18 Cfr 11.16

§ 11.15

18 CFR Ch. I (4–1–04 Edition)

(2) Any procedures that apply to
§ 11.17(b)(5) of this subpart will apply to
any prospectively fixed charges that
are continued under this paragraph.
§ 11.15 Procedures for determining
charges by energy gains investigation.
(a) Purpose of investigations; limitation.
Except as permitted under § 11.14, the
Commission will conduct an investigation to obtain information for establishing headwater benefits charges
under this subpart. The Commission
will investigate and determine charges
for a project downstream from a nonFederal headwater project only if the
parties are unable to agree to a settlement and one of the parties requests
the Commission to determine charges.
(b) Notification. The Commission will
notify each downstream project owner
and each headwater project owner
when it initiates an investigation
under this section, and the period of
project operations to be studied will be
specified. An investigation will continue until a final charge has been established for all years studied in the
investigation.
(c) Jurisdictional objections. If any
project owner wishes to object to the
assessment of a headwater benefits
charge on jurisdictional grounds, such
objection must:
(1) Be raised within 30 days after the
notice of the investigation is issued;
and
(2) State in detail the grounds for its
objection.
(d) Investigations. (1) For any downstream project for which a final charge
pursuant to an investigation has never
been established, the Commission will
conduct an initial investigation to determine a final charge.
(2) The Commission may, for good
cause shown by a party or on its own
motion, initiate a new investigation of
a river basin to determine whether, because of any change in the hydrology,
project development, or other characteristics of the river basin that effects
headwater benefits, it should:
(i) Establish a new final charge to replace a final charge previously established under § 11.17(b)(5); or
(ii) Revise any variable of the headwater benefits formula that has be-

come a constant in calculating a final
charge.
(3) Scope of investigations. (i) The
Commission will establish a final
charge pursuant to an investigation
based on information available to the
Commission through the annual data
submission requirements of § 11.16, if
such information is adequate to establish a reasonably accurate final charge.
(ii) If the information available to
the Commission is not sufficient to
provide a reasonably accurate calculation of the final charge, the Commission will request additional data and
conduct any studies, including studies
of the hydrology of the river basin and
project operations, that it determines
necessary to establish the charge.
§ 11.16

Filing requirements.

(a) Applicability. (1) Any party subject
to a headwater benefits determination
under this subpart must supply
project-specific data, in accordance
with this section, by February 1 of
each year for data from the preceding
calendar year.
(2) Within 30 days of notice of initiation of an investigation under § 11.15,
a party must supply project-specific
data, in accordance with this section,
for the years specified in the notice.
(b) Data required from owner of the
headwater project. The owner of any
headwater project constructed by the
United States, a licensee, or a pre-1920
permittee that is upstream from a nonFederal hydroelectric project must
submit the following:
(1) Name and location of the headwater project, including the name of
the stream on which it is located.
(2) The total nameplate rating of installed generating capacity of the
project, expressed in kilowatts, with
the portion of total capacity that represents pumped storage generating capacity separately designated.
(3) A description of the total storage
capacity of the reservoir and allocation
of storage capacity to each of its functions, such as dead storage, power storage, irrigation storage, and flood control storage. Identification, by reservoir elevation, of the portion of the
reservoir assigned to each of its respective storage functions.

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Federal Energy Regulatory Commission
(4) An elevation-capacity curve, or a
tabulation of reservoir pool elevations
with corresponding reservoir storage
capacities.
(5) A copy of rule curves, coordination contracts, agreements, or other
relevant data governing the release of
water from the reservoir, including a
separate statement of their effective
dates.
(6) A curve or tabulation showing actual reservoir pool elevations throughout the immediately preceding calendar year and for each year included
in an investigation.
(7) The total annual gross generation
of the hydroelectric plant in kilowatthours, not including energy from
pumped storage operation.
(8) The total number of kilowatthours of energy produced from pumped
storage operation.
(9) The investigation costs attributed
to the power generation function of the
project as of the close of the calendar
year or at a specified date during the
year, categorized according to that
portion that is attributed to the specific power costs, and that portion that
is attributed to the joint-use power
costs.
(10) The portion of the joint-use
power cost, and other costs required by
law to be allocated to joint-use power
cost, each item shown separately, that
are attributable to the annual costs of
interest, maintenance, and depreciation, identifying the annual interest
rate and the method used to compute
the depreciation charge, or the interest
rate and period used to compute amortization if used in lieu of depreciation,
including any differing interest rates
used for major replacements or rehabilitation.
(c) Data required from owners of downstream projects. The owner of any hydroelectric project which is downstream
from a headwater project constructed
by the United States, a licensee, or pre1920 permittee must submit the following:
(1) Name and location of the downstream project, including the name of
the stream on which it is located.
(2) Total nameplate rating of the installed generating capacity of the
plant, expressed in kilowatts, with the
portion of total capacity that rep-

§ 11.17
resents pumped storage generating capacity separately designated.
(3) Record of daily gross generation,
not including energy used for pumped
storage, and any unit outage which
may have occurred.
(4) The total number of kilowatthours of energy produced from pumped
storage operation.
(d) Abbreviated data submissions. (1)
For those items in paragraphs (b) and
(c) of this section in which data for the
current period are the same as data
furnished for a prior period, the data
need not be resubmitted if the owner
identifies the last period for which the
data were reported.
(2) The Commission will notify the
project owner that certain data items
in paragraphs (b) and (c) are no longer
required to be submitted annually if:
(i) A variable in the headwater benefits formula has become a constant; or
(ii) A prospective final charge, as described in § 11.17(b)(5), has been established.
(e) Additional data. Owners of headwater projects or downstream projects
must furnish any additional data required by the Commission staff under
paragraph (a) of this section and may
provide other data which they consider
relevant.
§ 11.17 Procedures for
charges and costs.

payment

(a) Payment for benefits from a nonFederal headwater project. Any billing
procedures and payments determined
between a non-Federal headwater
project owner and a downstream
project owner will occur according to
the agreement of those parties.
(b) Charges and payment for benefits
from a Federal headwater project—(1) Interim charges. (i) If the Commission has
not established a final charge and an
investigation is pending, the Commission will issue a downstream project
owner a bill for the interim charge and
costs and a staff report explaining the
calculation of the interim charge.
(ii) An interim charge will be a percentage of the estimate by the Commission staff of what the final charge
will be, as follows:
(A) 100 percent of the estimated final
charge if the Commission previously

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