[Code of Federal Regulations]
[Title 18, Volume 1]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 18CFR12.37]

[Page 200-201]
 
           TITLE 18--CONSERVATION OF POWER AND WATER RESOURCES
 
  CHAPTER I--FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY
 
PART 12_SAFETY OF WATER POWER PROJECTS AND PROJECT WORKS--Table of Contents
 
             Subpart D_Inspection by Independent Consultant
 
Sec. 12.37  Report of the independent consultant.

    (a) General requirement. Following inspection of a project 
development as required under this subpart, the independent consultant 
must prepare a report and the licensee must file three copies of that 
report with the Regional Engineer. The report must conform to the 
provisions of this section and be satisfactory to the authorized 
Commission representative.
    (b) General information in the initial report. (1) The initial 
report filed under this subpart for any project development must 
contain:
    (i) A description of the project development;
    (ii) A map of the region indicating the location of the project 
development;
    (iii) Plans, elevations, and sections of the principal project 
works;
    (iv) A summary of the design assumptions, design analyses, spillway 
design flood, and the factors of safety used to evaluate the structural 
adequacy and stability of the project works; and
    (v) A summary of the geological conditions that may affect the 
safety of the project works.
    (2) To the extent that the information and analyses required in 
paragraph (b)(1) of this section, are contained in a report of an 
independent consultant prepared and filed in compliance with Commission 
regulations in effect before March 1, 1981 the information and analyses 
may be incorporated by specific reference into the first report prepared 
and filed under this subpart.
    (c) Information required for all reports. Any report of an 
independent consultant filed under this subpart must contain the 
information specified in this paragraph.
    (1) Monitoring information. The report must contain monitoring 
information that includes time-versus-reading graphs depicting data 
compiled from any existing critical or representative monitoring 
instruments that measure the behavior, movement, deflection, or loading 
of project works or from which the stability, performance, or 
functioning of the structures may be determined.

[[Page 201]]

    (i) Any monitoring data plotted on graphs must be presented in a 
manner that will facilitate identification and analysis of trends. The 
data may be summarized to facilitate graphical representation.
    (ii) Plan and sectional drawings of project structures sufficient to 
show the location of all critical or representative existing monitoring 
instruments must be included. If these drawings have been included in a 
previous report prepared and filed by an independent consultant, they 
may be incorporated by specific reference to that earlier report.
    (2) Analyses. The report must:
    (i) Analyze the safety of the project works and the maintenance and 
methods of operation of the development fully in light of the 
independent consultant's reviews, field inspections, assessments, and 
evaluations described in Sec. 12.35;
    (ii) Identify any changes in the information and analyses required 
by paragraph (b) of this section that have occurred since the last 
report by an independent consultant under this subpart and analyze the 
implications of those changes; and
    (iii) Analyze the adequacy of existing monitoring instruments, 
periodic observation programs, and other methods of monitoring project 
works and conditions effecting the safety of the project or project 
works with respect to the development.
    (3) Incorporation by reference. To the extent that conditions, 
assumptions, and available information have not changed since the last 
previous report by an independent consultant under this subpart, the 
analyses required under paragraphs (c)(2)(i) and (ii) of this section 
may be incorporated by specific reference to the last previous report.
    (4) Recommendations. Based on the independent consultant's field 
observations and 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:
    (i) Any corrective measures necessary for the structures or for the 
maintance or surveillance procedures or methods of operation of the 
project works;
    (ii) A reasonable time to carry out each corrective measure; and
    (iii) Any new or additional monitoring instruments, periodic 
observations, or other methods of monitoring project works or conditions 
that may be required.
    (5) Dissenting views. If the inspection and report were conducted 
and prepared by more than one independent consultant, the report must 
clearly indicate any dissenting views concerning the analyses or 
recommendations of the report that might be held by any individual 
consultant.
    (6) 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 consultant who directed 
those activities.
    (7) Statement of independence. The independent consultant must 
declare that all conclusions and recommendations in the report are made 
independently of the licensee, its employees, and its representatives.
    (8) Signature. The report must be signed by each independent 
consultant responsible for the report.