Understanding the Study Criteria

Integrated Licensing Process 

Federal Energy Regulatory Commission 

Office of Energy Projects 

April 6, 2005 
Study Criteria Guidance 

April 6, 2005 

Understanding the Study Criteria 

Reaching agreement on study needs can be difficult and contentious. 

Historically, deferring resolution of fundamental issues about what information gathering 

and studies are necessary until after the license has been filed with the Commission has in 

some cases resulted in lengthy licensing proceedings. The Integrated Licensing Process 

(ILP) is designed to eliminate that problem. Working collaboratively with the hydro 

industry, state and federal resource agencies, tribes, and non-governmental organizations, 

the Commission developed seven criteria that must be addressed by parties requesting 

studies in the ILP. Following these criteria will help formulate a well structured and 

thought out request that can help focus discussions about the merits and applicability of a 

study to evaluate the effects of a project on environmental resources. 

This document is intended to explain the study criteria and help stakeholders craft 

study requests (18 CFR § 5.9(b)) that will clearly identify their information needs and 

expectations and explain why they need the information. A clear understanding of the 

study criteria and adherence to these criteria in formulating study requests should 

facilitate the development of study plans (18 CFR § 5.11 (b)-(e)). 

While the reader may wish to use the suggested structure as a template for a 

request, there are a number of variables that will determine whether a study or a totally 

different approach would be best suited to a particular project and approved by the 

Commission. 

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April 6, 2005 

Study Request Criteria 

As specified by CFR 18, § 5.9(b) of FERC’s regulations on the ILP, any study request 

must: 

 

 (1) Describe the goals and objectives of each study proposal and the information to be 

obtained;

 (2) If applicable, explain the relevant resource management goals of the agencies or 

Indian tribes with jurisdiction over the resource to be studied;

 (3) If the requester is a not resource agency, explain any relevant public interest 

considerations in regard to the proposed study; 

 (4) Describe existing information concerning the subject of the study proposal, and 

the need for additional information;

 (5) Explain any nexus between project operations and effects (direct, indirect, and/or 

cumulative) on the resource to be studied, and how the study results would inform the 

development of license requirements;

 (6) Explain how any proposed study methodology (including any preferred data 

collection and analysis techniques, or objectively quantified information, and a schedule 

including appropriate filed season(s) and the duration) is consistent with generally 

accepted practice in the scientific community or, as appropriate, considers relevant tribal 

values and knowledge; and 

 (7) Describe considerations of level of effort and cost, as applicable, and why any 

proposed alternative studies would not be sufficient to meet the stated information 

needs. 

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Study Criteria Guidance 

April 6, 2005 

Study Plan Criteria 

CFR 18 § 5.11 (b)-(e) specifies the following requirements for the applicant’s proposed 

study plan. Note that these requirements closely parallel those described in § 5.9(b).

 

 (b) The potential applicant s proposed study plan must include with respect to each 

proposed study: 

 (1) A detailed description of the study and the methodology to be used;

 (2) A schedule for conducting the study; 

 (3) Provisions for periodic progress reports, including the manner and extent to which 

information will be shared; and sufficient time for technical review of the analysis and 

results; and

 (4) If the potential applicant does not adopt a requested study, an explanation of why 

the request was not adopted, with reference to the criteria set forth in '5.9(b).

 (c) The potential applicant's proposed study plan must also include provisions for the 

initial and updated study reports and meetings provided for in ' 5.15. 

 (d) The applicant's proposed study plan must:

 (1) Describe the goals and objectives of each study proposal and the information to be 

obtained;

 (2) Address any known resource management goals of the agencies or Indian tribes 

with jurisdiction over the resource to be studied;

 (3) Describe existing information concerning the subject of the study proposal, and 

the need for additional information;

 (4) Explain any nexus between project operations and effects (direct, indirect, and/or 

cumulative) on the resource to be studied;

 (5) Explain how any proposed study methodology (including any preferred data 

collection and analysis techniques, or objectively quantified information, and a schedule 

including appropriate field season(s) and the duration) is consistent with generally 

accepted practice in the scientific community or, as appropriate, considers any known 

tribal interests;

 (6) Describe considerations of level of effort and cost, as applicable.

 (e) The potential applicant's proposed study plan must be accompanied by a proposal 

for conducting a study plan meeting or meetings during the 90-day period provided for in 

'5.12 for the purpose of clarifying the potential applicant's proposed study plan and any 

initial information gathering or study requests, and to resolve any outstanding issues with 

respect to the proposed study plan. The initial study plan meeting must be held no later 

than 30 days after the deadline date for filing of the potential applicant's proposed study 

plan. 

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Goals and Objectives

§5.9(b)(1) Describe the goals and objectives of each study proposal and the information 

to be obtained;

This paragraph describes what the study is intended to accomplish, the goals and 

objectives of the study, and specific information to be obtained. The goals of the study 

should clearly relate to the need to evaluate the effects of the project on a particular 

resource. The objectives are the specific information needs to be gathered to allow 

achievement of the study goal. This section provides the context for why the study is 

being requested. 

Relevant Resource Management Goals

§5.9(b)(2) If applicable, explain the relevant resource management goals of the agencies 

or Indian tribes with jurisdiction over the resource to be studied; 

§5.9(b)(3) If the requester is a not resource agency, explain any relevant public interest 

considerations in regard to the proposed study; 

This discussion should clearly establish the connection between the study request and the 

management goals of the requesting agency or tribe, or in the case of non-governmental 

agencies or others without a jurisdictional mandate or obligation, between the study and 

resource of interest. A statement by an agency connecting its study request to a legal, 

regulatory, or policy mandate is entitled to appropriate consideration. However, it is 

much easier to understand the relationship of an information need to a specific 

management goal than to broadly stated mandates established in law or regulation. 

Where such mandates are integral to the need for the information, the requester needs to 

thoroughly explain how the mandate relates to the study request and, in turn, project 

impacts. 

Background and Existing Information

 §5.9(b)(4) Describe existing information concerning the subject of the study proposal, 

and the need for additional information;

The purpose of this discussion is to highlight the gap in existing data, giving full 

consideration to what has been provided in the PAD or is known from other information 

sources relevant to the project. This discussion should clearly explain why the existing 

information is inadequate and the need for additional information. 

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Project Nexus

§5.9(b)(5) Explain any nexus between project operations and effects (direct, indirect, 

and/or cumulative) on the resource to be studied, and how the study results would inform 

the development of license requirements;

This discussion should clearly draw the connection between project operations and the 

effects (direct, indirect, and/or cumulative) on the applicable resource. Just as important, 

this discussion should explain how the requester will use the information to develop 

protection, mitigation, and enhancement measures, including those related to an agency’s 

mandatory conditioning authority under 401 of the Clean Water Act or sections 4(e) and 

18 of the Federal Power Act. 

Proposed Methodology

§5.9(b)(6) Explain how any proposed study methodology (including any preferred data 

collection and analysis techniques, or objectively quantified information, and a schedule 

including appropriate filed season(s) and the duration) is consistent with generally 

accepted practice in the scientific community or, as appropriate, considers relevant tribal 

values and knowledge;

Study requests should be as detailed as possible. It is important to relay to the applicant 

your expectations on the scope and methods so that an adequate study plan can be 

developed. The requester may describe the proposed methodology by outlining specific 

methods to be implemented (e.g. study area, study sites, data collection methods, etc.) or 

simply by referencing an approved and established study protocol or methodology (e.g. 

Henderson 1999, or Missouri State Water Quality Sampling Protocols for Lead, 1999). If 

providing a detailed methodology, the requester should demonstrate how the requested 

methodology is consistent with generally accepted practice within the scientific 

community or, as appropriate, considers relevant tribal values and knowledge. The 

requested study must be generally accepted in the context of how it is being used. For 

example, just because an IFIM is a generally accepted methodology for determining the 

relationship of flow to available habitat, it doesn’t mean you would use IFIM for 

answering questions about fish populations. 

LEVEL OF EFFORT AND COST

 §5.9(b)(7) Describe considerations of level of effort and cost, as applicable, and why 

any proposed alternative studies would not be sufficient to meet the stated information 

needs. 

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This section should describe your expectations of the level of effort and costs associated 

with the development and implementation of the requested study. This would be used to 

provide the applicant with a better understanding of your expectations for the completion 

of the study. Within this section, you should also provide a justification as to why any 

proposed alternative studies would not be sufficient to meet the stated information needs. 

Proposed alternative studies could be studies being proposed by the applicant in the PAD 

or those being requested by other parties. 

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