Evaluating Geologic and Soils Issues 

at the Federal Energy Regulatory Commission 

Kuthteen Sherman 

Soil Conservationist, Division of Project Review 

Regulations Governing 

Geologic and Soils 

Resources 

The following regulations govern 

geologic and soils resources. Which 

regulation applies depends on the type of 

application being prepared. 

An applicant must address the impacts 

of constr"Ucting and/or operating a 

hydropower project on geologic and soils 

resources. These regulations give an 

applicant only limited guidance. Ais a result, 

when we review an application, we must 

frequently ask for additional information so 

we can analyze site conditions and decide 

if the applicant is proposing appropriate 

mitigative measures. 

The sections of the regulations that 

follow are Intended to help you go beyond 

the letter of the regulations and make sure 

that any data gaps in the areas of geologic 

and soils resources do not cause delays In 

processing your application. 

Subpart E • Application for License for 

Major Uneonstrueted Project and M!!,jor 

Modified Project 

Section 4.41 (f) Exhibit E (6) Report on 

geological and soil resources. 

The applicant must provide a report on 

the geological and soli resources In the 

. proposed project area and other lands that 

would be directly or indirectly affected by 

the proposed action and the impacts of the 

proposed project on those resources. The 

information required may be supplemented 

with maps showing the location and 

description of conditions. The report must 

contain: 

(i) A detailed description of geological 

features, including bedrock lithology, 

stratigraphy, str"Uctura.l features, glacial 

features, unconsolidated deposits, and 

mineral resources; 

(li) A detij.iled description of the soils, 

including the types, occurrence, physical 

and chemical characteristics, erodability 

and potential lor mass soil movement; 
(iii) A description showing the location 

of existing and potential gegloglcal and soli 

hazards and problems, incl1,1dlng 

earthquakes, faults, seepage, Sl,lbsidenoe, 

soll.rtion cavities. active and abandoned 

mines, erosion, and mass soil movement, 

and an identification of any large landslides 

or potentially 1,1nstable soil masses which 

could be aggravated by reservoir 

flucruations; 

(iv) A description of the anticipated 

erosion, mass soil movement and other 

impacts on the geological and soil 

resources due to construction and 

operation of the proposed project; and 

(v) A description of any proposed 

measures or facilities for the mitigation of 

impacts on soils. 

Subpart F • Application for license for 

Major Project-Existing Dam 

Section 4.51 (f) Exhibit E (1) General 

Description of the Locale. 

The applicant must provide a general 

description of the environment of the 

project and Its Immediate vicinity. The 

description must Include general 

information concerning climate, topography, 

wetlands, vegetative cover. land 

development, population size and density, 

the presgnce of any floodplain and the 

occurrence of flood events in the vicinity of 

the project, and any other factors important 

to an understanding of the setting. 

Subpart G • Appli~;:Btion for License for 

Minor Water Power Projects and MaJor 

Water Power Project 5 Megawatts or 

1.!!! 

Section 4.61 {d) Exhibit E is an 

Environmental Report. 

(2) For Minor projects and major 

projects at existing dams 5 MW or less. 

The Environmental Report must contain 

the following information~ 

(i) A description, Including any maps or 

photographs which the applicant considers 

appropriate, of the environmental setting of 

the project, Including vegetative cover, fish 

and wildlife resources, water quality and 

quantity, land and Wli\ter uses, recreational 

uses. historical and archeological 

resources, and scenic and aesthetic 

resources. 

(II) A description of the expected 

environmental impacts from proposed 

construction or development and the 

proposed operation of the power project, 

including any impacts from any proposed 

changes in the capacity and mode of 

operation of the project If it is already 

generating electric power, and an 

explanation of the specific measures 

proposed by the applicant, the agencies, 

and others to protect and enhance 

environmental resources and values of the 

project on such resources. 
Typical Issues 

An applicant should begin by 

examining the issues in order to identify 

what type of investigations are needed to 

address a project's impacts on geologic . 

and soils resources. The scope of such 

inveatigatlons and appropriate level of 

detail depends primarily on: 

• the type and extent of land· 

disturbing activities, and 

• actual site conditions--including existing areas of erosion and slopo 

or bank Instability. 

After Identifying Issues, the applicant 

should consult with resource agenciesIncluding tho land-management agency (if 

applicable), tho Soil ConSEliVation SeiVIce, 

state water resources agencios rosponsible 

·lor water quality certification, and fQderal 

and state fish and wildlife agencies. 

Identifying Issues at Existing Project-s 

• Existing areas of erosion, slope 

instability, or streambank or 

reservoir shoreline erosion should 

be stabilized where needed to 

prevont erosion of fine-grained 

material:;;. 

• Areas of new land-disturbance 

should be protected during 

construction and stabilized following 

construction. 

• Sedimentation studies (models) may 

be needed to evaluate existing and 

future sedimentation within a 

reseiVoir. 

• Accumulated sediments within a 

reseiVoir may have to be removed 

and spoil disposal areas stabilized. 

• Flushing flows may be noodod in 

bypassed reaches downstream ot the 

dam. ' 

Identifying Issues at Proposed Prolectos 

• Site-specific information on geology 

and soils should be developed at a 

sufficient level of detail to Identify 

existing or potentially unstable or 

highly erodlblo areas and to develop 

appropriate control measures. 

• Detailed conceptual erosion and 

slope stability control plans should be 

prepared before licensing. 

• If dam construction could alter 

sediment transport and deposition in 

such a way that flooding could occur 

in the n;rsli!rvolr headwaters, 

sedimentation studies may bo 

needed: 

• If important fisheries resources are 

present, Sedimentation studios 

(models and baseline sampling) may 

be needed. 
• If there coUld be cumulative impacts from multiple hydropower 

development, a risk assessment 

may be nseded. 

Preparing a Report on 

Geologic and Soils 

Resources 

A. Describing the A(fecled Eovirpnment 

Site-specific investigations of geologic 

and soil conditions within a project area are 

essential to ensure that the project can be 

built !!.nd operated without causing 

excessive slope instability and erosion. 

Geologic conditions and $<Iii::; can vary 

considerably in a short distance: a given 

slopa may be stable, but a nearby or 

adjacent slope may not be. 

Unconsolidated deposits-such as 

glacial, stream channel alluvium, lacustrine. 

or talus (rock debris)--may be present, and 

have varying degrees of stability. Rook 

and soil types vary in response to 

precipitation with differing amounts of runoff 

and infiltration. These varied responses 

affect the erodability of soils and the 

location of springs and seeps as well the 

presence of groundwater that may be 

encountered in excavations or whan 

constructing underground fa.oilities. 

It Is important to determln!ll bedrock 

lithology (rock type}, stratigraphy (rock 

sequence}, structural featurgs and type and 

degree of weatner1ng at a site, because 

these characteristics affect inherent slope 

stability which directly affects the stability of 

project features. Rock types differ in 

strength and become weakar in different 

ways when they waather; these differences 

affect the stability of foundations or places 

where a struotur9 is tied Into a slope. The 

rock saquence also can affect slope 

stability; a nard rock layer, under1aln by 

softer rock, may be prone to landsliding 

where the softer rock is being undercut by 

streamflow or wave action. 

Structural features such as jointing, 

faults, and foliations are planes of 

weakness. If the planes of weakness are 

oriented so that they dip into a slope, the 

slope will remain stable even with a fairly 

steep road cut. If the planes of weakness 

dip in the same dlr$¢tir;>n as the slope 

however, cutting Into the slope may cause 

slope failuni! (figure 1 ). Jointed rock th~t 

forms cliffs may be subject to sporadic 

rockfall. Highly jointed or fractured rock 

also can contain large amounts of 

groundwater. 

UNSTABLE 

RAIN 

rb 

S'll.T CI.AY 

Figure 1. How geology and soils influence 

stability In a project area (Source: FEAC 

Staff). 
unconsolidated deposits often have 

layers that vary in permeability and size·· 

from boulders and gravels to sand, silt, and 

clay. Larger-sized rock is often welldrained with increased slope stability; but 

because loose rock. Is nonoohesive, slope 

failure may occur If support Is namoved 

from the toe of a steep slope. Layers of 

finer grained material, such as silt or fine 

sand, may impede drainage and contribute 

to slumping or other unstable c::ondltlons on 

slopes or banks. Loosely consolidated 

stream alluvium may be very penneable, 

so cutoff walls may be needed to prevent 

excessive seepage under the dam. 

Steepness of slope and soil texture 

(distribution of particle sizes) affect soil 

erodability, soli mass movement, runoff, 

and Infiltration. Soils with larger parth;:le 

sizes (coarse sand and gravelly or rocky 

soils) have good infiltration and less runoff 

which enhances stability, but because they 

are non-(:ohesive, coarse-textured soils are 

highly erodible when vegetation Is 

removed. 

Fine sands and slits are the most 

highly erodible soil$ because flowing water 

or wind can easily detach and transport 

them. Fine-textured clay soils are more 

cohesive and can stand In cuts on steeper 

slopes; however they have limited 

Infiltration and higher runoff (Figure 1 ). 

Surface and subsurface hydrology 

affects slope stability and GJrosion and 

lnstream sedimentation. The pattGJm of 

surface runoff directly affects the erosion 

potential of dist1,1rbed areas. Diverting and 

·-.-~ .. --·· ' ....... . 

filtering runoff Is essential to controlling 

erosion and sedimentation during landdisturbing activities, and providing proper 

drainage Is crucial for maintaining longterm stability of land surfaces and project 

features. 

The applicant must provide information 

on site-specific vegetation, because the 

type and denseness of the vegetative 

cover affects soil erodability and ability to 

filter runoff from disturbed areas. 

B. Conducting Al!(!ropriate Studies 

Geotetbnical and Soils Investigations 

Geotechnical investigations are 

generally limited to reconnaissance level 

surface Investigations and shallow borings 

to determine (1) if the rock type or 

uncon$01ic;l~ted deposits are stable and 

(2) If critical areas are present (i.e., areas 

that require special treatment or control 

measures). If cr1tlcal areas are present, 

they should be avoided whenever possible 

by relocating project features. 

If critical areas cannot be avoided, the 

applicant should make further geotechnical 

Investigation of these specific areas to 

determine the nature and extent of 

potential stability problems and to identify 

appropriate control measures. 

Slope stability problems are generally 

solvable, but may be quite c::ostly, 

especially (1) if the slope is actively 

unstable and Involves a large amount of 

P"'l't5 
material or (2) If conditions for anchoring a 

structure are unsatisfactory (I.e., placing a 

pipliilline on a steep slope underlain by 

loose rocks). 

Identifying Critical Areas for 

Erosion/Slope Stability Control 

An initial site suitability survey should 

look closely at the folloWing types of 

conditions, which are likely to be critical 

areas that need specific measures to 

control erosion or prevent potential slope 

stability problems. 

• Active or dormant mass movements 

and slope failures 

• Unfavorable rock structures or 

unstable overburden 

• Soils prone to mass movement or 

highly erodible soils 

• Existing erosion.gullys-streambank 

or shoreline erosion 

• Dralnageways-swales-stream 

crossings 

The following Items should also be 

considered when determining if critical 

areas are present in the project area. 

• Aerial photo interpretation and field 

chock 

• Probability of slope failure 

• Frequency and potential magnitude 

of failure 

• Risk of material entGring stream and 

type of material 

Sedimentation Studies 

The nature and extent of sedimentation 

studies depends on (1) the presence of 

lmpol'lant aquatic resources, (2) potential 

for cumulative impacts, and (3) existing or 

potential sediment accumulation in a 

reservoir or affected stream reach. 

Sediment Modeling 

A wide variety of models are available 

for modeling the movement of sediment. 

Selecting a model should be based on the 

type of information that is needed and the 

nature of the stream channel and 

substrate. A good reference for a survey 

of some available sediment models i$ 

Twelve Selected computer Stream 

Sedimentation Models Developed In the 

United States (Subcommittee on 

Sedimentation Interagency Advisory 

Committee on Water Data, 1988). Limited 

copies of this report can be obtained 

directly from Or; Shou-shan Fan, Special 

Assistant, Office of Hydropower Licensing, 

Federal Energy Regulatory Commission, 

R.S. HL-1, 825 North Capitol Street, NE .• 

Washington, DC 20426. 

Baseline Sediment Sampling of Aquatic 

Habitat "At Risk" from Sedimentation 

Sediment sampling of the stream 

substrate is used to characterize baseline 

(pre-project) conditions of aquatic habitat 
that could b9 adversaly affected by 

sediment generated by construction of a 

proposed project. Oata from sediment 

sampling can be compared to threshold 

levels of sediment that have bettn fQund to 

cause adverse effects to hatching of eggs 

and emergence of fry. An example of such 

research Is "Success of Pink Salmon 

Spawning Relative to Size of Spawning 

Bed Materials" (McNall and Ahnell, 1 11134). 

This publication also gives infonnation on 

the substrate sampler referred to below. 

Sediment sampling should be 

conducted along transects across the 

streambed that should be marked so they 

can be sampled again to obtain additional 

data points. Sometimes transacts select9d 

for the lnstream Flow Incremental 

Methodology analysis (IFIM) can be us9d 

to evaluate minimum flows fQr fishery 

resources can be used for sediment 

sampling. Such transects may also be 

used during and after construction of a 

project to monitor changes in sediment 

accumulation. 

When developing a sediment sampling 

program, the following elements should be 

considered. 

a. The location of areas to be sampled, 

the method, and timing of baseline 

sampling should be Identified and 

developed in consultation with agencies 

and tribes. 

b. Typical locations of baseline sampling 

• L.ow gradient reaches in bypass 

reaches 

• Low gradiant raaches below 

powerhouse 

• Reach above diversion site 

• Mouth of craek 

• Important habitat In overlap zones 

from multiple projects 

c. Typical infonnation to be collected at 

each transect 

• Photographs of transect 

• Survey of cross-sections 

• McNeil cora samples 

• Measuraments of embeddedness 

• Characterize bank stability 

• Description of sediment 

characteristics across transect (using 

IFIM protocoO 

• Measurement of channel scour and fill 

using rebar-pipe sleeve 

• Note di$Charge at stream gage 

Risk Assessment 

Risk assessment combines number of 

factors to evaluate the likelihood of a 

project causing an adverse affect on 

aquatic habitat from Increases in stream 

sedimentation due to construction of a 

proposed pro]Qct. Risk assessment also 

evaluate$ the potential magnitude of such 
lmpac:ts In comparl$0n with existing 

sediment sources. The following factors 

are considered in risk assessment. 

• PrtJject area stability and erosion 

control plans 

• W~rshed stability and sediment 

yield 

• Sediment modeling 

• Baseline sediment sampling 

• Nature and abundance of potentially 

affected aquatic habitat, especially 

spawning areas · 

.. Scarcity or abundance of potentially affected species 

C. Identifyina Appropriate Mitigati-ve 

Measures 

The objectlva of limiting instream 

sedimentation can be reached primarily by 

minimizing and controllng erosion on·sita. 

F'rojeot-area $lability and appropriate 

control measures are essential. The extent 

and level of detail needed for control plans 

depends largely on (1) the amount of landdisturbance, (2) the natt.Jre of projeetspeolflc soils and gaologlo conditions, and 

{3) the presence of existing or potential 

problem areas. 

Elements to Consider When Selecting 

Site-Specific Erosion Control Measures 

• Divert water away from disturbed 

areas 

,.berms and ditches 

• Collect and filter Nnoff 

-<!Itches, check dams, sediment 

ponds 

• Perlmater contml 

-slit fences (filter cloth), straw bales, 

berms, rook filters 

• Permanent drainage 

-<:litohea, oulverts, energy dissipation 

strucwres 

• Stabilize critical areas (avoid If 

posSible) 

--adequate drainage, slope stability 

control measures {rock bolts or 

anohors, buttressing, riprap, 

gabions, geotextlles, blotechnlcal 

measures, Interim seeding or 

vegetation) 

0 FIEIV"'iJEitation 

--appropriate 'species, seeding mix 

and rates, mulch 

' Spoil disposal 

··identify and stabilize sites 

• Avoid sldecasting on steep slopes 

and end haul to remove excess 

material 

• Monitoring and maintenance 

A complete erosion control plan shot.Jid 

include: (1) a description of the site 

conditions {geology, soils, hydrology, and 

vegetation); {2) a narrative describing the 

erosion control plan; and (3) topographic 

map locations and functional design 

drawings of the control measures. 

** TOTAL PAGE.08 ** 
Approving Erosion Control 

Plans 

When an applicant has developed a 

detailed site-specific erosion control plan, 

the Commission generally approves the 

plan as part of the license, sometimes with 

modifications. When an erosion control 

plan h~ been sufficiently developed to be 

approved In the license, the licensee files 

final drawings and specifications for the 

plan along with drawings and specifications 

for construction of project features. This is 

done after the license has been issued, but 

before eonstruollon begins. 

Even in cases where the erosion 

control plan is approved In the license, 

agency consultation may be required In 

developing final drawings and · 

specifications for erosion control plans. In 

this case, lieensees are expeetad to 

address agency concems befere submitting 

final drawings and specifications. 

Documentation of agency consultation 

should be included within the filing. 

An example of a license article where 

an erosion control plan is approved In the 

license follows. 

Article • The erosion control 

plan flied on ~ and consisting 

of (pages and drawings) is 

approved and made part of this 

license and shall be implemented 

(with the following modifications, if 

needed). Final drawings and 

specifications shall be filed along 

with drawings and specifications 

required by Article 3XX 

(constructlon draWings fer 

project features). The 

Commlsdon may require changes 

to the erosion control plan to 

ensure adequate protection of the 

environmental, SCEinic, and cultural 

values of the project area. 

In some cases, however, the plan does 

not contain enough detail to be approved in 

the license, or final design of control 

measures depends on completing 

additional soils or geologic Investigations. 

The erosion control plan must then be 

approved after the license is issued, and 

the licensee cannot begin construction until 

the Commission approves the. plan. 

An example of a license article 

requiring apprcival of the erosion control 

plan follows. 

Article . At least so days before 

the start Of any land-disturbing or 

land-clearing activities, the Ucensee 

shall file with the Commission, fer 

approval, a plan to control erosion, 

to control slope instability, and to 

minimize the quantity of sediment 

resulting from project construction 

and operation. 

The plan shall be based on actualsite geological, soli, and groundwater 

conditions and on project design, and 

shall include, at a minimum, the 

following four items: 
(1) a. description of the actual site 

conditions; 

(2) measures proposed to control 

erosion, to prevent slope 

instability, and to minimize 

the quantity of sediment 

resulting from proJect construction and operation; 

{3) detailed descriptions, 

functional design drawings, 

and specific topographic 

locatiol)s of all control 

measures: and 

(4) a specific implementation 

schedule and details for 

mgnitoring and maintenance 

programs for project oonstruction and operation. 

The Ll~ensee shall prepare the 

plan after consultation with 

appropriate federal and state s~;~il 

oonservation, water quality, fish 

and wildlife agencies: and each 

federal agency having managerial 

authority over any part of project 

lands. The Licensee shall include 

with the plan documentation of 

consultation, copies of oomments 

and recommendations on the 

oompleted plan after it has been 

prepared and provided to the 

agencies, and specific descriptions 

q!_how the agencies' comments 

are accommodated by the plan. . 

The Licensee shall allow a 

minimum of 30 days for the 

agencies to comment and to make 

Pap 10 

recommendations before filing the 

plan with the Commission. If 

the Licansee does not adopt a 

recommendation, the filing shall 

include the Licensee's reasons, 

based on geological, soli. and 

groundwater conditions at the Site •. 

The Commission reserves the right 

to require changes to the plan. 

No land-disturbing or land-clearing 

activities shall begin until the 

Licensee is notified by the 

Commission that the plan Is 

approved. UIXIn Commission 

approval, the Licensee shall 

implement the plan, Including 

any changes required by the 

C~;~mmission. 

Final Erosion Control 

Plans 

When control plans are approved, while 

detailed and site-specific, they are 

conceptual In nature. These plans are 

similar to Exhibit F drawings, which are 

conceptual designs when approved In the 

license. 

Final drawings and specifications fOr 

actual construction of project features, 

which are prepared after the license is 

issued, are c~;~nsiderably more detailed 

than the Exhibit F drawings. The final 

drawings and specifications therefore, 

contain a higher level of detail and reflect 

the final design of the project features and 

the erosion control measures. 
Figures 2 and 3 are examples of a 

conceptual plan drawing and an associated 

functional design drawing, prepared for an 

erosion control plan that would be 

approved as part of a license. 

The silt fence between the buried 

penstock and tho crook, shown as a 

straight line on Figure 2 and detailed in 

Figure 3, illustrates the conceptual nature 

of the plan. Although the actual line of the 

silt fence will be adjusted to the contours of 

the land during construction, the looatlon 

shown in .the conceptual plan drawing 

shows the reviewer that the silt fence is in 

the proper location to filter runoff over the 

disturbed area before it reaches the creek. 

Similarly, the proposed sediment 

ponds may not be of the exact size and 

shape shown on the conceptual drawing, 

but this drawing gives the reviewer enough 

information to see if the ponds are in the 

appropriate locations. After the 

Commission Issues a license, the 

contractor will prepare final drawings and 

specifications that Include further details. 

These would include (1) the materials to be 

used in constructing the silt fence and 

spacing the stakes, and (2) the proper size 

and depth of sediment ponds, which will be 

based on the size of the drainage area and 

the materials to be used to construct the 

pond. 

This allows flexibility In implementing 

the goals and objectives of the erosion 

control plan such that the contractor can 

propose an approach that is workable and 

will achieve the desired end result of 

containing sediment on-site and preventing 

it from reaching watercourses. 

The Commission's Regional Office 

must approve the final location and 

construction of erosion control facilities as 

dictated by actual field c::onc;lition~;; viewed 

by inspection staff of the Regional Office. 

such as a small dam that will be used for a 

sediment pond. 

Implementing, Monitoring, 

and Maintaining an 

Erosion Control Plan 

No matter how Well conceived, the 

success of an erosion and sediment control 

plan depends on how well it is 

implemented. Control measures must be 

Installed properly at the appropriate time 

and maintained, in order to function 

effectively. Silt fences and straw bale 

barriers are Ineffective if they are not 

anchored below the ground surface or if 

the sediment that accumulates behind 

them Is not removed. Sediment ponds 

must be sized to accommodate runoff over 

the design area, have a stable outlet. and 

be cleaned regularly in order to be 

effective. 

Erosion control measures should be 

inspected and maintained on a regular 

basis so that the measures can be 

modified as necessary, during construction, 

to deal with. aCtual field conditions. 

When preparing final plans and 

specifications for building the project 

features, the licensee will develop the 

actual construction sequence and grading 
r~lra;,,age Oiverr;ion Channel 

---.,-t_nohc,.ed Jute Netting ~~ 

40' )( 35' 

'1"r;;tn$/ormer 

Switchyard 

Dise;onnect 

Roo~ Knob...-":::;;,:-~ 

OroinagoV 

Ch.annal 

Te..,poracy .~ Silt Fence 

Er'osioll and Sediment 

Control Pond 

12' San~ Bottom with Pipe 

Underr;tr'l)ifl 

SITE Pi.AN 

•o· o 4D' 

Scale: 1• • -'0'.., • Or1;1nll o:travin9 

Figure 2. Example of conceptual drawing for an erosion control plan 

(Source: HDR Engineering, 1991 ). 

Wire Mesh 

~11tering Fabric 

Mi!lterial 

Post 

TYPICAL CROSS SECTION 

OF SILT FENCE 

Figurs 3. Exampl8 of a tunetional design 

drawing for a silt fence (Source: HDR 

Engineering, 1991 ). 

P•12 

plans and If needed, should make 

appropriate design ohangos In tho erosion 

control plan. BefOre construction begins. 

licensees are required to file a quality 

inspection program for approval by the 

Commission's Regional Office Director as· 

required under Section 12.40 of Subpart 

E • Other Responsibilities of the Applicant 

or Licensee. 

Because ero~;~ion control mea~;~Unill;l 

require continuous Inspection and 

monitoring, and the structures and either 

facilities are generally engineering solutions 

to control erosion and ssdimsnts, 

developers must Include an Inspection and 

monitoring program for erosion and 
sediment control measures as part of their 

constn.~ction quality control program. 

The Commission's Regional Offices 

conduct periodic construction inspections to 

ensure that the project is being constructed 

in accordanCE~ with the plans and 

specifications and that the contractor is 

providing a quality product. However, 

direct and continuous on-site surveillance 

by the Commission Is not possible because 

of budget limitations. 

Developers are instructed to Include in 

their monthly construction Inspection 

reports a discussion cif erosion control 

measures and their effectiveness. When 

appropriate, the report would include (1) a 

discussion of any Instances where 

sediments or other construction discharges 

entered a stream, (2) the extent of the · 

discharges, (3) an assessment of any 

damage to a stream, and (4) corrective 

actions taken, including measures to 

prevent further problems. 

Since actual site conditions can vary 

during the course of construction, 

modifications to the erosion and sediment 

control plan must be accomplished in the 

field as conditions dictate, through the 

quality control program or at the c;!irection 

of the Commission's Regional Office. 

There may be situations where erosion 

control measures are not working 

effectively or must be modified because of 

unforeseen conditions. For example, an 

extra line of silt fencing may be needed on 

a steep slope, a straw bale barrier may 

need to be replaced with a rock check dam 

where flow becomes too concentrated, or 

the location of a sediment pond may need 

to be adjusted so that it functions more 

effectively. 'rhese modifications can be 

required on site by the Commission's 

Regional Offices or through formal 

correspondence, and can be documented 

in the monthly construction Inspection 

report&. 

Due to the need to react to changing 

conditions as they arise, most modifications 

should be made In the field with the 

agreement of the Regional Offices. It is 

neither practical nor feasible to attempt a 

more formal process. It would require too 

rnuch time to react to a need for 

modifications. There are cases, however, 

where changing an element of an erosion 

control plan would be signlflca11t and would 

require formal amendment to the plan, 

such as disposal of contaminated 

sediments. Unless the modifications are 

significant. they should not require 

additional approval or formal amendment to 

the plan, as long as the objeetives of 

mlnlmlo:ing soil erosion, containing 

sediment on-site, and preventing it from 

entenng watercourses are being met. 

These objectives are further specified 

and required by Standard L·Form Article 

19, which states: "In the constn.~etion, 

maintenance, or operation of the project, 

the Licensee shall be responsible for, and 

shall take reasonable measures to prevent, 

soil erosion on lands adjacent to streams 

or other waters, stream sedimentation, and 

any form of water or air pollution ••. • 
·Complying With Erosion 

Control Plans 

Tho Licensee's quality inspection 

program and the Commission's inspections 

provide a mechanism for meeting the 

objectives of the erosion control plan. The 

Commission's Division of Project 

Compliance and Administration (DPCA) 

handles compliance with the erosion 

control plan article and with Standard I.-

Form Article .19. DPCA also approves 

amendments to erosion control plans. 

If there is a question whether an 

amendment Is needed, the licensee should 

notify the Commission's Regional Office 

then DPOA can make a determination if 

needed. If a project must be amended 

because of a change in the location of 

project features, the erosion control plan 

should bo amended as well to reflect such 

changes. If a problem arises with 

implementation or maintenance of control 

measures and is not corrected 

expeditiously, it may be reported to DPCA. 

The Commission's Regional Offices report 

over 90 percent of all alleged violations 

received In DF'CA. The remaining 

allegations of noncompliance activities are 

received from the public and other state 

and federal agencies. 

Noncompliance may be with the 

provisions of the approved erosion control 

plan or with Standard L-Form Article 19 if 

the problem Involves something that was 

Pap14 

not specified in the approved plan. 

Evidence of noncompliance might be 

(1) poorly maintained c::ontrol measures, 

(2) measures that werl!J not installed or 

installed improperly or Incompletely, or 

(3) sediments deposited outside the 

construction perimeter or within a stream. 

DPCA considers the success of temporary 

and permanent revegetation as well as 

structural measures. 

When DPCA receives a noncompliance 

report, an investigation is initiated. If no 

violation of the license is found, a letter 

finding no violation is sent to the Ucensee. 

If a potential violation of the license has 

occurred, an initial contact letter Is sent, 

usually providing 30 calendar days for the 

ucensee to respond. 

In most cases. the Licensee responds 

with a detailed explanation of why the 

violation occurred and states that corrective 

action has been taken. Depending on the 

nature of the violation, the Commission's 

Regional Office may conduct a follow-up 

verification inspection to confirm that 

corrective action has been taken, before 

DPCA issues a letter that completes the 

Investigation. 

If the Licensee fails to respond to the 

Initial contact letter, DPCA will issue a 

compliance order. VIolation of a 

compliance orde.r may result in the initiation 

of a civil penalty proceeding and become a 

factor in the amount of penalty assessed. 
Other Issues Involving 

Geologic and Soils 

Resources 

A. Contaminated Sediment Test and 

Disposal Plan 

Federal and state environmental 

legislation passed since the early 1970's 

has stopped or significantly reduced the 

discharge of toxic effluents into the 

Nation's rivers and lakes by factories, 

mining operations, and electric utilities. 

Nevertheless, some toxic materials, 

discharged before then, have been trappliild 

in the sediment build-up behind existing 

dams. 

The presence of toxic material in 

sediments usually does not produce 

adverse environmental consliilquences to 

water quality and fisnery resources unless 

the contaminated sediments arfiil disturoed 

by dredging or by the construction of 

bridges, piers, or hydropower projects. 

Consequently, the staff may require an 

applicant who proposes to construct a 

hydropower project at an existing dam, 

located on a river segment that previously 

received industrial pollutants, to (1) conduct 

tests tor the presence of contaminated 

sediments and spoils and (2) develop and 

implement measures to avoid the 

disturbance or to dispose of all disturoed 

toxic sediments and spoils In the project 

impact area. 

The Commission has required rSCEint 

applicants to test sediments and file a plan 

before issuing a license. If an applicant 

has not completed a sufficiently detailed 

plan to treat potential contaminated 

sediments and spoils, the staff includes the 

following license article, requiring the 

Licensee to develop and implement a plan 

for the avoidance or disp6sal of any 

contaminated sediments and spoils in the 

project area. 

Article . At least 90 days before 

the start of any land-disturbing or 

land-clearing activities, the 

Licensee shall flle with the 

Commission, for approval, a plan 

to conduct tests for, minimize 

Inputs of, and safely dispose 

of contaminated sediments and 

spoils. 

The plan shall include but not be 

limited to: 

(1) a description of the methods 

to be employed in testing bottom 

sediments for the presenoo of 

heavy metals and other toxic 

substances in the stream bed of 

the project area: 

(2) a description of the Licensee's 

mitigative measures to minimize 

inputs of sediment and otner 

potentially toxic ~;~ubstances to 

the stream; 

(3) a description of Licensee's 

planned measures to avoid 

Pt~plS 
disturbing or to safely dispose of 

disturbed toxic substances and 

spoils; 

(4) an implementation schedule; 

(5) monitoring and maintenance 

programs during project 

construction and operation, 

and 

(6) provisions ftlr periodic 

review and revision. 

The l.lcensee shall prepare 

the plan after consultation with the 

Environmental Protection Agency, 

(federal and state fish and game 

agencies), and each federal 

ageney having managerial 

authority ovef any part of project 

lands. The Licensee shall include 

with the plan documentation of 

consultation and copies of 

comments and recommendations 

on the completed plan after it has 

been prepared and provided to the 

agencies, and specific descriptions 

of how the agencies' comments 

are accommodated by the plan. 

The Licensee shall allow a 

minimum of 30 days for the 

agencies to comment and to make 

recommendations before filing the 

plan with the Commission. If the 

Licensee does not adopt a 

recommendatlon, the filing shall 

include the Ucensee's reasons, 

based on project~specific 

inftlrmation. 

The Commission reserves the 

right to raqui re changes to th~ 

plan. No rand-disturbing or 

land-clearing activities shall begin 

until the Ucensee is notified by tne 

Commission that the plan is approved. 

Upon Commission approval the 

Licensee shall implement the plan, 

Including any changes raquired by the 

CommisSion. 

B. l>eveloping a System to 

Automatically l>etect a Conduit or 

Penstock Failure 

A high·head hydropower project 

developed in an isolated mountainous area 

of the west could cause significant 

environmental damage, if one of the 

project's pipelines or penstocks ruptures. 

To minimiza the quantity of water spilled 

(and resulting damage to area soils, 

vegetation, wildlife, and water quality} if a 

pipeline or panstock fails, such a project 

should include a system tor (1) the 

automatic detection of a conduit or 

penstock failure and (2) the immediate 

stopping of water diversion at the project 

headworks. 

If there is a potential ftlr conduit failure 

and therefore a need ftlr an automatic 

mechanism to stop water diversion, the 

staff Includes the following license article, 

requiring the licensee to design, install, and 

test an appropriate detection system. 

Artig!e . At least 90 days 

before the start of oonstruotlon, the 

License shall file with the Commission, 
for approval, a plan for the design 

and construction of a system that 

wi II automatically detect a conduit 

or penstock failure and 

immediately shut off flow In the 

conduit or penstock at the 

headworks in the event of such a 

failure. 

The plan, at a minimum, shall 

include: 

(1) design drawings; 

(2) a schedule for installation and 

testing of the system prior to 

operation of the project; 

(3) a schedule tor annual testing 

of the system for the life of 

the project; and 

(4) a description of a plan to 

manually close off tha conduit 

or penstock until the system Is 

operational If any malfunction 

is revealed during testing. 

The Commission reserves the 

right to require changes to the 

plan. Project construction shall 

not begin until the Licensee is 

notified by the Commission that 

the plan Is approved. Upon 

Commission approval the 

Licensee shall implement the plan, 

including any changes required by 

the Commission. 

C. Mineral Resources Impact Plan 

Hydropower projects proposed for 

development in the west may affect the 

potential extraction of oconomloally 

Important mineral resources. The 

Department of Interior's Bureau of Mines 

usually notifies the Commission if a project 

could affect existing mineral rights or 

mining elaims. The staff then Includes the 

following license article, requiring the 

licensee to conduct a field check for 

mineral deposits at the project and to 

prepare and Implement a plan that will 

minimize project impacts on the 

development and utilization of the area's 

mineral deposits. 

Article . At least 90 days 

before the start of any landdisturbing or land-clearing 

activities, the Licensee shall file 

with the Commission, for approval, a 

plan to minimize project impacts on 

the development and utilization of 

mineral deposits. 

After consulting with the U.S. 

Bureau of Mines and each state 

and/or federal agency having 

managerial authority over any part 

of project lands, the Licensee 

shall conduct a field check for 

mineral deposits at the project, 

including the transmission line 

and access routes. The licensee 

shall then prepare a mineral 

resourees impact plan based on 

the results of the fleld check. 

The plan, at a minimum, shall 

Include: 

Papl7 
(1) a desor1ptlon of tht;l field 

oheok: · 

(2) a description of mineral 

deposits and claims at the proj9Ct; 

(3) maps showing their locations; 

and 

(4) the Licensee's strategy for 

minimizing project Impacts. 

The Licensee shall include 

with the plan documentation of 

consultation, copies of comments 

and recommendations on the 

completad plan after It has been 

prepared and provided to the 

agencies, and specific descriptions 

of how the agencies' comments 

are accommodated by the plan. 

References 

HDR Engineering. 1991, Application for 

License for Black Bear Lake Project, 

FERC Project No. 1 0440. For Alaska 

Power & Telephone Company. June 

1991. 

Me Neil, William J. and Warren H. Ahnell. 

1964. Success of pink salmon relative 

to size of spawning bed materials. 

U.S. Fish and Wildlife Service Special 

Scientific Report--Fisheries No. 469. 

Washington, D.C. January 1964. 

The Licensee shall allow a minimum 

of 30 days for the agencies to 

comment and to make recom- · 

mendatlons prior to filing the plan 

with the Commission. If the · 

Licensee does not w:lopt a 

recommendation, the filing shall 

include the Licensee's reasons, 

based on project-specific Information. 

The Commission reserves the 

right to require changes to the 

plan. No land-clearing or landdisturbing activities shall begin 

until the Licensee is notified by 

the Commission that the pian is 

approved. Upon Commission 

approval, the Licensee shall 

implement the plan, Including 

any changes required by the 

Commission. 

Subcommitte on Sedimentation Interagency 

Avdisory Committee on Water Data, 

1988. Published by the Federal E;nergy 

Regulatory commission. Edited by 

Dr. Shou-shan Fan, Chairman 

interagency Ad Hoc Sedimentation 

Work Group (December 31, 1 988). 

**TOTAL PAGE.10 **