CHAPTER I
GENERAL REQUIREMENTS
April 1991
Chapter I
General Requirements
1-0 Contents
Title Page
1-1 Purpose and Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
1-1.1 Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
1-1.2 Operating Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
1-2 Project Classifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2
1-2.1 Hazard Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2
1-2.2 Downstream Hazard
Potential - Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2
1-3 Study Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
1-3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
1-3.2 Regional Office Inspections
and Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
1-3.3 Washington Office Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
1-3.3.1 License Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
1-3.3.2 Review of Consultants Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4
1-3.3.3 Review of Staff Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4
1-4 Deviations from Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4
1-4.1 Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4
1-4.2 Deviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4
1-5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5
1-i
Chapter I
General Requirements
1-1 Purpose and Scope
The purpose of this chapter of the guidelines is to establish the basis for determining the need
for engineering review and studies conducted by Commission Staff during the processing
stage of license applications and the review of reports prepared by licensees, exemptees, or
independent consultants.
The following Federal Power Act regulations, and Division of Dam Safety and Inspections,
Office of Hydropower Licensing Operating Manual, provide requirements and general
guidance concerning: the contents, deposition, and evaluation of applications for licenses or
exemption, and the supervision of existing licenses and exemptions.
1-1.1 Regulations
Application for License for Major Unconstructed Project and Major Modified Project; and
Application for Amendment to License - Subchapter B, Part 4, Subpart E, Section 4.40 and
Subpart H, Sections 4.70 and 4.41.
Application for License for Major Project - Existing Dam - Subchapter B, Part 4, Subpart F,
Sections 4.50 and 4.51.
Application for License for Minor Water Power Projects and Major Water Power Projects
5 Megawatts or Less - Subchapter B, Part 4, Subpart G. Sections 4.60 and 4.61.
Exemptions of Small Hydroelectric Power Projects of 5 Megawatts or Less - Subchapter B,
Subpart K, Sections 4.101 to 4.108.
Amendment of License - Subchapter B, Subpart L, Part 4, Sections 4.200 to 4.202.
1-1.2 Operating Manual
For Inspection of Projects and Supervision of Licenses for Water Power Projects published
in 1986.
1-1
1-2 Project Classification
1-2.1 Hazard Classification
The hazard potential classification of a project determines the level of engineering review
and the criteria that are applicable. Therefore, it is critical to determine the appropriate
hazard potential of a dam, because it sets the stage for the analyses that must be completed
to properly evaluate the structural integrity of any dam.
1-2.2 Downstream Hazard Potential - Definitions
The hazard potential of dams describes the potential for loss of human life or property
damage in the area downstream or upstream of the dam in event of failure or incorrect
operation of a dam. Hazard classification does not indicate the structural integrity of the dam
itself, but rather the effects if a failure should occur. The hazard potential assigned to a dam
is based on consideration of the effects of a failure during both normal and flood flow
conditions.
Dams conforming to criteria for the low hazard potential category generally are located in
rural or agricultural areas where failure may damage farm buildings, limited agricultural
land, or township and country roads. Low hazard potential dams have a small storage
capacity, the release of which would be confined to the river channel in the event of a failure
and therefore would represent no danger to human life.
Significant hazard potential category structures are usually located in predominately rural or
agricultural areas where failure may damage isolated homes, secondary highways or minor
railroads; cause interruption of use or service of relatively important public utilities; or cause
some incremental flooding of structures with possible danger to human life.
Dams in the high hazard potential category are those located where failure may cause serious
damage to homes, agricultural, industrial and commercial facilities, important public utilities,
main highways, or railroads, and there would be danger to human life.
The hazard potential evaluation includes consideration of recreational development and use
and socio-economic matters. Included in the high hazard potential category are dams where
failure would cause serious damage to permanently established or organized recreational
areas or activities. Also included in the high hazard potential category are dams where
failure could result in loss of life of people gathered for an unorganized recreational activity
(such as salmon fishermen and kayakers) where concentrated use of a confined area below
the dam is a common annual occurrence during certain times each year.
1-2
1-3 Study Requirements
1-3.1 General
The following guidance shall establish the basic requirements for reviews and studies
conducted by both the Washington and Regional offices. It is recognized that unique
situations may require deviations from these guidelines, however, they are considered
flexible enough to be followed for most of the basic types of reviews and studies anticipated.
Any engineering study which is conducted, shall be consistent with the applicable sections
of these guidelines.
1-3.2 Regional Office Inspections and Studies
The operating manual, prepared by the Division of Dam Safety and Inspections (D2SI),
establishes minimum requirements for reports and field inspections of hydroelectric projects
conducted pursuant to the Federal Power Act.
1-3.3 Washington Office Studies
1-3.3.1 License Applications
Review for Deficiencies - All license applications shall be reviewed for compliance with the
engineering requirements of FERC regulations. Application deficiencies should be
documented so the applicant can be appropriately and timely notified. A preliminary review
should then be conducted to preliminarily assess economic feasibility and to ensure that the
project's power output can be utilized. These preliminary studies should be conducted prior
to the acceptance of the application. Items which should be examined include: the need for
project power; the existence (or absence) of an agreement or memorandum of understanding
for sale of project power; the impact of changes in fish habitat preservation flow releases
on power generation; and the reasonableness of the project construction cost estimate. This
study should resolve any basic questions concerning the ability of the Applicant to build the
project and/or sell the project power.
Safety and Design Assessment - The safety and design assessment report shall include a
summary of the conclusions and recommendations resulting from the engineering data in the
license applications and technical review and studies based on such data.
1-3
1-3.3.2 Review of Consultants Reports
Review of Board of Consultants Report - All licenses authorizing major construction
require the licensee to employ a board of qualified independent engineering consultants,
approved by the Director, D2SI, to review the design, plans and specifications, and
construction of the project. Also, the board is expected to assess the construction inspection
program, construction procedures and progress, planned instrumentation, the filling
procedures for the reservoir, and plans for surveillance during initial filling of the reservoir.
Staff review of consultants reports should examine all recommendations made by the Board.
Recommendations which are inconsistent with engineering guidelines, or previously stated
staff positions on a particular problem with the project, should be reviewed and the
differences resolved.
Review of Part 12, Subpart D Inspection Reports - Reference is made to the Operating
Manual which establishes the Commission's policy concerning Part 12 (Independent
Consultant 5-year) inspections. Specific guidance is given to Regional Directors concerning
the review of Consultants' Part 12 reports.
1-3.3.3 Review of Staff Studies
Independent analyses conducted by any member of the Staff shall be reviewed by another
staff member for completeness and appropriate application of analytical methods.
1-4 Deviations from the Guidelines
1-4.1 Changes
Guideline criteria and recommendations which are found to be technically incorrect, or
outdated, should be brought to the attention of the Director, D2SI. This shall be done in
writing with the incorrect or outdated passages cited, and shall include the Staff members'
recommendations for correcting the deficiency.
1-4.2 Deviations
Deviations from the guidelines shall be subject to the approval of the Director, D2SI. The
procedures, or criteria, used in lieu of guideline recommendations shall be justified in writing
for inclusion in the guideline files, and shall be accompanied by any suggested changes in
the guidelines that may be necessary to incorporate such procedures or criteria in future
revisions.
1-4
1-5 References
1. Federal Energy Guidelines, Statutes and Regulations, Federal Energy Regulatory
Commission, Subchapter B - Regulations Under the Federal Power Act, Parts 4
through 12.
2. Operating Manual for Inspection of Projects and Supervision of Licensees for
Water Power Projects.
1-5