CFR Subpart B

CFR Subpart B
in effect

18 C.F.R. § 12.10 Reporting safety-related incidents.

(a) Conditions affecting the safety of a project or its works—(1) Initial reports. An applicant or licensee must report by email or telephone to the Regional Engineer any condition affecting the safety of a project or projects works, as defined in § 12.3(b)(4). The initial 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. (2) Written reports. Following the initial report required in paragraph (a)(1) of this section, the applicant or licensee must submit to the Regional Engineer a written report on the condition affecting the safety of the project or project works verified in accordance with § 12.13. The written report must be submitted within the time specified by the Regional Engineer and must contain any information the Regional Engineer directs, including: (i) The causes of the condition; (ii) A description of any unusual occurrences or operating circumstances preceding the condition; (iii) An account of any measure taken to prevent worsening of the condition; (iv) A detailed description of any damage to project works and the status of any repair; (v) A detailed description of any personal injuries; (vi) A detailed description of the nature and extent of any private property damages; and (vii) Any other relevant information requested by the Regional Engineer. (3) The level of detail required in any written report must be commensurate with the severity and complexity of the condition. (b) Deaths, serious injuries, or rescues—(1) Initial reports. An applicant or licensee must report to the Regional Engineer any drowning or other incident resulting in death, serious injury, or rescue that occurs at the project works or involves project operation. The initial report must be made promptly after the incident is discovered, may be provided via email or telephone, and must include a description of the cause and location of the incident. (2) Written reports. Following the initial report required in paragraph (b)(1), the applicant or licensee must submit to the Regional Engineer a written report. (i) For any death, serious injury, or rescue that is considered or alleged to be project-related, or occurs at the project works, the applicant or licensee must submit to the Regional Engineer a written report that describes any remedial actions taken or proposed to avoid or reduce the chance of similar occurrences in the future. The written report must be verified in accordance with § 12.13. (ii) For any death that is not project-related, the applicant or licensee may report the death by providing a copy of an article from print or electronic media or a report from a law enforcement agency, if available. (iii) Serious injuries and rescues that are not project-related do not require a written report. (3) For the purposes of this paragraph (b), 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; (ii) Involve changes in water levels or flows caused by generating units, project gates, or other flow regulating equipment; (iii) Involve a licensee employee, contractor, or other person performing work at a licensed project facility and are related in whole or in part to the work being performed; or (iv) Are otherwise attributable to project works and/or project operations. (4) For the purposes of this paragraph (b), serious injury includes any injury that results in treatment at a medical facility or a response by licensee staff or another trained professional.

18 C.F.R. § 12.11 Reporting modifications of the project or project works.

(a) Reporting requirement. Regardless of whether a particular modification is permitted without specific prior Commission approval, an applicant or licensee must report any modification of the project or project works to the Regional Engineer in writing, verified in accordance with § 12.13, at the time specified in paragraph (b) of this section. (b) Time of reporting. (1) Any modification that is an emergency measure taken in response to a condition affecting the safety of the project or project works must be submitted with the report of that condition required by § 12.10(a)(2). (2) In all other instances, the modification must be reported at least 60 days before work on the modification begins.

18 C.F.R. § 12.12 Maintenance of records.

(a) Kinds of records—(1) General rule. Except as provided in paragraph (a)(2) of this section, the applicant or licensee must maintain as permanent project records in addition to those required in part 125 of this chapter, the following information: (i) Engineering and geological data relating to design, construction, maintenance, repair, or modification of the project, including design memoranda and drawings, laboratory and other testing reports, geologic data (such as maps, sections, or logs of exploratory borings or trenches, foundation treatment, and excavation), plans and specifications, inspection and quality control reports, as built construction drawings, designers' operating criteria, photographs, and any other data necessary to demonstrate that construction, maintenance, repair, or modification of the project has been performed in accordance with plans and specifications; (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 § 12.51; and (iii) The operational and maintenance history of the project, including: (A) The dates, times, nature, and causes of any complete or partial unscheduled shut-down, suspension of project operations, or reservoir filling restrictions related to the safety of the project or project works; and (B) Any reports of project modifications, conditions affecting the safety of the project or project works, or deaths or serious injuries at the project. (2) Exception. The applicant or licensee is not required to maintain as permanent project records any information specified in paragraph (a)(1) of this section that was or reasonably would have been prepared before the applicant or licensee acquired control of the project and that the applicant or the licensee never acquired or reasonably could have acquired. (b) Location of records—(1) Original records. The applicant or licensee must maintain the originals of all permanent project records at a central location, such as the project site or the main business office of the applicant or licensee, secure from damage from any conceivable failure of the project works and convenient for inspection. The applicant or licensee must keep the Regional Engineer advised of the location of the permanent project records. (2) Record copies. If the originals of the permanent project records are maintained at a central location other than the project site, the applicant or licensee must maintain at the project site copies of at least the project Exhibit G or L (design drawings), instrumentation data, and operational history that are necessary to the safe and efficient operation of the project. (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. (c) Transfer of records. If the project is taken over by the United States at the end of a license term or the Commission issues a new license to a different licensee, the prior licensee must transfer the originals of all permanent project records to the custody of the administering Federal agency or department or to the new licensee. (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.

18 C.F.R. § 12.13 Verification form.

If a document submitted in accordance with the provisions of this part must be verified, the form of verification attached to the document must be the following: State of [ ], County of [ ], ss: The undersigned, being first duly sworn, states that [he, she] has read the above document and knows the contents of it, and that all of the statements contained in that document are true and correct, to the best of [his, her] knowledge and belief. [Name of person signing] Sworn to and subscribed before me this [day] of [month], [year]. [Seal] [Signature of notary public or other state or local official authorized by law to notarize documents.]

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