plans identified in these orders

apply only to the subject projects and

address project-specific conditions and

issues. To obtain copies of these and other

Commission orders, please refer to the

FERC website or contact the Commission's

Public Reference Room at (202) 208-1371.

P-516-016

Order Approving Land Use Plan issued

9/18/81

16 FERC ¶ 62,479

P-2232-303 

Order Approving and Modifying

Shoreline Management Plan issued

2/2/96

74 FERC ¶ 62,047

P-2448-050

Order Modifying and Approving Land

Management Plan issued 03/05/97

78 FERC ¶ 62,160

P-2232-393 

Order Modifying and Approving Revised

Shoreline Management Classification

Maps issued 12/01/00

93 FERC ¶ 62,159

P-2572-023 

Order Approving Shoreline Buffer Zone

Management Plan issued 01/04/99

86 FERC ¶ 62,004

P-2458-023 

Order Approving Shoreline Management

Plan issued 01/04/99

86 FERC ¶ 62,003

P-2552-036 

Order Approving Shoreline Management

Plan issued 11/2/99 

89 FERC ¶ 62,091

P-2197-035 

Order Amending License issued 11/9/00

93 FERC ¶ 61,152

Shoreline Management Guide

Appendix D - 1

APPENDIX D: SAMPLE LIST OF COMMISSION ORDERS ON

SHORELINE MANAGEMENT PLANS
1. Is FERC now requiring all projects

to have an SMP?

At this time FERC does not require 

all licensees to prepare SMPs. 

FERC does strongly encourage 

licensees that have projects that are 

experiencing shoreline development 

pressure to develop tools to manage

project shorelines whether the 

project is up for relicensing in the 

near future or not. At some projects 

a permitting system may be all that 

is required, whereas at projects 

experiencing development pressure, 

an SMP may be necessary. 

2. Who has the final say in assigning

shoreline use classifications to 

shorelines? 

Shoreline use classifications are 

developed after careful consideration

of project requirements, project 

natural resources, development 

trends, and non-project demands. 

Most shoreline use classifications 

will have been developed through a 

collaborative process that will have 

included numerous stakeholders. In 

many cases, there will be agreement

or acceptance of these 

classifications among the 

stakeholders that participated the 

development of the SMP. If all 

parties do not agree, it is up to the 

licensee and possibly the 

Commission to assign shoreline use 

classifications that best meet the 

needs of the project and fulfill 

license obligations.

3. Do shoreline use classifications 

have to be consistent with 

adjacent zoning by other 

jurisdictions? 

First, it is important to note that 

these classifications are specific to 

project land, independent of any 

adjacent county land use 

designations or zoning. During the 

SMP development process, local 

entities with zoning authority will 

have been involved in the

development of the SMP and the 

assignment of shoreline use 

classifications. Because shoreline 

use classifications are resource 

driven, it may be possible that the 

shoreline use classifications are not 

always consistent with adjacent 

zoning classifications. By working 

closely with the local entities, it is 

hoped that shoreline classifications 

that are mutually acceptable can be 

assigned to project shorelines. 

Shoreline Management Guide

Appendix E - 1

APPENDIX E— FREQUENTLY ASKED QUESTIONS
4. How often should an SMP be 

reviewed for currency and 

relevance? 

The frequency with which an SMP 

should be reviewed depends 

primarily upon factors such as the 

complexity of the SMP, the rate at 

which development is occurring in 

the vicinity of the project, and the 

size of the project. Only portions of 

the SMP may need periodic review. 

Generally, a review every 5 to 10 

years is considered appropriate for 

the full SMP, depending upon the 

factors previously mentioned. 

During the development of the SMP, 

the licensee and the participating 

stakeholders will get a sense of how 

frequently and to what extent the 

SMP should be reviewed. It may be 

prudent to review certain aspects of 

the SMP more frequently than other 

aspects.

5. As a licensee, if I prepare an SMP 

for my licensed hydropower 

project, do I need to file it with 

FERC for approval? 

If an SMP is developed in response 

to a license article, the article will 

say whether or not the SMP is to be 

filed for FERC approval. If an SMP 

is developed but not required by 

FERC, it must be filed for FERC 

approval only if it involves a 

substantial modification of the 

project's license requirements or in 

effect amends the license. 

6. As a property owner who owns 

land adjacent to a project 

reservoir shoreline, do I have a 

right to prohibit public access on 

the project property between my 

land and the project reservoir? 

No, as a general policy at FERC 

licensed hydropower projects, the 

interests of private property owners 

are not allowed to override the 

public's use and enjoyment of 

project lands and waters. However, 

a private residential dock that has 

been authorized by the licensee is 

not considered a public use facility.

Shoreline Management Guide

Appendix E - 2