FEDERAL ENERGY REGULATORY COMMISSION
`Office of Energy Projects
`Division of Dam Safety and Inspections – Portland Regional Office
`1201 NE Lloyd Blvd, Suite 750
`Portland, Oregon 97232
`(503) 552-2700
`
`9/15/2022
`
`In reply refer to:
`P-2242
`
`
`VIA Electronic Mail
`
`Mr. Dalong "Daniel" Huang
`Chief Dam Safety Engineer
`Eugene Water and Electric Board
`Daniel.Huang@EWEB.ORG
`
`Subject: Twelfth Part 12D Report, for a Periodic Inspection of the Smith Development,
`Carmen-Smith Project, is due by January 31, 2024
`
`
`Dear Mr. Huang:
`
`
`This letter is to inform you that the Twelfth Part 12D Independent Consultant’s
`Safety Inspection Report (Part 12D Report) for the Smith Development of the Carmen-
`Smith Project, FERC No. 2242, is due to be submitted to this office by January 31, 2024.
`
`This letter contains important information about the required scope and
`contents of the Part 12D Report and reflects changes to the Commission’s
`regulations that were implemented by Order 880 and went into effect on April 11,
`2022. We encourage you to read this letter in its entirety, as well as the regulations
`and associated Guidelines.
`
`General Requirements
`
`Code of Federal Regulations (CFR) Title 18, Part 12, Subpart D establishes the
`Commission’s Independent Consultant (IC) Inspection Program, also referred to as the
`Part 12D Program, and prescribes the scope of inspections, reports, qualifications of
`Independent Consultant Team (IC Team) personnel, and related procedures.1 The Part
`12D Program is implemented by the Commission’s Office of Energy Projects, Division
`of Dam Safety and Inspections (D2SI). Chapter 16 of the Commission’s Engineering
`Guidelines for the Evaluation of Hydropower Projects (Engineering Guidelines) provides
`additional information related to the Part 12D Program.2
`
`1 https://www.ecfr.gov/on/2022-04-11/title-18/chapter-I/subchapter-B/part-12/subpart-D
`2 https://elibrary.ferc.gov/eLibrary/filelist?accession_number=20211216-3085
`
`
`
`

`

`2
`
`
`The list below shows several key components and deliverables that are required
`for this inspection:
`
`• For the Twelfth Part 12D Inspection, the IC Team must perform a Periodic
`Inspection (PI) as defined in 18 CFR § 12.31(e) and described in 18 CFR § 12.35.
`
`• You must provide a Part 12D Inspection Plan in advance, including an IC Team
`Proposal, and obtain written approval from the Director, D2SI in advance of the
`Part 12D Inspection, as described in 18 CFR § 12.34.
`
`• The IC Team must prepare a preliminary report, referred to as a PI-Pre-
`Inspection Preparation Report (PI-PIPR). The PI-PIPR must be submitted at
`least 30 days in advance of the field inspection, as described in 18 CFR § 12.42.
`Appendix 16-C of the Engineering Guidelines provides an outline for the PI-PIPR.
`
`• The IC Team must document their findings in a final Part 12D Report, specifically
`a Periodic Inspection Report (PIR), which is described in 18 CFR § 12.36. The
`PIR must be submitted by January 31, 2024. Appendix 16-B of the Engineering
`Guidelines provides an outline for the PIR.
`
`• You must provide a plan and schedule for corrective measures to address the IC
`Team’s recommendations, as required by 18 CFR § 12.41 and further described in
`Section 16-7 of the Engineering Guidelines.
`
`Project Development(s) Requiring Inspection
`
`The applicability of 18 CFR Part 12, Subpart D is based on project developments
`as defined in 18 CFR 12.3(b)(7). A project development comprises “an impoundment and
`its associated dams, forebays, water conveyance facilities, power plants, and other
`appurtenant facilities.” For this PI, the following project developments require inspection:
`
`• Smith Development
`
`Timeline of Activities
`
`The table below shows the timing of some major milestones in the PI process.
`Shortly after issuance of this letter, Commission staff will contact you to schedule the
`initial coordination call; Enclosure 1 provides an agenda for that call.
`
`Milestone
`Initial Coordination Call
`(Licensee and FERC)
`Submit the Part 12D Inspection Plan to
`the FERC
`
`Timing
`Within approximately 30 days of the date of
`this letter
`180 days in advance of the field inspection
`
`
`
`

`

`3
`
`Milestone
`Second Coordination Call
`(Licensee, IC Team, and FERC)
`
`Timing
`Within approximately 6 weeks after
`approval or conditional approval of the IC
`Team
`At least 30 days before the field inspection
`Dates as scheduled in the Part 12D
`Inspection Plan
`January 31, 2024
`Within 60 days after the PIR is submitted
`
`Submit the PI-PIPR to FERC
`Field inspection
`(Licensee, IC Team, and FERC)
`Submit the PIR to FERC
`Submit the plan and schedule to address
`the IC Team’s recommendations
`
`Approval of the Independent Consultant Team and the Part 12D Inspection Plan
`
`You are required to submit a Part 12D Inspection Plan at least 180 days in advance
`of the first IC Team activity; since you are to perform a Periodic Inspection, the first
`activity is the site inspection.3 The Part 12D Inspection Plan must describe the scope and
`schedule of the inspection activities and include an IC Team Proposal, which must:
`
`• Identify the required technical disciplines for IC(s) and supporting team members;
`
`• Identify the proposed IC(s) and demonstrate that they meet the requirements of
`18 CFR § 12.31(a);
`
`• Demonstrate that the IC Team collectively has the required “experience and
`expertise with dam design, construction, and in 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;”4 and
`
`• Address any potential conflicts of interest that may exist, specifically in regard to
`the requirement in 18 CFR § 12.34(b)(3), which prohibits any member of the IC
`Team from reviewing their own previous work.
`
`
`
`You are required to obtain written approval of the proposed IC Team from the
`Director, D2SI prior to the performance of the Part 12D Inspection.5 File the Part 12D
`
`
`
`3 18 CFR § 12.34(b)
`4 18 CFR § 12.31(b)
`5 18 CFR § 12.34(a)
`
`
`
`

`

`4
`
`Inspection Plan, including the IC Team Proposal, using the Commission’s eFiling system
`with the following address block on your transmittal letter:
`
`Mr. David Capka, P.E., Director
`Division of Dam Safety and Inspections
`Federal Energy Regulatory Commission
`Office of Energy Projects
`
`You can access the Commission’s eFiling system at https://www.ferc.gov/ferc-
`online/overview. Select Hydro: Regional Office and Portland Regional Office from the
`eFiling menu. The cover page of the filing must indicate that the material was eFiled. For
`assistance with eFiling, contact FERC Online Support at FERCOnlineSupport@ferc.gov,
`(866) 208-3676 (toll free), or (202) 502-8659 (TTY).
`
`Section 16-3.3 of the Engineering Guidelines provides additional information
`related to the Part 12D Inspection Plan and IC Team Proposal. Please note that you may
`provide the name(s) and resume(s) of any supporting members of the IC Team in the Pre-
`Inspection Preparation Report (discussed below) instead of the IC Team Proposal, which
`provides flexibility for assigning subject matter experts closer to the inspection.6
`
`Review of Prior Reports
`
`The IC 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,” and “must
`perform sufficient review to have, at the time of the [inspection], a full understanding of
`the design, construction, performance, condition, downstream hazard, monitoring,
`operation, and potential failure modes of the project works.” As the licensee, you are
`responsible for “[providing] to the independent consultant team all information and
`reports necessary” to fulfill these requirements.
`
`Pre-Inspection Preparation Report
`
`At least 30 days prior to the first in-person IC Team activity (field inspection), you
`are required to submit a preliminary report (the PI-PIPR) documenting the initial findings
`from the IC Team’s review of project documentation, instrumentation data, and other
`information.7 We will review the PI-PIPR to evaluate whether the IC Team has an
`adequate understanding of project features and determine whether the inspection
`activities can proceed as scheduled. If the name(s) and resume(s) of any supporting
`members of the IC Team were not provided in the Part 12D Inspection Plan, they must be
`
`6 18 CFR § 12.34(b)(4)
`7 18 CFR § 12.40(f)
`
`
`
`
`
`

`

`5
`
`provided in the letter transmitting the PI-PIPR. Section 16-4 of the Engineering
`Guidelines contains additional information regarding PIPRs.
`
`If you do not submit the PI-PIPR in a timely manner, or if the PI-PIPR does
`not clearly demonstrate that the IC Team has performed the necessary level of
`preparation, we may require postponement of the in-person IC Team inspection
`activities. Regional Office staff will review the PI-PIPR and determine whether it is
`acceptable, generally acceptable, or unacceptable, as described in Section 16-4.1 of the
`Engineering Guidelines. If the PI-PIPR is acceptable or generally acceptable, the Part
`12D Inspection may proceed as scheduled, though we may request follow-up action(s) to
`be completed prior to the first activity. If the PI-PIPR is unacceptable, the Part 12D
`Inspection will be postponed, and that postponement will not constitute good cause for an
`extension to submit the PIR. If the Regional Engineer does not issue a letter within two
`weeks after the PI-PIPR is submitted, the PI-PIPR will be deemed acceptable by default.
`
`Field Inspection
`
`The scope of any Part 12D Inspection includes “a physical field inspection of
`accessible project works, 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.” Section 16-
`5.3.1 of the Engineering Guidelines contains additional details regarding inspection of the
`reservoir rim and spillway chutes; observation of gate operations; and the review of
`special inspection reports.
`
`You must provide a schedule for the field inspection to the Regional Office in
`advance of the inspection. If the IC Team intends to split into smaller groups to inspect
`multiple project features simultaneously, you must inform us well in advance. Typically,
`Regional Office staff will accompany the IC Team during the field inspection, and we
`will need to ensure that we send sufficient personnel to observe the project features with
`the IC Team. Any special access procedures and safety equipment should be identified
`ahead of time so that everyone attending the field inspection can prepare accordingly.
`
`Potential Failure Modes Analysis and Risk Analysis Not Required
`
`The scope of a PI does not include a Potential Failure Modes Analysis (PFMA) or
`Level 2 Risk Analysis (L2RA). The IC Team is still responsible for reviewing the most
`recent PFMA so they understand each identified PFM prior to the inspection and evaluate
`“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 mode analysis.”8
`
`8 18 CFR § 12.36(b)(3)
`
`
`
`
`
`

`

`6
`
`
`Periodic Inspection Report
`
`By the due date shown above, you are to submit the IC Team’s PIR to this office.
`Section 16-5 of the Engineering Guidelines contains additional information about the
`documentation required in each section of the PIR. Please note the following specific
`requirements that are important for you and the IC Team to fully understand:
`
`• Incorporation by Reference. The regulations implemented by Order 122 (January
`28, 1981) permitted the incorporation by specific reference to a previous Part 12D
`Report if the conditions, assumptions, and available information had not changed.
`This is not permitted under the regulations that were implemented by Order
`880 and which went into effect on April 11, 2022. The IC Team must document
`their own interpretation and evaluation in each section of the PIR, where required.
`
`• Evaluation of Performance. The evaluation of the performance of project works
`must be an independent interpretation based on the IC Team’s visual observations
`and review of instrumentation data and surveillance reports. The IC Team may not
`rely entirely on previous interpretations or state that a particular condition or
`instrumentation data does not indicate a potential issue simply because it is not
`changing over time. The evaluation must clearly address the identified PFMs as
`well as whether any previously unidentified PFMs may be active or developing.
`
`• Recommendations. For each corrective measure the IC Team provides in the PIR,
`they are also required to provide their recommendation of a reasonable time for
`the Licensee to carry out the corrective measure.
`
`Corrective Measures – IC Team Recommendations and Licensee Plan and Schedule
`
`Within 60 days of submitting the Part 12D Report, you must submit your plan and
`schedule for addressing any recommendations provided by the IC Team.9 Your plan may
`include any proposal, including taking no action, that you consider a preferred alternative
`to any corrective measures recommended by the IC Team, and you may not concur with
`the IC Team’s recommended time to complete each corrective measure. However, it is
`your responsibility to provide complete justification in support of your preferred
`alternative, and the Regional Engineer may require modifications to your proposed plan
`and schedule.10 You must submit an annual report documenting the status of the
`corrective measures until all have been completed.11
`
`
`9 18 CFR § 12.41(a)(1)(i)
`10 18 CFR § 12.4(b)(2)(iii)(C)
`11 18 CFR § 12.41(a)(2)
`
`
`
`
`
`

`

`7
`
`If during the course of their inspection, the IC Team discovers any condition for
`which emergency corrective measures are advisable, the IC Team must notify you
`immediately and you must notify the Regional Engineer pursuant to 18 CFR § 12.10(a).12
`
`Closing
`
`The Commission’s dam safety program is a cooperative process that includes the
`Licensee, the IC Team, and the FERC. The most important of the three elements is the
`Licensee, as you operate the project, see the project on a regular basis, and are
`responsible for the performance monitoring program used to determine if any potential
`failure modes are developing. It is your responsibility as the Licensee to submit the Part
`12D Report to the FERC and ensure that the Part 12D Report meets the requirements of
`the Commission’s Regulations and the Engineering Guidelines before it is submitted. The
`Part 12D Report is a FERC requirement but is also a valuable resource for you as the dam
`owner.
`
`The Part 12D Report and all related submittals should be eFiled by selecting
`Hydro: Regional Office and Portland Regional Office. If you are also filing a Supporting
`Technical Information Document (STID) or an STID update, the STID should also be
`eFiled by selecting Hydro: Regional Office and Portland Regional Office. If the reference
`materials comprising the Digital Project Archive (DPA) cannot be eFiled, contact the
`project engineer to discuss options for transmitting the reference materials to the
`Commission. You can access the Commission’s eFiling system at
`https://www.ferc.gov/ferc-online/overview. The cover page of the filing must indicate
`that the material was eFiled. For assistance with eFiling, contact FERC Online Support at
`FERCOnlineSupport@ferc.gov, (866) 208-3676 (toll free), or (202) 502-8659 (TTY).
`
`If you have any questions regarding this letter or Enclosures, please do not hesitate
`to call me at 503-552-2715. Your support is critical for ensuring the safety of your project
`and I am available to discuss any concerns or comments that you may have.
`
`
`Sincerely,
`
`
`
`
`Douglas L. Johnson, P.E.
`Regional Engineer
`
`
`
`
`
`12 18 CFR § 12.41(b)
`
`
`
`
`
`

`

`8
`
`
`Enclosures:
`1. Initial Coordination Call Agenda
`2. Second Coordination Call Agenda
`3. Outline for the PIR and PI-PIPR
`
`
`
`
`
`

`

`Enclosure 1: Initial Coordination Call Agenda
`
`Initial Coordination Call Agenda
`
`
`1. General Requirements
`a. Regulations
`b. Guidelines
`c. Scope of inspection
`
`
`
`2. Overview of Changes to Part 12D Inspections
`a. Detailed review of prior information
`b. Incorporation by reference – not permitted
`
`
`
`3. Licensee’s Role
`a. Internal processes to scope the Part 12D Inspection
`b. Prepare and submit Part 12D Inspection Plan and IC Team Proposal
`c. Provide required information/documentation to IC Team
`d. Coordinate logistics (to be discussed in detail during Second Coordination
`Call)
`e. Submit IC Team’s PI-PIPR to FERC
`f. Attend inspection
`g. Submit IC Team’s PIR to FERC
`h. Review IC Team’s recommendations; develop plan and schedule to address the
`recommendations and submit to FERC
`
`
`
`4. Project-Specific Discussion
`a. Outstanding issues/concerns
`b. Initial thoughts – potential technical disciplines required
`c. Estimated timeframe for inspection
`
`
`
`
`
`
`
`Page 1 of 1
`
`

`

`Enclosure 2: Second Coordination Call Agenda
`
`Second Coordination Call Agenda
`
`
`1. General Requirements
`a. Regulations
`b. Guidelines
`c. Scope of inspection
`
`
`
`2. IC Team’s Responsibilities
`a. Detailed review of prior information
`b. Prepare PI-PIPR and provide to the Licensee
`c. Perform inspection
`d. Prepare PIR and provide to the Licensee
`i. Include recommendations and reasonable timeframe for the Licensee to
`complete each
`e. Incorporation by reference – not permitted
`
`
`
`3. Preliminary Logistics
`a. Field inspection
`
`
`
`
`
`Page 1 of 1
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`The outline on the following pages can be used for both the PIR and PI-PIPR. For
`sections that do not require content in the PI-PIPR, the IC Team can leave the heading in
`place and add a note that the section is retained as a placeholder for use in the PIR. Refer
`to Appendices 16-B and 16-C of the Engineering Guidelines for additional details
`regarding the required contents of each section for a PIR and a PI-PIPR, respectively.
`
`
`Page 1 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`SECTION 1:
`
`FINDINGS AND RECOMMENDATIONS
`
`
`
`1.1
`
`
`1.2
`
`
`1.3
`
`
`1.3.1
`
`
`1.3.2
`
`
`1.3.3
`
`
`1.3.4
`
`
`1.3.5
`
`
`1.3.6
`
`
`1.4
`
`
`
`
`General Conditions and Evaluation of Performance
`
`Potential Failure Modes and Risk
`
`Review and Evaluation of Dam and Public Safety Programs
`
`Owner’s Dam Safety Program
`
`Dam Safety Surveillance and Monitoring Program
`
`Hazard Potential Classification
`
`Emergency Action Plan
`
`Public Safety Plan
`
`Operations and Maintenance
`
`Recommendations
`
`Page 2 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`SECTION 2:
`
`DESCRIPTION OF PROJECT FEATURES AND
`OPERATIONS
`
`
`
`2.1
`
`
`2.2
`
`
`2.3
`
`
`
`
`Location and Purpose
`
`Description of Project Features
`
`Summary of Operations
`
`Page 3 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`SECTION 3:
`
`PROJECT STATUS
`
`
`
`3.1
`
`
`3.2
`
`
`3.3
`
`
`3.4
`
`
`3.5
`
`
`3.6
`
`
`3.7
`
`
`Modifications to Project Works
`
`Modifications to Project Operations
`
`Recommendations of Previous Independent Consultants
`
`Outstanding/Ongoing Studies
`
`Completed Studies
`
`Summary of Operations and Maintenance Programs
`
`Previously Identified PFMs
`
`Page 4 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`SECTION 4:
`
`FIELD INSPECTION OBSERVATIONS AND
`INTERPRETATION OF MONITORING DATA
`
`
`
`4.1
`
`
`4.2
`
`
`4.2.1
`
`
`4.2.2
`
`
`4.2.3
`
`
`4.2.4
`
`
`4.3
`
`
`4.3.1
`
`
`4.3.2
`
`
`4.3.3
`
`
`4.3.4
`
`
`4.4
`
`
`4.5
`
`
`General
`
`[Name of Project Feature 1]
`
`Field Inspection Observations
`
`Review and Evaluation of Instrumentation Data and Surveillance
`
`Evaluation with Respect to Potential Failure Modes
`
`Conclusion
`
`[Name of Project Feature 2]
`
`Field Inspection Observations
`
`Review and Evaluation of Instrumentation Data and Surveillance
`
`Evaluation with Respect to Potential Failure Modes
`
`Conclusion
`
`[Name of Project Feature 3, 4, etc.]
`
`Overall Interpretation of Instrumentation Data
`
`Page 5 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`SECTION 5:
`
`REVIEW AND EVALUATION OF DAM AND PUBLIC
`SAFETY PROGRAMS
`
`
`
`5.1
`
`
`5.2
`
`
`5.3
`
`
`5.4
`
`
`5.5
`
`
`5.6
`
`
`
`
`
`
`
`
`Owner’s Dam Safety Program
`
`Dam Safety Surveillance and Monitoring Program
`
`Hazard Potential Classification
`
`Emergency Action Plan
`
`Public Safety Plan
`
`Operations and Maintenance
`
`
`
`Page 6 of 7
`
`

`

`Enclosure 3: Outline for the PIR and PI-PIPR
`
`APPENDICES FOR THE PERIODIC INSPECTION REPORT
`
`
`Appendix A: FERC Letter Requiring Part 12D Inspection
`
`
`
`Appendix B:
`
`FERC Letter Approving Part 12D Inspection Plan and IC Team
`
`
`
`Appendix C: Project Figures
`
`
`
`Appendix D:
`
`Instrumented Monitoring Data Plots
`
`
`
`Appendix E:
`
`Inspection Photographs
`
`
`
`Appendix F:
`
`Inspection Checklists and/or Field Notes
`
`
`
`Appendix G: Operation and Maintenance Documentation
`
`
`
`
`
`
`
`
`
`Page 7 of 7
`
`