Document ID: FERC-2020-0952-0001
Agency: ferc
Document Type: Proposed Rule
Title: Safety of Water Power Projects and Project Works
Posted Date: 2020-07-24T04:00Z

[Federal Register Volume 85, Number 143 (Friday, July 24, 2020)]
[Proposed Rules]
[Pages 45032-45051]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-15917]

[[Page 45031]]

Vol. 85

Friday,

No. 143

July 24, 2020

Part IV

Department of Energy

-----------------------------------------------------------------------

Federal Energy Regulatory Commission

-----------------------------------------------------------------------

18 CFR Part 12

Safety of Water Power Projects and Project Works; Proposed Rule

  Federal Register / Vol. 85, No. 143 / Friday, July 24, 2020 / 
Proposed Rules  

[[Page 45032]]

-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 12

[Docket No. RM20-9-000]

Safety of Water Power Projects and Project Works

AGENCY: Federal Energy Regulatory Commission.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Commission is proposing to amend its regulations governing 
the safety of hydropower projects licensed by the Commission under the 
Federal Power Act. These regulations are intended to promote the safe 
operation, effective maintenance, and efficient repair of licensed 
hydropower projects and project works to ensure the protection of life, 
health, and property in surrounding communities. Specifically, the 
Commission proposes to revise its regulations to: Incorporate two tiers 
of project safety inspections by independent consultants, codify 
existing guidance requiring certain licensees to develop an owner's dam 
safety program and a public safety plan, update existing regulations 
related to public safety incident reporting, and make various minor 
revisions.

DATES: Comments are due September 22, 2020.

ADDRESSES: You may send comments, identified by RM20-9-000, by either 
of the following methods:
     Agency Website: Electronic Filing through http://www.ferc.gov. Documents created electronically using word processing 
software should be filed in native applications or print-to-PDF format 
and not in a scanned format.
     Mail: Those unable to file electronically may mail 
comments to: Federal Energy Regulatory Commission, Secretary of the 
Commission, 888 First Street NE, Washington, DC 20426. Hand-delivered 
comments should be delivered to Health and Human Services, 12225 
Wilkins Avenue, Rockville, Maryland 20852.
    Instructions: For detailed instructions on submitting comments and 
additional information on the rulemaking process, see the Comment 
Procedures section of this document.

FOR FURTHER INFORMATION CONTACT: Ken Fearon (Technical Information), 
Office of Energy Projects, Federal Energy Regulatory Commission, 888 
First Street NE, Washington, DC 20426, (202) 502-6015, 
kenneth.fearon@ferc.gov
Doug Boyer (Technical Information), Office of Energy Projects, Federal 
Energy Regulatory Commission, 805 SW Broadway, Suite 550, Portland, OR 
97205, (503) 552-2709, douglas.boyer@ferc.gov
Tara DiJohn (Legal Information), Office of the General Counsel, Federal 
Energy Regulatory Commission, 888 First Street NE, Washington, DC 
20426, (202) 502-8671, tara.dijohn@ferc.gov

SUPPLEMENTARY INFORMATION: 

Table of Contents

 
                                                               Paragraph
                                                                 Nos.
 
I. Background...............................................           4
II. Discussion..............................................          14
    A. Review, Inspection, and Assessment by Independent              21
     Consultants............................................
    B. Owner's Dam Safety Program...........................          69
    C. Public Safety and Miscellaneous Updates..............          76
III. Regulatory Requirements................................          87
    A. Information Collection Statement.....................          87
    B. Environmental Analysis...............................         107
    C. Regulatory Flexibility Act...........................         108
    D. Comment Procedures...................................         118
    E. Document Availability................................         122
 

    1. The Federal Energy Regulatory Commission (Commission or FERC), 
under Part I of the Federal Power Act (FPA), licenses hydropower 
projects that are developed by non-Federal entities including 
individuals, private entities, states, municipalities, electric 
cooperatives, and others. Under section 10(c) of the FPA, the licensee 
of any hydropower project under the jurisdiction of the Commission must 
conform to ``such rules and regulations as the Commission may from time 
to time prescribe for the protection of life, health, and property.'' 
\1\
---------------------------------------------------------------------------

    \1\ 16 U.S.C. 803(c).
---------------------------------------------------------------------------

    2. Since early 2017, the Commission has solicited, received, and 
reviewed expert opinions on the structure and implementation of the 
Commission's dam safety program, particularly the provisions for 
independent consultants' safety inspections required under part 12, 
subpart D of the Commission's regulations.\2\ These independent 
consultant safety inspections, commonly referred to as part 12 
inspections, are facilitated by licensees and are in addition to the 
dam safety inspections conducted by Commission staff.
---------------------------------------------------------------------------

    \2\ 18 CFR part 12.
---------------------------------------------------------------------------

    3. To address expert recommendations on the part 12 inspection 
process, and to codify guidance issued by the Commission's Office of 
Energy Projects, Division of Dam Safety and Inspections (D2SI) over the 
past several years, the Commission proposes to revise its rules in 
Title 18, part 12 of the Code of Federal Regulations. Under this 
proposal to revise the Commission's part 12 regulations, the entirety 
of subpart D will be replaced, a new subpart F will be added, and minor 
revisions will be made to subparts A, B, C, and E.

I. Background

    4. Section 10(c) of the FPA requires licensees, in pertinent part, 
to ``maintain the project works in a condition of repair adequate . . . 
for the efficient operation of said works in the development and 
transmission of power,'' to ``make all necessary renewals and 
replacements,'' and to ``conform to such rules and regulations as the 
Commission may from time to time prescribe for the protection of life, 
health, and property.'' \3\
---------------------------------------------------------------------------

    \3\ 18 U.S.C. 803(c).
---------------------------------------------------------------------------

    5. Pursuant to FPA section 10(c), on December 27, 1965, the 
Commission's predecessor agency, the Federal Power Commission (FPC), in 
Order No. 315, promulgated regulations that require licensees to 
provide complete safety inspections of licensed water power project 
works by independent consultants at five-year intervals, or more 
frequently if necessary.\4\ Order No. 315 was intended to supplement 
D2SI staff's inspections of project works with detailed periodic 
inspections overseen by an independent consultant.\5\
---------------------------------------------------------------------------

    \4\ Hydroelectric Licensed Projects-Inspections to Insure Safe 
Operation, Order No. 315, 34 FPC 1551 (1965).
    \5\ Id.
---------------------------------------------------------------------------

    6. On January 21, 1981, the Commission issued Order No. 122 to 
consolidate the Commission's orders, regulations, and practices 
relating to project safety under part 12 of the Commission's rules and 
to revise the existing project safety inspection regulations.\6\ The 
Commission's rules related to independent consultant safety inspections 
have not been substantially revised or amended since 1981.
---------------------------------------------------------------------------

    \6\ Water Power Projects and Project Works Safety, Order No. 
122, FERC Stats. & Regs. ] 30,225 (1981) (cross-referenced at 14 
FERC ] 61,041).
---------------------------------------------------------------------------

    7. To ensure that the Commission's dam safety program remains 
current with the evolving nature of the dam safety field, D2SI staff 
issues, and periodically updates, Engineering Guidelines for the 
Evaluation of Hydropower Projects (Engineering Guidelines).\7\ D2SI 
staff has also

[[Page 45033]]

augmented the part 12 inspection process over the years by adding 
additional inspection components (e.g., the Potential Failure Mode 
Analysis, the Supporting Technical Information Document, and the Dam 
Safety Surveillance and Monitoring Program and Report).
---------------------------------------------------------------------------

    \7\ D2SI's Engineering Guidelines are available on the 
Commission's website at https://www.ferc.gov/industries-data/hydropower/dam-safety-and-inspections/engineering-guidelines-evaluation-hydropower.
---------------------------------------------------------------------------

    8. In June 2002, D2SI began a licensee pilot program for conducting 
a Potential Failure Mode Analysis \8\ as a component of a part 12 
inspection and issued for comment a draft Chapter 14 of the Engineering 
Guidelines, which would guide licensees in performing this type of dam 
safety analysis. In April 2003, D2SI issued a final Chapter 14 of the 
Engineering Guidelines and required a Potential Failure Mode Analysis 
to be performed during all part 12 inspections. Consistent with this 
requirement, licensees have conducted over a thousand Potential Failure 
Mode Analyses. The Commission proposes to codify the Potential Failure 
Mode Analysis as part of the scope of a part 12 inspection, 
specifically during a comprehensive assessment and typically at a ten-
year interval.
---------------------------------------------------------------------------

    \8\ A Potential Failure Mode Analysis is a method to evaluate 
the various ways a dam and its components could possibly fail. 
Generally, this involves identifying possible failure scenarios and 
evaluating those factors that could make the failure mode scenario 
more or less likely to occur. Finally, the significance of each 
potential failure mode is determined and a prioritized plan to 
address the most significant potential failure modes is developed.
---------------------------------------------------------------------------

    9. On December 14, 2005, the upper reservoir of the Taum Sauk 
Hydroelectric Project No. 2277, a pumped storage project, was 
overtopped during the final pumping cycle, causing a breach of the 
upper reservoir which released over 1 billion gallons of water, 
resulting in personal injury and significant environmental and property 
damage.\9\ Following the December 2005 failure of Taum Sauk Dam, D2SI 
began requiring licensees to develop and maintain an Owner's Dam Safety 
Program, with the goal of ensuring that licensees have a robust and 
focused dam safety program to protect public safety, the environment, 
and project facilities. In August 2012, D2SI staff required all owners 
of high and significant hazard potential dams \10\ to submit an Owner's 
Dam Safety Program.\11\ The Commission proposes to codify this 
requirement by adding a new subpart F to the Commission's part 12 
regulations.
---------------------------------------------------------------------------

    \9\ More information about the Taum Sauk Dam Breach Incident can 
be found on the Commission's website at https://www.ferc.gov/industries-data/hydropower/dam-safety-and-inspections/taum-sauk-pumped-storage-project-p-2277-dam.
    \10\ Hazard potential is a classification based on the potential 
consequences in the event of failure or misoperation of the dam, 
canal, or water conveyance, and is subdivided into categories (e.g., 
Low, Significant, High). High hazard potential generally indicates 
that failure or misoperation of the project feature will probably 
cause loss of human life. Significant hazard potential and low 
hazard potential generally indicate that failure or misoperation 
will probably not cause loss of human life but may have some amount 
of economic, environmental, or other consequences. Hazard 
classifications are based solely on the consequences of dam failure 
and do not in any way reflect the condition of the rated dams.
    \11\ See Commission staff's August 15, 2012 letter to owners of 
high and significant hazard potential dams, https://www.ferc.gov/sites/default/files/2020-04/letter-submit-odsp.pdf.
---------------------------------------------------------------------------

    10. On February 7, 2017, high flows in the Feather River basin 
caused the water level in the Feather River Hydroelectric Project No. 
2100 reservoir to rise at Oroville Dam and, for the first time in 
project history, flow down the emergency spillway, resulting in 
extensive erosion and damage to Oroville Dam's main spillway and 
emergency spillway area.\12\ This event precipitated the evacuation of 
nearly 188,000 residents from the town of Oroville and from other 
downstream communities north of Sacramento, California. Following the 
February 2017 Oroville Dam spillway incident, the Commission required 
the project licensee, California Department of Water Resources (CA 
DWR), to convene a team of independent, third-party consultants to 
complete a forensic analysis to determine the cause of the 
incident.\13\ The Oroville Independent Forensic Team Report documented 
the team's findings, conclusions, and recommendations.\14\ Several of 
the Oroville Independent Forensic Team's observations related to 
potential areas for improvement in the Commission's dam safety program, 
particularly the part 12 inspection process.
---------------------------------------------------------------------------

    \12\ More information about the Oroville Dam Spillway Incident 
can be found on the Commission's website at https://www.ferc.gov/industries-data/hydropower/dam-safety-and-inspections/oroville-dam-service-spillway-p-2100.
    \13\ See Commission staff's letter to CA DWR regarding the 
emergency repair and board of consultants for Oroville Dam spillway, 
Project No. 2100 (Feb. 13, 2017), https://www.ferc.gov/sites/default/files/2020-04/Orovilledam.pdf.
    \14\ Independent Forensic Team Report, Oroville Dam Spillway 
Incident (Jan. 5, 2018), https://damsafety.org/sites/default/files/files/Independent%20Forensic%20Team%20Report%20Final%2001-05-18.pdf.
---------------------------------------------------------------------------

    11. Separately, the Commission convened a FERC After Action Panel 
to review and evaluate the Commission's dam safety program in the 
months following the Oroville Dam spillway incident. The D2SI 
Director's mandate to the FERC After Action Panel was to: ``Review 
project documents and history for Oroville Dam . . . . ;'' ``review the 
performance of the FERC dam safety program at the Oroville Dam Project, 
which includes both work and actions by FERC staff, and the program 
requirements on the dam owner, such as the [p]art 12 process, the 
[Potential Failure Mode Analyses] process, the Instrumentation and 
Monitoring Program, and Owners Dam Safety Program . . . . ;'' ``make 
conclusions regarding any shortcomings in the FERC dam safety program 
implementation at Oroville Dam;'' and if shortcomings are identified, 
recommend ``improvement or changes to the FERC dam safety program to 
ensure that future incidents like Oroville can be avoided.'' \15\
---------------------------------------------------------------------------

    \15\ See FERC After Action Panel Assessment of Oroville Spillway 
Incident Causes and Recommendations to Improve Effectiveness of the 
FERC Dam Safety Program (Nov. 23, 2018), https://www.ferc.gov/sites/default/files/2020-04/reportdamsafety.pdf.
---------------------------------------------------------------------------

    12. The FERC After Action Panel Report documented several 
shortcomings of the Commission's dam safety program with respect to its 
implementation at the Oroville Dam Project, and provided several 
recommendations for improvements to the part 12 inspection process that 
could increase the likelihood that design and operational deficiencies 
are detected in advance of a major incident.
    13. In light of the Oroville Independent Forensic Team Report and 
the FERC After Action Panel Report findings, the desire to codify 
existing dam safety guidance, and the Commission's authority under FPA 
section 10(c) to promulgate rules protecting life, health, and 
property, the Commission proposes to revise its part 12 regulations as 
discussed further below.\16\
---------------------------------------------------------------------------

    \16\ Recently, the failures of the Edenville and Sanford Dams in 
Michigan have resulted in substantial hardship and economic damage. 
A forensic investigation is being undertaken to understand the root 
causes of those failures. This proposed rule was substantially 
complete prior to the Michigan dam failures and is not intended to 
address any findings or recommendations that may result from the 
forensic investigation. The Commission will review the findings once 
the investigation is complete.
---------------------------------------------------------------------------

II. Discussion

    14. In evaluating potential revisions to its part 12 regulations, 
the Commission considered the findings of the Oroville Independent 
Forensic Team and FERC After Action Panel; reviewed the inspection 
practices of other Federal agencies responsible for ensuring the safety 
of a large number of dams, including those of the Bureau of Reclamation 
(Reclamation) \17\ and the US Army Corps of Engineers (Army

[[Page 45034]]

Corps); \18\ and reviewed the Federal Emergency Management Agency's 
(FEMA) Federal Guidelines for Dam Safety.\19\
---------------------------------------------------------------------------

    \17\ Reclamation, Review/Examination Program for High and 
Significant Hazard Dams (Sept. 2018), https://www.usbr.gov/recman/fac/fac01-07.pdf.
    \18\ Army Corps, Safety of Dams--Policy and Procedures (Mar. 
2014), https://www.publications.usace.army.mil/Portals/76/Publications/EngineerRegulations/ER_1110-2-1156.pdf.
    \19\ FEMA, Federal Guidelines for Dam Safety (Apr. 2004), 
https://www.fema.gov/media-library-data/20130726-1502-20490-5785/fema-93.pdf (FEMA Dam Safety Guidelines).
---------------------------------------------------------------------------

    15. First, the Commission proposes to implement two tiers of part 
12 inspections, in addition to staff's regular inspections. The two-
tier structure would include two types of inspections: A comprehensive 
assessment and a periodic inspection. Each type of inspection would be 
performed at a ten-year interval, with the periodic inspection 
occurring midway between comprehensive assessments. The proposed 
structure would maintain the current five-year interval between part 12 
inspections (alternating between a comprehensive assessment and a 
periodic inspection) and would mirror FEMA's recommendation that formal 
inspections be conducted at an interval not to exceed five years.\20\ 
The proposed alternating two-tier structure is similar to those used by 
Reclamation and Army Corps. Because the existing five-year interval 
between part 12 inspections remains the same, the proposed regulations 
will not increase the likelihood that undiscovered safety issues will 
persist for longer periods of time between inspections. The 
comprehensive assessment would require a more in-depth review than the 
current part 12 inspection, would formally incorporate the existing 
potential failure modes analysis (PFMA) process, and would require a 
semi-quantitative risk analysis, as recommended by the Oroville 
Independent Forensic Team and FERC After Action Panel. The periodic 
inspection would have a narrower scope than the current part 12 
inspection and focus primarily on the performance of project works 
between comprehensive assessments.
---------------------------------------------------------------------------

    \20\ Id. at 42.
---------------------------------------------------------------------------

    16. Second, the Commission proposes to change the process by which 
D2SI reviews and evaluates the qualifications of independent 
consultants that conduct part 12 inspections. Currently, Sec.  12.34 of 
the Commission's regulations require the licensee to submit to the 
Director of D2SI for approval a resume describing the independent 
consultant's experience.\21\ FEMA recommends that ``the inspection team 
should be chosen on a site-specific basis considering the nature and 
type of dam . . . [and] should comprise individuals having appropriate 
specialized knowledge in structural, mechanical, electrical, hydraulic, 
and embankment design; geology; concrete materials; and construction 
procedures.'' \22\
---------------------------------------------------------------------------

    \21\ 18 CFR 12.34.
    \22\ FEMA Dam Safety Guidelines at 42.
---------------------------------------------------------------------------

    17. The proposed process would require the licensee to submit to 
the Director of D2SI an independent consultant team proposal, 
comprising one or more independent consultants and additional 
engineering or scientific personnel, as needed, which must demonstrate 
that the members of that team possess an appropriate level of expertise 
for the specific project under consideration. This proposed change 
reflects the reality that, for many of the hydropower projects under 
the Commission's jurisdiction, a single independent consultant will not 
possess the appropriate degree and diversity of technical proficiency 
necessary to evaluate all aspects of the project. The current 
requirement that an independent consultant be a licensed professional 
engineer with a minimum of ten years' experience in ``dam design and 
construction and in the investigation of the safety of existing dams'' 
would remain.\23\ However, as proposed, this requirement would apply 
only to the designated independent consultants, and not to other 
supporting members of the independent consultant team.
---------------------------------------------------------------------------

    \23\ 18 CFR 12.31(a).
---------------------------------------------------------------------------

    18. Third, the Commission proposes to codify existing guidance 
related to the Owner's Dam Safety Program. Currently, the Commission's 
part 12 regulations do not explicitly require a licensee to develop an 
Owner's Dam Safety Program. However, pursuant to 18 CFR 
12.4(b)(2)(ii)(B), the Commission has the authority to require 
licensees to submit reports or information on any condition affecting 
the safety of the project. Since the initial request for an Owner's Dam 
Safety Program in August 2012,\24\ approximately 250 have been 
developed by licensees and submitted to the Commission. This Notice of 
Proposed Rulemaking (NOPR) proposes to codify the requirement that 
licensees of one or more high or significant hazard potential dams \25\ 
must prepare, maintain, file with the Commission, and periodically 
review and update an Owner's Dam Safety Program. Licensees would be 
required to designate a person responsible for overseeing day-to-day 
implementation of the dam safety program.
---------------------------------------------------------------------------

    \24\ See supra P 9.
    \25\ See supra note 10 (defining high hazard and significant 
hazard potentials).
---------------------------------------------------------------------------

    19. The Commission also proposes to update its regulations related 
to public safety at or near hydropower projects. Currently, licensees 
are required to install and maintain public safety devices and to 
report deaths or serious injuries at their projects.\26\ The NOPR 
proposes to revise the definition of a ``project-related'' incident to 
clarify that licensees are required to report those public safety 
incidents that are related to the operation of hydropower projects; to 
report rescues in addition to deaths and serious injuries; and to 
prepare, maintain, and submit a public safety plan to D2SI, which is 
the current practice required by existing D2SI guidance.
---------------------------------------------------------------------------

    \26\ See 18 CFR 12.10(b) (death or serious injury reporting) and 
12.42 (warning and safety devices).
---------------------------------------------------------------------------

    20. Finally, the Commission plans to update the Engineering 
Guidelines by adding new Chapters 15 through 18. Concurrently with the 
issuance of this NOPR, the Commission will solicit public review and 
comment on these guidelines, which will be issued in draft format in 
four separate advisory dockets accessible on the Commission's eLibrary 
website. Chapter 15, available for review and comment in Docket No. 
AD20-20-000, will provide licensee guidance for developing and 
maintaining a Supporting Technical Information Document.\27\ Chapter 
16, available for review and comment in Docket No. AD20-21-000, will 
provide licensee guidance on the scope of the part 12D independent 
consultant inspection program. Chapter 17, available for review and 
comment in Docket No. AD20-22-000, will provide licensee guidance for 
conducting a Potential Failure Mode Analysis. Chapter 18, available for 
review and comment in Docket No. AD20-23-000, will provide licensee 
guidance for conducting a Level 2 Risk Analysis. Comments on draft 
Chapters 15 through 18 of the Engineering Guidelines should be filed in 
the corresponding docket numbers listed above.
---------------------------------------------------------------------------

    \27\ As explained in draft Chapter 15, the Supporting Technical 
Information Document is a ``living'' document that serves as a 
compendium of existing project information, including information 
about a project's design, construction history, operating 
procedures, and engineering analyses.
---------------------------------------------------------------------------

A. Review, Inspection, and Assessment by Independent Consultants

    21. In response to the findings and recommendations in the Oroville 
Independent Forensic Team Report and FERC After Action Panel Report, 
the Commission is proposing to revise its regulations under 18 CFR part 
12,

[[Page 45035]]

subpart D, to enhance the program for inspections by independent 
consultants. The proposed regulations, if enacted, would replace the 
existing subpart D in its entirety. Due to the proposed implementation 
of two tiers of part 12 inspections (periodic inspections and 
comprehensive assessments), subpart D would include Sec. Sec.  12.30 
through 12.41, which results in changes to the numbering of subpart E 
(existing Sec.  12.40 becomes Sec.  12.50).
1. Section 12.30--Applicability
    22. Section 12.30 establishes the applicability of subpart D's 
independent consultant inspection requirement and identifies three 
conditions that result in a project being subject to its provisions. As 
Sec.  12.30 is currently written, subpart D applies to any project 
development that has a dam (1) greater than a specified height; (2) 
with an impoundment exceeding a specific gross storage capacity; or (3) 
that has a high hazard potential and is determined by the Regional 
Engineer to require inspection by an independent consultant. Although 
the subpart D regulations could be interpreted as only applying to 
dams, this subpart has in practice also been applied to those portions 
of canals and penstocks judged to have a high hazard potential.
    23. The proposed revisions to Sec.  12.30 are intended to clarify 
that the provisions of subpart D may apply to projects that do not have 
a dam. The proposed revisions maintain the existing height and storage 
thresholds but clarify that they are applicable only to dams. The 
revisions also clarify that the high hazard potential consideration is 
applicable to all project features; the project development would be 
subject to subpart D if any portion of a project feature has a high 
hazard potential. Additionally, subpart D would apply to a project 
development if the Regional Engineer or other Commission representative 
determines that an inspection is required for reasons not listed. The 
proposed revisions to Sec.  12.30 are consistent with existing D2SI 
practice.
2. Section 12.31--Definitions
    24. Section 12.31 defines independent consultant, high hazard 
potential, height above streambed, and gross storage capacity for the 
purposes of the provisions of subpart D. Section 12.31 also provides 
the D2SI Director the authority to grant a waiver from the ten-year 
experience requirement in the definition of independent consultant.
    25. The proposed revisions to Sec.  12.31 update the existing 
definitions of an independent consultant and hazard potential, and 
provide new definitions for independent consultant team, periodic 
inspection, and comprehensive assessment.
    26. The existing definition of an independent consultant is a 
licensed professional engineer, with at least ten years of experience 
and expertise related to dams, and is not, and has not been within two 
years, an employee of the licensee or its affiliates or an agent acting 
on behalf of the licensee. The proposed definition maintains the 
licensure and experience requirements. But, rather than one requirement 
regarding the professional relationship between the independent 
consultant and licensee, the proposed definition divides the 
requirement into three separate requirements. First, the independent 
consultation is not an employee of the licensee or its affiliates. 
Second, the independent consultant has not been an employee of the 
licensee or its affiliates within two years prior to performing the 
inspection under this subpart. The third restriction is that the 
independent consultant has not been an agent acting on behalf of the 
licensee or its affiliates before performing services under this part, 
for a manner and time period defined in the Engineering Guidelines. The 
guidelines provide examples of the type of information Commission staff 
will consider when making this determination. The circumstances of each 
case will differ and require evaluation by Commission staff; therefore, 
specific thresholds for scope or duration of services are not 
established in the proposed definition. The Commission intends to apply 
this restriction narrowly, with the primary goal of ensuring that 
independent consultants are not responsible for reviewing work products 
to which they contributed substantially.
    27. The Commission proposes to adopt a definition of an independent 
consultant team as comprising one or more independent consultants and 
additional engineering and scientific personnel, as needed.
    28. The Commission proposes to require that collectively the 
independent consultant team has expertise commensurate with the scale, 
complexity, and relevant technical disciplines of the project and type 
of review being performed (periodic inspection or comprehensive 
assessment). This approach will ensure that each review is conducted by 
qualified personnel such that the Commission can reasonably expect that 
potential issues relating to project safety or stability can be 
identified. The Commission intends to place higher expectations on the 
qualifications of the personnel on an independent consultant team, and 
their collective experience and expertise, for comprehensive 
assessments compared to periodic inspections; projects with higher 
consequences or total project risk; projects with a greater number of, 
or more technically diverse or challenging, project features; and 
projects with a history of unusual or adverse performance. As further 
discussed below, the proposed regulations in Sec.  12.34 also require 
that the licensee obtain approval of the independent consultant team 
from the Director of D2SI. Currently, Sec.  12.34 only requires that 
resumes be submitted for any independent consultants.
    29. The existing definition of hazard potential, which refers to an 
outdated source, is updated to ensure that it is consistent with FEMA's 
Hazard Potential Classification System for Dams.\28\ The proposed 
definition also ensures that it is applicable to dams, canals, and 
other water conveyances, or any portion thereof, and refers to the 
Engineering Guidelines for specific criteria that result in a 
classification of low, significant, or high hazard potential.
---------------------------------------------------------------------------

    \28\ See FEMA, Federal Guidelines for Dam Safety: Hazard 
Potential Classification System for Dams (Apr. 2004), https://www.fema.gov/media-library-data/20130726-1516-20490-7951/fema-333.pdf (FEMA Hazard Potential Classification System).
---------------------------------------------------------------------------

    30. Definitions for periodic inspection and comprehensive 
assessment are proposed for inclusion in Sec.  12.31. The definitions 
of ``height above streambed'' and ``gross storage capacity'' would 
remain unchanged.
3. Section 12.32--General Inspection Requirement
    31. Existing Sec.  12.32 establishes the requirement for periodic 
inspection, by an independent consultant, of the project works of each 
development \29\ subject to the provisions of subpart D.
---------------------------------------------------------------------------

    \29\ Development means that part of a project comprising an 
impoundment and its associated dams, forebays, water conveyance 
facilities, power plants, and other appurtenant facilities. A 
project may comprise one or more developments. 18 CFR 12.3(b)(7).
---------------------------------------------------------------------------

    32. The proposed revisions to Sec.  12.32 incorporate the terms 
``periodic inspection'' and ``comprehensive assessment'' and require 
that a report be filed following each type of inspection. There are no 
substantive changes to the general requirement that an independent 
consultant's inspection be performed. The general requirement to file a 
report following an inspection would be relocated from existing Sec.  
12.37 to proposed Sec.  12.32.

[[Page 45036]]

4. Section 12.33--Exemption
    33. Existing Sec.  12.33 grants the Director of D2SI the authority 
to exempt projects from the provisions of subpart D for good cause and 
provides an example of what may constitute good cause. At the Director 
of D2SI's discretion, the exemption may be granted in perpetuity or may 
require periodic reevaluation of the exemption justification (e.g., by 
reviewing and confirming that the project has a low hazard potential). 
The Director of D2SI's authority to exempt projects from subpart D is 
retained in proposed Sec.  12.33(a).
    34. The proposed revisions to Sec.  12.33(b) update the example of 
good cause to include canals and other water conveyances and refer to 
the Engineering Guidelines for what constitutes a low hazard potential.
    35. Proposed Sec.  12.33(c) rescinds any exemption from subpart D 
that was issued prior to the effective date of this proposed rule. 
Existing subpart D exemptions have been granted over several decades 
and, as the state of the practice of dam safety has evolved, have not 
been reconsidered consistently. Accordingly, an entity desiring an 
exemption will be required to reapply for one to ensure that any 
justification for a subpart D exemption is reviewed based on the 
current state of the practice, considering potential failure modes, 
consequences, and total project risk.
5. Section 12.34--Approval of Independent Consultant Team
    36. Prior to performing an inspection, existing Sec.  12.34 
requires a licensee to submit to the Director of the Office of Energy 
Projects, for approval, a detailed resume for an independent 
consultant. The Commission proposes several revisions to Sec.  12.34 to 
address concerns raised in the Oroville Independent Forensic Team 
report, the FERC After Action Panel report, and issues related to 
implementation of the existing rule over the past several years.\30\
---------------------------------------------------------------------------

    \30\ In particular, the improvements intended by the proposed 
changes to the independent consultant team approval process include: 
Broadening the composition of independent consultant team members to 
include representation from varied technical disciplines; ensuring 
thorough review of project features by qualified individuals with 
the appropriate technical disciplines; and performing comprehensive 
reviews of the original project design, construction, and subsequent 
performance.
---------------------------------------------------------------------------

    37. Proposed Sec.  12.34(a) requires that the licensee obtain 
written approval of the independent consultant team, from the Director 
of D2SI instead of the Director of the Office of Energy Projects, prior 
to performing a periodic inspection or comprehensive assessment. While 
in practice D2SI has granted approval of independent consultants prior 
to inspections, the regulation as currently written does not stipulate 
that D2SI approval must be obtained.
    38. Proposed Sec.  12.34(b), which requires that the licensee 
submit a detailed independent consultant team proposal to the Director 
of D2SI at least 180 days prior to performing a periodic inspection or 
comprehensive assessment, includes two major changes. First, the 
existing regulations require the detailed resume to be submitted 60 
days in advance. The proposed increase in the time period from 60 days 
to 180 days does not represent a change in practice. D2SI staff 
routinely issue reminder letters to licensees approximately 18 months 
in advance of any inspection required under subpart D, and for several 
years have requested that independent consultants' resumes be submitted 
six months in advance to ensure that all parties are aware of their 
roles and responsibilities, and have sufficient time to prepare for the 
inspection. The proposed regulation codifies D2SI's current practice.
    39. Second, existing Sec.  12.34 requires that resumes be submitted 
only for any independent consultant, to demonstrate that they meet the 
requirements provided in Sec.  12.31. Proposed Sec.  12.34(b) requires 
that the licensee submit documentation of the experience and 
qualifications for all members of the independent consultant team, 
including one or more independent consultants and additional 
contributing members, as needed. The regulation includes separate 
paragraphs that apply depending on whether the independent consultant 
team comprises one or multiple persons. This change will allow 
Commission staff to evaluate the breadth and depth of the team's 
experience and ensure that it is commensurate with the scale, 
complexity, and technical disciplines of the project and type of review 
being performed. The Commission intends for a comprehensive assessment 
to require a higher level of experience and expertise than a periodic 
inspection, due to the broader scope of the comprehensive assessment.
    40. Proposed Sec.  12.34(c) grants the Director of D2SI the 
authority to disapprove of an independent consultant team member, 
regardless of demonstrated experience and qualifications, for good 
cause, such as having a report rejected by the Commission within the 
preceding five years. This provision will allow the Commission to 
ensure that independent consultants' inspections are performed by 
qualified parties.
6. Section 12.35--Periodic Inspection
    41. Existing Sec.  12.35 establishes the scope of the independent 
consultant's inspection. The Commission proposes to replace Sec.  12.35 
in its entirety such that it establishes the scope of a periodic 
inspection, the less intensive of the two proposed tiers of part 12 
inspections.
    42. Proposed Sec.  12.35 establishes the scope of a periodic 
inspection, which includes review of prior reports, a physical field 
inspection, review of the surveillance and monitoring plan and data, 
and review of dam and public safety programs. A periodic inspection has 
a reduced scope compared to the existing independent consultant's 
inspection.
7. Section 12.36--Report on Periodic Inspection
    43. Existing Sec.  12.36 is related to emergency corrective 
measures. We propose to combine existing Sec. Sec.  12.36 and 12.39 
under a single ``corrective measures'' heading in Sec.  12.41, as 
discussed subsequently in this NOPR.
    44. Proposed Sec.  12.36 establishes the requirements for the 
periodic inspection report and is intended to serve a purpose similar 
to existing Sec.  12.37 (report of the independent consultant) with 
several notable changes. Existing Sec.  12.37(b) includes provisions 
specific to initial reports filed under subpart D, which currently 
requires the initial report to include general project information 
(project descriptions, maps, design summary information, geologic 
information, etc.) and allows licensees to incorporate by reference 
existing information and analyses contained in previously-prepared 
independent consultant reports (existing Sec.  12.37(b)(2)). The 
Commission proposes to eliminate the differentiation between initial 
and subsequent reports and to require every periodic inspection report 
to meet the same standard, without relying on the practice of 
incorporating by reference information or analyses contained in earlier 
reports.
    45. Proposed Sec.  12.36(b) provides a list of items that require 
specific evaluation in the periodic inspection report. These items 
pertain to the surveillance, monitoring, and performance of the 
project, with a focus on whether any potential failure modes, whether 
previously identified or not, are active, developing, or warrant 
further evaluation at the time of the periodic inspection.
    46. The Commission proposes to eliminate the provisions that allow

[[Page 45037]]

independent consultants to incorporate the previous independent 
consultant's report by reference and document only that information 
that has changed since the previous report. Proposed Sec.  12.36(c) 
provides a list of items which require a status update and evaluation 
of any changes since the previous inspection.
    47. Existing provisions in Sec. Sec.  12.37(c)(4) through (8) are 
retained as proposed Sec. Sec.  12.36(d) through (h) with minor changes 
to ensure consistency with other proposed revisions. Section 12.36(i) 
is added to refer to the Engineering Guidelines, which contain 
additional guidance regarding the format and contents of the 
information discussed above.
8. Section 12.37--Comprehensive Assessment
    48. Existing Sec.  12.37 establishes requirements for the report of 
the independent consultant. As discussed elsewhere in this NOPR, the 
proposed revisions to Sec. Sec.  12.36 and 12.38 incorporate this 
information for reports on periodic inspections and comprehensive 
assessments, respectively.
    49. Proposed Sec.  12.37 establishes the scope of a comprehensive 
assessment, the more intensive of the two proposed tiers of part 12 
inspection. As many components of the comprehensive assessment are 
identical to or build upon the periodic inspection, several paragraphs 
of the proposed regulations reference their corresponding paragraphs in 
Sec.  12.35. Below, we discuss the aspects of a comprehensive 
assessment that are not required for a periodic inspection.
    50. In addition to those elements required for a periodic 
inspection set forth in proposed Sec.  12.35, a comprehensive 
assessment includes review of prior reports and analyses of record, 
review of the supporting technical information document, performance of 
a potential failure modes analysis, and performance of a risk analysis. 
A comprehensive assessment has an expanded scope compared to the 
existing independent consultant's inspection. Proposed Sec.  
12.37(a)(2) requires the independent consultant team to perform a more 
detailed review of existing documentation, including as-built drawings, 
monitoring data, and analyses of record, than required by the current 
independent consultant's inspection.
    51. Proposed Sec.  12.37(f) requires a comprehensive assessment to 
include a potential failure mode analysis, which is already standard 
practice for current part 12 inspections. D2SI has developed draft 
Chapter 17 of the Engineering Guidelines, which describes how to 
conduct a potential failure mode analysis. As discussed above, the 
Commission is soliciting public comments on draft Chapter 17 in Docket 
No. AD20-22-00.\31\
---------------------------------------------------------------------------

    \31\ See supra P 20.
---------------------------------------------------------------------------

    52. Proposed Sec.  12.37(g) incorporates a semi-quantitative risk 
analysis as part of the scope of a comprehensive assessment. Other 
Federal agencies, including Reclamation, Army Corps, and the Tennessee 
Valley Authority, have incorporated semi-quantitative risk analyses 
into their systematic comprehensive dam safety reviews. FEMA also 
provides recommendations and guidance for the performance of semi-
quantitative risk analysis in their guidelines.\32\ D2SI has developed 
draft Chapter 18 of the Engineering Guidelines, which describes the 
process of, and procedures for performing, a semi-quantitative risk 
analysis. As discussed above, the Commission is soliciting public 
comments on draft Chapter 18 in Docket No. AD20-23-00.\33\
---------------------------------------------------------------------------

    \32\ FEMA, Federal Guidelines for Dam Safety Risk Management 
(Jan. 2015), http://www.fema.gov/media-library-data/1423661058965-58dfcecc8d8d18b7e9b2a79ce1e83c96/FEMAP-1025.pdf.
    \33\ See supra P 20.
---------------------------------------------------------------------------

    53. Proposed Sec.  12.37(g) grants the D2SI Regional Engineer the 
authority to waive the requirement to complete a risk analysis during a 
comprehensive assessment. This allows the Commission to focus efforts 
on those projects that present greater risk to life, health, and 
property, and provides flexibility for D2SI staff to gradually phase in 
the risk analysis component of a comprehensive assessment, allowing 
sufficient time for D2SI staff to develop and deliver training on the 
proposed risk analysis procedures to D2SI staff, licensee staff, and 
consultants.
9. Section 12.38--Report on Comprehensive Assessment
    54. Existing Sec.  12.38 is related to the timeline for submitting 
reports on an independent consultant's inspection. This information 
would be relocated to proposed Sec.  12.40, discussed subsequently in 
this NOPR.
    55. Proposed Sec.  12.38 establishes the requirements for the 
report on a comprehensive assessment. As with the corresponding section 
regarding a report on a periodic inspection, the Commission proposes to 
eliminate the difference between initial and subsequent reports and to 
require every comprehensive assessment report to meet the same 
standard.
    56. Proposed Sec.  12.38(b) references Sec.  12.36(b) and provides 
a list of items that require specific evaluation in the comprehensive 
assessment report. In addition to those elements required for a 
periodic inspection, a comprehensive assessment report must include an 
evaluation of spillway adequacy; the potential for internal erosion 
and/or piping of embankments, foundations, and abutments; structural 
integrity and stability of all structures under credible loading 
conditions; any other analyses of record pertaining to geology, 
seismicity, hydrology, hydraulics, or project safety; and the 
supporting technical information document, potential failure modes 
analysis, and risk analysis. An evaluation of an analysis of record 
must include an evaluation of the accuracy, relevance, and consistency 
with the current state of the practice of dam engineering, and the 
comprehensive assessment report must include clear documentation of the 
independent consultant team's rationale. If the independent consultant 
team is unable to review any analysis of record or disagrees with the 
analysis of record in any way, the independent consultant must 
recommend new analyses.
    57. The Commission also proposes to eliminate the provisions that 
allow independent consultants to incorporate the previous independent 
consultant's report by reference and document only that information 
that has changed since the previous report. By referencing the periodic 
inspection report requirements (Sec.  12.36(c)) (i.e., report on 
periodic inspection), proposed Sec.  12.38(c) requires the independent 
consultant to provide, across seven categories, a status update and 
evaluation of any changes since the previous inspection, which are the 
same required for a periodic inspection.
    58. The existing provisions in Sec. Sec.  12.37(c)(4) through (8) 
are retained as proposed Sec. Sec.  12.38(d) through (h) with minor 
changes to ensure consistency with other proposed revisions. Proposed 
Sec.  12.38(j) is added to refer to the Engineering Guidelines, which 
contain additional details regarding the format and contents of the 
information discussed above.
10. Section 12.39--Evaluation of Spillway Adequacy
    59. Existing Sec.  12.39 relates to taking corrective measures 
after the report; this information is relocated to Sec.  12.41, 
discussed subsequently in this NOPR. Currently, the requirement to 
evaluate spillway adequacy is a required component of the part 12 
inspection and is found in Sec.  12.35(b) of our regulations. However, 
providing this information in

[[Page 45038]]

a standalone section will highlight the importance of evaluating 
spillway adequacy. Accordingly, we propose to relocate this requirement 
to proposed Sec.  12.39.
    60. Proposed Sec.  12.39 expands the existing requirements for 
evaluating spillway adequacy. These additional requirements are 
intended to address scenarios similar to the 2017 Oroville Dam spillway 
incident, and would require the independent consultant to evaluate the 
potential for misoperation of, failure to operate, blockage of, or 
debilitating damage to a spillway, and the resulting effects on the 
maximum reservoir level and the potential for overtopping.
11. Section 12.40--Time for Inspections and Reports
    61. The timelines for performing independent consultant inspections 
and submitting inspection reports, currently found in existing Sec.  
12.38, would be relocated to proposed Sec.  12.40. The existing rules 
establishes a five-year cycle between inspections and includes 
provisions for initial inspections of existing licensed projects, 
projects licensed but not yet constructed, and all other projects; 
includes a separate set of provisions related to projects inspected by 
an independent consultant prior to March 1, 1981; and authorizes the 
D2SI Regional Engineer to grant extensions of time to file an 
independent consultant's inspection report.
    62. Proposed Sec.  12.40 revises the timeline for submitting 
reports on inspections by independent consultants. While the current 
five-year interval between inspections and reports is maintained, the 
inspections will alternate between periodic inspections and 
comprehensive assessments; thus, there is a ten-year interval between 
any pair of consecutive comprehensive assessments or periodic 
inspections.
    63. Proposed Sec.  12.40(a) consolidates the timing of inspections 
and reports for projects previously inspected by an independent 
consultant. Section 12.40(a)(1) maintains the five-year cycle for an 
independent consultant's inspection of each project development. 
Section 12.40(a)(2) grants the D2SI Regional Engineer the authority to 
require that the initial report due to be filed after January 1, 2021, 
be either a comprehensive assessment or periodic inspection, enabling 
D2SI to balance the number of comprehensive assessments due each year 
over the ten-year cycle. Section 12.40(a)(3) requires that the first 
comprehensive assessment be completed, and the report on it filed, by 
December 31, 2034.
    64. Proposed Sec.  12.40(b) retains and updates the terminology 
related to existing provisions for existing licensed projects 
previously inspected, projects licensed but not yet constructed, and 
other projects.
    65. Proposed Sec.  12.40(c) establishes the ten-year interval 
between comprehensive assessments and requires that a periodic 
inspection be performed within five years following a comprehensive 
assessment.
    66. Proposed Sec. Sec.  12.40(d) and 12.40(e) authorize the D2SI 
Regional Engineer to extend the time to file an independent 
consultant's report, for good cause shown, and may require that any 
inspection scheduled to be performed be a periodic inspection or 
comprehensive assessment. For example, where a project is scheduled for 
a periodic inspection but a dam safety incident, extreme loading 
condition (e.g., unprecedented flood, large earthquake, etc.), or other 
significant change in condition has occurred since the previous 
comprehensive assessment, the D2SI Regional Engineer may require that 
the project undergo a comprehensive assessment rather than a periodic 
inspection. Alternatively, for projects that have no life safety 
consequences and a low total project risk, the D2SI Regional Engineer 
may allow comprehensive assessments to be performed at an interval 
greater than every ten years.
12. Section 12.41--Corrective Measures
    67. The procedures for addressing items identified during a part 12 
inspection that require corrective measures are currently set forth in 
existing Sec.  12.39. In this proposed rule, these procedures would be 
relocated to proposed Sec.  12.41. The existing regulations require 
licensees to: Submit to the D2SI Regional Engineer a plan and schedule 
within 60 days of filing an independent consultant's report with the 
Commission, and complete all corrective measures in accordance with the 
plan and schedule approved or modified by the D2SI Regional Engineer. 
Under the existing regulations, the D2SI Regional Engineer may extend 
the time for filing the plan and schedule. This NOPR does not propose 
to modify or eliminate these requirements.
    68. Proposed Sec.  12.41 incorporates the requirements of existing 
Sec.  12.36 (emergency corrective measures) and Sec.  12.39 (post-
inspection corrective measures) into a single section titled 
``corrective measures.'' The proposed revisions in Sec.  12.41(a)(1)(i) 
clarify that the licensee's plan and schedule must address the 
recommendations of the independent consultant and include investigation 
as an option for the licensee to implement. Proposed Sec.  12.41(b)(2) 
would be added to ensure that emergency corrective measures are 
documented in the corrective plan and schedule required by Sec.  
12.41(a)(1).

B. Owner's Dam Safety Program

    69. The Commission began developing the Owner's Dam Safety Program 
guidance following the December 2005 failure of Taum Sauk Dam. The lack 
of a strong dam safety culture in the licensee's organization was a 
major contributing factor to that incident, as well as to several dam 
safety incidents that preceded and followed it. In August 2012, the 
Director of D2SI issued letters to all owners of high or significant 
hazard potential dams requiring them to submit an Owner's Dam Safety 
Program.\34\ Additional information and guidance on the development of 
an Owner's Dam Safety Program development has been available on the 
Commission's website since this time. Proposed subpart F consolidates 
and codifies that guidance, as discussed further below.
---------------------------------------------------------------------------

    \34\ Letter to All Licensees and Exemptees of High and 
Significant Hazard Potential Dams Requiring Submittal of an Owner's 
Dam Safety Program, August 2012, https://www.ferc.gov/sites/default/files/2020-04/letter-submit-odsp.pdf.
---------------------------------------------------------------------------

1. Section 12.60--Applicability
    70. Proposed Sec.  12.60 specifies that an Owner's Dam Safety 
Program must be submitted by any licensee that has a dam or other 
project feature with a high or significant hazard potential. This does 
not represent a change from existing practice.
2. Section 12.61--Definitions
    71. Proposed Sec.  12.61 defines the terms ``Chief Dam Safety 
Engineer'' and ``Chief Dam Safety Coordinator,'' as used in subpart F. 
The Chief Dam Safety Engineer or Chief Dam Safety Coordinator is 
defined as the person who oversees the implementation of the Owner's 
Dam Safety Program and has primary responsibility for ensuring the 
safety of the licensee's dams and other project features. The only 
difference between the definitions is that a Chief Dam Safety Engineer 
must be a licensed professional engineer.
3. Section 12.62--General Requirements
    72. Proposed Sec.  12.62 establishes three general requirements for 
an Owner's Dam Safety Program. Section 12.62(a) requires an Owner's Dam 
Safety Program to designate either a Chief Dam Safety Engineer or a 
Chief Dam Safety Coordinator. Any Owner's Dam Safety

[[Page 45039]]

Program that applies to one or more dams or other project features with 
a high hazard potential must designate a Chief Dam Safety Engineer. 
Section 12.62(b) requires the Owner's Dam Safety Program to be signed 
by the owner and the Chief Dam Safety Engineer or Chief Dam Safety 
Coordinator, as applicable. Section 12.62(c) requires the Owner's Dam 
Safety Program to be reviewed and updated on a periodic basis. Section 
12.62(d) permits the Owner to designate outside parties, such as 
consultants, to serve as Chief Dam Safety Engineer or Chief Dam Safety 
Coordinator, though the owner retains ultimate responsibility for the 
safety and day-to-day implementation of their projects.
4. Section 12.63--Contents of Owner's Dam Safety Program
    73. Proposed Sec.  12.63 establishes the minimum contents of an 
Owner's Dam Safety Program. Sections 12.63(a)-(f) each correspond to a 
topic area that should be addressed in an Owner's Dam Safety Program 
document and reflected in the document's table of contents, as provided 
in current D2SI guidance available on the Commission's website.\35\ 
Under Sec.  12.63(g), the Owner's Dam Safety Program should also 
include any additional information that may be prescribed by the 
Engineering Guidelines, a draft chapter of which is in development and 
will be provided at a later date for public review and comment.
---------------------------------------------------------------------------

    \35\ FERC, Outline for Owner's Dam Safety Program--Table of 
Contents, https://www.ferc.gov/sites/default/files/2020-04/outline-with-discussion.pdf.
---------------------------------------------------------------------------

5. Section 12.64--Annual Review and Update
    74. Proposed Sec.  12.64 describes the requirements for reviewing 
and updating an Owner's Dam Safety Program. Section 12.64 specifies 
that any Owner's Dam Safety Program must be reviewed by the licensee's 
dam safety staff and discussed with senior management on an annual 
basis, and that any findings, analysis, corrective measures, or 
revisions be submitted to the D2SI Regional Engineer.
6. Section 12.65--Independent External Audit and Peer Review
    75. Section 12.65 describes the requirements of independent 
external audits and peer reviews, which must be completed at least once 
every five years for any Owner's Dam Safety Program that applies to one 
or more dams or other project features having a high hazard potential 
classification. The qualifications of the review team must be submitted 
to the D2SI Regional Engineer in advance, and the Regional Engineer's 
acceptance must be obtained prior to performing the audit or peer 
review. The Commission will review the qualifications to ensure that 
the review team has sufficient expertise and a defined plan to review 
the Owner's Dam Safety Program. The findings of the external audit or 
peer review team must be documented in a report to be reviewed by 
licensee staff, including senior management, and submitted to the 
Regional Engineer.

C. Public Safety and Miscellaneous Updates

    76. This NOPR also proposes several changes to subparts A, B, C, 
and E of 18 CFR part 12, most of which are minor in nature and 
necessary to ensure consistency with the replaced subpart D and new 
subpart F. The two notable proposed revisions relate to the reporting 
of public safety incidents and the development of public safety plans 
and their submittal to the Commission.
1. Subpart A--General Provisions
    77. Subpart A sets forth general provisions and definitions that 
apply to 18 CFR part 12. The proposed rule would update or add several 
definitions and make other minor changes to ensure consistency with 
replaced subpart D and new subpart F. Section 12.3(b)(4) provides a 
list of conditions affecting the safety of project works. Two of these 
conditions would be updated to ensure their definitions are consistent 
as applied in current practice. In addition, ``overtopping of any dam, 
abutment, canal, or water conveyance'' would be added to the list of 
conditions that could affect project safety. New definitions for 
``water conveyance,'' ``Engineering Guidelines,'' and ``Owner's Dam 
Safety Program'' would also be added. All other revisions in subpart A 
are proposed to ensure consistent terminology and to update internal 
references.
    78. Section 309 of the FPA authorizes the Commission ``to perform 
any and all acts, and to . . . issue . . . such orders, rules, and 
regulations as it may find necessary or appropriate to carry out the 
provisions of the [FPA],'' and FPA section 31 gives the Commission 
authority to enforce legal and regulatory requirements. Non-compliance 
with dam safety directives could result in the Commission taking 
actions such as issuing a cease generation order, assessing civil 
penalties, or revoking the project's license pursuant to section 31 of 
the FPA. Accordingly, the proposed addition of Sec.  12.4(d) makes 
clear that a licensee's failure to comply with any order or directive 
issued under part 12 by the Commission, a Regional Engineer, or other 
authorized Commission representative may result in sanctions as noted 
above.
2. Subpart B--Reports and Records
    79. Subpart B sets forth requirements for reporting, verifying, and 
providing records to the Commission regarding dam safety-related 
matters, including public safety incidents. The Commission proposes 
minor revisions to ensure consistency with other sections of the 
regulations and the dam safety program as implemented. In addition, the 
proposed rule would require additional reporting of public safety-
related incidents that involve deaths, serious injuries, or rescues.
    80. The proposed revisions to Sec.  12.10(a)(1) express the 
Commission's preference that oral reports of conditions affecting the 
safety of a project or its works are made within 72 hours of discovery 
of the condition. The reporting of an incident to the Commission must 
not in any way inhibit an emergency response to that incident.
    81. The proposed revisions to Sec.  12.10(b) would require the 
reporting of rescues in addition to deaths and serious injuries, as 
well as clarify what constitutes a project-related incident. For 
precision and to use terminology that is generally accepted in the dam 
safety community, we propose to replace the term ``project-related 
accident'' with ``project-related incident.'' Currently, Sec.  
12.10(b)(4) defines ``project-related,'' as ``any deaths or serious 
injuries involving a dam, spillway, intake, or power line, or which 
take place at or immediately above or below a dam.'' \36\ In our 
experience, the final clause of the definition has been the most 
problematic for licensees to apply, often leading licensees to report 
as project-related those deaths or serious injuries that occur near a 
dam but are wholly unrelated to the project or its operation. By 
revising the definition of ``project-related,'' we intend to make clear 
that an incident is project-related only if it occurs at project works, 
involves changes in water levels resulting from operations of project 
works, or is otherwise attributable to the project or its operation.
---------------------------------------------------------------------------

    \36\ 18 CFR 12.10(b)(4) (emphasis added).
---------------------------------------------------------------------------

    82. The proposed revisions to Sec.  12.12(b)(3) permit storage 
media other than microform, which is consistent with part 125 of the 
Commission's regulations. Section 12.12(d) is added to require the 
licensee to provide physical and electronic records to the D2SI

[[Page 45040]]

Regional Engineer for all projects subject to subpart D, or as 
requested by the D2SI Regional Engineer, for which the information is 
necessary for the Commission to ensure the safety of the project works. 
The existing Sec.  12.12(b)(2)(ii)(A) already grants the Regional 
Engineer the authority to require that an applicant or licensee submit 
such reports or information and is unchanged; this provision has 
historically been applied to all projects subject to subpart D through 
the requirement to develop, maintain, and submit a Supporting Technical 
Information Document, which is described in the Engineering Guidelines. 
Neither of these requirements represent a change in D2SI practice.
3. Subpart C--Emergency Action Plans
    83. Subpart C sets forth requirements related to emergency action 
plans. The Commission proposes only minor revisions to Sec. Sec.  
12.20, 12.22, and 12.24 to ensure consistency with the hydropower 
filing guidelines available on the Commission's website, terminology 
with respect to the Engineering Guidelines, and to update cross-
references to other sections in this part.
4. Subpart E--Other Responsibilities of Applicant or Licensee
    84. Subpart E sets forth other applicant and licensee 
responsibilities, including the requirement to install warning and 
public safety devices, and test spillway gates. The Commission proposes 
to replace one section and update another to codify a function of the 
dam safety program as currently implemented and to ensure the use of 
consistent terminology in conjunction with the proposed replacement of 
subpart D. Subpart E will be redesignated as Sec. Sec.  12.50 to 12.54 
to accommodate the proposed inclusion of additional sections in subpart 
D. These proposed revisions to subpart E do not represent a change in 
practice.
    85. The proposed revisions to Sec.  12.52 (warning and safety 
devices; currently Sec.  12.42) preserve the current regulatory 
requirement that licensees must install, operate, and maintain warning 
and safety devices to protect the public, with a minor revision to 
ensure consistency with the rest of part 12. Proposed Sec.  12.52(b) 
codifies existing D2SI guidance that the Commission may require a 
licensee to submit a public safety plan that documents the 
installation, operation, and maintenance of public safety devices.\37\
---------------------------------------------------------------------------

    \37\ FERC, Guidelines for Public Safety at Hydropower Projects 
(Mar. 1992), https://www.ferc.gov/sites/default/files/2020-04/public-safety.pdf.
---------------------------------------------------------------------------

    86. Finally, we propose to revise Sec.  12.54 (testing spillway 
gates; currently Sec.  12.44) to replace the term ``periodic 
inspection'' with the more generic term ``an inspection.'' This change 
in terminology will ensure that Commission staff can continue to verify 
the operability of spillway gates during their routine inspections, and 
will prevent this section from being misconstrued as applying only to a 
periodic inspection as it is proposed to be defined and described in 
subpart D of this NOPR.

III. Regulatory Requirements

A. Information Collection Statement

    87. The Paperwork Reduction Act \38\ requires each federal agency 
to seek and obtain the Office of Management and Budget's (OMB) approval 
before undertaking a collection of information (including reporting, 
record keeping, and public disclosure requirements) directed to ten or 
more persons or contained in a rule of general applicability. OMB 
regulations require approval of certain information collection 
requirements contemplated by proposed rules (including deletion, 
revision, or implementation of new requirements).\39\ Upon approval of 
a collection of information, OMB will assign an OMB control number and 
an expiration date. Respondents subject to the filing requirements of 
this proposed rule will not be penalized for failing to respond to the 
collection of information unless the collection of information displays 
a valid OMB control number.
---------------------------------------------------------------------------

    \38\ 44 U.S.C. 3501-3521.
    \39\ See 5 CFR 1320.
---------------------------------------------------------------------------

    88. The following discussion describes and analyzes the collections 
of information modified by this proposed rule.
    89. The Commission solicits comments on the Commission's need for 
the proposed information collection in this NOPR and in draft Chapters 
15 through 18 of the Engineering Guidelines,\40\ whether the 
information will have practical utility, the accuracy of the burden 
estimates, ways to enhance the quality, utility, and clarity of the 
information to be collected or retained, and any suggested methods for 
minimizing respondents' burden, including the use of automated 
information techniques. All burden estimates for all proposed 
information collection activities (including those in draft Chapters 15 
through 18 of the Engineering Guidelines) are discussed in this NOPR 
and in the Paperwork Reduction Act supporting statement.
---------------------------------------------------------------------------

    \40\ Concurrently with issuance of this NOPR, the Commission is 
issuing for public comment the draft chapters of the Engineering 
Guidelines in Docket Nos. AD20-20-000 (Chapter 15--Supporting 
Technical Information Document), AD20-21-000 (Chapter 16--Part 12D 
Program), AD20-22-000 (Chapter 17--Potential Failure Mode Analysis), 
and AD20-23-000 (Chapter 18--Level 2 Risk Analysis). See supra P 20.
---------------------------------------------------------------------------

    90. Interested persons may submit questions about the information 
collection activities by contacting Ellen Brown, Office of the 
Executive Director, at DataClearance@ferc.gov, or (202) 502-8663. 
Please send comments concerning the collection of information and the 
associated burden estimates to: Office of Information and Regulatory 
Affairs, Office of Management and Budget [Attention: Federal Energy 
Regulatory Commission Desk Officer]. Due to security concerns, comments 
should be sent directly to www.reginfo.gov/public/do/PRAMain. Comments 
submitted to OMB should be sent within 60 days of publication of this 
notice in the Federal Register and refer to FERC-517 and OMB Control 
No. 1902-TBD.
    91. Please submit to the Commission copies of comments concerning 
the collection of information and the associated burden estimates 
(identified by Docket No. RM20-9-000) by either of the following 
methods:
     Electronic Filing through the Commission's website: 
https://www.ferconline.ferc.gov/eFiling.aspx; or
     Mail/Express Services: Persons unable to file 
electronically may mail similar pleadings to the Federal Energy 
Regulatory Commission, 888 First Street NE, Washington, DC 20426. Hand-
delivered submissions in docketed proceedings should be delivered to 
Health and Human Services, 12225 Wilkins Avenue, Rockville, Maryland 
20852.
    92. Public Reporting Burden: In this NOPR, the Commission proposes 
to establish two tiers of Independent Consultant's Safety Inspection 
Reports, further develop the Owner's Dam Safety Program, and require 
reporting of rescues that occur at hydroelectric projects. The NOPR, in 
conjunction with the corresponding updates to the Engineering 
Guidelines, would revise and add some information collection activities 
in 18 CFR part 12.
    93. The proposed revisions to 18 CFR part 12, subpart D 
(independent consultant inspections), if adopted, would not affect the 
current five-year filing cycle for Independent Consultant's Safety 
Inspection Reports; however, they would modify the scope

[[Page 45041]]

of reports on an alternating cycle, such that the reports would 
alternate between a periodic inspection (a reduction in scope compared 
to current inspection requirement) and a comprehensive assessment (an 
increase in scope compared to current inspection requirement). The 
hydroelectric facilities regulated by the Commission vary greatly in 
size and complexity, and there is no single representative project. To 
evaluate the burden associated with the proposed revisions to 
Independent Consultant's Safety Inspection Reports, Commission staff 
developed separate cost estimates for ``Simple'' and ``Complex'' 
hydroelectric facilities, which are listed in the table below. 
Commission staff recognizes that there will be projects with annualized 
costs less than the ``Simple'' estimate or greater than the ``Complex'' 
estimate, but Commission staff believe the values presented are 
appropriately representative when averaged across the total inventory 
of hydroelectric projects and respondents. The assumption underlying 
these burden estimates is that one-half of licensed projects can be 
represented by each category.\41\
---------------------------------------------------------------------------

    \41\ The cost data presented in the table is the change in 
annualized cost based on the proposed changes described in the NOPR. 
The annualized costs are based on the total cost, in 2020 dollars, 
over the typical 10-year Part 12D inspection cycle, which comprises 
one Comprehensive Assessment and one Periodic Inspection, and the 
associated activities. The scope of each inspection and associated 
reporting requirements are defined in the proposed rules.
---------------------------------------------------------------------------

    94. The proposed addition of 18 CFR part 12, subpart F (Owner's Dam 
Safety Program) would codify existing requirements for the preparation 
or collection of information. Those licensees who are required to 
prepare an Owner's Dam Safety Program, due to the hazard potential 
classification of their licensed project(s), have already done so. When 
a new license is issued for a non-constructed or previously unlicensed 
project, the Commission includes a license article requiring an Owner's 
Dam Safety Program if warranted. There may be situations in which a 
project's hazard potential classification increases from low to either 
significant or high (e.g., due to new housing development within the 
hypothetical inundation area). If that licensee has no other projects 
classified as significant or high (i.e., does not have an Owner's Dam 
Safety Program), then the licensee would be required to prepare a new 
Owner's Dam Safety Program. However, this is not expected to occur 
frequently or with any regularity. Thus, Commission staff estimates no 
added incremental burden or cost from the proposed addition of subpart 
F.
    95. The proposed minor revisions to 18 CFR part 12, subpart B would 
require licensees to report the rescue of any person that occurs at 
hydroelectric facilities, which is in addition to existing requirements 
that licensees report public safety incidents that result in the death 
or serious injury of any person.
    96. Table 1 itemizes the estimated annual burden \42\ and direct 
cost \43\ of the proposed changes due to this NOPR. Record keeping 
requirements are included in the burden and cost estimates for the 
development and collection of the data and reports.
---------------------------------------------------------------------------

    \42\ ``Burden'' is the total time, effort, or financial 
resources expended by persons to generate, maintain, retain, or 
disclose or provide information to or for a Federal agency. For 
further explanation of what is included in the information 
collection burden, refer to Title 5 Code of Federal Regulations 
1320.3.
    \43\ Direct costs are those costs (generally labor costs) 
associated with the applicant's or licensee's staff in the 
performance of the efforts related to the proposed rule change. 
These do not include the costs for professional services, although 
the direct costs do include the costs associated with the 
applicant's or licensee's administration and execution of contracts 
for professional services.
    \44\ The Commission staff believes that industry is similarly 
situated in terms of cost for wages and benefits. Therefore, we are 
using the FERC 2020 average cost (for wages plus benefits) for one 
FERC full-time equivalent (FTE) of $172,329 (or $83.00 per hour).
    \45\ As defined by 18 CFR 12.1(a)(2).
    \46\ As defined by 18 CFR 12.1(a)(1) and (a)(3).
    \47\ Proposed revisions of 18 CFR 12.10(b)(1), 12.10(b)(2), and 
12.10(b)(4) for written reports of project-related deaths, serious 
injuries, or rescues at project works or involving project 
operations.
    \48\ Commission staff assumes the average number of respondents 
who will file a 12.10(b) public safety incident report documenting a 
rescue at a hydroelectric project will equal the average number of 
respondents who filed a 12.10(b) public safety incident report 
documenting a death or serious injury over the 10-year period from 
January 1, 2009 through December 31, 2018.
    \49\ Commission staff assumes the average number of 12.10(b) 
public safety incident reports documenting rescues at hydroelectric 
projects will equal the average number of 12.10(b) reports for 
deaths and serious injuries over the 10-year period from January 1, 
2009 through December 21, 2018.
    \50\ Commission staff estimates no incremental change in direct 
costs due to the proposed rule change as compared to the current 
burden and costs.
    \51\ Includes direct costs associated with the preparation and 
submittal of Independent Consultant Team Proposals (proposed 18 CFR 
12.34) and Reports for Periodic Inspections and Comprehensive 
Assessments (proposed 18 CFR 12.36 and 12.38).
    \52\ Approximately 750 project developments licensed by the 
Commission are subject to the reporting requirements. This table 
defines a single response as the consolidated filings associated 
with the typical ten-year cycle for Independent Consultant's Safety 
Inspections, which would take effect following implementation of a 
final rule. A single response would include one each of the reports 
and other filings required under the scope of a Periodic Inspection 
and a Comprehensive Assessment. Thus, the total number of responses 
over a ten-year period will be the number of projects (750), divided 
equally between the ``Simple'' and ``Complex'' categories of 
hydroelectric facilities.
    \53\ As previously noted, this table defines a single response 
as the consolidated filings associated with the typical ten-year 
cycle for Independent Consultant's Safety Inspections. Therefore, 
the number of annual responses is averaged over the ten-year period, 
or 0.1 responses on average per year.
    \54\ See supra note 51.
    \55\ Burden costs include hourly wages estimated based on 
complexity of project, scope of inspection, experience and number of 
assigned staff, and were compared to industry estimates provided by 
fewer than nine industry representatives who were contacted by 
Commission staff.
    \56\ Proposed 18 CFR 12.33(a) includes a provision for licensees 
to submit a written request to be excluded from the requirements of 
18 CFR Subpart D in extraordinary circumstances.
    \57\ Includes direct costs associated with the preparation and 
submittal of Owner's Dam Safety Program Document (proposed 18 CFR 
12.60 and 12.63), Statements of Qualifications for External Audit or 
Peer Review (proposed 18 CFR 12.65(b)), and Reports of Audits or 
Peer Review (proposed 18 CFR 12.65(c)).

                            Table 1--Annual Burden and Direct Cost Changes Proposed by the NOPR in Docket No. RM20-9-000 \44\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Average
                                                                         number  of      Average  annual    Total number  of  Total annual  burden hours
       Type of respondent           Type of response      Number of        annual       burden hours  and        annual         and cost  (col. E x col.
                                                         respondents    responses per   cost per response   responses  (col.              F)
                                                                         respondent                            C x col. D)
                A                          B                  C               D                 E                   F                      G
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicant \45\ or Licensee \46\.  Reports of Project-         \48\ 65       \49\ 2.14  2 hrs.; $166.......               139  278 hrs.; $23,074.
                                   Related Deaths,
                                   Serious Injuries,
                                   or Rescues \47\.
Licensee of Simple Hydro          Ind. Cons. Team            \52\ 375        \53\ 0.1  0 hrs.; $0.........              37.5  0 hrs.; $0.
 Facility \50\.                    Proposals and
                                   Reports on PIs and
                                   CAs \51\.
Licensee of Complex Hydro         Ind. Cons. Team                 375             0.1  0.6 hrs.; \55\                   37.5  22.5 hrs.; $1,867.50.
 Facility.                         Proposals and                                        $49.80.
                                   Reports on PIs and
                                   CAs \54\.

[[Page 45042]]

 
Licensee........................  Exemption Requests               10               1  2 hrs.; $166.......                10  20 hrs.; $1,660
                                   \56\.
                                                      --------------------------------------------------------------------------------------------------
Licensee of Dam or Other Project  Owner's Dam Safety   Staff estimates no incremental change in direct costs due to the proposed rule change as compared
 Feature with a High or            Program Submittals                                   to the current burden and costs.
 Significant Hazard Potential.     \57\.
                                                      --------------------------------------------------------------------------------------------------
    Totals......................  ...................             825  ..............  ...................               224  320.5 hrs.; $26,601.50
--------------------------------------------------------------------------------------------------------------------------------------------------------

    97. Table 2 itemizes the estimated annual burden and annual 
contracting costs for professional services \58\ of the information 
collections that would be affected by this NOPR. Record keeping 
requirements are included in the burden and cost estimates for the 
development and collection of the data and reports.
---------------------------------------------------------------------------

    \58\ Contracting costs include costs for professional services, 
including labor, travel and subsistence, and other indirect costs 
incurred by the contractor or consultant. Contracting costs do not 
include direct costs incurred by the applicant or licensee in the 
administration or execution of the contract for professional 
services; those are included in the previous table, as applicable.

               Table 2--Annual Burden and Contracting Cost for Professional Services Changes Proposed by the NOPR in Docket No. RM20-9-000
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Average
                                                                         number  of      Average  annual    Total number  of  Total annual  burden hours
       Type of respondent           Type of response      Number of        annual       burden hours  and        annual         and cost  (col. E x col.
                                                         respondents    responses per   cost per response   responses  (col.              F)
                                                                         respondent                            C x col. D)
                A                          B                  C               D                 E                   F                      G
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicant \59\ or Licensee \60\.  Reports of Project-    There are no anticipated costs for contracted professional services affected by this proposed
                                   Related Deaths,                                                rule change.
                                   Serious Injuries,
                                   or Rescues \61\.
                                                      --------------------------------------------------------------------------------------------------
Licensee of Simple Hydro          Ind. Cons. Team            \63\ 375        \64\ 0.1  12 hrs.; \65\                    37.5  450 hrs.; $94,665.
 Facility.                         Proposals and                                        $2,524.40.
                                   Reports on PIs and
                                   CAs \62\.
Licensee of Complex Hydro         Ind. Cons. Team                 375             0.1  32 hrs.; \67\                    37.5  1,200 hrs.; $261,746.25.
 Facility.                         Proposals and                                        $6,979.90.
                                   Reports on PIs and
                                   CAs \66\.
                                                      --------------------------------------------------------------------------------------------------
Licensee........................  Exemption Requests     There are no anticipated costs for contracted professional services affected by this proposed
                                   \68\.                                                          rule change.
                                                      --------------------------------------------------------------------------------------------------
Licensee of Dam or Other Project  Owner's Dam Safety     Commission staff estimates no incremental change in costs for contracted professional services
 Feature with a High or            Program Submittals             due to the proposed rule change as compared to the current burden and costs.
 Significant Hazard Potential.     \69\.
                                                      --------------------------------------------------------------------------------------------------
    Totals......................  ...................             750  ..............  ...................                75  1,650 hrs.; $356,411.25
--------------------------------------------------------------------------------------------------------------------------------------------------------

    98. Table 3 itemizes the estimated annual burden and total cost 
(direct costs [from Table 1] and costs for contracted professional 
services [from Table 2]), of the proposed changes due to this NOPR. 
Record keeping requirements are included in the burden and cost 
estimates for the development and collection of the data and reports.
---------------------------------------------------------------------------

    \59\ As defined by 18 CFR 12.1(a)(2).
    \60\ As defined by 18 CFR 12.1(a)(1) and (a)(3).
    \61\ Proposed revisions of 18 CFR 12.10(b)(1), (b)(2), and 
(b)(4) for written reports of project-related deaths, serious 
injuries, or rescues at project works or involving project 
operations.
    \62\ Includes contracting costs for professional services 
associated with the preparation and submittal of Independent 
Consultant Team Proposals (proposed 18 CFR 12.34) and Reports for 
Periodic Inspections and Comprehensive Assessments (proposed 18 CFR 
12.36 and 12.38).
    \63\ Approximately 750 project developments licensed by the 
Commission are subject to the reporting requirements. This table 
defines a single response as the consolidated filings associated 
with the typical ten-year cycle for Independent Consultant's Safety 
Inspections, which would take effect following implementation of a 
final rule. A single response would include one each of the reports 
and other filings required under the scope of a Periodic Inspection 
and a Comprehensive Assessment. Thus, the total number of responses 
over a ten-year period will be the number of projects (750), divided 
equally between the ``Simple'' and ``Complex'' categories of 
hydroelectric facilities.
    \64\ As previously noted, this table defines a single response 
as the consolidated filings associated with the typical ten-year 
cycle for Independent Consultant's Safety Inspections. Therefore, 
the number of annual responses is averaged over the ten-year period, 
or 0.1 responses on average per year.
    \65\ Burden costs include hourly wages estimated based on 
complexity of project, scope of inspection, experience and number of 
assigned staff, and were compared to industry estimates provided by 
fewer than nine industry representatives.
    \66\ See supra note 62.
    \67\ See supra note 65.
    \68\ Proposed 18 CFR 12.33(a) includes a provision for licensees 
to request a written request to be excluded from the requirements of 
18 CFR Subpart D in extraordinary circumstances.
    \69\ Includes costs for contracted professional services 
associated with the preparation and submittal of Owner's Dam Safety 
Program Document (proposed 18 CFR 12.60 and 12.63), Statements of 
Qualifications for External Audit or Peer Review (proposed 18 CFR 
12.65(b)), and Reports of Audits or Peer Review (proposed 18 CFR 
12.65(c)).

[[Page 45043]]

                               Table 3--Total Annual Burden and Cost ChangesProposed by the NOPR in Docket No. RM20-9-000
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Average
                                                                         number  of      Average  annual    Total number  of  Total annual  burden hours
       Type of respondent           Type of response      Number of        annual       burden hours  and        annual         and cost  (col. E x col.
                                                         respondents    responses per   cost per response   responses  (col.              F)
                                                                         respondent                            C x col. D)
                A                          B                  C               D                 E                   F                      G
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicant \70\ or Licensee \71\.  Reports of Project-              65            2.14  2 hrs.; $166.......               139  278 hrs.; $23,074.
                                   Related Deaths,
                                   Serious Injuries,
                                   or Rescues \72\.
Licensee of Simple Hydro          Ind. Cons. Team                 375             0.1  12 hrs.; $2,524.40.              37.5  450 hrs.; $94,665.
 Facility \73\.                    Proposals and
                                   Reports on PIs and
                                   CAs \74\.
Licensee of Complex Hydro         Ind. Cons. Team                 375             0.1  32.6 hrs.;                       37.5  1,222.5 hrs.; $263,613.75.
 Facility \75\.                    Proposals and                                        $7,029.70.
                                   Reports on PIs and
                                   CAs.
Licensee........................  Exemption Requests               10               1  2 hrs.; $166.......                10  20 hrs.; $1,660.
                                   \76\.
                                                      --------------------------------------------------------------------------------------------------
Licensee of Dam or Other Project  Owner's Dam Safety   Staff estimates no incremental change in direct costs due to the proposed rule change as compared
 Feature with a High or            Program Submittals                                   to the current burden and costs.
 Significant Hazard Potential.     \77\.
                                                      --------------------------------------------------------------------------------------------------
    Total for Direct Costs and    ...................             825  ..............  ...................               224  1,970.5 hrs.;
     Contracting Costs due to                                                                                                 $383,012.75.
     NOPR in RM20-9-000.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    99. Title: FERC-517, Safety of Water Power Projects and Project 
Works.
---------------------------------------------------------------------------

    \70\ As defined by 18 CFR 12.1(a)(2).
    \71\ As defined by 18 CFR 12.1(a)(1) and (a)(3).
    \72\ Proposed revisions of 18 CFR 12.10(b)(1), (b)(2), and 
(b)(4) for written reports of project-related deaths, serious 
injuries, or rescues at project works or involving project 
operations.
    \73\ Includes direct and contracting burden and cost.
    \74\ Includes direct costs associated with the preparation and 
submittal of Independent Consultant Team Proposals (proposed 18 CFR 
12.34) and Reports for Periodic Inspections and Comprehensive 
Assessments (proposed 18 CFR 12.36 and 12.38).
    \75\ Includes direct and contracting burden and cost.
    \76\ Proposed 18 CFR 12.33(a) includes a provision for Licensees 
to request a written request to be excluded from the requirements of 
18 CFR Subpart D in extraordinary circumstances.
    \77\ Includes direct costs associated with the preparation and 
submittal of Owner's Dam Safety Program Document (proposed 18 CFR 
12.60 and 12.63), Statements of Qualifications for External Audit or 
Peer Review (proposed 18 CFR 12.65(b)), and Reports of Audits or 
Peer Review (proposed 18 CFR 12.65(c)).
---------------------------------------------------------------------------

    100. Action: Revision to the scope of Independent Consultant's 
Safety Inspection Reports, Owner's Dam Safety Program, and addition of 
reporting requirements related to public safety incidents at hydropower 
projects.
    101. OMB Control No.: 1902-TBD.
    102. Respondents: Hydropower licensees (and applicants, as 
applicable), including municipalities, businesses, private citizens, 
and for-profit and not-for-profit institutions.
    103. Frequency of Information: On occasion, except for reports on 
periodic inspections and comprehensive assessment, which must be 
submitted as proposed under 18 CFR 12.40:
     For any project that was inspected in accordance with 18 
CFR part 12 prior to January 1, 2021, a periodic inspection or 
comprehensive assessment must be completed, and a report on it filed, 
within five years of the due date of the most recent report. In 
addition, the first comprehensive assessment must be completed, and the 
report on it filed, by December 31, 2034.
     A licensed project development is subject to a different 
set of deadlines if the development was not inspected in accordance 
with 18 CFR part 12 prior to January 1, 2021, under the Commission's 
rules in effect on January 1, 2020. In these circumstances, the first 
comprehensive assessment and the report on it are due:
    [cir] Not later than two years after the date of issuance of the 
order licensing a development or amending a license to include that 
development, if the development meets the criteria specified in 
Sec. Sec.  12.30(a)(1) or 12.30(a)(2), and was constructed before the 
date of issuance of such order.
    [cir] Not later than five years after the date of issuance of the 
order licensing that development, or amending a license to include that 
development, if the development was constructed after the date of 
issuance of such order.
    [cir] No later than two years after a date specified by the 
Regional Engineer, for other developments that were not inspected prior 
to January 1, 2021, under the Commission's rules in effect on January 
1, 2020.
    104. Necessity of Information: The Commission proposes the changes 
in this NOPR in order to enhance the ability of Commission staff to 
protect the safety of dams and the public; to reduce the risk to life, 
health, and property associated with hydropower projects; and to comply 
with guidance from FEMA's Interagency Committee on Dam Safety.
    105. Internal Review: The Commission has reviewed the proposed 
changes and has determined that such changes are necessary. These 
requirements conform to the Commission's need for efficient information 
collection, communication, and management within the energy industry. 
The Commission has specific, objective support for the burden estimates 
associated with the information collection requirements.\78\
---------------------------------------------------------------------------

    \78\ Commission staff contacted fewer than nine parties to 
obtain supporting information in order to benchmark burden 
estimates.
---------------------------------------------------------------------------

    106. Interested persons may obtain information on the reporting 
requirements by contacting the Federal Energy Regulatory Commission, 
888 First Street NE, Washington, DC 20426 [Attention: Ellen Brown, 
Office of the Executive Director], by email to DataClearance@ferc.gov, 
or by phone (202) 502-8663.

B. Environmental Analysis

    107. The Commission is required to prepare an environmental 
assessment or an environmental impact statement for any action that may 
have a significant effect on the human environment.\79\ Excluded from 
this requirement are rules that are clarifying, corrective, or 
procedural, or that do not substantially change the effect of 
legislation or the regulations being amended.\80\ This proposed rule 
proposes to revise the Commission's dam safety regulations by 
incorporating a two-tier structure for independent consultant safety 
inspections, codifying guidance requiring licensees to develop an 
owner's dam safety program and a public safety plan; expanding the 
scope of public safety incident reporting; and incorporating various 
minor revisions. Because this proposed rule does not

[[Page 45044]]

substantially change the effect of the Commission's part 12 
regulations, preparation of an environmental assessment or 
environmental impact statement is not required.
---------------------------------------------------------------------------

    \79\ Regulations Implementing the National Environmental Policy 
Act of 1969, Order No. 486, FERC Stats. & Regs. ] 30,783 (1987) 
(cross-referenced at 41 FERC ] 61,284).
    \80\ 18 CFR 380.4(a)(2)(ii).
---------------------------------------------------------------------------

C. Regulatory Flexibility Act

    108. The Regulatory Flexibility Act of 1980 (RFA) \81\ generally 
requires a description and analysis of proposed rules that will have 
significant economic impact on a substantial number of small entities. 
The RFA mandates consideration of regulatory alternatives that 
accomplish the stated objectives of a proposed rule and minimize any 
significant economic impact on a substantial number of small 
entities.\82\ In lieu of preparing a regulatory flexibility analysis, 
an agency may certify that a proposed rule will not have a significant 
economic impact on a substantial number of small entities.\83\
---------------------------------------------------------------------------

    \81\ 5 U.S.C. 601-612.
    \82\ Id. 603(c).
    \83\ Id. 605(b).
---------------------------------------------------------------------------

    109. The Small Business Administration's (SBA) Office of Size 
Standards develops the numerical definition of a small business.\84\ 
The SBA size standard for electric utilities is based on the number of 
employees, including affiliates.\85\ Under SBA's current size 
standards, a hydroelectric power generator (NAICS code 221111) \86\ is 
small if, including its affiliates, it employs 500 or fewer people.\87\
---------------------------------------------------------------------------

    \84\ 13 CFR 121.101.
    \85\ Id. 121.201.
    \86\ The North American Industry Classification System (NAICS) 
is an industry classification system that Federal statistical 
agencies use to categorize businesses for the purpose of collecting, 
analyzing, and publishing statistical data related to the U.S. 
economy. United States Census Bureau, North American Industry 
Classification System, https://www.census.gov/eos/www/naics/.
    \87\ 13 CFR 121.201 (Sector 22--Utilities).
---------------------------------------------------------------------------

    110. If enacted, the proposed revisions to part 12, subpart D would 
directly affect all hydropower licensees that are currently required to 
file Independent Consultant's Safety Inspection Reports. Since the 
number of licensed projects per respondent varies from one to more than 
50, the number of respondents does not correlate directly to the number 
of responses. Based on data over the preceding ten-year-period, 
Commission staff estimated the expected number of responses from 
entities that qualify as small. In total, approximately 132 entities 
qualify as small and would be expected to file approximately 225 
responses (30%) with the Commission over the ten-year cycle. The 
remaining 525 responses (70%) would be filed by 106 entities that do 
not qualify as small.
    111. The Commission notes that the projects owned by entities that 
qualify as small entities are typically smaller and/or less complex 
than those owned by large entities. Thus, the annual incremental cost 
to small entities would likely skew towards the ``Simple Hydroelectric 
Facility'' category presented in the burden estimates provided above in 
the Information Collection Statement section. In addition, the proposed 
rule incorporates provisions that grant Commission staff the authority, 
upon demonstration by the licensee and Commission review and acceptance 
of appropriate justification, to waive or reduce the scope of specific 
components of an Independent Consultant's Safety Inspection (e.g., 
waiving the requirement to perform a PFMA or risk analysis) or to 
change the type of inspection report (e.g., by allowing an inspection 
scheduled as a comprehensive assessment to be performed instead as a 
periodic inspection). The Commission has included these provisions to 
focus effort on those projects that present greater risk to life, 
health, and property; and to alleviate the potential economic impact on 
licensees of simple projects that present less risk. Since the burden 
estimates include all components of an Independent Consultant's Safety 
Inspection, utilization of these provisions may result in a lower 
incremental cost for small entities.
    112. The proposed addition of part 12, subpart F, which would 
codify the Owner's Dam Safety Program, would only apply to entities 
that are responsible for one or more projects classified as having a 
high hazard potential. The Commission expects the Owner's Dam Safety 
Program to improve communication and understanding within licensee 
organizations as to their responsibilities for ensuring dam safety and 
protection of the public, and may contribute to an increased likelihood 
that potential dam safety issues are caught and addressed before they 
present an imminent danger to life safety or property.
    113. Because those licensees required to prepare an Owner's Dam 
Safety Program due to their project's hazard potential classification 
have already done so,\88\ the Commission does not anticipate that the 
proposed codification of subpart F will impose any additional burden or 
cost on licensees, regardless of their status as a small or large 
entity.
---------------------------------------------------------------------------

    \88\ See supra P 94.
---------------------------------------------------------------------------

    114. With respect to the filing of public safety incidents 
involving the rescue of any person at a hydroelectric facility, the 
Commission estimates that most affected entities qualify as small 
entities. But, as reflected in the burden and cost estimates provided 
above, the Commission expects an additional two burden hours (and 
corresponding $166, an amount that would not be considered significant) 
for licensees or applicants, regardless of their status as small or 
large.
    115. While the proposed revisions to subpart D may have some 
increased economic impact on a limited number of small entities, these 
improvements to the independent consultant safety inspection process 
are necessary, and the associated costs justified, by the Commission's 
Congressionally-mandated mission to ensure the protection of life, 
health, and property from risks associated with licensed hydroelectric 
facilities. In addition, the proposed revisions to subpart D are 
intended to help prevent future dam safety incidents that could 
potentially result in significant economic impacts on small entities 
(e.g., financial costs associated with causing life loss or property 
damage, major project repairs, lost revenue due to the inability to 
operate the project, etc.).
    116. In summary, based on the estimated costs included in Table 3 
above, the estimated economic impacts on small entities as a result of 
the proposed rule could range from approximately $166 (for the 
submittal of a one-time request for an exemption from part 12, subpart 
D) to over $7,000 per year for each complex project. A representative 
cost for a typical small entity with one or more simple projects would 
be approximately $2,500 per year per project subject to part 12, 
subpart D.\89\ Currently, Commission staff estimates that over eighty 
percent of the small entities have two or fewer projects subject to 
subpart D.
---------------------------------------------------------------------------

    \89\ Commission staff estimates that more than half of the 132 
small entities have one or more simple projects and no complex 
projects.
---------------------------------------------------------------------------

    117. Accordingly, pursuant to section 605(b) of the RFA, the 
Commission certifies that this proposed rule would not have a 
significant economic impact on a substantial number of small entities.

D. Comment Procedures

    118. The Commission invites interested persons to submit comments 
on the matters and issues proposed in this notice to be adopted, 
including any related matters or alternative proposals that commenters 
may wish to discuss. Comments are due September 22, 2020. Comments must 
refer to Docket No. RM20-9-000, and must include the

[[Page 45045]]

commenter's name, the organization they represent, if applicable, and 
their address.
    119. The Commission encourages comments to be filed electronically 
via the eFiling link on the Commission's website at http://www.ferc.gov. The Commission accepts most standard word processing 
formats. Documents created electronically using word processing 
software should be filed in native applications or print-to-PDF format 
and not in a scanned format. Commenters filing electronically do not 
need to make a paper filing.
    120. Commenters that are not able to file comments electronically 
must send an original of their comments to: Federal Energy Regulatory 
Commission, Secretary of the Commission, 888 First Street NE, 
Washington, DC 20426.
    121. All comments will be placed in the Commission's public files 
and may be viewed, printed, or downloaded remotely as described in the 
Document Availability section below. Commenters on this proposal are 
not required to serve copies of their comments on other commenters.

E. Document Availability

    122. In addition to publishing the full text of this document in 
the Federal Register, the Commission provides all interested persons an 
opportunity to view and print the contents of this document via the 
internet through the Commission's Home Page (http://www.ferc.gov). At 
this time, the Commission has suspended access to the Commission's 
Public Reference Room due to the President's March 13, 2020 
proclamation declaring a National Emergency concerning the Novel 
Coronavirus Disease (COVID-19).
    123. From the Commission's Home Page on the internet, this 
information is available on eLibrary. The full text of this document is 
available on eLibrary in PDF and Microsoft Word format for viewing, 
printing, and/or downloading. To access this document in eLibrary, type 
the docket number excluding the last three digits of this document in 
the docket number field.
    124. User assistance is available for eLibrary and the Commission's 
website during normal business hours from the Commission's Online 
Support at (202) 502-6652 (toll free at 1-866-208-3676) or email at 
ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502-
8371, TTY (202) 502-8659. Email the Public Reference Room at 
public.referenceroom@ferc.gov.

List of Subjects in 18 CFR Part 12

    Electric power, Reporting and recordkeeping requirements, Safety.

    By direction of the Commission.
    Issued: Issued July 16, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.

    In consideration of the foregoing, the Federal Energy Regulatory 
Commission proposes to amend part 12, chapter I, title 18, Code of 
Federal Regulations, as follows:

PART 12--SAFETY OF WATER POWER PROJECTS AND PROJECT WORKS

0
1. The authority citation for part 12 is revised to read as follows:

    Authority:  16 U.S.C. 791a-825r; 42 U.S.C. 7101-7352.

Subpart A--General Provisions

0
2. Amend Sec.  12.3 by:
0
a. Revising paragraphs (b)(3), (b)(4) introductory text, and (b)(4)(ii) 
and (v);
0
b. Redesignating paragraph (b)(4)(xiii) as (b)(4)(xix);
0
c. Adding a new paragraph (b)(4)(xiii);
0
d. Redesignating paragraph (b)(11) as (b)(15);
0
e. Adding new paragraph (b)(11); and
0
f. Adding paragraphs (b)(12 through (14).
    The revisions and addition read as follows:

Sec.  12.3   Definitions.

* * * * *
    (b) * * *
    (3) Authorized Commission representative means the Director of the 
Office of Energy Projects, the Director of the Division of Dam Safety 
and Inspections, the Regional Engineer, or any other member of the 
Commission staff whom the Commission may specifically designate.
    (4) Condition affecting the safety of a project or project works 
means any condition, event, or action at the project which might 
compromise the safety, stability, or integrity of any project work or 
the ability of any project work to function safely for its intended 
purposes, including navigation, water power development, or other 
beneficial public uses, including recreation; or which might otherwise 
adversely affect life, health, or property. Conditions affecting the 
safety of a project or project works include, but are not limited to:
* * * * *
    (ii) Failure of, misoperation of, or failure to operate when 
attempted any facility that controls the release or storage of 
impounded water, such as a gate or a valve;
* * * * *
    (v) Internal erosion, piping, slides, or settlements of materials 
in any dam, foundation, abutment, dike, or embankment;
* * * * *
    (xiii) Overtopping of any dam, abutment, canal, or water 
conveyance;
* * * * *
    (11) Water conveyance means any canal, penstock, tunnel, flowline, 
flume, siphon, or other feature, constructed or natural, which 
facilitates the movement of water for the generation of hydropower, 
environmental benefit, or other purpose required by the project 
license.
    (12) Guidelines means the Engineering Guidelines for the Evaluation 
of Hydropower Projects established, and from time to time revised, by 
the Director of the Division of Dam Safety and Inspections, and 
available on the Commission's website.
    (13) Owner's Dam Safety Program means the written document that 
formalizes a licensee's dam safety program, including, but not limited 
to, the licensee's dam safety policies; objectives; expectations; 
responsibilities; training program; communication, coordination, and 
reporting; record keeping; succession planning; continuous improvement; 
and audits and assessments.
    (14) Hazard potential for any dam, canal, or water conveyance is a 
classification based on the potential consequences in the event of 
failure or misoperation of the dam, canal, or water conveyance, and is 
subdivided into categories (e.g., Low, Significant, High).
    (i) High hazard potential generally indicates that failure or 
misoperation of the project feature will probably cause loss of human 
life.
    (ii) Significant hazard potential and low hazard potential 
generally indicate that failure or misoperation will probably not cause 
loss of human life but may have some amount of economic, environmental, 
or other consequences.
    (iii) Additional information. Other information on hazard potential 
classifications is provided in the Guidelines.
* * * * *
0
3. Amend Sec.  12.4 by:
0
a. Revising paragraphs (b)(2)(ii)(B) and (b)(2)(iii)(A) and (B);
0
b. Adding paragraphs (b)(2)(iii)(C) and (D);
0
c. Revising paragraph (c)(1), (c)(2) introductory text, and (c)(3); and
0
d. Adding paragraph (d).
    The revisions and addition read as follows:

Sec.  12.4   Staff administrative responsibility and supervisory 
authority.

* * * * *

[[Page 45046]]

    (b) * * *
    (2) * * *
    (ii) * * *
    (B) Any condition affecting the safety of a project or project 
works or any death, serious injuries, or rescues that occur at, or 
might be attributable to, the water power project;
    (iii) * * *
    (A) Any emergency action plan filed under subpart C of this part;
    (B) Any Owner's Dam Safety Program filed under subpart F of this 
part;
    (C) Any plan of corrective measures, including related schedules, 
submitted after the report of an independent consultant pursuant to 
Sec.  12.36 or Sec.  12.38 or any other inspection report; or
    (D) Any public safety plan filed under Sec.  12.52(b).
* * * * *
    (c) * * *
    (1) Any order or directive issued under this part by a Regional 
Engineer or other authorized Commission representative may be appealed 
to the Commission under Sec.  385.207 of this chapter.
    (2) Any order or directive issued under this part by a Regional 
Engineer or other authorized Commission representative is immediately 
effective and remains in effect until:
* * * * *
    (3) An appeal or motion for rescission, amendment, or stay of any 
order or directive issued under this part must contain a full 
explanation of why granting the appeal or the request for rescission or 
amendment of the order or directive, or for stay for the period 
requested, will not endanger life, health, or property.
    (d) Failure to comply. If a licensee fails to comply with any order 
or directive issued under this part by the Commission, a Regional 
Engineer, or other authorized Commission representative, the licensee 
may be subject to sanctions, including, but not limited to, civil 
penalties, orders to cease generation, or license revocation.

Subpart B--Reports and Records

0
4. Amend Sec.  12.10 by revising the second sentence of paragraph 
(a)(1) and by revising paragraph (b) to read as follows:

Sec.  12.10   Reporting safety-related incidents.

    (a) * * *
    (1) * * * The initial oral report must be made as soon as 
practicable after that condition is discovered, preferably within 72 
hours, without unduly interfering with any necessary or appropriate 
emergency repair, alarm, or other emergency action procedure.
* * * * *
    (b) Deaths, serious injuries, or rescues. (1) Promptly after 
becoming aware of any drowning or other incident resulting in death, 
serious injury, or rescue that occurs at the project works or involves 
project operation, the applicant or licensee must report that incident 
to the Regional Engineer in writing, including a description of the 
cause and location of the incident.
    (2) The written report of any death, serious injury, or rescue that 
occurs at the project works or involves project operations, and is 
considered or alleged to be project related, must also describe any 
remedial actions taken or proposed to avoid or reduce the chance of 
similar occurrences in the future and be verified in accordance with 
Sec.  12.13.
    (3) Incidents that are not project-related may be reported by 
providing a copy of a clipping from a newspaper article, if available.
    (4) For the purposes of this paragraph, project related includes 
any deaths, serious injuries, or rescues that:
    (i) Involve a project dam, spillway, intake, outlet works, 
tailrace, power canal, powerhouse, powerline, other water conveyance, 
or other appurtenances; or
    (ii) Involve changes in water levels or flows caused by generating 
units, project gates, or other flow regulating equipment; or
    (iii) Are otherwise attributable to project works and/or project 
operations.
0
5. Amend Sec.  12.12 by revising paragraphs (a)(1)(ii) and (b)(3) and 
adding paragraph (d) to read as follows:

Sec.  12.12   Maintenance of records.

    (a) * * *
    (1) * * *
    (ii) Instrumentation observations and data collected during 
construction, operation, or maintenance of the project, including 
continuously maintained tabular records and graphs illustrating the 
data collected pursuant to Sec.  12.51; and
* * * * *
    (b) * * *
    (3) In accordance with the provisions of part 125 of this chapter, 
the applicant or licensee may select its own storage media to maintain 
original records or record copies at the project site, provided that 
appropriate equipment is available to view the records.
* * * * *
    (d) Provision of records. If the project is subject to subpart D of 
this part, or if requested by the Regional Engineer, the applicant or 
licensee must provide to the Regional Engineer physical and electronic 
copies of the documents listed in paragraph (a)(1) of this section, 
except as provided in paragraph (a)(2) of this section.

Subpart C--Emergency Action Plans

Sec.  12.20   [Amended]

0
6. Amend Sec.  12.20 in paragraph (a) by removing the words ``three 
copies of''.

Sec.  12.22   [Amended]

0
7. Amend Sec.  12.22 as follows:
0
a. In paragraph (a)(1) introductory text, remove ``the guidelines 
established, and from time to time revised, by the Director of the 
Office of Energy Projects (available from the division of Inspections 
or the Regional Engineer)'' and add in its place ``the Guidelines''; 
and
0
b. In paragraph (a)(2) introductory text, remove ``the guidelines 
established by the Director of the Office of Energy Projects'' and add 
in its place ``the Guidelines''.

Sec.  12.24   [Amended]

0
8. Amend 12.24 in paragraph (c)(3) by removing the words ``three copies 
of''.
0
9. Revise subpart D to read as follows:
Subpart D--Review, Inspection, and Assessment by Independent Consultant
Sec.
12.30 Applicability.
12.31 Definitions.
12.32 General inspection requirement.
12.33 Exemption.
12.34 Approval of independent consultant team.
12.35 Periodic inspection.
12.36 Report on a period inspection.
12.37 Comprehensive assessment.
12.38 Report on a comprehensive assessment.
12.39 Evaluation of spillway adequacy.
12.40 Time for inspections and reports.
12.41 Corrective measures.

Subpart D--Review, Inspection, and Assessment by Independent 
Consultant

Sec.  12.30   Applicability.

    This subpart applies to any licensed project development that:
    (a) Has a dam--
    (1) That is more than 32.8 feet (10 meters) in height above 
streambed, as defined in Sec.  12.31(d); or
    (2) With an impoundment gross storage capacity of more than 2,000 
acre-feet (2.5 million cubic meters), as defined in Sec.  12.31(e);
    (b) That has a project feature (dam, canal, or water conveyance) or 
any portion thereof that has a high hazard potential, as defined in 
Sec.  12.3(b)(14); or
    (c) Is determined by the Regional Engineer or other authorized 
Commission representative to require inspection by an independent 
consultant under this subpart.

[[Page 45047]]

Sec.  12.31   Definitions.

    For purposes of this subpart:
    (a) Independent consultant means any person who:
    (1) Is a licensed professional engineer;
    (2) Has at least 10 years of experience and expertise in dam design 
and construction and in the evaluation and assessment of the safety of 
existing dams;
    (3) Is not an employee of the licensee or its affiliates;
    (4) Has not been an employee of the licensee or its affiliates 
within two years prior to performing engineering and/or scientific 
services for an inspection or assessment under this subpart; and
    (6) Has not been an agent acting on behalf of the licensee or its 
affiliates, prior to performing engineering and/or scientific services 
for an inspection or assessment under this subpart, in a manner and for 
a time period as defined in the Guidelines.
    (b) Independent consultant team means one or more independent 
consultant(s) and, as needed, additional qualified engineering and 
scientific professionals who also meet the requirements of paragraphs 
(a)(3) through (5) of this section that collectively have demonstrable 
experience and expertise in dam design, construction, and the 
evaluation and assessment of the safety of existing dams, commensurate 
with the scale, complexity, and relevant technical disciplines of the 
project and type of review, inspection, and assessment being performed 
(periodic inspection or comprehensive assessment, as defined in this 
section).
    (c) Height above streambed means:
    (1) For a dam with a spillway, the vertical distance from the 
lowest elevation of the natural streambed at the downstream toe of the 
dam to the maximum water storage elevation possible without any 
discharge from the spillway. The maximum water storage elevation is:
    (i) For gated spillways, the elevation of the tops of the gates;
    (ii) For ungated spillways, the elevation of the spillway crest or 
the top of any flashboards, whichever is higher;
    (2) For a dam without a spillway, the vertical distance from the 
lowest elevation of the natural streambed at the downstream toe of the 
dam to the lowest point on the crest of the dam.
    (d) Gross storage capacity means the maximum possible volume of 
water impounded by a dam with zero spill; that is, without the 
discharge of water over the dam or a spillway.
    (e) Periodic inspection means an inspection that meets the 
requirements of Sec.  12.35 and is performed by an independent 
consultant team.
    (f) Comprehensive assessment means a project review, inspection, 
and assessment that meets the requirements of Sec.  12.37 and is 
performed by an independent consultant team.
    (g) Previous Part 12D Inspection means the most recent inspection 
performed in accordance with the provisions of this subpart (a periodic 
inspection, comprehensive assessment, or an inspection performed in 
accordance with the rules established by Order 122).
    (h) Previous Part 12D Report means the report on the Previous Part 
12D Inspection.
    (i) Grant of waiver. The Director of the Division of Dam Safety and 
Inspections may, for good cause shown, grant a waiver of the 10-year 
requirement in paragraph (a)(2) of this section. Any petition for 
waiver under this paragraph must be filed in accordance with Sec.  
385.207 of this chapter.

Sec.  12.32   General inspection requirement.

    The project works of each development to which this subpart 
applies, excluding transmission and transformation facilities, must be 
inspected on a periodic basis by an independent consultant team to 
identify any actual or potential deficiencies that might endanger life, 
health, or property, including deficiencies that may be in the 
condition of those project works or in the quality or adequacy of 
project maintenance, safety, methods of operation, analyses, and other 
conditions described in the Guidelines. A report must be prepared by 
the independent consultant team, by or under the direction of at least 
one independent consultant, who may be a member of a consulting firm, 
to document the findings and evaluations made during their inspection. 
The inspection must be performed by the independent consultant team, 
and the report must be filed by the licensee, in accordance with the 
procedures in this subpart and as further described in the Guidelines.

Sec.  12.33  Exemption.

    (a) Upon written request from the licensee, the Director of the 
Division of Dam Safety and Inspections may grant an exemption from the 
requirements of this subpart in extraordinary circumstances that 
clearly establish good cause for exemption.
    (b) Good cause for exemption may include the finding that the 
development in question has no dam, canal, or other water conveyance 
except those that meet the criteria for low hazard potential as defined 
in Sec.  12.3(b)(14).
    (c) An exemption from this subpart, granted prior to [EFFECTIVE 
DATE OF FINAL RULE], no longer constitutes an exemption from the 
requirements of this subpart. A licensee must submit a subsequent 
written request for exemption to the Director of the Division of Dam 
Safety and Inspections, which may be granted at the discretion of the 
Director.

Sec.  12.34   Approval of independent consultant team.

    (a) The licensee must obtain written approval of the independent 
consultant team, from the Director of the Division of Dam Safety and 
Inspections, prior to the performance of a periodic inspection or 
comprehensive assessment under this subpart.
    (b) At least 180 days prior to performing a periodic inspection or 
comprehensive assessment under this subpart, the licensee must submit 
to the Director of the Division of Dam Safety and Inspections, with a 
copy to the Regional Engineer, a detailed independent consultant team 
proposal.
    (1) If the independent consultant team comprises one person, the 
detailed independent consultant team proposal must:
    (i) Describe the experience of the independent consultant; and
    (ii) Show that the independent consultant meets the requirements as 
defined in Sec.  12.31(a) and (b)(2).
    (2) If the independent consultant team comprises more than one 
person, the detailed independent consultant team proposal must:
    (i) Designate one or more persons to serve as the independent 
consultant(s);
    (ii) Show that each independent consultant meets the requirements 
as defined in Sec.  12.31(a);
    (iii) Describe the experience of each member of the independent 
consultant team; and
    (iv) Show that the independent consultant team meets the 
requirements as defined in Sec.  12.31(b)(2).
    (c) Regardless of experience and qualifications, any independent 
consultant team member may be disapproved by the Director of the 
Division of Dam Safety and Inspections for good cause, such as having 
had one or more reports rejected by the Commission within the preceding 
five years.

Sec.  12.35   Periodic inspection.

    A periodic inspection must include:
    (a) Review of prior reports. The independent consultant team must 
review and consider all relevant reports

[[Page 45048]]

on the safety of the development made by or written under the direction 
of Federal or State agencies, submitted under Commission regulations, 
or made by other consultants. The independent consultant team must 
perform sufficient review to have, at the time of the periodic 
inspection, a full understanding of the design, construction, 
performance, condition, downstream hazard, monitoring, operation, and 
potential failure modes of the project works.
    (b) Physical field inspection. The independent consultant team must 
perform a physical field inspection of accessible project features, 
including galleries, adits, vaults, conduits, earthen and concrete-
lined spillway chutes, the exterior of water conveyances, and other 
non-submerged project features that may require specialized access to 
facilitate inspection. The inspection shall include review and 
assessment of all relevant data concerning:
    (1) Settlement;
    (2) Movement;
    (3) Erosion;
    (4) Seepage;
    (5) Leakage;
    (6) Cracking;
    (7) Deterioration;
    (8) Hydraulics;
    (9) Hydrology;
    (10) Seismicity;
    (11) Internal stress and hydrostatic pressures in project 
structures and their foundations and abutments;
    (12) The condition and performance of foundation drains, dam body 
drains, relief wells, and other pressure-relief systems;
    (13) The condition and performance of any post-tensioned anchors 
installed, and other major modifications completed, to improve the 
stability of project works;
    (14) The stability of critical slopes adjacent to a reservoir or 
project works; and
    (15) Regional and site geological conditions.
    (c) Review of surveillance and monitoring plan and data. The 
independent consultant team must:
    (1) Review the surveillance procedures, instrumentation layout, 
installation details, monitoring frequency, performance history, data 
history and trends, and relevance to potential failure modes; and
    (2) Review the frequency and scope of other surveillance 
activities.
    (d) Review of dam and public safety programs--(1) Hazard potential. 
Review the potential inundation area and document any significant 
changes in the magnitude and location of the population at risk since 
the previous inspection under this subpart.
    (2) Emergency Action Plan. If the project development is subject to 
subpart C of this part, review the emergency action plan, including the 
emergency action plan document itself, the licensee's training program, 
and any related time-sensitivity assessment(s).
    (3) Public Safety Program. Review the access restrictions and 
public safety warning signs and devices near the project works pursuant 
to Sec.  12.52.
    (4) Owner's Dam Safety Program. If the project is subject to 
subpart F of this part, review the implementation of the licensee's 
Owners Dam Safety Program with respect to the project development being 
inspected under this subpart.

Sec.  12.36   Report on a periodic inspection.

    (a) Format. The report must include documentation of all the items 
listed in Sec.  12.35 and conform to the format prescribed by the 
Guidelines.
    (b) Specific evaluation. The report must include specific 
evaluation of:
    (1) The history of performance of the project works through visual 
observations, analysis of data from monitoring instruments, and 
previous inspections;
    (2) The quality and adequacy of maintenance, surveillance, methods 
of project operations, and risk reduction measures for the protection 
of public safety and continued project operation;
    (3) Potential failure modes, including:
    (i) Each identified potential failure mode associated with the 
project works and whether any potential failure mode is active or 
developing; and
    (ii) Whether any inspection observations or other conditions 
indicate that an unidentified potential failure mode is active, 
developing, or is of sufficient concern to warrant development through 
a supplemental potential failure modes analysis;
    (4) Whether any observed conditions warrant reconsideration of the 
current hazard potential classification; and
    (5) The adequacy of the project's:
    (i) Emergency action plan;
    (ii) Public safety program; and
    (iii) Implementation of the Owner's Dam Safety Program with respect 
to the project development being inspected under this subpart.
    (c) Changes since the previous inspection. The report must include 
a status update and evaluation of any changes since the Previous Part 
12D Inspection concerning:
    (1) Hydrology. Identify any events that may affect the conclusions 
of the hydrologic or hydraulic analyses of record and evaluate the 
effect on the safety and stability of project works.
    (2) Seismicity. Identify any seismic events that may affect the 
conclusions of the seismicity analyses of record and evaluate the 
effect on the safety and stability of project works.
    (3) Modifications to project works. Identify any modifications made 
to project works and evaluate the performance thereof with respect to 
the design intent.
    (4) Methods of operation. Describe any changes to standard 
operating procedures, equipment available for project operation, and 
evaluate the effect on the safety and stability of project works.
    (5) Results of Special Inspections. Summarize the findings of any 
special inspections (dive inspection, rope-access gate inspection, toe 
drain inspection, etc.), if any.
    (6) Previous recommendations. List and document the status of 
recommendations made by the independent consultant in the Previous Part 
12D Report, and any earlier recommendations that remained incomplete at 
the time of the Previous Part 12D Report.
    (7) Outstanding studies and studies completed since the previous 
inspection. List and document the status of any studies completed since 
the Previous Part 12D Inspection and those that remain outstanding at 
the time of the periodic inspection.
    (d) Recommendations. Based on the independent consultant team's 
field observations, evaluations of the project works, and the 
maintenance, surveillance, and methods of operation of the development, 
the report must contain the independent consultant's recommendations 
on:
    (1) Any corrective measures, described in Sec.  12.41, necessary 
for the structures, maintenance or surveillance procedures, or methods 
of operation of the project works;
    (2) A reasonable time to carry out each corrective measure; and
    (3) Any new or additional monitoring instruments, periodic 
observations, special inspections, or other methods of monitoring 
project works or conditions that may be required.
    (e) Dissenting views. If the inspection and report were conducted 
and prepared by more than one independent consultant, the report must 
clearly identify and describe any dissenting views concerning the 
evaluations or recommendations of the report that might be held by any 
individual consultant.
    (f) List of participants. The report must identify all professional 
personnel who have participated in the inspection of the project or in 
preparation of the report and the independent

[[Page 45049]]

consultant(s) who directed those activities.
    (g) Statement of independence. Each independent consultant 
responsible for the report must declare that all conclusions and 
recommendations in the report are made independently of the licensee, 
its employees, and its representatives.
    (h) Signature. The report must be signed and sealed by each 
independent consultant responsible for the report.
    (i) Other information. The report must provide other information 
listed in the Guidelines.

Sec.  12.37   Comprehensive assessment.

    A comprehensive assessment must include:
    (a) Review of prior reports and analyses of record. The independent 
consultant team must review and consider all relevant reports on the 
safety of the development made by or written under the direction of 
Federal or state agencies, submitted under Commission regulations, or 
made by other consultants.
    (1) In addition to the requirements of Sec.  12.35(a)(1), the 
independent consultant team must have a full understanding of the risk, 
as defined in the Guidelines, associated with the project works.
    (2) The independent consultant team shall perform a detailed review 
of the as-built drawings; monitoring data; and the methods, 
assumptions, calculations, results, and conclusions of the analyses of 
record pertaining to:
    (i) Geology and seismicity;
    (ii) Hydrology and hydraulics;
    (iii) Stability and structural integrity of project works; and
    (iv) Any other analyses relevant to the safety, stability, and 
operation of project works.
    (b) Physical field inspection. The independent consultant team must 
perform a physical field inspection that complies with Sec.  12.35(b).
    (c) Review of surveillance and monitoring plan and data. The 
independent consultant team must perform a review of surveillance and 
monitoring plan and data that complies with Sec.  12.35(c).
    (d) Review of dam and public safety programs. The independent 
consultant team must perform a review of dam and public safety programs 
that complies with Sec.  12.35(d).
    (e) Supporting Technical Information Document. The comprehensive 
assessment shall include a review of the Supporting Technical 
Information Document and evaluation of its conformance with the 
Guidelines.
    (f) Potential failure modes analysis. The comprehensive assessment 
shall include a potential failure modes analysis, conducted in 
accordance with the Guidelines.
    (g) Risk analysis. The comprehensive assessment shall include a 
risk analysis, conducted in accordance with the scope and procedures 
established in the Guidelines. The Regional Engineer may, for good 
cause shown, grant a waiver of the requirement to complete a risk 
analysis. Any petition for waiver under this paragraph must be filed in 
accordance with Sec.  385.207 of this chapter.

Sec.  12.38   Report on a comprehensive assessment.

    (a) Format. The comprehensive assessment report must include 
documentation of all the items listed Sec.  12.37 and conform to the 
format prescribed by the Guidelines.
    (b) Specific evaluation. In addition to the items listed in Sec.  
12.36(b)(1) through (5), the comprehensive assessment report must 
evaluate:
    (1) The adequacy of spillways, including the effects of overtopping 
of nonoverflow structures, as described in Sec.  12.39;
    (2) The Structural adequacy and stability of structures under all 
credible loading conditions;
    (3) The potential for internal erosion and/or piping of 
embankments, foundations, and abutments;
    (4) The design and construction practices used during original 
construction and subsequent modifications, in comparison with the 
industry best practices in use at the time of the inspection under this 
subpart;
    (5) The adequacy of the Supporting Technical Information Document 
and the attached electronic records; and
    (6) The adequacy and findings of the potential failure mode 
analysis and risk analysis report(s).
    (c) Analyses of record. The comprehensive assessment report must 
include the independent consultant team's evaluation of the 
assumptions, methods, calculations, results, and conclusions of the 
items listed in Sec.  12.37(a)(2)(i) through (iv). The evaluation must:
    (1) Address the accuracy, relevance, and consistency with the 
current state of the practice of dam engineering;
    (2) Be accompanied by sufficient documentation of the independent 
consultant team's rationale, including, as needed, new calculations by 
the independent consultant team to verify that the assumptions, 
methods, calculations, results, and conclusions in the analyses of 
record are correct; and
    (3) If the independent consultant team is unable to review the 
analyses of record for any of the items listed in Sec.  12.37(a)(2)(i) 
through (iv); or if the independent consultant team disagrees with the 
assumptions, methods, calculations, results, or conclusions therein; 
the independent consultant shall recommend that the licensee complete 
new analyses to address the identified concerns.
    (d) Changes since the previous inspection. The requirements of this 
section are the same as described in Sec.  12.36(c).
    (e) Recommendations. The requirements of this section are the same 
as described in Sec.  12.36(d).
    (f) Dissenting views. The requirements of this section are the same 
as described in Sec.  12.36(e).
    (g) List of participants. The requirements of this section are the 
same as described in Sec.  12.36(f).
    (h) Statement of independence. The requirements of this section are 
the same as described in Sec.  12.36(g).
    (i) Signature. The requirements of this section are the same as 
described in Sec.  12.36(h).
    (j) Other information. Provide other information listed in the 
Guidelines.

Sec.  12.39   Evaluation of spillway adequacy.

    The adequacy of any spillway must be evaluated, as part of a 
comprehensive assessment or as otherwise requested by the Regional 
Engineer, by considering hazard potential which would result from 
failure of the project works during normal and flood flows.
    (a) If structural failure would present a hazard to human life or 
cause significant property damage, the independent consultant must 
evaluate:
    (1) The ability of project works to withstand the loading or 
overtopping which may occur during floods;
    (2) The capacity of spillways to prevent the reservoir from rising 
to an elevation that would endanger the project works; and
    (3) The potential for misoperation of; failure to operate; blockage 
of; or debilitating damage to a spillway and its appurtenances 
(including but not limited to structural, mechanical, and electrical 
components of gates, valves, chutes, and training walls); and the 
effect thereof on the maximum reservoir level and potential for 
surcharged loading or overtopping to occur during floods.
    (b) Spillway adequacy shall be evaluated for the magnitude of 
flooding required by the Guidelines.
    (c) If structural failure would not present a hazard to human life 
or cause significant property damage, spillway adequacy may be 
evaluated by means of a design flood of lesser magnitude than

[[Page 45050]]

the probable maximum flood provided that the most recent comprehensive 
assessment report required by Sec.  12.38 provides a detailed 
explanation of and rationale for the finding that structural failure 
would not present a hazard to human life or cause significant property 
damage.

Sec.  12.40   Time for inspections and reports.

    (a) For any project that was inspected under this subpart prior to 
January 1, 2021, under the Commission's rules in effect on January 1, 
2020:
    (1) A periodic inspection or comprehensive assessment must be 
completed, and the report on it filed, within five years of the due 
date of the Previous Part 12D Report.
    (2) The Regional Engineer may require that the first report due to 
be filed under this subpart after January 1, 2021 be a report on a 
comprehensive assessment.
    (3) The first comprehensive assessment under this subpart must be 
completed, and the report on it filed, by December 31, 2034.
    (b) For any project that was not inspected under this subpart prior 
to January 1, 2021, under the Commission's rules in effect on January 
1, 2020:
    (1) For any development that meets the criteria specified in Sec.  
12.30(a)(1) or (2), and was constructed before the date of issuance of 
the order licensing that development, or amending a license to include 
that development, the first comprehensive assessment under this subpart 
must be completed, and the report on it filed, not later than two years 
after the date of issuance of the order licensing that development or 
amending the license to include that development.
    (2) For any development that was constructed after the date of 
issuance of the order licensing that development, or amending a license 
to include that development, the first comprehensive assessment under 
this subpart must be completed, and the report on it filed, not later 
than five years after the date of issuance of the order licensing that 
development or amending the license to include that development.
    (3) For any development not set forth in either paragraph (b)(1) or 
(2), the first comprehensive assessment under this subpart must be 
completed, and the report on it filed, by a date specified by the 
Regional Engineer. The filing date must not be more than two years 
after the date of notification that a comprehensive assessment and 
report under this subpart are required.
    (c) Timing for subsequent reports filed under this subpart:
    (1) A comprehensive assessment must be completed, and the report on 
it filed, within ten years of the date the previous comprehensive 
assessment report was due to be filed.
    (2) A periodic inspection must be completed, and the report on it 
filed, within five years of the date the previous comprehensive 
assessment report was due to be filed.
    (d) Extension of time: For good cause shown, the Regional Engineer 
may extend the time for filing the report on a comprehensive assessment 
or periodic inspection under this subpart.
    (e) The Regional Engineer may require that any report due to be 
filed under this subpart be a report on a comprehensive assessment or a 
report on a periodic inspection, notwithstanding the type of review 
(periodic inspection or comprehensive assessment) scheduled to be 
performed under paragraphs (c)(1) and (2) of this section.
    (f) Prior to performing a periodic inspection or comprehensive 
assessment, a preliminary report prepared by the independent consultant 
team must be filed with the Regional Engineer to document the initial 
findings, understanding, and preparation of the independent consultant 
team.
    (1) For any periodic inspection, the preliminary report must be 
filed in advance of the physical field inspection, in accordance with 
the timing and procedures established in the Guidelines.
    (2) For any comprehensive assessment, the preliminary report must 
be filed in advance of the physical field inspection, potential failure 
modes analysis, or risk analysis, whichever occurs first, in accordance 
with the timing and procedures established in the Guidelines.
    (3) If the Regional Engineer determines that the preliminary report 
does not clearly demonstrate that the independent consultant team is 
adequately prepared for the inspection, the Regional Engineer may 
require the inspection to be postponed. Any such postponement shall not 
constitute good cause for an extension of time under paragraph (d) of 
this section.

Sec.  12.41   Corrective measures.

    (a) Corrective measures. For items that are identified, during a 
periodic inspection or comprehensive assessment under this subpart, as 
requiring corrective action, the following conditions apply:
    (1) Corrective plan and schedule. (i) Not later than 60 days after 
a report on a periodic inspection or comprehensive assessment is filed 
with the Regional Engineer, the licensee must submit to the Regional 
Engineer a plan and schedule addressing the recommendations of the 
independent consultant and for investigating, designing, and carrying 
out any corrective measures that the licensee proposes to implement.
    (ii) The plan and schedule may include any proposal, including 
taking no action, that the licensee considers a preferable alternative 
to any corrective measure recommended in the report of the independent 
consultant. Any proposed alternative must be accompanied by the 
licensee's complete justification and detailed analysis and evaluation 
in support of that alternative.
    (2) Carrying out the plan. The licensee must complete all 
corrective measures in accordance with the plan and schedule submitted 
to, and approved or modified by, the Regional Engineer, and on an 
annual basis must submit a status report on the corrective measures 
until all have been completed.
    (3) Extension of time. For good cause shown, the Regional Engineer 
may extend the time for filing the plan and schedule required by this 
section.
    (b) Emergency corrective measures. If, in the course of a periodic 
inspection or comprehensive assessment conducted under this subpart, an 
independent consultant discovers any condition for which emergency 
corrective measures are advisable, the independent consultant must 
immediately notify the licensee and the licensee must report that 
condition to the Regional Engineer pursuant to Sec.  12.10(a) of this 
part. Emergency corrective measures must be included in the corrective 
plan and schedule required by paragraph (a)(1) of this section, and are 
also subject to paragraphs (a)(2) and (3) of this section.

Subpart E--Other Responsibilities of Applicant or Licensee

Sec. Sec.  12.40 through 12.44   [Redesignated as Sec. Sec.  12.50 
through 12.54]

0
10. Redesignate Sec. Sec.  12.40 through 12.44 as Sec. Sec.  12.50 
through 12.54, respectively.

Sec. Sec.  12.55 through 12.59   [Reserved]

0
11. Add reserved Sec.  Sec.  12.55 through 12.59.
0
12. Revise newly redesignated Sec.  12.52 to read as follows:

Sec.  12.52   Warning and safety devices.

    (a) To the satisfaction of, and within a time specified by the 
Regional Engineer, an applicant or licensee must install, operate, and 
maintain any signs, lights, sirens, barriers, or other safety devices 
that may reasonably be necessary or desirable to warn the

[[Page 45051]]

public of fluctuations in flow from the project or otherwise to protect 
the public in the use of project lands and waters.
    (b) The Regional Engineer may require the applicant or licensee to 
prepare, periodically update, and file with the Commission a public 
safety plan that formalizes the installation, operation, and 
maintenance of all necessary public safety devices. Public safety plans 
must be developed in accordance with the Guidelines for Public Safety 
at Hydropower Projects established, and from time to time revised, by 
the Director of the Division of Dam Safety and Inspections.

Sec.  12.54   [Amended]

0
13. Amend newly redesignated Sec.  12.54 as follows:
0
a. In paragraph (b)(2), remove ``the periodic'' and add in its place 
``an'' and add ``gate'' directly following the second appearance of the 
word ``spillway''; and
0
b. In paragraph (c)(2), remove ``the periodic'' and add in its place 
``an''.
0
14. Add subpart F, consisting of Sec. Sec.  12.60 through 12.65, to 
read as follows:

Subpart F--Owner's Dam Safety Program

Sec.
12.60 Applicability.
12.61 Definitions.
12.62 General requirements.
12.63 Contents of Owner's Dam Safety Program.
12.64 Annual review and update of Owner's Dam Safety Program.
12.65 Independent external audit and peer review.

Sec.  12.60   Applicability.

    The licensee of any dam or other project feature classified as 
having a high or significant hazard potential, as defined in Sec.  
12.3(b)(14), is required to submit an Owner's Dam Safety Program to the 
Regional Engineer.

Sec.  12.61   Definitions.

    For purposes of this subpart:
    (a) Chief Dam Safety Engineer means the designated individual, who 
is a licensed engineer, who oversees the implementation of the Owner's 
Dam Safety Program and has primary responsibility for ensuring the 
safety of the licensee's dam(s) and other project features.
    (b) Chief Dam Safety Coordinator means the designated individual, 
who is not required to be a licensed engineer, who oversees the 
implementation of the Owner's Dam Safety Program and has primary 
responsibility for ensuring the safety of the licensee's dam(s) and 
other project features.

Sec.  12.62   General requirements.

    (a) The Owner's Dam Safety Program shall designate either a Chief 
Dam Safety Engineer or Chief Dam Safety Coordinator, as defined in 
Sec.  12.61. Any Owner's Dam Safety Program that includes one or more 
dams or other project features classified as having a high hazard 
potential, as defined in Sec.  12.3(b)(14), shall designate a Chief Dam 
Safety Engineer.
    (b) The Owner's Dam Safety Program must be signed by the Owner and, 
as applicable, the Chief Dam Safety Engineer or the Chief Dam Safety 
Coordinator.
    (c) The Owner's Dam Safety Program must be reviewed and updated on 
a periodic basis as described in Sec.  12.64 and, if applicable, must 
undergo an independent external audit or peer review as described in 
Sec.  12.65.
    (d) The Owner may delegate to others, such as consultants, the work 
of establishing and executing the Owner's Dam Safety Program and role 
of Chief Dam Safety Engineer or Chief Dam Safety Coordinator, as 
applicable.
    (1) If the role of Chief Dam Safety Engineer or Chief Dam Safety 
Coordinator is delegated to an outside party who does not oversee the 
day-to-day implementation of the Owner's Dam Safety Program, the Owner 
must designate an individual responsible for overseeing the day-to-day 
implementation.
    (2) The Owner shall retain ultimate responsibility for the safety 
of the dams and other project features covered by the Owner's Dam 
Safety Program.

Sec.  12.63   Contents of Owner's Dam Safety Program.

    The Owner's Dam Safety Program shall contain, at a minimum, the 
following sections:
    (a) Dam safety policy, objectives, and expectations;
    (b) Responsibilities for dam safety;
    (c) Dam safety training program;
    (d) Communication, coordination, reporting, and reports;
    (e) Record keeping and databases;
    (f) Continuous improvement; and
    (g) Other information as further described by the Guidelines.

Sec.  12.64   Annual review and update of Owner's Dam Safety Program.

    The Owner's Dam Safety Program, and the implementation thereof, 
shall be reviewed at least once annually by the licensee's dam safety 
staff and discussed with senior management of the Owner's organization. 
The licensee shall submit the results of the annual review, including 
findings, analysis, corrective measures, and/or revisions to the 
Owner's Dam Safety Program, to the Regional Engineer.

Sec.  12.65   Independent external audit and peer review.

    (a) Applicability. For licensees of one or more dams or other 
project features classified as having a high hazard potential, as 
defined in in Sec.  12.3(b)(14), an independent external audit or peer 
review of the Owner's Dam Safety Program, and the implementation 
thereof, shall be performed at an interval not to exceed five years.
    (b) Qualifications. A statement of qualifications of the proposed 
auditor(s) or peer review team shall be submitted to the Regional 
Engineer for review, and written acceptance thereof must be obtained 
from the Regional Engineer prior to performing the audit or peer 
review.
    (c) Reporting. (1) The auditor(s) or peer review team shall 
document their findings in a report.
    (2) The report on the audit or peer review shall be reviewed by the 
Owner, Chief Dam Safety Engineer or Chief Dam Safety Coordinator, and 
management having responsibility in the area(s) audited or reviewed.
    (3) The report on the audit or peer review shall be submitted to 
the Regional Engineer.
    (d) Additional guidance. Additional guidance for performing 
external audits and peer reviews shall be provided in the Guidelines.

[FR Doc. 2020-15917 Filed 7-23-20; 8:45 am]
BILLING CODE 6717-01-P