20070812 Ver 2_Application_20080508

DEWEY & LEBOEUF
BY HAND
North Carolina Division of Water Quality
Attn: John Dorney
Wetlands Program Development Unit
Parkview Building
2321 Crabtree Blvd.
Raleigh, NC 27604
Dewey & LeBoeuf LLP
1101 New York Avenue, NW
Suite 1100
Washington, DC 20005-4213
tel [phone]
fax [phone]
[e-mail]
PAID
o'? - 0 8 a. UL
May 9, 2008 VN@ R O W E n
MAY 8 2008 U
DENR - WATER QUAU T Y
WETLANDS AND STORMWATER BRANCH
Re: Water Quality Certification Application for the Yadkin Hydroelectric
Project (FERC No. P-2197)
Dear Mr. Dorney:
By letter dated April 16, 2008 to Alcoa Power Generating Inc. ("APGI" ), the
Division of Water Quality ("DWQ") stated that it would "revoke" Section 401 Water Quality
Certificate No. 003173 for the Yadkin Hydroelectric Project (FERC No. 2197) because of a
failure to publish public notice, and further requested that APGI withdraw the application
supporting that certificate and file a new application for Section 401 authorization for that
project. Accordingly, through undersigned counsel, APGI hereby respectfully withdraws its
application for Section 401 Water Quality Certification submitted on May 10, 2007 and hereby
submits a new application for such certification which is enclosed for filing. Thus, please find
enclosed one (1) original and six (6) copies of a complete application package for the Section
401 water quality certification of the Yadkin Hydroelectric Project and a check in the amount of
$570.00 payable to the North Carolina Division of Water Quality. Each enclosed application
package set consists of the following:
(1) A completed and signed "FERC 401 Water Quality Certification
Application" as required by DWQ;
(2) A copy of the "Application for License for Major Project - Existing Dam"
(April 2006) for the Yadkin Project (which includes maps of the Project)
NEWYORKILON DON MULTINATIONALPARTNERSHIPIWASHI N GTON,DC
ALBANYIALMATYIAUSTIN I BEIJING BOSTON I BRUSSELSICHARLOTTEICHICAGOI DUBAI
EASTPALOALTOIFRANKFURTIHARTFORDIHONGKONG IHOUSTONIJACKSONVILLEIJCHAIN NES13URG (PTY)LTD.
LOSANGELES I MILAN I MOSCOW I PARISMULTINATIONALPARTNERSHIP I RIYADHAFFILIATEDOFFICE I ROME I SANFRANCISCO I WARSAW
North Carolina Division of Water Quality
May 9, 2008
Page 2
which APGI filed with the Federal Energy Regulatory Commission
("FERC");
(3) Yadkin Project "Relicensing Settlement Agreement" (February 2007)
("RSA") filed with FERC on May 7, 2007;
(4) Draft Yadkin Project "Dissolved Oxygen Monitoring Plan" (May 2007);
(5) Draft Yadkin Project "Tailwater Dissolved Oxygen Monitoring Quality
Assurance Project Plan" (May 2007); and
(6) Draft Yadkin Project "Flow and Reservoir Elevation Monitoring Plan"
(April 2007).
Please be advised that, in addition to the undersigned, APGI is represented in this
matter by Charles D. Case, Esq. and Craig Bromby, Esq. of the firm of Hunton & Williams LLP,
One Bank of America Plaza, Suite 1400, 421 Fayetteville Street (27601), P.O. Box 109, Raleigh,
NC 27602.
Please contact me with any questions concerning this application.
Sincerely,
avid R. Poe
cc: Gene Ellis
Coralyn Benhart, Esq.
Thomas N. Griffin, 111, Esq.
Donald W. Laton, Esq.
Attachments
r
pAID 01-og ? a. v z
DWQ ID:
FERC 401 WATER QUALITY CERTIFICATION
APPLICATION
FOR EXISTING FERC PERMITS
* SEND SEVEN (7) COPIES AND THE
APPROPRIATE FEE (SEE ITEM # 16)* OF THIS APPLICATION TO:
THE NC DIVISION OF WATER QUALITY
ATTN: TODD ST. JOHN
4401 REEDY CREEK ROAD
RALEIGH, NC 27607.
(PLEASE PRINT OR TYPE.)
1. OWNER'S NAME: Alcoa Power Generating Inc.
2. MAILING ADDRESS: 300 North Hall Rd. (MS-T1521) Alcoa, TN 37701-2516
PROJECT NAME: Yadkin Hydroelectric Project (FERC No. 2197)
CITY: Badin STATE: NC ZIP CODE: 28009
PROJECT LOCATION ADDRESS (IF DIFFERENT FROM MAILING ADDRESS
ABOVE):
P.O. Box 576, Badin, NC 28009
3. TELEPHONE NUMBER: (WORK) ( 865 ) 977-3334
4. IF APPLICABLE: AGENT'S NAME OR RESPONSIBLE CORPORATE OFFICIAL,
ADDRESS, PHONE NUMBER:
Mark Gross V .P. of APGI P .O. Box 576, Hiahwav 740. Badin. NC 28009
5. LOCATION PROJECT (PROVIDE A MAP, INCLUDING A COPY OF USGS
TOPOGRAPHIC MAP OR AERIAL PHOTOGRAPHY WITH SCALE):
Davie, Davidson, Rowan,
COUNTY: Montgomery and Stanly NEAREST TOWN: Badin
SPECIFIC LOCATION (INCLUDE ROAD NUMBERS, LANDMARKS, ECT.) See attached
License Application (LA) Ex. G for Project maps or see D.O. Plan Fig. 1
6. IMPACTED STREAM/RIVER: Yadkin River RIVER BASIN: Yadkin/Pee-Dee River Basin
CURRENT DIVISION OF WATER QUALITY (DWQ) CLASSIFICATION: Variable (Class C pr WS):
See LA Ex. E App. E.1. Section 2.5
7. (a) IS THE PROJECT LOCATED WITHIN A NORTH CAROLINA DIVISION OF
COASTAL MANAGEMENT AREA OF ENVIRONMENTAL CONCERN (AEC)? YES ?
NO ?X
(b) IF THE PROJECT IS LOCATED WITHIN A COASTAL COUNTY (SEE PAGE 7 FOR
LIST OF COASTAL COUNTIES), WHAT IS THE LAND USE PLAN (LUP)
DESIGNATION?
D f +, g .till
Version 1.0 F
n
January, 1999 MAY 2???$
DEN,
WETLANDS" S'fORMWATERBRANCH
8. (a) ARE ADDITIONAL PERMIT REQUESTS EXPECTED FOR THIS PROPERTY IN
THE FUTURE? YES ? NO ?x IF YES, DESCRIBE ANTICIPATED WORK:
9. (a) ESTIMATED TOTAL NUMBERS OF ACRES IN PROJECT: 23,000
10. PROVIDE AN APPROPRIATE ENVIRONMENTAL DOCUMENT. THE DOCUMENT
SHOULD ADDRESS:
(a) DATA SHOWING THAT A 7Q10 MINIMUM FLOW WILL BE PROVIDED
(b) A COST BENEFIT ANALYSIS OF THE PROJECT SHOWING WHY THE PROJECT
IS STILL NECESSARY
(c) DESCRIPTION OF LENGTH OF BYPASS REACH (IF ANY) AND MEASURES TO
PROVIDE FLOW TO THE REACH IN LOW FLOW CONDITIONS.
(d) MEASURES PLANNED OR TAKEN TO MAINTAIN DOWNSTREAM WATER
QUALITY SUCH AS ADEQUATE DISSOLVED OXYGEN.
See attached LA & Relicensing Settlement Agreement
11. WHAT IS THE SIZE OF THE WATERSHED 4400 sq miles WHAT IS THE FULL-POND
SURFACE AREA? 23,000 acres
12. YOU ARE REQUIRED TO CONTACT THE US FISH AND WILDLIFE SERVICE AND/OR
NATIONAL MARINE FISHERIES SERVICE REGARDING THE PRESENCE OF ANY
FEDERALLY LISTED OR PROPOSED FOR LISTING ENDANGERED OR
THREATENED SPECIES OR CRITICAL HABITAT IN THE PERMIT AREA THAT MAY
BE AFFECTED BY THE PROPOSED PROJECT. DATE CONTACTED:
Periodic consultation 2002-2007
13. YOU ARE REQUIRED TO CONTACT THE STATE HISTORIC PRESERVATION
OFFICER. DATE CONTACTED: Periodic Consultation 2002-2007
(SHPO) REGARDING THE PRESENCE OF HISTORIC PROPERTIES IN THE PERMIT
AREA WHICH MAY BE AFFECTED BY THE PROPOSED PROJECT. DATE
CONTACTED: Same as above, and see LA Ex. E Apps E-16,17 & 25.
14. DOES THE PROJECT INVOLVE AN EXPENDITURE OF PUBLIC FUNDS OR THE USE
OF PUBLIC (STATE) LAND? YES ? NO 0 (IF NO, GO TO 15)
(a) IF YES, DOES THE PROJECT REQUIRE PREPARATION OF AN
ENVIRONMENTAL DOCUMENT PURSUANT TO THE REQUIREMENTS OF THE
NORTH CAROLINA ENVIRONMENTAL POLICY ACT? YES ? NO ?
(b) IF YES, HAS THE DOCUMENT BEEN REVIEWED THROUGH THE NORTH
CAROLINA DEPARTMENT OF ADMINISTRATION STATE CLEARINGHOUSE YES ?
NO ?
IF ANSWER 17b IS YES, THEN SUBMIT APPROPRIATE DOCUMENTATION FROM
THE STATE CLEARINGHOUSE WITH THE NORTH CAROLINA ENVIRONMENTAL
POLICY ACT.
QUESTIONS REGARDING THE STATE CLEARINGHOUSE REVIEW PROCESS
SHOULD BE DIRECTED TO MS, CHRYS BAGGETT, DIRECTOR STATE
CLEARINGHOUSE, NORTH CAROLINA DEPARTMENT OF ADMINISTRATION, 116
WEST JONES STREET, RALEIGH, NORTH CAROLINA 27603-8003, TELEPHONE
[phone].
Version 1.0
January, 1999
15. THE FOLLOWING ITEMS SHOULD BE INCLUDED WITH THIS APPLICATION IF
PROPOSED ACTIVITY INVOLVES THE DISCHARGE OF EXCAVATED OF FILL
MATERIAL INTO WETLANDS: N/A
(a) WETLAND DELINEATION MAP SHOWING ALL WETLANDS, STREAMS, LAKES,
AND PONDS ON THE PROPERTY (FOR NATIONWIDE PERMIT NUMBERS 14, 18, 21,
26, 29, AND 38). ALL STREAM (INTERMITTENT AND PERMANENT) ON THE
PROPERTY MUST BE SHOWN ON THE MAP. MAP SCALES SHOULD BE 1 INCH
EQUALS 50 FEET OF 1 INCH EQUALS 100 FEET OF THEIR EQUIVALENT.
(b) IF AVAILABLE, REPRESENTATIVE PHOTOGRAPH OF WETLANDS TO BE
IMPACTED BY PROJECT.
(c) IF DELINEATION WAS PERFORMED BY A CONSULTANT, INCLUDE ALL DATA
SHEETS RELEVANT TO THE PLACEMENT OF THE DELINEATION LINE.
(d) ATTACH A COPY OF THE STORMWATER MANAGEMENT PLAN IF REQUIRED.
(e) WHAT IS LAND USE OF SURROUNDING PROPERTY?
(f) IF APPLICABLE, WHAT IS PROPOSED METHOD OF SEWAGE DISPOSAL?
16. CERTIFICATION FEE
(a) IF THE IMPACT IS LESS THAN 1 ACRE OF WETLAND OR WATER AND LESS THAN 150 FEET
OF STREAM, PLEASE ENCLOSE A CHECK FOR $200.00 MADE OUT TO THE NORTH
CAROLINA DIVISION OF WATER QUALITY.
(b) IF THE IMPACT EXCEEDS EITHER OR BOTH OF THE LEVELS IN (a), PLEASE ENCLOSE A
CHECK FOR $475.00 MADE OUT TO THE NORTH CAROLINA DIVISION OF WATER QUALITY.
(check attached)
17. PUBLIC NOTICE IS REQUIRED FOR ALL FERC PROJECTS. PLEASE NOTE THAT THE
APPLICANT IS REQUIRED TO REIMBURSE THE DIVISION OF WATER QUALITY FOR THE
COSTS ASSOCIATED WITH THE PLACEMENT OF THE PUBLIC NOTICE. REFERENCE 15A
NCAC 2H.0503 (0.
SIGNED AND DATED AGENT AUTHORIZATION LETTER, IF APPLICABLE.
NOTE: WETLANDS OR WATERS OF THE US MAY NOT BE IMPACTED PRIOR TO:
1. ISSUANCE OF A SECTION 404 CORPS OF ENGINEERS PERMIT,
2. EITHER THE ISSUANCE OR WAIVER OF A 401 DIVISION OF WATER
QUALITY CERTIFICATION, AND
3. (IN THE TWENTY COASTAL COUNTIES ONLY), A LETTER FROM THE
NORT CAROLINA DIVISION OF COASTAL MANAGEMENT STATING THE
PROP SED ACTIVITY IS CONSISTENT WITH THE NORTH CAROLINA
r4 CO AL MANAGEMENT PROGRAM,
QA?
WNER / ENT IGNATURE DATE
(AGENT'S SIGNATURE VALID ONLY
IF AUTHORIZATION LETTER FROM
THE OWNER IS PROVIDED).
Version 1.0
January, 1999
Attachment 1
Water Quality Application
Attachment 2
Application for License
Attachment 3
Relicensing Settlement Agreement
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
LEBOEUF, LAMB, GREENE & MACRAE
L. L. P.
A. LIMITED LIABILITY PARTNERSHIP INCLUDING PROFESSIONAL CORPORATIONS
NEW YORK 1 875 CONNECTICUT AVE., N.W. LONDON

WASHINGTON, D.C. A 1-o
MULTINA'TIONA, vAl i m.
ALBANY SUITE 1 200 PAR15
BOSTON
20009-5728
WASHINGTON
D
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BRUSSELS
HARRISBURG ,
.
.
JOHANNESBURG
HARTFORD [phone] i. TYi t'?t7
HOUSTON
FACSIMILE: (202) 986-8 102 MOSCOW
JACKSONVILLE
LOS ANGELES E-MAIL ADDRESS: DAVID. [e-mail] RIYADH
r, AEFLIATC(y c:FE..CEI
NEWARY WRITERS DIRECT DIAL: [phone]
8i5HKEK
f'*ITT'58URGH
SALT I-AKE CITY WRITERS DIRECT FACSIMILE: [phone] ALMAT'Y
SAN FRANCISCO BEIJING
May 7, 2007
BY ELECTRONIC FILING
The Honorable Kimberly D. Bose
Secretary
Federal Energy Regulatory Commission
888 First Street, NE
Washington, DC 20426
Re: Alcoa Power Generating Inc.
Yadkin Project, FERC Project No. P-2197-073
Offer of Settlement
Dear Ms. Bose:
On behalf of Alcoa Power Generating Inc. ("APGI"), licensee for the Yadkin
Project, FERC Project No. P-2197, please find enclosed for filing in the above-captioned
proceeding a Relicensing Settlement Agreement ("RSA"). This document, which has been
executed by a super-majority of participants in the communications-enhanced three-stage
relicensing process conducted by APGI in this proceeding and made effective April 22, 2007, is
hereby submitted as an offer of settlement on behalf of all of its signatories pursuant to Rule 602
of the Federal Energy Regulatory Commission's ("Commission" or "FERC") Rules of Practice
and Procedure (18 C.F.R. § 385.602). The RSA is intended to replace an Agreement in Principle
("AIP") that was executed in June 2006 and filed with the Commission on August 28, 2006. The
RSA, if accepted in its entirety by the Commission without modification, would resolve all of the
outstanding issues associated with relicensing the Yadkin Project, with the exception of fish
passage, which is being negotiated separately.
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
Hon. Kimberly D. Bose
May 7, 2007
Page 2
As required by 18 CF.R. § 385.602(c), included with the RSA is a separate Joint
Explanatory Statement ("JES") and that document, together with its various appendices, contains
citations to the record of the proceeding. The application for a Section 401 Certificate for the
Project is expected to be filed within the next few days, and thereafter evidence of the Section
401 application will be filed with the Commission.
The RSA represents an achievement for the Licensee, the relicensing participants,
the RSA signatories, and many others. In negotiating the RSA, the goal of the parties was to
develop an agreement which would achieve an appropriate balance of competing resource
interests in the Project. This effort produced a consensus among the parties representing a broad
range of interests on protection, mitigation, and enhancement measures for the Yadkin Project
that address environmental, recreational, and cultural issues, as well as other beneficial uses of
the Project waters and the Yadkin-Pee Dee River, including hydropower generation, watershed
protection, drought mitigation, fish passage and enhanced recreational use. The participants in
this process included APGI, state and federal resource agencies, the Catawba Indian Nation,
local governments, homeowner associations, and national and local non-governmental
organizations ("NGOs").
The Parties to the RSA consider the land grants and conveyances involving non-
Project lands between APGI and specified Parties to be essential elements of the RSA, although
outside of the Commission's jurisdiction. These agreements provide long-term or permanent
protection for thousands of acres owned by APGI in the vicinity of the Project reservoirs, thereby
preserving and protecting ecologically and culturally significant lands as open-space in the
rapidly developing central North Carolina region. The ultimate consummation of these land
agreements is contingent upon the Project being finally and successfully relicensed to APGI.
The RSA is comprised of three parts: (1) General Provisions that include the
legal definitions and standards of the RSA; (2) Settlement Provisions Not Covered by the
Proposed License Articles, including various funding commitments by APGI, cooperative
agreements between APGI and various state and federal agencies, and commitments regarding
non-Project land grants and conveyances; and (3) Proposed License Articles. The proposed
articles, taken together with other commitments made in the RSA and with the conditions within
the State of North Carolina's certification pursuant to Section 401 of the Clean Water Act
("CWA"), will ensure that the Project is and will be best adapted to a comprehensive plan of
development for the Yadkin-Pee Dee River, and that it will continue to comply with all
applicable laws. The RSA also contains a series of Appendices including a Low Inflow Protocol
("LIP"), a Hydro Project Maintenance and Emergency Protocol ("HPMEP"), Recreational
Facility Enhancements, modifications to various specifications and procedures in the Yadkin
Project Shoreline Management Plan ("SMP"), and descriptions of land conveyances and land
grants.
The Licensee, supported by the other parties to the RSA, respectfully requests that
the Commission, in issuing a new license for the Yadkin Project, incorporate into the New
License the Proposed License Articles and the HPMEP without modification and also approve
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
Hon. Kimberly D. Bose
May 7, 2007
Page 3
the proposed modifications to the SMP. The remaining elements of the RSA, including the
"Settlement Provisions Not Covered by Proposed License Articles" in Section 2 of the RSA, the
LIP (Appendix A), and the land grants and conveyances depicted on maps in Appendix E are for
FERC's information only and will be implemented and enforced as provided for in the RSA.
APGI also requests that the terms of the RSA be reflected as the preferred alternative in the
Commission's environmental analysis of APGI's application for a new license for the Yadkin
Project.
APGI respectfully urges the Commission to incorporate the Proposed License
Articles into the New License as drafted, including the provision for a 50-year license term. The
detailed provisions of the Proposed License Articles reflect the intent of the RSA Parties to
ensure the Commission's ability to enforce the New License while fully effectuating the delicate
balance of the RSA. Material changes to the Proposed License Articles could lead to adverse
consequences, including the potential for Parties to withdraw from the RSA or for the entire RSA
itself to be terminated. Therefore, APGI, on behalf of the Parties to the RSA, respectfully
requests that the Commission honor the Parties' intentions by issuing a new license to APGI for
the Yadkin Project incorporating the Proposed License Articles without modification.
By copy of this letter, all participants are hereby notified, in compliance with Rule
602(d)(2), 18 C.F.R. § 385.602(d)(2), that comments on this offer of settlement may be filed not
later than 20 days after the date of this filing and reply comments may be filed not later than 30
days after the date of this filing, unless otherwise provided by the Commission.
Copies of this filing are being served upon all parties listed on the official service
list for this project. Because of the bulk of the material, service copies will consist of electronic
copies in pdf format of the JES and the RSA; for those not accepting electronic service, copies
will be provided on a CD. Paper copies of the materials will be furnished to any recipient who
requests them.
If there are any questions regarding this filing, please contact the undersigned.
Respectfully submitted,
/s/ David R. Poe
David R. Poe
D. Randall Berm
Counsel for APGI
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
CERTIFICATE OF SERVICE
I hereby certify that, I have this day caused to be served by First Class Mail or
electronic mail the foregoing documents upon the parties to the official service list
compiled by the Secretary for this proceeding.
Dated at Washington, DC this 7th day of May, 2007.
/s/ Claire M. Brennan
Claire M. Brennan
Paralegal Manager
LeBoeuf, Lamb, Greene & MacRae LLP
1875 Connecticut Avenue, N.W.
Washington, D.C. 20009-5728
202-986-8000
Yadkin Hydroelectric Project
FERC No. 2197
Relicensing Settlement Agreement
February 2007
Table of Contents
Table of Contents ...........................................................................................................................i
List of Tables ................................................................................................................................ iv
List of Figures ............................................................................................................................... V
Acronyms ..................................................................................................................................... vi
1.0 General .............................................................................................................................1-1
1.1 Purpose and Effect of Settlement Agreement ..................................................................... 1-1
1.2 Definitions ........................................................................................................................1-1
1.3 General Provisions ........................................................................................................... 1-3
1.3.1 Scope of Settlement Agreement ................................................................................. ..1-3
1.3.2 Procedures Regarding Certain Statutory Authorities and Obligations ............................ ..1-3
1.3.3 Commitments During Relicensing ............................................................................... .. 1-4
1.3.4 Structure of Settlement Agreement ............................................................................. ..1-5
1.3.5 Effective Date and Term of Settlement Agreement ....................................................... ..1-5
1.3.6 Effective Date of Settlement Obligations ..................................................................... .. 1-6
1.3.7 Jurisdiction ................................................................................................................ ..1-6
1.3.8 Dispute Resolution .................................................................................................... .. 1-6
1.3.9 Withdrawal from Settlement Agreement ...................................................................... ..1-8
1.3.10 Miscellaneous .............................................................................................................1-9
1.3.11 Actions upon Execution of Agreement ......................................................................... 1-12
1.3.12 Rights, Duties, and Obligations Regarding Section 401 Certification ............................. 1-16
1.3.13 Potential for Negotiation of Recreation Easements ...................................................... 1-17
1.3.14 Termination of Settlement Agreement ......................................................................... 1-17
2.0 Settlement Provisions Not Covered by Proposed License Articles ......................... 2-1
2.1 Project Operations ............................................................................................................ 2-1
2.1.1 Flow Adjustment for Enhancement of Downstream Spawning ........................................ 2-1
2.1.2 Low Inflow Protocol ..................................................................................................... 2-2
2.2 Water Quality ................................................................................................................... 2-2
2.2.1 Tailwater Dissolved Oxygen Enhancement Schedule ..................................................... 2-2
2.2.2 Tailwater Dissolved Oxygen Enhancement Operations .................................................. 2-4
2.2.3 Dissolved Oxygen Monitoring ....................................................................................... 2-4
2.2.4 Additional Dissolved Oxygen Enhancement Actions ....................................................... 2-5
2.2.5 Total Maximum Daily Load Process .............................................................................. 2-5
2.3 Recreation ....................................................................................................................... 2-5
2.3.1 Recreation Facility Improvements ................................................................................. 2-5
2.3.2 Operations and Maintenance Funding Commitments ..................................................... 2-5
2.3.3 Yadkin-Pee Dee River Trail Fund ................................................................................. 2-6
2.3.4 Railroad Lines ............................................................................................................. 2-6
2.3.5 Portage Trail Reimbursement ....................................................................................... 2-6
2.3.6 Recreation Safety and Enforcement .............................................................................. 2-7
2.3.7 Assessing Future Recreational Needs .......................................................................... 2-7
2.3.8 Compliance with the Project's Shoreline Management Plan ............................................ 2-7
2.3.9 Escalation of Funds ..................................................................................................... 2-7
Yadkin Hydroelectric Project (FERC No. 2197) i February 2007
Relicensing Settlement Agreement
2.4 Shoreline Management ..................................................................................................... 2-8
2.4.1 Modifications to the Existing Yadkin Shoreline Management Plan .............'...................... 2-8
2.4.2 Implementation of the Shoreline Management Plan Modifications ................................. .. 2-8
2.4.3 Fees ......................................................................................................................... .. 2-8
2.5 Wildlife, Aquatics, and Rare, Threatened and Endangered (RTE) Species .......................... .. 2-8
2.5.1 RTE Species ............................................................................................................... 2-8
2.5.2 Invasive Exotic Species ............................................................................................. ..2-9
2.6 Land Conveyances ......................................................................................................... .. 2-9
2.6.1 Morrow Mountain State Park Expansion Lands ............................................................ .. 2-9
2.6.2 Tuckertown Reservoir Lands ...................................................................................... .. 2-9
2.6.3 High Rock Reservoir Lands ........................................................................................ 2-10
2.6.4 Time Requirements of Land Conveyances .................................................................. 2-10
2.6.5 Interim Land Management ......................................................................................... 2-11
2.7 Land Grants ................................................................................................................... 2-11
2.7.1 Uwharrie National Forest Lands ................................................................................. 2-11
2.7.2 Eagle Point Nature Preserve and Park Lands .............................................................. 2-11
2.7.3 Town of Badin Lands ................................................................................................. 2-12
2.8 Local Community Enhancement ...................................................................................... 2-12
2.8.1 City of Albemarle Water Withdrawals .......................................................................... 2-12
3.0 Proposed License Articles ........................................................................................... . 3-1
3.1 Project Operations .......................................................................................................... .. 3-1
3.1.1 Article PO-1 - Reservoir Operations ............................................................................ .. 3-1
3.1.2 Article PO-2 - Project Instream Flows .......................................................................... .. 3-5
3.1.3 Article PO-3 - Flow and Reservoir Elevation Monitoring ................................................ .. 3-5
3.1.4 Article PO-4 - Low Inflow Protocol ............................................................................... .. 3-6
3.1.5 Article PO-5 - Hydro Project Maintenance and Emergency Protocol .............................. 3-11
3.2 Water Quality ................................................................................................................. 3-11
3.2.1 Article WQ-1 - Water Quality ...................................................................................... 3-11
3.2.2 Article WO-2 - Dissolved Oxygen Monitoring ............................................................... 3-11
3.3 Recreation ..................................................................................................................... 3-11
3.3.1 Article RECA - Recreational Enhancements ............................................................... 3-11
3.4 Shoreline Management ................................................................................................... 3-12
3.4.1 Article SMP-1 - Shoreline Management Plan ............................................................... 3-12
3.5 Cultural Resources ......................................................................................................... 3-13
3.5.1 Article HP-1 - Historic Properties Management Provisions ............................................ 3-13
3.6 Wildlife, Aquatics and RTE Species ................................................................................. 3-14
3.6.1 Article FWA - Rare, Threatened and Endangered (RTE) Species Management Plan..... 3-14
3.6.2 Article FW-2 - Transmission Line Corridor Management Plan ....................................... 3-14
Appendices
Appendix A - Low Inflow Protocol for the Yadkin & Yadkin-Pee Dee River Hydroelectri c
Projects
Appendix B - Yadkin Project Hydro Project Maintenance and Emergency Protocol
Appendix C - Yadkin Project Recreation Facility Enhancements
Yadkin Hydroelectric Project (FERC No. 2197) ii February 2007
Relicensing Settlement Agreement
Appendix D - Modifications to the Yadkin Project Specifications for Private Recreation
Facilities, Shoreline Stewardship Policy, and Subdivision Access Approval, Multi-use
Facility Permitting, and Industrial Approval Procedures for Inclusion in the Revised
Shoreline Management Plan
Appendix E - Maps of Land Conveyances and Land Grants
Appendix F - List of Parties and Primary Contacts
Yadkin Hydroelectric Project (FERC No. 2197) iii February 2007
Relicensing Settlement Agreement
List of Tables
Table WQ-1. Dissolved Oxygen Enhancement and Monitoring Schedule ................................. 2-2
Table LIP-1. Historic Stream Gage Three-Month Rolling Average Flow .................................... 3-7
Table LIP-2. Full Pond Elevations ............................................................................................... 3-7
Table LIP-3. Normal Minimum Elevations ................................................................................... 3-7
Table LIP-4. Summary of LIP Triggers ........................................................................................ 3-9
Table LIP-5. LIP Flows ................................................................................................................ 3-9
Table REC-1. Yadkin Project Recreation Facility Improvements ............................................. 3-12
Yadkin Hydroelectric Project (FERC No. 2997) iv February 2007
Relicensing Settlement Agreement
List of Figures
Figure PO-1. High Rock Reservoir Operating Curve .................................................................. 3-1
Figure PO-2. Tuckertown Reservoir Operating Curve ................................................................ 3-2
Figure PO-3. Narrows Reservoir Operating Curve ..................................................................... 3-3
Figure PO-4. Falls Reservoir Operating Curve ........................................................................... 3-4

Yadkin Hydroelectric Project (FERC No. 2197) v February 2007
Relicensing Settlement Agreement
Acronyms
ADA Americas with Disabilities Act
AIP Agreement in Principle (dated June 23, 2006)
APGI Alcoa Power Generating Inc.; Licensee
BLA Badin Lake Association
cfs Cubic Feet per Second
CIN Catawba Indian Nation
Commission Federal Energy Regulatory Commission (FERC)
DO Dissolved Oxygen
DOAP Dissolved Oxygen Action Plan
DOCAP Dissolved Oxygen Corrective Action Plan
Downstream Licensee Licensee of the Yadkin-Pee Dee River Project (FERC No. 2206);
Progress Energy Carolinas, Inc. (PE)
EPA U.S. Environmental Protection Agency
ESA Endangered Species Act
FERC Federal Energy Regulatory Commission; Commission
FPA Federal Power Act
FWCA Fish and Wildlife Coordination Act
FWPCA Federal Water Pollution Control Act
HPMEP Hydro Project Maintenance and Emergency Protocol
HP MP Historic Properties Management Plan
HRLA High Rock Lake Association
Land Trust The Land Trust for Central North Carolina (LTCNC)
Licensee Alcoa Power Generating Inc. (APGI)
LIP Low Inflow Protocol
LTCNC The Land Trust for Central North Carolina; Land Trust
MGD Million Gallons per Day
NCDENR North Carolina Department of Environment and Natural
Resources
NCDOT North Carolina Department of Transportation
NCDWQ North Carolina Division of Water Quality
NCDWR North Carolina Division of Water Resources
NCSHPO North Carolina State Historic Preservation Office
NCWRC North Carolina Wildlife Resources Commission
NME Normal Minimum Elevation
NMFS National Marine Fisheries Service
NOAA U.S. Department of Commerce National Oceanic and
Atmospheric Administration
PE Progress Energy Carolinas, Inc.; Downstream Licensee; Licensee
of the Yadkin-Pee Dee River Project (FERC No. 2206)
Project Yadkin Hydroelectric Project (FERC No. 2197); Yadkin Project
QAPP Quality Assurance Project Plan
RSA Relicensing Settlement Agreement; Settlement Agreement;
Agreement
RTE Rare, Threatened and Endangered
SC State of South Carolina
SCDHEC South Carolina Department of Health and Environmental Control
Yadkin Hydroelectric Project (FERC No. 2197) vi February 2007
Relicensing Settlement Agreement
SCDNR
SCPDRC
Settlement Agreement
SHPO
SMP
TLC Plan
TMDL
TNC
UNF
USFWS
USFS
USGS
Yadkin
Yadkin Project
YPD-DMAG
South Carolina Department of Natural Resources
South Carolina Pee Dee River Coalition
Relicensing Settlement Agreement (RSA); Agreement
State Historic Preservation Office
Shoreline Management Plan
Transmission Line Corridor Management Plan
Total Maximum Daily Load
The Nature Conservancy
Uwharrie National Forest
U.S. Fish and Wildlife Service
U.S. Forest Service
U.S. Geological Survey
Yadkin Division of Alcoa Power Generating Inc.
Yadkin Hydroelectric Project (FERC No. 2197); Project
Yadkin-Pee Dee River Basin Drought Management Advisory
Group

Yadkin Hydroelectric Project (FERC No. 2197) vii February 2007
Relicensing Settlement Agreement
1.0 General
1.1 Purpose and Effect of Settlement Agreement
The Parties have entered into this Settlement Agreement for the purpose of resolving all issues
that have or could have been raised by the Parties in connection with the Federal Energy
Regulatory Commission (FERC or Commission) relicensing of the Yadkin Project (Project) and
to provide the necessary assurances to Alcoa Power Generating Inc. (APGI or Licensee) and to
receive the necessary commitments of APGI regarding future financial obligations,
environmental and resource undertakings, and other licensing-related matters as specifically
addressed herein.
APGI filed an application for a Major New License for the Yadkin Project with the Commission
on April 25, 2006. Included in that application is information on the ongoing impacts of the
Project developed through studies scoped and performed in the communications-enhanced
traditional relicensing process conducted by APGI and approved by FERC. Once executed, the
Parties understand and agree that this Agreement will be filed with FERC as an Offer of
Settlement that FERC may choose to implement in a New License for the Project in lieu of the
operational proposals and certain other elements of that application.
This Agreement specifies the Licensee's obligations for the protection, mitigation and
enhancement of ecological, environmental, recreational and cultural resources affected by the
Project under a New License to be issued by FERC, as well as enforceable obligations of other
Parties to this Agreement. All rights necessary or desirable to operate, manage and maintain
the Project and to engage in power and utility operations that are consistent with this Settlement
Agreement are reserved by APGI. This Agreement also specifies procedures to be used among
the Parties to ensure the implementation of those License Articles and other agreed upon
contractual obligations consistent with this Agreement, and with other legal and regulatory
mandates. For these purposes, the Parties agree that this Agreement is fair and reasonable and
in the public interest. Except as specifically provided below, any Party that is also a
governmental agency agrees that the Licensee's performance of its obligations under this
Agreement will be consistent with and is intended to fulfill the Licensee's existing statutory and
regulatory obligations, as to each Party that is also a governmental agency relating to the
relicensing of the Project, with regard to the Federal Power Act (FPA), 16 U.S.C. § 791(a) et.
seq., the Federal Water Pollution Control Act (as amended) (FWPCA), 33 U.S.C. § 1251 et.
seq., the Endangered Species Act (ESA), 16 U.S.C. § 1531 et. seq., the National Historic
Preservation Act 16 U.S.C.§ 470F, and the Fish and Wildlife Coordination Act (FWCA), 16
U.S.C. § 661 et. seq.
1.2 Definitions
1.2.1 "Agreement in Principle" shall mean the preliminary agreement dated June 23,
2006 (AIP).
1.2.2 "Annual License" shall mean the license(s) issued on an annual basis by the
Commission, pursuant to 16 U.S.C. § 808(a), upon expiration of the current
License on March 31, 2008 until such time as the Commission issues a New
Yadkin Hydroelectric Project (FERC No. 2197) 1-1 February 2007
Relicensing Settlement Agreement
License for the Project, or upon expiration of the New License until such time as
the Commission issues a subsequent new license for the Project.
1.2.3 "Commission" or "FERC" shall mean the Federal Energy Regulatory
Commission.
1.2.4 "Effective Date" means the date as stated in Section 1.3.5 of this Agreement.
1.2.5 "FERC-Imposed Modification" shall exist if 1) the Commission issues a New
License that contains a license article that is not included in the L-Form (as
defined by 18 C.F.R. § 2.9) applicable to the Project and that is not proposed by
the Parties; omits a Proposed License Article and the substance of that Proposed
License Article is not otherwise enforceable by contract under Section 2 of this
Agreement, provided that there is no other provision in the New License that
prevents the implementation of that omitted Proposed License Article; modifies a ,
Proposed License Article; or otherwise takes action that is materially inconsistent
with the terms of this Settlement Agreement and 2) a Parry determines, in its sole
judgment, that the Commission's Order issuing the New License materially (i)
increases a Party's overall costs and burdens of and/or (ii) impairs a Party's
bargained-for benefits under this Settlement Agreement. FERC's inclusion of the
following within APGI's New License shall not be construed as a material
increase or impairment: 1) language reserving authority throughout the license
term to require changes to plans or other requirements of the Licensee or 2) any
reopener clause. A Proposed License Article, or part thereof, will be considered
"omitted" if the Commission declares that it will not enforce the Proposed License
Article, or part thereof.
1.2.6 "Final and Non-Appealable" when used in conjunction with the issuance of the
New License, shall be deemed to have occurred on either (1) the thirty-first day
after the date FERC issues an order setting forth the New License for the Yadkin
Project if no Party seeks rehearing of such order; or (2) if any Party seeks
rehearing of such an order, the earliest date upon which no further court appeal
of a FERC order issuing a New License for the Yadkin Project, including a
Petition for Writ of Certiorari to the Supreme Court of the United States, or action
by a court or by FERC with respect to such appeal, is possible.
1.2.7 "License" shall mean the regulatory authorization for construction, maintenance,
and operation of the Project subject to the jurisdiction of FERC pursuant to the
Federal Power Act, 16 U.S.C. § 791 et seq. ("the FPA" ).
1.2.8 "Licensee" shall mean Alcoa Power Generating Inc. (APGI), the legal entity
holding the existing FPA license for the Project as well as the legal entity to
which the Commission is expected to issue the New License for the Project and
any successors in interest.
1.2.9 "New License" shall mean the license the Parties expect to be issued by the
Commission to the Licensee pursuant to Section 15 of the FPA for the continued
operation of the Project.
Yadkin Hydroelectric Project (FERC No. 2197) 1-2 February 2007
Relicensing Settlement Agreement
1.2.10 "Offer of Settlement" shall mean an offer of settlement to be filed with FERC
pursuant to 18 C.F.R. § 385.602, which offer shall be comprised 'of this
Settlement Agreement.
1.2.11 "Party" or "Parties" shall mean the entities that are signatories to this
Agreement. (The Parties are listed in Appendix F of this Settlement Agreement.)
1.2.12 "Project" shall mean the Yadkin Hydroelectric Project, licensed to the Licensee
as FERC Project No. 2197 (1958).
1.2.13 "Proposed License Article(s)" shall mean the terms and conditions set forth in
Section 3 of this Settlement Agreement.
1.2.14 "Section 401" shall mean Section 401 of the Federal Water Pollution Control Act
(as amended), codified at 33 U.S.C. § 1341.
1.2.15 "Section 401 Agency" shall mean the agency of the State of North Carolina (i.e.
the Division of Water Quality) that is authorized to issue certifications pursuant to
Section 401 to the extent that such agency is acting in its capacity as a decision
maker pursuant to Section 401, and not in an unrelated capacity e.g.,
commenting in a proceeding before another agency.
1.2.16 "Section 401 Certification" shall mean the certification issued under Section
401 by the State of North Carolina Section 401 Agency in connection with the
issuance of the New License.
1.2.17 "Settlement Agreement" shall mean this document, including appendices,
together with any information herein incorporated by reference. Hereinafter
"Settlement Agreement" may be referred to as either "Settlement Agreement" or
"Agreement".
1.3 General Provisions
1.3.1 Scope of Settlement Agreement
The Parties agree that this Settlement Agreement resolves all issues among the Parties
associated with, and constitutes a comprehensive settlement of, all issues that have or could
have been raised by the Parties in connection with the FERC relicensing of the Project.
1.3.2 Procedures Regarding Certain Statutory Authorities and Obligations
The Parties have negotiated this Agreement with the intent that the terms of the Agreement
satisfy and are consistent with all legal requirements of all governmental agencies with statutory
rights or duties regarding the Project and/or mandatory conditioning authority over the Project
(except for fish passage issues under Section 18 of the FPA). The Parties recognize that any
Party that is also a governmental agency with statutory rights or obligations, including, but not
limited to mandatory conditioning authority, must abide by all applicable procedural and
substantive laws, regulations and rules in the exercise of such authority in order to ensure
consistency with applicable laws, regulations and rules during implementation of this Agreement
Yadkin Hydroelectric Project (FERC No. 2197) 1-3 February 2007
Relicensing Settlement Agreement
and to issue lawful, mandatory conditions or recommendations, and such Parry has not
compromised its authority or acted unlawfully by negotiating and entering into this Agreement.
No provision in this Agreement shall diminish, modify, or otherwise affect the statutory or
regulatory authorities of the agencies involved, including those with mandatory conditioning
authority. Specifically, nothing in this Agreement shall preclude the state and federal resource
agencies from complying with their obligations under the FPA, FWPCA, ESA, FWCA, the Clean
Air Act or the National Environmental Policy Act.
1.3.3 Commitments During Relicensing
The Parties agree to support the issuance of a New License with a 50-year license term. In the
event that FERC issues a New License with a term of less than 50 years, the Parties agree that
APGI may file a request for rehearing with FERC and, if necessary, an appeal with the United
States Court of Appeals. In its request for rehearing and any subsequent appeal, APGI is
authorized to state affirmatively that each Party supports the request of a New License with a
term of 50 years, unless a Party gives notice to APGI within ten days of FERC's issuance of the
New License that it no longer supports a 50-year license term due to a FERC-Imposed
Modification(s). The Parties also agree either to join APGI in filing such request or to otherwise
express support on the record for APGI's request
If FERC denies the request for rehearing the Parties that are not governmental agencies agree
to join APGI in filing an appeal with the United States Court of Appeals or to otherwise express
their support for the appeal on the record with that Court. The Parties recognize and agree that
the Parties that are also governmental agencies must request participation in the appeal by their
agencies in a manner consistent with their respective agency's protocols, and can only
participate in the appeal to the extent that those protocols allow each agency's participation. In
addition, the Parties agree to request, in a manner consistent with and to the extent allowed by
each Party's protocols, if any, the State of North Carolina and the United States, respectively, to
join APGI in filing an appeal, or to otherwise express their support for the appeal on the record
with the United States Court of Appeals.
The Parties' commitments herein with regard to said request for rehearing and appeal shall be
limited to the sole issue of the duration of the license term. However, any Party may choose to
and is urged to join APGI in any request for rehearing and appeal that is brought by APGI to
effectuate any element or elements of this Agreement.
In any proceeding relevant to the terms or interpretation of the terms of the New License, the
Parties agree to support and/or defend the conditions of the Certification by the State of North
Carolina Section 401 Agency that are consistent with the terms of this Agreement. However,
nothing in this Agreement shall be construed to limit the State of South Carolina's (SC's) or the
U.S. Environmental Protection Agency's (EPA's) right to initiate the procedures under 33 U.S.C.
§ 1341 should it be deemed necessary by SC or EPA.
In any proceeding before any agency with mandatory conditioning authority, the Parties are
encouraged to urge upon such agency that the terms of this Agreement satisfy the agency's
legal mandates and are within the agency's discretion; provided that Parties who are
governmental agencies are not by this commitment compromising or relinquishing any legal
authority or process requirements.
Yadkin Hydroelectric Project (FERC No. 2197) 1-4 February 2007
Relicensing Settlement Agreement
During the relicensing process, the Parties agree not to propose or otherwise communicate to
FERC or to any other federal or state resource agency with jurisdiction directly related to the
relicensing process any comments, recommendations, measures, prescriptions, terms or
conditions, other than ones consistent with the terms of this Agreement. Any Party that is also a
governmental agency with statutory rights or obligations, including, but not limited to mandatory
conditioning authority, agrees that any comments, recommendations, measures, prescriptions,
terms or conditions such party makes to FERC or any other federal or state resource agency
will be made in good faith under each party's respective authority and regulatory and statutory
obligations and that each may, consistent with applicable law, take into account the process
culminating in this Agreement.
1.3.4 Structure of Settlement Agreement
This Settlement Agreement consists of an Agreement signed by the Parties together with six
appendices to that Agreement. The Agreement includes "General" provisions, "Settlement
Provisions Not Covered by Proposed License Articles" and "Proposed License Articles".
Appendices A, B, C and D consist of various agreements that are included in the overall
settlement bargain among the Parties and are incorporated by reference into the Agreement.
Appendix E consists of various maps of land conveyances and grants, and Appendix F consists
of a list of the Parties executing the Settlement Agreement and primary contacts, which is
included to provide information regarding the giving of notice in accordance with Section
1.3.10.5 of this Agreement and which otherwise has no significance within the Settlement
Agreement.
To the extent that there are conflicts between the language of any Proposed License Article and
the language of the remainder of the Settlement Agreement (including the Appendices), the
language of the Proposed License Article shall be controlling. To the extent that there are
conflicts between the language of the documents included in the Appendices and the language
of the remainder of the Settlement Agreement, the language in the Appendices shall be
controlling.
1.3.5 Effective Date and Term of Settlement Agreement
Once negotiations on the terms of this Settlement Agreement have been completed, the
Agreement will be presented to the Parties for signature for a 30-day period. After the close of
the signature period, and before the effective date of this Agreement, those Parties that choose
to sign the Agreement may agree to modify the substantive provisions of the Agreement to
match the collective interests and needs of those Parties, which may include the deletion of
provisions beneficial to non-signatories. This Settlement Agreement shall become effective
among its signatories on April 22, 2007, or, if the Parties that choose to sign the Agreement
agree to modify the substantive provisions of the Agreement, on a date on which they mutually
agree. This Agreement may be executed in separate counterparts, with each counterpart
deemed to be an original having the full force and effect thereof. The Agreement shall remain in
effect for the term of the New License issued by the Commission for the Project and for any
Annual License issued subsequent thereto, unless terminated pursuant to Section 1.3.14. Upon
the Effective Date of this Agreement, the AIP is terminated, and no provision in that AIP shall be
used to interpret any provision of this Agreement.
Yadkin Hydroelectric Project (FERC No. 2197) 1-5 February 2007
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1.3.6 Effective Date of Settlement Obligations
To the extent that the Licensee's obligations under this Settlement Agreement are contained in
the New License, those obligations shall be binding upon the Licensee upon issuance of the
New License, except to the extent such obligations may be stayed by law. For all Parties other
than the Licensee, and for the Licensee with respect to obligations not set forth in the New
License, the obligations under this Settlement Agreement shall become binding and effective
once the New License becomes Final and Non-Appealable, EXCEPT THAT, from the Effective
Date of the Settlement Agreement until termination, all Parties shall have the obligations as set
forth in this Agreement including (i) supporting approval of the Settlement Agreement before
FERC and, if there be one, in any court appeal regarding the New License consistent with the
commitments in Section 1.3.3 and (ii) complying in good faith with respect to the dispute
resolution process specified herein.
1.3.7 Jurisdiction
Execution of this Agreement does not constitute a consent to jurisdiction of any court unless
such jurisdiction otherwise exists. Execution of this Agreement also does not constitute a waiver
of any immunity or privilege except as provided by law.
1.3.8 Dispute Resolution
1.3.8.1 General
Except where otherwise specifically provided in this Settlement Agreement, a dispute that arises
under or is related to any Party's compliance with any obligation arising under this Settlement
Agreement or under the New License, including a Party's failure to act or a Party's abuse of
discretion in performing such duty shall be resolved as follows:
1.3.8.2 Consensus Required
The Parties will make best efforts to reach consensus and resolve any dispute arising under or
related to the Settlement Agreement or the New License. A resolution based on consensus shall
have either the unanimous support of all Parties, or at least no opposition from any Party. If a
Party has no objection to the resolution but does not specifically endorse it, for purposes of this
Section 1.3.8.2, the lack of opposition shall be considered to be support of the resolution.
1.3.8.3 Consultation
In the event any dispute arises under either the New License or this Settlement Agreement, the
disputing Parties agree to engage in good faith negotiations for a period of at least 45 days
commencing once written notice of the dispute is delivered by any disputing Party to any other
disputing Party in an effort to resolve the dispute, provided that nothing in this Agreement
prevents the Licensee from taking any legally available appeal to FERC or the Courts, which
may require action in less than 45 days, where it deems necessary. During the 45-day period,
any disputing Party may request the services of a neutral mediator to assist in resolving the
dispute. If mediation is acceptable to all of the disputing Parties, such mediator shall be jointly

Yadkin Hydroelectric Project (FERC No. 2197) 1-6 February 2007
Relicensing Settlement Agreement
agreed upon by them. Before engagement of a mediator, the disputing Parties will reach an
agreement on each party's obligation for the costs of such services.
If any Party believes that another Party has failed to comply with any obligation under this
Agreement (including compliance by the Licensee with the New License), the Party shall notify
all other Parties in writing and the interested Parties shall consult and may engage a mediator
as described above. The interested Parties shall attempt to determine (i) whether non-
compliance has occurred, and (ii) in the event of non-compliance, establish a reasonable time in
which the Party must cure the non-compliance. In emergency situations, a Party may, in good
faith and for good cause, seek relief as provided by law without regard to any Consultation
requirements, such as those in this paragraph and Section 1.3.8.4 immediately below.
In the event that FERC institutes an action to enforce a License Article against APGI before the
Consultation process is completed, any Party may participate in that action as such Parry
considers appropriate without completing or complying with the Consultation process.
1.3.8.4 Remedies
If after engaging in Consultation pursuant to Section 1.3.8.3, the Parties have not reached
consensus or if, in the event of non-compliance for which a schedule to cure the non-
compliance has been established through Consultation, the offending Party has not cured the
failure within the time established, any Party that participated in the Consultation may seek
resolution before any agency or court with jurisdiction over the matter; provided that if the
dispute concerns the Licensee's compliance with the New License and the dispute is not
resolved at the conclusion of Consultation, or if, in the event of non-compliance for which a
schedule to cure the non-compliance has been established through Consultation, the Licensee
has not cured the non-compliance within the established time, any Party that participated in the
Consultation may petition or otherwise request FERC to enforce the License Article with which
the Licensee is alleged to have failed to comply. If FERC affirmatively declines to enforce a
License Article or fails to act within a reasonable time after a petition or request to enforce has
been filed which period of time shall not be less than six months, then such Party may file with
FERC a petition for rehearing regarding the alleged failure and pursue any further remedies,
including judicial review.
If FERC's failure to enforce is unrelated to the merits of whether a License violation has
occurred but is due solely to a Commission policy and/or legal determination or a combination of
policies and determinations (such as a jurisdictional restriction on the Commission), then the
State of North Carolina may bring suit to enforce any coordinate obligation of this Agreement as
a matter of contract. In that event the Licensee shall not raise as a defense that the suit is in any
manner precluded in whole or in part on the ground that the obligation under this Agreement
can not be enforced because it is incorporated into the FERC license.
In addition, for any dispute regarding compliance with any license condition included in the New
License pursuant to Section 401 Certification, the State may, in its sole discretion, enforce such
provision in federal or State court or by State administrative means. The Licensee shall not
defend against any such enforcement action on the grounds that the State is precluded from
enforcing a final Section 401 Certification (i.e., one that has undergone public notice and
comment and is final and effective after any timely appeals) in federal or State court or by State
administrative means as a matter of law, which may preclude defenses of, e.g., lack of subject
matter jurisdiction, lack of personal jurisdiction, improper venue, or that FERC is a necessary or
Yadkin Hydroelectric Project (FERC No. 2197) 1-7 February 2007
Relicensing Settlement Agreement
proper party. Except as provided in this section, nothing in this Settlement Agreement shall be
construed as creating a right of any Party to enforce the New License against the Licensee as a
matter of contract. Notwithstanding the forgoing or any other provision of this Settlement
Agreement, nothing in this Agreement shall be construed to require the Licensee to seek or
participate in consultation or any other form of dispute resolution hereunder with respect to any
issue relating to State enforcement of any condition of the New License.
1.3.8.5 No Damages at Law
No Party shall be liable for damages at law for any breach of this Settlement Agreement or the
New License, any performance or failure to perform an obligation imposed by either or both of
them or any other cause of action arising from either or both of them. As such, the Parties
implicitly agree that specific performance shall be an appropriate remedy for any breach. This
section, however, shall not otherwise exempt the Licensee from liability for its actions under
Section 10(c) of the Federal Power Act, 16 U.S.C. § 803(c).
1.3.9 Withdrawal from Settlement Agreement
1.3.9.1 Withdrawal Once New License is Final and Non-Appealable
A Party may withdraw from this Settlement Agreement once the New License is issued with a
FERC-Imposed Modification and has become Final and Non-Appealable, provided that the
withdrawing Party has exhausted its administrative and judicial remedies in contesting such
FERC-Imposed Modification. As used in the preceding sentence, a Party will have exhausted its
administrative and judicial remedies if it undertakes all steps necessary to have a FERC-
Imposed Modification reviewed up to and including a review by the United States Court of
Appeals, but will not be required to seek a Writ of Certiorari from the Supreme Court of the
United States. A Party seeking to withdraw pursuant to this section must give notice in the
manner prescribed by section 1.3.10.5. Upon withdrawal, this Agreement will have no force or
effect as to that Party.
1.3.9.2 Withdrawal upon Denial of Request for Rehearing
A Party may withdraw from this Settlement Agreement once the New License is issued with a
FERC-Imposed Modification and FERC has denied rehearing of the Party's request for
rehearing. A Party seeking to withdraw pursuant to this section must give notice in the manner
prescribed by section 1.3.10.5. Withdrawal is authorized if (i) it has complied with the
Consultation procedures in Section 1.3.8.3 and (ii) all other Parties consent to the withdrawal. In
determining whether to consent to a Party's request to withdraw, the other Parties shall consider
the likelihood of the requesting Party's success on the merits of appealing the denial of
rehearing to the United States Court of Appeals and the requesting Party's projected costs in
appealing FERC's denial of rehearing to the United States Court of Appeals.
1.3.9.3 A License Term Less Than 50 Years is Not a Basis for
Withdrawal
APGI agrees that a New License with a term of less than 50 years does not constitute a basis
for withdrawal from the Agreement. However, should FERC issue a New License with a term of
less than 45 years, the Licensee may withdraw.
Yadkin Hydroelectric Project (FERC No. 2197) 1-8 February 2007
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1.3.9.4 Withdrawal Upon Other Causes
A Party may withdraw from this Agreement if it is deprived of a significant bargained-for benefit
under this Agreement by the withdrawal of another Party.
1.3.9.5 Notice of Withdrawal
In order to withdraw, in addition to any other requirements, a Party must provide written notice
to all other Parties as required by Section 1.3.10.5. The notice must describe the reasons for
withdrawal in sufficient detail to allow for good faith discussion of the issues. The Parry must
comply completely and in good faith with the Consultation procedures required by Section
1.3.8.3. The withdrawal is effective upon completion in good faith of the Consultation process,
upon completion of the rehearing and appeal requirements, or 60 days after the notice,
whichever is later.
1.3.9.6 Waiver of Right to Withdraw
Any right to withdraw under this Agreement is waived if the Party with such right does not give
notice to all other Parties of its intent to withdraw within 180 days of the New License becoming
Final and Non-Appealable, unless a Party is participating in rehearing or some other appeal of
the New License. in which case that Party's right to withdraw shall expire 180 days after the
rehearing or other appeal is Final and Non-Appealable.
1.3.10 Miscellaneous
1.3.10.1 Limitations of Applicability
This Settlement Agreement is made on the express understanding that it constitutes a
negotiated settlement of issues specific to the Project as they have been addressed by
documents contained in or referred to in this Agreement and its Appendices. No Party shall be
deemed, by virtue of execution of this Settlement Agreement, to have established precedent, or
admitted or consented to any approach, methodology, or principle except as expressly provided
herein. In the event this Settlement Agreement is approved by the Commission, such approval
shall not be deemed a precedent for or controlling regarding any particular issue or contention in
any other proceeding.
1.3.10.2 Successors and Assigns
This Settlement Agreement shall apply to, and be binding on, the Parties and their successors
and assigns. No change in ownership of the Project or transfer of the New License by the
Licensee shall in any way modify or otherwise affect any other Party's interests, rights,
responsibilities, or obligations under this Settlement Agreement. Unless prohibited by applicable
law, the Licensee shall provide in any transaction for a change in ownership of the Project or
transfer of the existing or New License, that such new owner shall be bound by, and shall
assume the rights and obligations of this Settlement Agreement upon completion of the change
of ownership. In the event applicable law prohibits the new owner from assuming some or all of
the rights and obligations of this Settlement Agreement, any Party may withdraw from this
Settlement Agreement, after providing written notice of withdrawal as set forth in section 1.3.9.5.
Yadkin Hydroelectric Project (FERC No. 2197) 1-9 February 2007
Relicensing Settlement Agreement
The Licensee shall provide written notice to the other Parties at least 90 days prior to
completing such transfer of license.
1.3.10.3 Severability
This Settlement Agreement is made on the understanding that each term is in consideration and
support of every other term, and each term is a necessary part of the entire Settlement
Agreement. Should any court hold that any section, provision, or part thereof is invalid or
unenforceable, the validity or enforceability of any other provision of this Agreement is not
affected thereby, provided that if the invalidity or unenforceability of any section, provision or
part thereof materially (1) increases a Party's overall costs and burdens or (2) impairs a Parry's
bargained-for benefits under this Settlement Agreement, that Party may withdraw in the manner
prescribed by Section 1.3.9.5.
1.3.10.4 Force Majeure
In those instances where force majeure may apply, no Party shall be liable to any other Party for
breach of this Settlement Agreement as a result of a failure to perform or for delay in
performance of any provision of this Settlement Agreement due to any cause reasonably
beyond its control. This may include, but is not limited to: a) acts of God, fire, war, insurrection,
civil disturbance, explosion; b) adverse weather conditions that could not be reasonably
anticipated causing unusual delay in transportation and/or field work activities; c) restraint by
court order or order of public authority; or d) inability to obtain, after exercise of reasonable
diligence and timely submittal of all applicable applications, any necessary authorizations,
approvals, permits, or licenses due to action or inaction of any governmental agency or
authority; and (e) labor disputes or strikes which are reasonably beyond the control of the Party
seeking excuse from performance. The Party whose performance is affected by a force majeure
will make all reasonable efforts to promptly resume performance. The Party affected by a force
majeure event shall notify the other Parties of the circumstances of the event that it believes
constitutes a force majeure event as soon as it is reasonably possible and practical to do so.
The settlement of strikes or lockouts or industrial disputes or disturbances is entirely within the
discretion of the Party declaring force majeure, and that Party will not be required to settle the
strikes, lockouts, or industrial disputes or disturbances by acceding to the demands of any
opposing Party when such course of action is inadvisable in the discretion of the Parry declaring
the force majeure.
1.3.10.5 Notices and Communications
All written notices to be given pursuant to this Settlement Agreement shall be mailed by
electronic mail, facsimile, certified first class mail return receipt requested, or overnight express
service, to each Party at the addresses listed in Appendix F or to such subsequent address as a
Party shall by written notice identify. Notices shall be deemed to be given on the same business
day as any electronic mail or facsimile transmitted before 5:00 p.m., eastern time, unless the
intended recipient demonstrates that the electronic mail or facsimile was not timely received, or
on date of receipt if overnight express or other receipt-notification service is used.
For purposes of implementing this Settlement Agreement, the Parties agree that the individuals
listed in Appendix F shall be designated to be the primary contact person and all written notices
shall be posted to these individuals at the addresses listed in Appendix F. Notification of
Yadkin Hydroelectric Project (FERC No. 2197) 1-10 February 2007
Relicensing Settlement Agreement
changes in the contact persons or addresses must be made in writing and delivered to all other
contact persons by certified first class mail return receipt requested.
Upon reasonable request by any Parry, the Licensee will make available copies of the
Settlement Agreement, together with all amendments including changes to the Parties' contact
information, to the extent that such changes have been provided in writing to the Licensee.
1.3.10.6 Responsibility for Costs
Except as expressly provided for in this Settlement Agreement, all Parties are to bear their own
costs for participating in the Agreement, provided that any State or federal government Party's
participation in the Agreement is subject to available funding.
1.3.10.7 Water Rights Unaffected
This Settlement Agreement does not grant or affirm any property right, license or privilege to
any Parry or other entity in any waters or any right of use by any Party or other entity in any
waters. This Agreement does not authorize any person to interfere with the riparian rights,
littoral rights or water use rights of any other person. No person shall interpose this Agreement
as a defense in any action respecting the determination of riparian or littoral rights or other water
use rights.
1.3.10.8 Cross Referenced Laws and Documents
Unless otherwise noted, any reference to any statute, regulation or other document refers to the
statute, regulation or document as it exists on the Effective Date of this Settlement Agreement
as described in Section 1.3.5 of this Agreement.
1.3.10.9 No Third Party Beneficiaries
This Settlement Agreement shall not create any right as a third-party beneficiary in any
individual or entity that is not a Party. This Agreement shall not be construed to authorize any
such third party to maintain a suit in law or equity under this Agreement.
1.3.10.10 No Commitment of Government Funds
Nothing in this Settlement Agreement shall be construed as obligating any federal, state, or
local agency to expend in any fiscal year any sum in excess of appropriations made by
Congress or state or local legislatures or administratively allocated for the purpose of this
Agreement for the fiscal year or to involve any federal, state, or local agency in any contract or
obligations for the future expenditure of money in excess of such appropriations or allocations
nor shall it be construed to require the transfer or use of any government lands or other
resources (including personnel) except as authorized by law.
1.3.10.11 No Delegation
Nothing in this Agreement shall be construed as requiring, affecting modifying or involving the
authorization or delegation by any government agency to any other body of any authority that
has been authorized by Congress or the legislature of any state.
Yadkin Hydroelectric Project (FERC No. 2197) 1-11 February 2007
Relicensing Settlement Agreement
1.3.10.12 Signatory Authority
Intending to be legally bound by the terms of this Settlement Agreement, each Party has
executed the Agreement by the signature of its duly authorized representative(s), and by his or
her signature that duly authorized representative(s) certifies that he or she has in fact the
authority to commit his or her agency or organization to the terms of this Agreement to the
maximum extent permissible by law.
1.3.10.13 Paragraph Titles for Convenience Only
The titles for the paragraphs of this Agreement are used only for convenience of reference and
organization, and shall not be used to modify, explain, or interpret any of the provisions of this
Agreement or the intentions of the Parties.
1.3.10.14 Waiver
Failure by any Party to insist upon or otherwise call upon others to account for the strict
performance of any term or covenant of this Agreement, or of any right under this Agreement
shall not be a continuing waiver. To be effective a waiver must be in writing. A Party's failure to
secure a written waiver shall not be construed as a waiver by that Party of any statute of
limitations or other limitations period. Waiver of any requirement of law shall not be, or be
evidence of, a continuing waiver or recurring waiver of such requirement of law.
1.3.10.15 No Standing
No Party will seek to use its status as a Party to this Agreement to establish standing, or
aggrieved-party status in order to challenge any action of any Party that is also a governmental
agency when that governmental agency's actions are pursuant to fulfilling its statutory duties.
1.3.10.16 Future Licensing Proceedings
Nothing in this Agreement shall be construed to restrict in any way any Party's participation in
any proceeding for a New License for the Project with an effective date on or after the expiration
of the New License, nor shall any Party be restricted in any way from participating in any
proceeding associated with the application for such a new license, including any application for
a Section 401 Certification.
1.3.11 Actions upon Execution of Agreement
1.3.11.1 FERC Filings by APGI
Within 30 days after the Effective Date of this Settlement Agreement, the Licensee shall file with
FERC an Offer of Settlement pursuant to Rule 602 (18 C.F.R. § 385.602) consisting of the
Settlement Agreement. The Offer of Settlement shall request FERC to incorporate all Proposed
License Articles, without modification, into the New License for the Project and to identify all
Proposed License Articles, if any, that are unenforceable by FERC.
Yadkin Hydroelectric Project (FERC No. 2197) 1-12 February 2007
Relicensing Settlement Agreement
1.3.11.2 Other Filings with FERC by the Parties
The Parties shall: a) submit, individually or collectively, a statement or statements in support of
this Agreement to FERC within 45 days of the Effective Date of this Settlement Agreement; b)
the Party's complete and final recommendations, measures, terms, conditions, and/or
prescriptions pursuant to Sections 10(a), 100), and 18 of the FPA, Section 106 of the National
Historic Preservation Act, and Section 7 of the Endangered Species Act, if the Party has such
authority, shall be consistent with the Agreement; c) ensure that any supplemental information,
comments or responses to comments filed by them with FERC or any mandatory conditioning
agency in the context of the relicensing process are consistent with this Agreement (with the
exception of a Section 401 Agency with regard to its Section 401 Certification); d) use their best
reasonable efforts to obtain a FERC order approving this Agreement and issuing a New License
for the Project consistent with this Agreement in a timely manner, and e) actively support, in all
relevant regulatory and judicial proceedings in which they participate, regulatory and judicial
actions consistent with this Agreement
1.3.11.3 Adoption by FERC Without Modification
The Parties have entered into this Settlement Agreement with the express expectation and
condition that FERC will approve the Settlement and issue a New License for the Project that
incorporates, without modification, the Proposed License Articles in Section 3. The Parties shall
request that FERC adopt the Proposed License Articles without modification.
The Parties agree that if FERC approves the Offer of Settlement and incorporates the Proposed
License Articles into the New License without modification or otherwise does not disapprove or
supersede the terms of this Agreement, they will not seek rehearing of the FERC order granting
a New License for any issues covered by this Agreement, or support in any way any such
request for rehearing by any non-Party to this Agreement.
The Parties recognize that if FERC issues a new license to APGI that is consistent with the
Agreement, the Agreement will have the status of a contract enforceable at law and in equity
with respect to those provisions that FERC or a court of competent jurisdiction determines are
beyond FERC's jurisdiction to enforce. The Parties also acknowledge that the Agreement binds
all Parties to perform any commitments they have made therein. Furthermore, the Parties agree
that if FERC declines to include in the New License one of the Proposed License Articles, that
Article retains its status as a contractual commitment under this Agreement and may be
enforceable at law in state court to the extent that it does not conflict with any provision of the
New License. The Parties agree that they have provided consideration for the Agreement by
compromising rights and remedies they could assert before FERC in this relicensing
proceeding.
1.3.11.4 Modification and/or Amendment
1.3.11.4.1 Effect of FERC Adoption with Modification
If 1=ERC adopts the Proposed License Articles with modification, the Settlement Agreement shall
be deemed amended to conform to the New License unless a Party gives notice of objection to
the New License with a FERC-Imposed Modification pursuant to Section 1.3.11.4.2, below.
Absent such objection, the Parties will be bound by the terms of this Settlement Agreement as
amended.
Yadkin Hydroelectric Project (FERC No. 2197) 1-13 February 2007
Relicensing Settlement Agreement
If FERC incorporates Settlement Agreement obligations into the New License that are intended
to be specific resource commitments by and between certain Parties to the Settlement
Agreement such that the commitments were not proposed as License Articles by the Parties
and become enforceable by FERC against the Licensee (e.g., if FERC requires through a
License Article that the Licensee fund recreation commitments that were to be made by a
resource agency funded by APGI), the Parties agree that any funds obligated by APGI in the
Settlement Agreement to meet those commitments will be applied to the cost to APGI of
meeting the New License requirement. Funds intended to provide operational and maintenance
support for public recreation areas, in whole or part, shall not be subject to re-appropriation
unless FERC obligates the Licensee for operation and maintenance of the area. The Parties
further agree that this Agreement allows this reallocation by APGI after consultation with the
Parties to the original non-License commitment but without requiring APGI to engage in the
Objection To New License With Modification procedures pursuant to Section 1.3.11.4.2 below.
1.3.11.4.2 Objection To New License With Modification ,,
If in the opinion of any Party, the Commission issues an order with a New License that contains
a FERC-Imposed Modification, such Party shall give notice of the existence of the FERC-
Imposed Modification to all the other Parties as soon as possible but no later than ten days after
the date that the Commission's order is issued. Thereafter, all Parties shall immediately engage
in Consultation in accordance with Section 1.3.8.3 in an attempt to reach consensus on (i)
conforming the Settlement Agreement to the New License with FERC-Imposed Modification or
(ii) filing a request for rehearing of the New License. If consensus has not been reached ten
days prior to the due date for the request for rehearing, such Party may file a request for
rehearing of the New License to challenge the FERC-Imposed Modification, which no other
Party shall oppose. All Parties shall support such request for rehearing to the greatest extent
possible. Any Party filing a request for rehearing is authorized to state affirmatively that no Party
opposes such request.
1.3.11.4.3 Request for Rehearing Shall Not Terminate Consultation
The filing of a request for rehearing shall not terminate Consultation, which shall continue, if
necessary, for the full 45-day period, mindful of the demands on Parties involved in a request for
rehearing. If at any time the Parties unanimously consent to modify the Settlement Agreement
to conform to the New License, the filing Party shall withdraw its request for rehearing.
1.3.11.4.4 Settlement Agreement Temporarily Amended
After the conclusion of Consultation, and unless and until the New License is Final and Non-
Appealable, the Settlement Agreement shall temporarily be deemed amended by FERC's
modification if supported by (i) the Licensee and (ii) each resource agency with jurisdiction over
a resource that is a subject of the disputed license article or omission. A resource agency shall
be considered to have jurisdiction over a resource if a characteristic of the resource is within the
agency's statutory mandate and, with respect to state agencies, the resource is within the
agency's geographic jurisdiction.
Yadkin Hydroelectric Project (FERC No. 2197) 1-14 February 2007
Relicensing Settlement Agreement
1.3.11.4.5 Development of Biological Opinion by USFWS -or NOAA
Pursuant to Section 7 of the Endangered Species Act
In the event that the U.S. Department of the Interior Fish and Wildlife Service (USFWS) or the
U.S. Department of Commerce National Oceanic and Atmospheric Administration (NOAA)
issues a Biological Opinion that contains measures, recommendations, terms or conditions that
1) modifies a Proposed License Article or are otherwise inconsistent with the terms of this
Settlement Agreement, and 2) the Licensee determines, in its sole judgment, that the Biological
Opinion materially (i) increases its overall costs and burdens of and/or (ii) impairs its bargained-
for-benefits under the Settlement Agreement, then the Licensee may withdraw from this
Agreement; provided, however, that, prior to exercising its right to withdraw, the Licensee shall
(i) comply with the Consultation provisions in Section 1.3.8.3 and (ii) exhaust its administrative
and judicial remedies in contesting the measures, recommendations, terms or conditions up to
and including a review by the United States Court of Appeals. However, if a Party believes that
an appeal of the objectionable recommendations, terms or conditions to the Court of Appeals
would be futile and the other Parties, having considered the costs and the likelihood of the
requesting Party's success on the merits of such an appeal agree, the requesting Party may
withdraw absent such an appeal. Such agreement shall not be unreasonably denied.
1.3.11.4.6 License Articles Not Related to Settlement Agreement
Any Party may file a request for rehearing of issues arising under the FERC order issuing the
New License that are not deemed to be related to the Settlement Agreement, provided that: (i)
the Party shall notify all other Parties of its intention by electronic mail or facsimile at the earliest
practicable time; and (ii) the Parties will undertake the Consultation process in Section 1.3.8.3 if
any other Party disputes the request as inconsistent with the Settlement Agreement.
1.3.11.4.7 Amendment of Settlement Agreement
The Parties may amend this Settlement Agreement, as executed, before or after issuance of the
New License.
A Party proposing an amendment shall provide notice pursuant to Section 1.3.10.5. The Notice
shall state the substance and basis of the proposed amendment. The Parties shall make best
efforts to informally meet and confer within 30 days of such Notice. The proposing Party may
request to utilize the Consultation process set forth in Section 1.3.8.3 of this Agreement. Within
60 days of the Notice, or such different period as may be established by mutual consent, each
other Party shall provide a written confirmation of its consent to or rejection of the proposed
amendment. Any nongovernmental Party that does not respond within that period shall be
deemed to have accepted the proposed amendment unless that Party's interests would be
materially impacted by the approval of the proposed amendment.
If an amendment is proposed before issuance of a New License and has the unanimous
consent of the Parties, it shall go into effect upon the Parties' execution of an Amended
Settlement Agreement, which shall be promptly filed as an amended Offer of Settlement.
If an amendment is proposed after issuance of the New License and has the unanimous
consent of the Parties, the Parties shall, if such amendment warrants, seek modification of the
New License, and any related permits or authorization, to conform to the proposed amendment
Yadkin Hydroelectric Project (FERC No. 2197) 1-15 February 2007
Relicensing Settlement Agreement
of the Settlement Agreement. The proposed amendment shall not go into effect until all
authorizations, including the New License, are conformed to the proposed amendment.
However, if the proposed amendment lacks the unanimous consent of the Parties or FERC
denies modification of the New License, that lack of unanimous consent or denial of the
proposed amendment shall not constitute grounds for withdrawal under Section 1.3.9.
1.3.11.4.8 Amendment of the New License
To the extent permitted by law, a Party may petition FERC to amend the New License, pursuant
to any reopener condition contained in the New License, or to take any other action with regard
to the Licensee or the Project or may petition the Section 401 Agency to amend its Section 401
Certification, pursuant to any reopener condition included in any Certification, or to take any
other action with regard to the Licensee or the Project, so long as the amendment or other
action would not substantially conflict with this Agreement. Before filing any such petition or
initiating any such action, the Party shall notify all other Parties and consult with any Party that
wishes to consult, but under no circumstance shall such consultation requirement be construed
to prevent a Party from pursuing any action within the time required by law or regulation.
1.3.12 Rights, Duties, and Obligations Regarding Section 401 Certification
Except as permitted under the terms of the third paragraph, below, the Parties shall not: (1)
request or support any Section 401 Certification conditions for the Project that conflict with the
proposed license conditions or any other terms of this Agreement or that add substantial
additional burdens, costs or risks to the Licensee beyond those to which all Parties have herein
agreed or (2) oppose any Section 401 Certification conditions that are not inconsistent with the
proposed license articles or any other terms of this Agreement; or oppose any Section 401
Certification conditions that are standard State of North Carolina Section 401 Certification
conditions. These standard North Carolina Section 401 Certification conditions are, as included
in the Section 401 Certification for the Tapoco Hydroelectric FERC Relicensing Project, dated
December 17, 2003, with reference number 03-0191: conditions no. 9 (regarding reporting of
consumptive uses), 10 (regarding continuing compliance), and 11 (regarding property rights).
The inclusion in the Section 401 Certification, and therefore in the New License, of any
conditions that are not inconsistent with the proposed license articles or any other terms of this
Agreement shall not be deemed a FERC-Imposed Modification.
The Parties reserve the right to be actively involved in any Section 401 Certification process,
and nothing in this Agreement shall prevent the Licensee from opposing any Section 401
Certification condition that it, in its sole judgment, determines is or could be inconsistent with
any provision of this Settlement Agreement.
Nothing in this Settlement Agreement is intended to or shall be construed to affect in any way
the authority of the State of North Carolina pursuant to 33 U.S.C. § 1341, and related state
statutes and rules, such as by limiting the authority of the State of North Carolina to issue,
condition, or in any way alter a water quality certification or by limiting the exercise of the State
of North Carolina's discretion. Execution of this Settlement Agreement by the State of North
Carolina or any agency thereof expresses or implies no representation that the requirements of
this Settlement Agreement ensure compliance with State water quality standards and other
appropriate requirements of State law. Nothing in this Agreement shall limit the right of the State
of North Carolina from enforcing its Section 401 Certification and from taking any steps, within
the sole discretion of the State, to protect and defend its authority, such as by seeking rehearing
Yadkin Hydroelectric Project (FERC No. 2197) 1-16 February 2007
Relicensing Settlement Agreement
of any FERC action regarding issues related to the exercise of the State's authority with regard
to 33 U.S.C. § 1341. Similarly, nothing in this Agreement shall be construed to limit SC's or the
EPA's right to initiate the procedures under 33 U.S.C. § 1341 should it be deemed necessary by
SC or EPA.
1.3.13 Potential for Negotiation of Recreation Easements
Notwithstanding section 1.3.14, in the event that the Project ceases to be a federally licensed
hydropower project, the Licensee shall convey recreational easements to the United States of
America and/or the State of North Carolina. No later than one year prior to the date that the
Project ceases to become a federally licensed hydroelectric project, the Licensee shall negotiate
recreational easements with the United States and/or the State of North Carolina to ensure
continued public access to the public recreational facilities on the Project reservoirs as they
exist at the time the Project ceases to be federally licensed hydroelectric project. Such
easements will only become effective in the event that the Project ceases to be a federally
licensed hydroelectric project. However, nothing in this Agreement shall prevent the Licensee
(under which circumstances would be a former Licensee and owner of private land encumbered
by any recreational easements) from proposing to the United States or the State of North
Carolina the closure of a recreational facility that becomes a "stranded asset" or has otherwise
fallen into disuse for any reason, and agreement to such closure shall not be unreasonably
withheld by the United States or the State of North Carolina.
1.3.14 Termination of Settlement Agreement
This Settlement Agreement shall terminate as to all Parties and have no further force or effect
upon withdrawal of the Licensee, or upon expiration of the New License and any Annual
License issued thereafter
Yadkin Hydroelectric Project (FERC No. 2197) 1-17 February-2007
Relicensing Settlement Agreement
2.0 Settlement Provisions Not Covered by Proposed
License Articles
2.1 Project Operations
2.1.1 Flow Adjustment for Enhancement of Downstream Spawning
The Licensee (Alcoa Power Generating Inc. or APGI) will work with the licensee of the Yadkin-
Pee Dee River Project, FERC No. 2206, (Downstream Licensee), the North Carolina Division of
Water Resources (NCDWR), the North Carolina Wildlife Resources Commission (NCWRC), the
South Carolina Department of Natural Resources (SCDNR), the U.S. Fish and Wildlife Service
(USFWS), the National Marine Fisheries Service (NMFS), The Nature Conservancy (TNC) and
American Rivers (collectively, Group) to develop a process to allow the Downstream Licensee
to provide adjusted flow between February 1 and May 15 to enhance spawning conditions in the
lower river downstream of the Blewett Falls development, part of the Yadkin-Pee Dee River
Project.
The Parties agree that the Licensee's role in enhancing downstream spawning below Blewett
Falls will be limited to:
a) Attending an annual meeting with the Group, if held, to consider expected flow and
hydrologic conditions and to schedule adjusted flow period(s) for the upcoming spawning
season, and
b) Once the schedule for adjusted spawning flow period(s) has/have been established by the
Group, the Licensee will communicate its daily generation/flow release schedule during the
adjusted spawning flow period(s) to the Downstream Licensee at least one week in advance
of the start of the adjusted spawning flow period(s). If unexpected hydrologic conditions, or
other conditions, such as those covered in the Low Inflow Protocol (LIP, Appendix A) or the
Hydro Project Maintenance and Emergency Protocol (HPMEP, Appendix B), occur during
any adjusted spawning flow period, the Licensee shall communicate to the Downstream
Licensee any resulting changes in its daily generation/flow release schedule for the
remainder of that adjusted spawning flow period.
The Parties agree that the Licensee will not be required to attempt to match Yadkin Project
outflow to inflow during any adjusted spawning flow period(s), nor will the Licensee be required
to provide an instantaneous minimum flow release from the Yadkin Project during any adjusted
spawning flow period(s).
The Parties understand and agree that the Licensee's participation in enhancement of
downstream spawning will take place within the confines of the other requirements of the New
License relating to management of flows and reservoir water elevations, and would not result in
any modification of those flow and reservoir management requirements. Specifically, nothing in
this section will require or cause the Licensee to fall below its FERC-prescribed Project
Minimum Flows as described in Article PO-2 or to have to modify its reservoir operations as
prescribed in Article PO-1.
Yadkin Hydroelectric Project (FERC No. 2197) 2-1 February 2007
Relicensing Settlement Agreement
If state and federal agencies and the Downstream Licensee are unable to come to an
agreement on what measures are to be undertaken by the Downstream Licensee to achieve
Flow Adjustment for Enhancement of Downstream Spawning, the Licensee will be under no
obligation to meet the commitments outlined in this section.
2.1.2 Low Inflow Protocol
The Parties to the Relicensing Settlement Agreement that also have designated roles and
responsibilities under the LIP (Appendix A) hereby agree to uphold their respective LIP
commitments. In the event that a Party or Parties do not uphold their respective LIP
commitments, then any Party, including the Licensee may (but is not required to) invoke the
dispute resolution process described in Section 1.3.8 of this Agreement to attempt to resolve
issues regarding LIP commitments
Assuming the U.S. Geological Survey (USGS) has necessary rights for the License term, the
Licensee shall continue to provide 100% funding support during the License term for the
maintenance of the following USGS standard flow gages that are used in the LIP to determine
the Three-Month Rolling Average Flow:
• Yadkin River at Yadkin College (02116500)
• South Yadkin River near Mocksville (02118000)
• Abbotts Creek at Lexington {02121500)
Any substantial increase in funding support due to changes in these flow gages are subject to
review by the Licensee with the North Carolina Department of Environment and Natural
Resources (NCDENR). The Licensee may review and propose changes in the contractor,
location, or equipment associated with these gages. Any changes proposed by the Licensee
will require agreement of NCDENR.
2.2 Water Quality
2.2.1 Tailwater Dissolved Oxygen Enhancement Schedule
The Licensee shall install equipment and implement measures designed to enhance Yadkin
Project (Project) tailwater dissolved oxygen (DO) conditions as specified in the schedule in
Table WO-1.
Table WQ-1. Dissolved Oxygen Enhancement and Monitoring Schedule
Year DO Enhancement Action Monitoring/Reporting
2007' - Continuous DO/temperature monitoring 5/1-11/30 at existing
stations in all four tailwaters.
- File Draft DO Monitoring Plan and Quality Assurance Project Plan
(QAPP) with the North Carolina Division of Water Quality (NCDWQ)
as part of 401 Application.
2008` Narrows Unit 2 - Addition of two - Continuous DO/temperature monitoring 511-11/30 at existing
aeration valves by 03/31/08. stations in all four tailwaters.
- File Final DO Monitoring Plan and QAPP for approval by NCDWQ
and the Commission.
Yadkin Hydroelectric Project (FERC No. 2197) 2-2 February 2007
Re/icensing Settlement Agreement
Year DO Enhancement Action." ` Monitoring/Reporting .
2009 Narrows Unit 1 - Addition of two - Implement NCDWQ/FERC approved DO Monitoring Plan.
aeration valves by 12/31/09.
- File annual DO monitoring data report with NCDWQ by March 31.
2010 Narrows Unit 3 - Addition of two - Monitoring/reporting in accordance with DO Monitoring Plan.
aeration valves by 12/31/10.
High Rock Unit 3- Install "through
the blade" aerating turbine by
12/31/10.
2011 High Rock Unit 2 - Install a "through - Monitoring/reporting in accordance with DO Monitoring Plan.
the blade" aerating turbine by
12/31/11. - Initiate special study (up to 2 years) to evaluate the effectiveness of
the aeration at Narrows on DO levels being discharged from Falls
(2011-2012).
2012 High Rock Unit 1 - Install a "through - Monitoring/reporting in accordance with DO Monitoring Plan.
the blade" aerating turbine by
12/31/12. -Complete second year of 2-year study of effectiveness of aeration a
Narrows on DO at Falls by 12/31/12 and prepare Study Report.
2013 - Monitoring/reporting in accordance with DO Monitoring Plan.
- File 2-year Narrows/Falls DO Study Report with NCDWQ by 3/1/13.
- If 2-year study does not demonstrate compliance at Falls, file an
Action Plan for DO (DOAP) enhancement at Falls with NCDWQ by
12/31/13.
- Initiate special study (up to 2 years) to evaluate the effectiveness of
aeration at High Rock on DO levels being discharged from
Tuckertown (2013-2014).
2014 Falls Unit 1 - Install aeration valves - Monitoring/reporting in accordance with DO Monitoring Plan.
or other appropriate aeration
technology, if needed, in accordance - Complete second year of 2-year study of High Rock/Tuckertown
with Falls Action Plan by 12/31/14. DO by 12/31/14 and prepare Study Report.
2015 Falls Unit 2- Install aeration valves - Monitoring/reporting in accordance with DO Monitoring Plan.
or other appropriate aeration
technology, if needed, in accordant - File 2-year High Rock/Tuckertown DO Study Report with NCDWQ
with Falls Action Plan by 12/31/15. by 3/1/15.
- If 2-year study does not demonstrate compliance at Tuckertown,
file an Action Plan for DO enhancement at Tuckertown by 12/31/15.
2016 Falls Unit 3 - Install aeration valves - Monitoring/reporting in accordance with DO Monitoring Plan.
or other appropriate aeration
technology, if needed, in accordant
with Falls Action Plan by 12/31/16.
Tuckertown - Install aeration
technology, if needed, at
Tuckertown in accordance with
Tuckertown Action Plan by 12/31/16.
Notes: 1 Actions to be taken under the current License for the Yadkin Project.
2 The schedule shown starting in 2008 assumes an effective date of the New License for the
Yadkin Project of or before May 1, 2008. If the effective date of the New License is after
May 1, 2008, the schedule will be adjusted such that the 2008 schedule would begin within
the year following the effective date of the New License, as provided in a revised schedule
that has written approval from NCDWQ.
Yadkin Hydroelectric Project (FERC No. 2197) 2-3 February 2007
Relicensing Settlement Agreement

2.2.2 Tailwater Dissolved Oxygen Enhancement Operations
As DO enhancement equipment or measures are installed or implemented on the schedule in
Table WQ-1, the Licensee shall operate the generating units with DO enhancement equipment
added on a "first-on-last-off" basis, subject to unit availability, from no later than May 1 of each
year through November 30 of each year. If DO enhancement equipment or measures are not
associated with generating equipment, once completed, that equipment or those measures shall
be operated or implemented as designed from no later than May 1 of each year through
November 30 of each year.
If at any time during the term of the New License, the Licensee can demonstrate through
studies and/or monitoring that DO conditions have improved, the Licensee may consult with the
North Carolina Division of Water Quality (NCDWQ) regarding the possibility of reducing the
period of DO enhancement operations (May 1 - November 30). Should any such consultation
result in an agreement between the Licensee and the NCDWQ to modify the operation of the
Project for purposes of DO enhancement, the Licensee shall consult with the NCDWQ to
develop a plan to revise DO enhancement operations. The Licensee shall include with the plan,
an implementation schedule, documentation of consultation, copies of comments and
recommendations on the plan after it has been prepared and provided to NCDWQ, and specific
descriptions of how NCDWQ's comments are accommodated by the plan. The Licensee shall
file the plan with the Commission within 30 days of receiving NCDWQ's written approval of the
plan.
2.2.3 Dissolved Oxygen Monitoring
Within six months of the effective date of the New License, the Licensee shall file with NCDWQ
a Dissolved Oxygen Monitoring Plan (DO Monitoring Plan) and Quality Assurance Project Plan
(QAPP) for the Project. The DO Monitoring Plan and QAPP will be developed in consultation
with NCDWQ and other appropriate state and federal resource agencies.
The primary component of the DO Monitoring Plan will be the operation of four (4) continuous
DO/temperature monitors (one in each tailwater), for the period May 1 through November 30 of
each year. The Plan shall include a schedule for preparing an annual DO and temperature data
report. The annual report shall be filed with NCDWQ and the Downstream Licensee no later
than March 31 of the following year.
The Plan shall also include provisions for conducting two studies as part of the overall DO
enhancement schedule (Table WQ-1) designed specifically to investigate the effectiveness of
aeration technology installed and operating at Narrows on the DO conditions in the Narrows and
Falls tailwaters, and the effectiveness of aeration technology installed and operating at High
Rock on DO conditions in the High Rock and Tuckertown tailwaters. At the completion of each
of the two studies, the Licensee shall prepare a study report which shall be filed with NCDWQ in
accordance with the schedule in the DO Monitoring Plan. If the study results demonstrate that
the Falls and/or Tuckertown tailwaters do not meet state dissolved oxygen standards as a result
of Project operations, the Licensee shall prepare a DO Action Plan (DOAP) for the Falls and
Tuckertown developments, respectively. The resulting DOAP(s), if needed, will be filed with
NCDWQ in accordance with the schedule shown in Table WQ-1.
The Licensee shall file t DO Monitoring The Plan with nc ude with the DO Monitoring ePlan
NCDWQ's written approval of the plan
February 2007
Yadkin Hydroelectric Project (FERC No. 2197) 2-4
Relicensing Settlement Agreement
an implementation schedule, documentation of consultation, copies of comments and
recommendations on the plan after it has been prepared and provided to NCDWQ, and specific
descriptions of how NCDWQ's comments are accommodated by the plan.
2.2.4 Additional Dissolved Oxygen Enhancement Actions
If at any time during the term of the New License, after all the DO enhancement equipment and
measures outlined in Table WQ-1 have been installed and implemented, all of the planned unit
upgrades have been completed and the upgraded units are operational, and at least two
additional years of monitoring have been completed, the Licensee is notified by the NCDWQ
that based on the results of monitoring under the DO Monitoring Plan, state water quality
standards are not being met as a result of the Licensee's hydroelectric operations, the Licensee
shall consult with the NCDWQ to develop a plan to implement corrective actions. The Licensee
shall file a Dissolved Oxygen Corrective Action Plan (DOCAP) for NCDWQ approval within one
year of initiating consultation with the NCDWQ. The Licensee shall include with the DOCAP an
implementation schedule, documentation of consultation, copies of comments and
recommendations on the plan after it has been prepared and provided to NCDWQ, and specific
descriptions of how NCDWQ's comments are accommodated by the plan. The Licensee shall
file the plan with the Commission within 30 days of receiving NCDWQ's written approval of the
plan.
2.2.5 Total Maximum Daily Load Process
The Licensee agrees to participate in the High Rock Total Maximum Daily Load (TMDL) process
for High Rock Reservoir initiated by the State of North Carolina in 2005. The Parties agree that
the Licensee will contribute up to $50,000 in in-kind services for planned water quality sampling
efforts, upon notification that the Yadkin-Pee Dee River Basin Association has received federal
or state grants of at least $50,000, for which the Licensee's contribution will be used as the
required "matching funds".
If, during the term of the New License, other TMDL processes are required for the Yadkin River
or its tributaries, within the Project Boundary of the Yadkin Project, the Licensee will participate
in these processes.
2.3 Recreation
2.3.1 Recreation Facility Improvements
The Parties agree that the Licensee will develop a Recreation Plan that at a minimum will
include the recreation facility enhancements described in Appendix C.
2.3.2 Operations and Maintenance Funding Commitments
The Parties agree that the Licensee will contribute $30,000 annually to the U.S. Forest Service
(USFS) for the purposes of assisting with the operation and maintenance of six public recreation
sites in Uwharrie National Forest that provide direct access to the Yadkin Project reservoirs
(Badin Lake Campground, Cove Boat Ramp, Kings Mountain Point, Deep Water Trail Access,
Holt's Cabin, Badin Lake Hiking Trail). The use of these funds by the USFS for any purpose
other than the operation, maintenance, or construction of new facilities at the recreation sites
Yadkin Hydroelectric Project (FERC No. 2197) 2-5 February 2007
Relicensing Settlement Agreement
listed above will require the concurrence of the Licensee. In the first year following issuance of
New License, the funds will be made available within six months of the effective date of the New
License. Thereafter, the funds will be made available no later than January 31 of each year.
The Parties agree that the Licensee will contribute $35,000 annually to NCWRC for the
purposes of assisting with the operation and maintenance of seven NCWRC public recreation
sites that provide direct access to the Yadkin Project reservoirs (Bringle Ferry Boat Access, Flat
Creek Boat Access, Flat Creek Fishing Access, Old Whitney Fishing Pier, Dutch Second Creek
Boat Access, Circle Drive, Lakemont Boat Access). The use of these funds by the NCWRC for
any purpose other than the operation, maintenance, or construction of new facilities at the
recreation sites listed above will require the concurrence of the Licensee. In the first year
following issuance of a New License, the funds will be made available within six months of the
effective date of the New License. Thereafter, the funds will be made available in July of each
year.
All payment amounts specified in dollars in this section shall be deemed to be stated as of the
year 2008, and such sums shall be escalated as of January 1 of each following year (starting in
January 2009) according to the formula set forth in Section 2.3.9.
2.3.3 Yadkin-Pee Dee River Trail Fund
Within one year of the effective date of the New License, the Parties agree that the Licensee will
provide a one-time donation of $40,000 to NCDENR who will serve as the Yadkin-Pee Dee
River Trail Fund's fiduciary agent and who will deposit the funds in an interest bearing account.
The donated funds are to be used for improvements to the river trail or maintenance of river trail
facilities upstream of Falls Dam.
2.3.4 Railroad Lines
To the degree that the Licensee or its parent company has property rights, and considers
abandoning the railroad line that runs from Halls Ferry Junction and along the western shore of
Narrows Reservoir into Badin, the Parties agree that the Licensee will first discuss with the
Town of Badin, Stanly County and NCDENR the interest in evaluating the line for the "Rails to
Trails" program at that time. The Licensee or its parent company will provide a right of first
refusal to the State of North Carolina for this railroad line under the condition that ownership can
revert to the Licensee or its parent company upon notice that the railroad line is to be
reactivated by either of the companies.
2.3.5 Portage Trail Reimbursement
The Parties agree that if NCDENR elects to make improvements to any of the Yadkin Project
portage trails prior to the agreed upon schedule in Appendix C, the Licensee will reimburse
actual, reasonable expenses, escalated in accordance with Section 2.3.9, to the NCDENR for
deposit into the Yadkin-Pee Dee River Trail Fund. Reimbursement will be made by the
Licensee upon written notice that work on the portage trails has been completed, accompanied
by conceptual design drawings that were used in making the improvements, and a line item
invoice of the costs incurred by NCDENR in making the improvements. Upon the satisfaction of
the Licensee that the work has been done in a manner consistent with the safety and security
requirements of the Licensee, its parent company, and the Commission, the Licensee will
Yadkin Hydroelectric Project (FERC No. 2197) 2-6 February 2007
Relicensing Settlement Agreement
reimburse the funds at a time of its discretion, but in any case on or before the 10- or 20-year
dates noted in Appendix C.
2.3.6 Recreation Safety and Enforcement
The Parties agree that within one year of the effective date of the New License the Licensee will
make a one-time contribution of $50,000 to the NCWRC to assist with the development of two
boathouse facilities, one each on High Rock and Narrows reservoirs, for enforcement purposes.
The Licensee and NCWRC will work together to identify appropriate locations for the new
boathouse facilities and to develop and execute any necessary license agreements.
The Licensee will also provide NCWRC with $2,500 annually to assist with the installation and
maintenance of buoys and other hazard markers/signs on the Project reservoirs. In the first
year following issuance of a New License, the funds will be made available within six months of
the effective date of the New License. Thereafter, the funds will be made available in July of
each year. This payment amount specified in dollars shall be deemed to be stated as of the
year 2008, and such sums shall be escalated as of January 1 of each following year (starting in
January 2009) according to the formula set forth in Section 2.3.9.
2.3.7 Assessing Future Recreational Needs
Nothing in this Relicensing Settlement Agreement (RSA) shall preclude the use of established
mechanisms for monitoring growth in recreation facility demands such as the FERC Form 80,
North Carolina State Comprehensive Outdoor Recreation Plan, and USFS recreation use
monitoring. The information generated by these processes will serve as indicators of future
recreational needs beyond those noted in this RSA.
2.3.8 Compliance with the Project's Shoreline Management Plan
The Parties agree that any new recreational facilities or upgrades to existing facilities shall be in
accordance with the requirements of the Project's Shoreline Management Plan.
2.3.9 Escalation of Funds
Where noted, the Parties agree that the Licensee will escalate payment amounts specified in
dollars according to the following formula:
AD=D x ((NGDP)/IGDP)
Where:
AD = Adjusted dollar amount as of January 1 of the year in which the adjustment
is made
D = Dollar amount prior to adjustment
IGDP = GDP-IPD for the third quarter of the year before the previous adjustment date (or, in the
case of the first adjustment, the third quarter of the year before the effective date of the New
License)
NGDP = GDP-IPD for the third quarter of the year before the adjustment date
Yadkin Hydroelectric Project (FERC No. 2197) 2-7 February 2007
Relicensing Settlement Agreement
"GDP-IPD" is the value published for the Gross Domestic Product Implicit Price Deflator by the
U.S. Department of Commerce, Bureau of Economic Analysis in the publication Survey of
Current Business, Table 7.1 (being on the basis of 2000 = 100), in the third month following the
end of the applicable quarter. If that index ceases to be published, any reasonably equivalent
index published by the Bureau of Economic Analysis may be substituted. If the base year for
GDP-IPD is changed or if publication of the index is discontinued, the Licensee will promptly
make adjustments or, if necessary, select an appropriate alternative index to achieve the same
economic effect.
Contribution amount will not be adjusted to be less than the amount from the previous year.
2.4 Shoreline Management
2.4.1 Modifications to the Existing Yadkin Shoreline Management Plan
The Parties agree that the Licensee will make modifications to the existing Yadkin Project
Shoreline Management Plan (SMP) Specifications for Private Recreation Facilities, Shoreline
Stewardship Policy, and Subdivision Access Approval, Multi-use Facility Permitting, and
Industrial Approval Procedures consistent with Appendix D.
2.4.2 Implementation of the Shoreline Management Plan Modifications
The Parties agree that the Licensee will implement the modifications to the existing SMP
referenced in Section 2.4.1 within three months of the effective date of the New License. The
Parties agree that any provisions in the existing, FERC approved SMP that are not addressed in
Appendix D remain unchanged and in full force and effect.
2.4.3 Fees
The Parties agree that the Licensee has the right to recover the cost of administering the SMP
through permit fees.
2.5 Wildlife, Aquatics, and Rare, Threatened and Endangered (RTE)
Species
2.5.1 RTE Species
The Parties agree that periodic freshwater mussel monitoring to be conducted under the Rare,
Threatened and Endangered Species Management Plan, required by Article FW-1, will be
completed within the first 10 years of the effective date of the New License and will be limited in
scope and duration so as not to exceed a total cost to the Licensee of $50,000 (in 2008 dollars)
over the term of the New License.
The Parties further agree that if, at the completion of the 10-year mussel monitoring period, the
Licensee and NCWRC agree that recruitment of the freshwater mussel species occurring in the
Falls tailwater area is not sufficient to justify continued management efforts in this location,
within one year of such a finding, the Licensee will make a one-time contribution of $50,000 to
the NCWRC to assist with its freshwater mussel management and preservation efforts
elsewhere in the watershed.
Yadkin Hydroelectric Project (FERC No. 2197) 2-8 February 2007
Relicensing Settlement Agreement
2.5.2 Invasive Exotic Species
The Parties understand and agree that the issue of invasive exotic species is of concern at a
regional level, and that to be effective, monitoring and management of invasive exotic species is
best done on a cooperative, regional basis. Accordingly, the Licensee agrees to work in
cooperation with the NCDWR and NCWRC to monitor invasive exotic species of concern at the
Project, and to undertake control activities, as needed. The primary focus of the monitoring
efforts will be on invasive aquatic plants, such as hydrilla, but will also consider other invasive
aquatic species that may become established in the reservoirs, such as the Chinese mystery
snail. The Licensee will help fund efforts to be undertaken by NCDWR or NCWRC to survey the
Yadkin Project reservoirs periodically for the presence and extent of invasive, exotic aquatic
species of concern. If at any time NCDWR or NCWRC determines the presence of invasive
exotics in any of the Yadkin Project reservoirs is sufficient to be of concern to the agencies, the
Licensee will work with the agencies to identify and undertake appropriate control actions on a
cost-share basis. The Licensee will make up to $25,000 available annually, on a 50% cost
share basis, to support invasive aquatic species monitoring and control efforts undertaken by
NCDWR or NCWRC in any Yadkin Project waters.
2.6 Land Conveyances
2.6.1 Morrow Mountain State Park Expansion Lands
The Parties agree that the Licensee will donate to the State of North Carolina (State) by Quit
Claim Deed approximately 1,085 acres' (5.7 miles of shoreline) of non-Project land located in
Stanly County, North Carolina in the vicinity of Narrows and Falls reservoirs for the future
expansion of Morrow Mountain State Park (Morrow Mountain Lands) (Appendix E-1). The
Parties agree that the Morrow Mountain Lands currently possess natural, scenic, open space,
forest, wildlife habitat, watershed protection, historical, cultural, archaeological, educational and
recreational values (Conservation Values) of great importance to the Licensee, the State, and
others. By its execution of this RSA, the State agrees to preserve and protect the Conservation
Values of the Morrow Mountain Lands in perpetuity, to the extent practicable.
Prior to the transfer of the Morrow Mountain Lands, the Licensee and the State will execute an
agreement, which shall contain terms and conditions satisfactory to the Licensee and the State,
including, but not limited to, property description, interim lands management, continued rights
(Reserved Rights) of the Licensee in and to the property and other provisions typical in
transactions of this nature.
2.6.2 Tuckertown Reservoir Lands
The Parties agree that the Licensee will make available for sale by Special Warranty Deed to
the State and/or The Land Trust for Central North Carolina (Land Trust) approximately 2,420
acres (31 miles of shoreline) of non-Project land located in Davidson and Montgomery counties,
North Carolina along the eastern shore of Tuckertown Reservoir (Tuckertown Lands) for
gamelands, recreation and/or the protection and preservation of Conservation Values (Appendix
' Note to signatories: all acreage amounts referenced in this Section 2.6 or elsewhere in this RSA are
subject to verification by survey, legal description, and title search and are subject to change as a result
of any lands retained by Licensee.
Yadkin Hydroelectric Project (FERC No. 2197) 2-9 February 2007
Relicensing Settlement Agreement
E-2). By their execution of this RSA, the State and/or Land Trust agree to preserve and protect
the Conservation Values of the Tuckertown Lands in perpetuity, to the extent practicable.
The purchase price for the Tuckertown Lands is $8.5 million payable to the Licensee or its
designee in immediately available funds at closing. Prior to the sale of the Tuckertown Lands,
the Licensee and the State, and/or the Licensee and Land Trust will execute a Real Estate
Sales Agreement (Sales Agreement), which shall contain terms and conditions satisfactory to
the Licensee, the State, and Land Trust including, but not limited to, the purchase price,
property description, status of the title to be conveyed (subject to all encumbrances of record or
reasonably ascertainable by physical inspection), interim lands management, continued
Reserved Rights of the Licensee in and to the property and other provisions typical in
transactions of this nature.
2.6.3 High Rock Reservoir Lands
The Parties agree that the Licensee will make available for sale by Special Warranty Deed to
the State and/or Land Trust approximately 2,310 acres (45 miles of shoreline) of non-Project
land located in Davidson, Davie and Rowan counties, North Carolina along or in close proximity
to High Rock Reservoir, primarily north of the Interstate 85 bridges (High Rock Lands) for
gamelands, recreation, and/or the protection and preservation of Conservation Values
(Appendix E-3). By their execution of this RSA, the State and/or Land Trust agree to preserve
and protect the Conservation Values of the High Rock Lands in perpetuity, to the extent
practicable.
The purchase price for the High Rock Lands is $7.7 million payable to the Licensee or its
designee in immediately available funds at closing. Prior to the sale of the High Rock Lands,
the Licensee and the State and/or the Licensee and Land Trust will execute a Real Estate Sales
Agreement (Sales Agreement), which shall contain terms and conditions satisfactory to the
Licensee, the State, and Land Trust including, but not limited to, the purchase price, property
description, status of the title to be conveyed (subject to all encumbrances of record or
reasonably ascertainable by physical inspection), interim lands management, continued
Reserved Rights of the Licensee in and to the property and other provisions typical in
transactions of this nature.
2.6.4 Time Requirements of Land Conveyances
The Parties agree that the Morrow Mountain Lands will be donated within three years of the
effective date of the New License.
The Parties agree that one of the remaining two land conveyance transactions contemplated in
Section 2.6, must be completed within three years of the effective date of the New License and
the other remaining conveyance must be completed within five years of the effective date of the
New License. If the Tuckertown Lands and High Rock Lands conveyances do not occur in
accordance with this schedule, the Licensee's commitment to make the lands available for sale
and any and all requirements of Section 2.6 will expire.
Execution of the Sales Agreements referred to in Sections 2.6.2, and 2.6.3 and satisfaction of
their terms are conditions precedent to the Licensee's obligations to sell the Tuckertown Lands
and High Rock Lands to the State and/or Land Trust, as applicable.

Yadkin Hydroelectric Project (FERC No. 2197) 2-10 February 2007
Relicensing Settlement Agreement
2.6.5 Interim Land Management
Until the Morrow Mountain Lands, Tuckertown Lands, and High Rock Lands are donated or
conveyed, the Parties agree that interim land management by the Licensee will continue based
on its on-going forestry management practices.
Where timbering is scheduled, the Licensee will use reasonable efforts to:
- thin to approximately 30 trees/acre the loblolly pine 30+ year old plantations;
- thin to approximately 30 trees/acre the pine/hardwood mixed 30+ year old stands after
consultation with NCWRC;
- thin to approximately 60 trees/acre the 15-30 year old stands;
- reserve the ability to clear-cut parcels up to 25 acres in size where best management
practices would dictate (not including the Morrow Mountain Lands) after consultation
with NCWRC; and,
- leave a no touch buffer along the reservoirs of not less than 100 feet in width and along
blue line streams of not less than 25 feet in width on each side.
In addition, hardwood stands will not be timbered.
2.7 Land Grants
2.7.1 Uwharrie National Forest Lands
The Parties agree that within three years of the effective date of the New License the Licensee
will donate to the USFS by Warranty Deed approximately 270 acres of non-Project land located
in Montgomery County, North Carolina along Narrows and Falls Reservoirs (UNF Lands) for
inclusion in the Uwharrie National Forest (UNF) (Appendix E-4).
The Parties agree that the UNF Lands currently possess Conservation Values of great
importance to Licensee, USFS, and others. By its execution of this RSA, the USFS agrees to
preserve and protect the Conservation Values of the UNF Lands in perpetuity, in accordance
with the Uwharrie Land and Resource Management Plan, as amended.
2.7.2 Eagle Point Nature Preserve and Park Lands
The Parties agree that within three years of the effective date of the New License, the Licensee
will donate to Rowan County by Quit Claim Deed approximately 63 acres of non-Project lands
located in Rowan County, North Carolina on the western shore of High Rock Reservoir that are
currently being leased by Rowan County as part of the Eagle Point Nature Preserve and Park
(Eagle Point Lands) (Appendix E-5).
The Parties agree that the Eagle Point Lands currently possess Conservation Values of great
importance to Licensee, Rowan County, and others. By its execution of this RSA, Rowan
County agrees to preserve and protect the Conservation Values of the Eagle Point Lands in
perpetuity, to the extent practicable.
Yadkin Hydroelectric Project (FERC No. 2997) 2-11 February 2007
Relicensing Settlement Agreement
2.7.3 Town of Badin Lands
The Parties agree that the Licensee and/or its parent company Alcoa Inc. will donate to the
Town of Badin by Quit Claim Deed approximately 14 acres in Stanly County, North Carolina
adjacent to the existing Badin Boat Launch Access Area (Badin Lands) (Appendix E-6). The
Town of Badin will use the donated land to develop a public park. The Town of Badin will
assume responsibility for the construction, maintenance, and operation of any public recreation
facilities developed at this site.
Additionally, the Parties agree that the Licensee and/or its parent company, to the degree that
they have property rights, will make available for sale three vacant lots around the Badin Public
Library building at fair market value. The Parties agree that the Licensee and/or its parent
company will provide the Town of Badin a right of first refusal to purchase the Alcoa Conference
Center and surrounding land (Appendix E-6).
All transfers of property as more fully described in Section 2.6, Land Conveyances, shall be
subject to (i) real property taxes for the year of conveyance, which shall be pro-rated between
the Licensee and the acquiring party as of the date of closing with the Licensee being
responsible for such taxes to the date of closing and the acquiring party being responsible for
and assuming such taxes from and after the date of closing to the extent the same are due; (ii)
Reserved Rights; (iii) such other liens or encumbrances as are of record in the Register's Office
for the county(ies) in which the properties are located, or as are otherwise ascertainable by
physical inspection of the property to be acquired; and (iv) such other terms and conditions as
may be agreed upon between the Licensee and the acquiring party.
2.8 Local Community Enhancement
2.8.1 City of Albemarle Water Withdrawals
Within three years of the effective date of the New License, the Licensee agrees to seek
approval from the Commission to increase the maximum allowable withdrawal limit at the City of
Albemarle's water intakes on Tuckertown and Narrows reservoirs to 30 million gallons per day
(MGD). The Licensee, with assistance from the City of Albemarle, will gather necessary
supporting documentation required under the SMP, or as otherwise required. The Licensee
then will prepare and file the request with the Commission.
Effective January 1 of the first year following the effective date of the New License, the Licensee
agrees to eliminate the surcharge for Albemarle water withdrawals below 11 MGD, averaged
over one month.

Yadkin Hydroelectric Project (FERC No. 2197) 2-12 February 2007
Relicensing Settlement Agreement
3.0 Proposed License Articles
3.1 Project Operations
Unless in accordance with the Hydro Project Maintenance and Emergency Protocol and Low
Inflow Protocol, Project minimum flows take priority over reservoir water elevations, as
specifically described in Articles PO-1 and PO-2, below.
3.1.1 Article PO-1 - Reservoir Operations
3.1.1.1 High Rock Reservoir Operations
The Licensee shall operate High Rock Reservoir at or above the normal minimum elevation
(NME) as depicted on the High Rock Operating Curve (Figure PO-1), except as needed in order
to maintain minimum flows or as provided under the Low Inflow Protocol (LIP) or the Hydro
Project Maintenance and Emergency Protocol (HPMEP). High Rock Reservoir may be drawn
down below its NME in order to meet the Required Minimum Instream Flow at Falls, as
specified in License Article PO-2, only after Narrows Reservoir has reached its NME. If High
Rock Reservoir water elevation is below the NME at 12:01 AM on any operating day, where the
operating day is defined as 12:01 AM through 12:00 midnight, the Licensee shall reduce
releases from High Rock Reservoir for that operating day up to a maximum of the daily average
flow equivalent of the minimum flow requirement at Falls, as specified in License Article PO-2.
Under this condition, releases from Falls will be limited to those defined in License Article PO-2.
624.9
623.9
622.9
621.9
620.9
w
619.9
618.9
0
io 617.9
d
W 616.9
0
615.9
614.9
613.9
612.9
611.9
610.9
Figure PO-1. High Rock Reservoir Operating Curve
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
F II Pond Eli vation (62 .9 ft)
Note: During periods for fill and drawdown during March and November High Rock
Reservoir would transition between the 4 foot and 10 Operating Curve, with water
elevations increasing or decreasing, as applicable, generally along a straight line.
Normal Minimum Elevation -Full Pond
Yadkin Hydroelectric Project (FERC No. 2197) 3-1 February 2007
Relicensing Settlement Agreement
3.1.1.2 Tuckertown Reservoir Operations
The Licensee shall operate Tuckertown Reservoir at or above the NME as depicted on the
Tuckertown Operating Curve (Figure PO-2), except as provided in the HPMEP.
565.7
564.7
563.7
562.7
561.7
N
:) 560.7
8E
559.7
0
m 558.7
m
w 557.7
0
m 556.7
h
K 555.7
554.7
553.7
552.7
551.7
Figure PO-2. Tuckertown Reservoir Operating Curve
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Ful Pond Ele ation (56 7 ft)
Normal Minimum Elevation - -Full Pond
r
Yadkin Hydroelectric Project (FERC No. 2197) 3-2 February 2007
Relicensing Settlement Agreement
3.1.1.3 Narrows Reservoir Operations
The Licensee shall operate Narrows Reservoir at or above the NME as depicted on the Narrows
Operating Curve (Figure PO-3), except as needed in order to maintain minimum flows, or as
provided under the LIP or HPMEP.
510.8
509.8
508.8
507.8
506.8
W
505.8
x
504.8
0
m 503.8
d
w 502.8
0
Z 501.8
N
500.8
499.8
498.8
497.8
496.8
Figure PO-3. Narrows Reservoir Operating Curve
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Full and Elev tion (509. ft)
Normal Minimum Elevation - -Full Pond
Yadkin Hydroelectric Project (FERC No. 2197) 3-3 February 2007
Relicensing Settlement Agreement
3.1.1.4 Falls Reservoir Operations
The Licensee shall operate Falls Reservoir at or above the NME as depicted on the Falls
Operating Curve (Figure PO-4), except as provided in the HPMEP.
333.8
332.8
331.8
330.8
329.8
N
? 328.8
327.8
0
io 326.8
d
w 325.8
0
it 324.8
a
323.8
322.8
321.8
320.8
319.8
Figure PO-4. Falls Reservoir Operating Curve
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Full Po d Elevati (332.8 ft
Normal Minimum Elevation - - Full Pond
3.1.1.5 Reservoir Stabilization to Enhance Fish Spawning
From April 15 through May 15 of each year, the Licensee will endeavor to maintain reservoir
water elevations at all four Project reservoirs no lower than -1.0 feet below the elevation of each
reservoir on April 15 to enhance conditions for fish spawning in the reservoirs. No later than
August 31 of each year, the Licensee will report the resulting reservoir water elevations at each
reservoir during the April 15 through May 15 period in a letter report to the North Carolina
Wildlife Resources Commission (NCWRC). The letter report will provide an explanation of any
circumstances that prevented the Licensee from maintaining the target water elevations. Within
60 days of filing the letter report with the NCWRC, a copy of the letter report will be filed with the
Commission. Satisfaction of these reporting commitments shall constitute compliance with this
License Article.
Yadkin Hydroelectric Project (FERC No. 2197) 3-4 February 2007
Relicensing Settlement Agreement
3.1.2 Article PO-2 - Project Instream Flows
3.1.2.1 Required Minimum Instream Flows
Commencing no later than six months from the effective date of this License and except when
operating under the Low Inflow Protocol (LIP) or Hydro Project Maintenance and Emergency
Protocol (HPMEP), the Licensee shall operate the Project to provide a daily average minimum
flow from the Falls Development according to the following schedule:
June 1 - January 31 1,000 cfs
February 1 - May 15 2,000 cfs
May 16 - May 31 1,500 cfs
3.1.3 Article PO-3 - Flow and Reservoir Elevation Monitoring
Within six months of the effective date of this License, the Licensee shall file with the
Commission a final Flow and Reservoir Elevation Monitoring and Compliance Plan for the
Yadkin Project. The Flow and Reservoir Elevation Monitoring and Compliance Plan shall be
developed in consultation with the North Carolina Division of Water Resources (NCDWR), the
North Carolina Division of Water Quality (NCDWQ), the South Carolina Department of Natural
Resources (SCDNR), the U.S. Geological Survey (USGS) and the Downstream Licensee (the
Licensee of the Yadkin-Pee Dee River Project, FERC No. 2206), and shall include detailed
provisions for monitoring reservoir water elevations and for monitoring flows from both the
Narrows and High Rock developments.
The Licensee shall include with the final plan documentation of consultation, copies of
comments and recommendations on the draft plan after it has been prepared and provided to
the agencies and Downstream Licensee, and specific descriptions of how comments are
accommodated by the final plan. The Licensee shall allow a minimum of 30 days for the
agencies and Downstream Licensee to comment prior to filing the plan with the Commission. If
the Licensee does not adopt a recommendation, the filing shall include the Licensee's reasons,
based on Project-specific information.
The Commission reserves the right to require changes to the plan. Upon Commission approval,
the Licensee shall implement the plan, including any changes required by the Commission. The
Licensee shall file the final plan with NCDWQ within 30 days of receiving Commission approval.
3.1.3.1 Releases from High Rock Development
Flow monitoring from the High Rock Development will serve as the measure for the flow
releases from the High Rock Development required under License Article PO-1 or under the
Low Inflow Protocol (LIP). Daily average flows within +25% of the applicable maximum flow,
measured from 12:01 AM to 12:00 midnight, shall be considered compliant for each operating
day.
Yadkin Hydroelectric Project (FERC No. 2197) 3-5 February 2007
Relicensing Settlement Agreement
3.1.3.2 Releases from Falls Development
Flow monitoring from the Narrows Development will serve as the compliance measure for the
flow release from the Falls Development required under License Articles PO-1, PO-2 or under
the LIP. Daily average flows within -5% of the applicable minimum flow, measured from 12:01
AM to 12:00 midnight, shall be considered compliant for any operating day so long as:
a) Whenever High Rock Reservoir is at or above its normal minimum elevation (NME),
the applicable daily average minimum flow is achieved on a weekly average basis,
measured from 12:01 AM Saturday to 12:00 midnight Friday.
b) Whenever High Rock Reservoir is drawn down below its NME (when a maximum
release from Falls is also applicable), releases from Falls shall be limited to +/- 5% of the
cfs equivalent of the Required Instream Minimum Flow at Falls, as measured on a
weekly average basis from 12:01 AM Saturday to 12:00 midnight Friday.
The Licensee shall endeavor to meet the Required Minimum Instream Flows required in Article
PO-2, and shall not routinely use the flow variances provided above. The Licensee shall
prepare an annual flow monitoring report documenting its compliance with minimum flow
releases, including a record of any days during the year when the daily average required
minimum instream flow fell within the -5% and was made up as part of the weekly average, a
record of flows during any period when High Rock was below its NME, and a record of any LIP
events. The Licensee shall file the report with the Commission and the North Carolina
Department of Environment and Natural Resources (NCDENR) summarizing its evaluation
by no later than March 31 of the following year. If, based on the results of the report, the State
of North Carolina has a concern about the frequency or pattern of use of the variance by the
Licensee, the State may request consultation with the Licensee to discuss the Licensee's
reasons for that use and any practicable alternatives to that use.
3.1.4 Article PO-4 - Low Inflow Protocol
This License Article highlights the responsibilities of the Licensee from Appendix A, "Low Inflow
Protocol for the Yadkin-Pee Dee River Hydroelectric Projects" (LIP), of the Yadkin Hydroelectric
Project, FERC No. 2197, Relicensing Settlement Agreement.
3.1.4.1 Definitions
The following definitions shall be applicable to this Article PO-4:
1. Stream Gage Three-Month Rollinq Average Flow -The three-month rolling average of
streamflow at the following U.S. Geological Survey (USGS) stream gages:
• Yadkin River at Yadkin College (02116500)
• South Yadkin River near Mocksville (02118000)
• Abbotts Creek at Lexington {02121500)
• Rocky River near Norwood (02126000)
On the last day of each month, the Licensee shall calculate the arithmetic mean of (a) the
daily flows of the current month and (b) the arithmetic mean of the daily flows of each of the
Yadkin Hydroelectric Project (FERC No. 2197) 3-6 February 2007
Relicensing Settlement Agreement
two preceding months. The sum of the three-month rolling average for these four gage
stations shall be compared by the Licensee to the Historic Stream Gage Three-Month
Rolling Average Flow for the corresponding period and a percentage of Historic Three-
Month Rolling Average shall be calculated.
2. Historic Stream Gage Three-Month Rolling Average Flow -The historical three-month
rolling average flow for each of the four designated USGS stream gages for the period 1974
through 2003 (except for the Abbotts Creek gage, for which the period is 1988 through
2003) are set forth in Table LIP-1 below:
Table LIP-1. Historic Stream Gage Three-Month Rolling Average Flow
For Evaluation of
Flow Trigger on: Average of daily flows
during: Historic Three-Month
Rolling
Average Flow, cfs
January 1 Oct-Nov-Dec 4,000
February 1 Nov-Dec-Jan 5,200
March 1 Dec-Jan-Feb 6,250
April 1 Jan-Feb- Mar 7,700
May 1 Feb-Mar-Apr 7,550
June 1 Mar-Apr-May 6,850
July 1 Apr-May-Jun 5,350
August 1 May-Jun-Jul 4,200
September 1 Jun-Jul-Au 3,600
October 1 Jul-Aug-Sep 3,200
November 1 Aug-Sep-Oct 3,300
December 1 Sep-Oct-Nov 3,550
3. Full Pond Elevation -The Full Pond Elevation for each development's reservoir is listed in
Table LIP-2.
Table LIP-2. Full Pond Elevations
Reservoir Full Pond Elevation
(feet, USGS datum - NGVD 1929)
High Rock 623.9
Tuckertown 564.7
Narrows 509.8
Falls 332.8
4. Normal Minimum Elevation (NME) - NME for each Project reservoir is listed in Table LIP-3.
Table LIP-3. Normal Minimum Elevations (feet, USGS datum - NGVD 1929)

Month High

Rock Tucker-

town
Narrows
Falls
Full Pond 623.9 564.7 509.8 332.8
January 1 613.9 561.7 504.8 328.8
February 1 613.9 561.7 504.8 328.8
March 1 transition 561.7 504.8 328.8
Yadkin Hydroelectric Project (FERC No. 2197) 3-7 February 2007
Relicensing Settlement Agreement
April1 619.9 561.7 504.8 328.8
May 1 619.9 561.7 504.8 328.8
June 1 619.9 561.7 504.8 328.8
Jul 1 619.9 561.7 504.8 328.8
August 1 619.9 561.7 504.8 328.8
September 1 619.9 561.7 504.8 328.8
October 1 619.9 561.7 504.8 328.8
November 1 transition 561.7 504.8 328.8
December 1-15 613.9 561.7 504.8 328.8
December16-31 613.9 561.7 504.8 328.8
5. U.S. Drought Monitor Three-Month Numeric Average - The Licensee shall calculate a three-
month rolling average of U.S. Drought Monitor
(http://www.drought.uni.edu/dm/monitor.htmi.) values by (a) assigning a numeric value equal
to the highest U.S. Drought Monitor designation (e.g. D0=0, D1=1, D2=2, D3=3 and D4=4)
for any part of the Yadkin-Pee Dee River Basin draining to Blewett Falls development as of
the last day of that month; and (b) calculating an arithmetic mean of that numeric value and
numeric values correspondingly assigned for the previous two months. A normal condition
in the basin, defined as the absence of a drought designation, shall be assigned a numeric
value of negative one (A).
6. Yadkin-Pee Dee River Basin Drought Management Advisory Group (YPD-DMAG) -The
YPD-DMAG shall consist of one representative from each of the following organizations (to
the extent that they are willing to participate): Alcoa Power Generating Inc. (APGI), Progress
Energy (PE), North Carolina Department of Environment and Natural Resources
(NCDENR), North Carolina Division of Water Resources (NCDWR), North Carolina Division
of Water Quality (NCDWQ), North Carolina Wildlife Resources Commission (NCWRC),
South Carolina Department of Natural Resources (SCDNR), South Carolina Department of
Health and Environmental Control (SCDHEC), the United States Fish and Wildlife Service
(USFWS), High Rock Lake Association (HRLA), Badin Lake Association (BLA), Duke Power
Company, Lake Tillery Homeowners Association, South Carolina Pee Dee River Coalition
(SCPDRC) and owners of intakes that withdraw more than one million gallons of water per
day from the impoundments of either the Yadkin Project (P-2197) or the Yadkin-Pee Dee
Project (P-2206).
3.1.4.2 Implementation Procedure
Table LIP-4 sets forth the combinations of conditions under which the LIP shall be
implemented. The determination of the applicable LIP Stage shall be made using the High
Rock Reservoir water elevation as of midnight between the last day of the previous month
and the first day of the current month in combination with the U.S. Drought Monitor Three-
Month Numeric Average and the Stream Gage Three-Month Rolling Average Flow to
determine the need to declare or change a Stage of the LIP. The LIP shall be implemented
beginning at Stage 0 and, if the combination of conditions becomes more severe, the
Stages shall increase in one Stage increments.
Yadkin Hydroelectric Project (FERC No. 2197) 3-8 February 2007
Relicensing Settlement Agreement
Table LIP-4. Summary of LIP Triggers
US Drought Monitor Stream Gage Three-Month
Stage High Rock Reservoir Three-Month Numeric Rolling Average
Elevation Average' as a percent of the
Historical Average
< NME minus 0.5 ft and any or any

0 OR
< NME and either 0 or <48%
1 < NME minus 1 ft and either 1 or <41 %
2 < NME minus 2 ft and either > 2 or <35 %
3 < NME minus 3 ft and either > 3 or <30 %
<'/2 of ( NME minus
4 Critical Reservoir Water and either > 4 or <30 %
Elevation)
2. The average daily flows set forth in Table LIP-5 shall be initiated no later than seven days
after the determination of the applicable LIP Stage and shall be in effect for the balance of
the month except as provided in Section 3.1.4.3.
Table LIP-5. LIP Flows('), cfS
High Rock (2)
Falls
(daily average (daily average flow target)
Stage maximum flow target)
Feb 1 May 15 May 16-31 Jun 1-Jan 31 Feb 1- May 15 May 16-31 Jun 1-Jan 31
0 2000 1500 1000 2000 1500 1000
1 1450 1170 900 1450 1170 900
2 1080 950 830 1080 950 830
3 770 770 770 770 770 770
4 dditional measures may be determined by consensus of the Licensee and State Agencies, subject to FERC
approval
(1) Developments shall be operated to achieve the target flows to the extent practicable as a first priority and to
supplement inflows equitably from the storage reservoirs as a second priority. For LIP Stages 1, 2, 3 and 4, APGI
shall achieve the indicated average daily flows set forth in this table by supplementing Project inflows by drawing
proportionally from High Rock and Narrows reservoirs such that the difference between the respective drawdowns
below NME of High Rock and Narrows reservoirs shall be approximately one foot.
(2) For LIP Stages 0-3, the values shown in this table reflect flow targets. These values cannot be met exactly as
shown and shall likely vary slightly on a real time basis from the values shown here, but it is expected that the
variances from the target flows shall be minimal.
3. The Licensee shall notify via email the Commission and NCDWR of LIP implementation or a
change in Stage as soon as practicable but no later than (i) three business days after a
Stage 0 determination; (ii) two business days after a Stage 1 or a Stage 2 determination; or
(iii) 48 hours after a Stage 3 or Stage 4 determination.
4. The Licensee shall consult with the YPD-DMAG with respect to issues relating to or arising
out of implementation of the LIP, including, but not limited to, (i) notification to the public of
the possible effects of and/or continuance of drought; (ii) issues relating to the effects of
Yadkin Hydroelectric Project (FERC No. 2197) 3-9 February 2007
Relicensing Settlement Agreement
drought conditions on life, health, property, wildlife, aquatic life; (iii) possible public health
concerns; and (iv) short and long term prospects for recovery from drought. '
5. The Licensee shall develop and provide information on its website to inform the public on
reservoir water elevations, Project releases, usability of public access areas, reservoir
inflows, meteorological forecasts, Historic and Actual Stream Gage Three-Month Rolling
Average Flow calculations, U.S. Drought Monitor Three-Month Numeric Average
calculations, LIP status, YPD-DMAG meeting summaries, and implementation of
maintenance or emergency operation plans.
3.1.4.3 Recovery from LIP Stages
1. Recovery from the LIP shall be triggered by the occurrence of any of the three following
conditions either separately or in combination:
• Condition 1: All three triggering conditions associated with a lower numbered LIP Stage,
as described in Table LIP-4, are met.
OR
• Condition 2: High Rock Reservoir water elevations return to at or above the NME plus
2.5 ft.
OR
• Condition 3: High Rock Reservoir water elevations return to at or above the NME for 2
consecutive weeks.
2. When any of these three conditions occurs, the Licensee shall take the following actions as
indicated by the particular condition:
• Condition 1: The LIP recovery shall be a stage-by-stage reversal of the staged approach
described in Table LIP-4 above, beginning at the first day of each month.
• Condition 2: Implementation of the LIP shall be immediately discontinued.
• Condition 3: Implementation of the LIP shall be immediately discontinued.
3. The Licensee shall notify the Commission and NCDWR via email within 3 business days
following attainment of any of the conditions necessary to return to a lower stage of the LIP.
3.1.4.4 Updating the LIP
During the term of this license, the Licensee shall consult with the YPD-DMAG at least once
every five (5) years to review and consider updating the LIP. The use of the period of record
1974 through 2003 to calculate the Historic Stream Gage Three-Month Rolling Average flows
set forth in Table LIP-1 of this Article shall be evaluated every five years during such review. On
the basis of such consultation, review and consideration, the Licensee may propose
modifications to this Article for the Commission's review and approval.
Yadkin Hydroelectric Project (FERC No. 2197) 3-10 February 2007
Relicensing Settlement Agreement
3.1.5 Article PO-5 - Hydro Project Maintenance and Emergency Protocol
If conditions so warrant, the Licensee shall operate the Project in accordance with the Hydro
Project Maintenance and Emergency Protocol (HPMEP) included as Appendix B, "Yadkin
Project Hydro Project Maintenance and Emergency Protocol" of the Yadkin Hydroelectric
Project, FERC No. 2197, Relicensing Settlement Agreement.
3.2 Water Quality
3.2.1 Article WQ-1 -Water Quality
The Licensee shall operate the Project in accordance with the conditions of the water quality
certification submitted by the North Carolina Division of Water Quality under section 401 of the
Clean Water Act.
3.2.2 Article WQ-2 - Dissolved Oxygen Monitoring
The Licensee shall conduct dissolved oxygen (DO) monitoring pursuant to the DO Monitoring
Plan approved by the North Carolina Division of Water Quality (NCDWQ) as part of the water
quality certification issued by that agency and attached to this License as an Appendix. Any
subsequent amendments to the DO Monitoring Plan approved in writing by NCDWQ shall also
be approved by the Commission prior to implementation. Copies of the annual DO monitoring
reports submitted to NCDWQ shall be filed with the Commission within 30 days of their filing
with NCDWQ.
3.3 Recreation
3.3.1 Article RECA - Recreational Enhancements
3.3.1.1 Recreation Facility Improvements
The Licensee shall upgrade and improve existing recreational facilities and construct new
recreational facilities in accordance with Table REC-1 within ten years of the effective date of
this License, with the exception of the planned improvements to the High Rock, Tuckertown,
and Narrows portage trails, which will be completed within 20 years of the effective date of this
License.
3.3.1.2 Recreation Facility Closures
The Licensee shall remove its Part 8 and safety signs from the Rowan County Pump Station
Access Area within one year of the effective date of this License to effectively close the site due
to safety and security concerns.
3.3.1.3 Recreation Operations and Maintenance
The Licensee shall continue to operate and maintain its existing recreation sites at the Yadkin
Project. In addition, the Licensee shall operate and maintain a new recreation site proposed for
development on High Rock Reservoir in Rowan County and up to ten dispersed campsites.
Yadkin Hydroelectric Project (FERC No. 2197) 3-11 February 2007
Relicensing Settlement Agreement
3.3.1.4 Project Recreation Plan
Within two years of the effective date of this License, the Licensee shall file, for Commission
approval, a final Recreation Plan for the Yadkin Project. The plan will be developed in
consultation with the North Carolina Department of Environment and Natural Resources
(NCDENR), North Carolina Wildlife Resources Commission (NCWRC), U.S. Fish and Wildlife
Service (USFWS), U.S. Forest Service (USFS) and the State Historic Preservation Officer
(SHPO), as appropriate.
The final Recreation Plan shall address, at a minimum, the specific recreation facility
improvements outlined in Table REC-1.
The final Recreation Plan shall also include: (1) a map(s) that clearly identifies all existing and
proposed recreation sites and public access, in relation to the existing Yadkin Project boundary;
(2) a schedule, (3) the length and width of any Project related trail, canoe portage, etc.; (4) a
discussion of how the needs of the disabled were considered in the planning and design of the
recreation facilities and public access; and (5) identification of appropriate signage.
The Licensee shall include with the final Recreation Plan documentation of agency consultation,
copies of comments and recommendations on the completed draft plan after it has been
prepared and provided to the agencies, and specific descriptions of how the agencies'
comments are accommodated by the final plan. The Licensee shall allow a minimum of 30 days
for the agencies to comment prior to filing the plan with the Commission. If the Licensee does
not adopt a recommendation, the filing shall include the Licensee's reasons for not doing so,
based on Project-specific information.
The Commission reserves the right to require changes to the plan. Upon Commission approval,
the Licensee shall implement the plan, including any changes required by the Commission.
Table REC-1. Yadkin Project Recreation Facility Improvements
1. Americans with Disabilities Act (ADA) improvements at up to 10 public recreation
sites
2. Provide and maintain new portable toilet facilities at several existing recreation
sites, where such facilities are not currently available
3. Install two ADA compliant fishing piers at existing recreation sites, one on High
Rock Reservoir and the other on Tuckertown Reservoir
4. Modify existing tailwater fishing areas located at the High Rock and Tuckertown
tailwaters
5. Improve the four Project portage trails to North Carolina standards
6. Construct a new public recreation site with a swimming area and beach on High
Rock Reservoir in Rowan Count
7. Construct u to ten "hardened" campsites dispersed throughout the Project area
8. Replace the Highway 49 Boat Access Area when necessary
3.4 Shoreline Management
3.4.1 Article SMP-1 - Shoreline Management Plan
The Licensee shall file a revised Shoreline Management Plan (SMP) for the Project with the
Commission within two years of the effective date of this License. The Licensee shall revise the
SMP in consultation with state and federal resource agencies and other interested parties. The
Yadkin Hydroelectric Project {FERC No. 2197) 3-12 February 2007
Relicensing Settlement Agreement
Licensee shall provide the consulted parties with a 30-day period to review and comment on a
draft revised SMP. The Licensee shall include with its filing copies of all comments received on
the draft revised SMP and a discussion of those comments, including whether the Licensee
adopted the comments or the Licensee's rationale for not incorporating the comments in the
final revised SMP.
The Commission reserves the right to require changes to the SMP. Upon Commission
approval, the Licensee shall implement the approved SMP, including any changes required by
the Commission.
3.5 Cultural Resources
3.5.1 Article HP-1 - Historic Properties Management Provisions
3.5.1.1 Compliance with the Programmatic Agreement
The Licensee shall implement the provisions of the Programmatic Agreement for•the Yadkin
Project, in accordance with its terms.
(Drafting note to Commission staff. The Parties request that the following provision be
included in the New License only if the Licensee has not riled a Historic Properties
Management Plan for the Project prior to the effective date of the License.]
3.5.1.2 Development and Filing of a Historic Properties Management
Plan
The Licensee shall develop and file with the Commission a Historic Properties Management
Plan (HPMP) within one year of the effective date of this License. The Licensee shall develop
the HPMP in consultation with the U.S. Forest Service (USFS), North Carolina State Historic
Preservation Office (NCSHPO), the Catawba Indian Nation Tribal Historic Preservation Office
(CIN THPO), the Badin Historic Museum Inc., and others with an interest in cultural issues at
the Project. The Licensee shall provide the USFS,. NCSHPO, CIN THPO, the Badin Historic
Museum Inc., and others with a 30-day period to review and comment on a draft HPMP.
The Licensee shall include with the final HPMP copies of all comments received on the draft
HPMP and a discussion of those comments, including whether the Licensee adopted the
comments or the Licensee's rationale for not incorporating the comments into the final HPMP.
The Commission reserves the right to require changes to the HPMP. Upon Commission
approval, the Licensee shall implement the HPMP, including any changes required by the
Commission.
[Drafting note to Commission staff. The Parties request that the following provision be
included in the New License if the Licensee has filed an HPMP for the Project prior to the
effective date of the License.]
The HPMP for the Project shall be considered a condition of and be incorporated into this
License upon its approval by the Commission.
Yadkin Hydroelectric Project (FERC No. 2197) 3-13 February 2007
Relicensing Settlement Agreement
3.6 Wildlife, Aquatics and RTE Species
3.6.1 Article FW-1 - Rare, Threatened and Endangered (RTE) Species
Management Plan
Within two years of the effective date of this License, the Licensee shall file with the
Commission an RTE Species Management Plan (RTE Plan) for the Project. The RTE Plan will
be developed in consultation with the U.S. Fish and Wildlife Service (USFWS), North Carolina
Wildlife Resources Commission (NCWRC), and other appropriate state and federal wildlife
resource agencies. The RTE Plan shall address issues regarding the impact of the Project or
Project operations on the following species and their habitats:
1) Bald Eagle (Haliaeetus leucocephalus)
2) Yadkin River Goldenrod (Solidago plumosa)
3) Schweinitz's Sunflower (Helianthus schweinitzii)
The RTE Plan shall also include plans for periodic monitoring of freshwater mussels in the
Project tailwaters, with an emphasis on the Falls tailwater area. The monitoring contemplated in
the RTE Plan should be a cooperative effort between the Licensee, the NCWRC, and other
interested state and federal agencies.
The Licensee shall include with the RTE Plan, documentation of agency consultation, copies of
comments and recommendations on the plan after it has been prepared, and specific
descriptions of how the agencies' comments are accommodated by the plan. If the Licensee
does not adopt an agency recommendation, the filing shall include the Licensee's reasons for
not doing so, based on Project specific information.
The Commission reserves the right to require changes to the RTE Plan. Implementation of the
plan shall not begin until the plan is approved by the Commission. Upon Commission approval,
the Licensee shall implement the plan, including any changes required by the Commission.
3.6.2 Article FW-2 - Transmission Line Corridor Management Plan
Within two years of the effective date of this License, the Licensee shall file with the
Commission a Transmission Line Corridor Management Plan (TLC Plan). The TLC Plan shall
be developed in consultation with the North Carolina Wildlife Resources Commission (NCWRC),
U.S. Fish and Wildlife Service (USFWS), and other appropriate state and federal wildlife
resource agencies. The TLC Plan shall establish vegetation and wetland management
objectives for the two Project transmission line corridors and shall outline actions to be taken by
the Licensee to manage the corridors in a manner consistent with those objectives.
The Licensee shall include with the TLC Plan, documentation of agency consultation, copies of
comments and recommendations on the plan after it has been prepared, and specific
descriptions of how the agencies' comments are accommodated by the plan. If the Licensee
does not adopt an agency recommendation, the filing shall include the Licensee's reasons for
not doing so, based on Project-specific information.
The Commission reserves the right to require changes to the TLC Plan. Implementation of the
plan shall not begin until the plan is approved by the Commission. Upon Commission approval,
the Licensee shall implement the plan, including any changes required by the Commission.

Yadkin Hydroelectric Project (FERC No. 2197) 3-14 February 2007
Relicensing Settlement Agreement
Appendices
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
Appendix A - Low Inflow Protocol for the Yadkin &
Yadkin-Pee Dee River Hydroelectric Projects
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
Low Inflow Protocol
for the
Yadkin & Yadkin -Pee Dee River Hydroelectric Projects
GOAL
The fundamental goal of this Low Inflow Protocol (LIP) is to take staged actions in the Yadkin-
Pee Dee River Basin needed to delay the point at which available water storage in the Yadkin
Hydroelectric Project (Federal Energy Regulatory Commission - FERC No. 2197) and the
Yadkin-Pee Dee Hydroelectric Project (FERC No. 2206) (collectively, projects) reservoirs is fully
depleted while maintaining downstream flows. This LIP is intended to provide additional time to
increase the probability that precipitation will restore streamflow and reservoir water elevations
to normal ranges. The amount of additional time that is gained during implementation of this
LIP depends on the diagnostic accuracy of the trigger points, the amount of regulatory flexibility
available to operate the projects, and the effectiveness of the projects' operators and the water
users in working together to implement required actions and achieve significant water use
reductions. It is assumed that water users in the Yadkin-Pee Dee River Basin not subject to this
LIP must comply with all applicable State and local drought response requirements.
More specifically, this LIP establishes procedures for adjusting operations during periods of low
inflow to the Yadkin Hydroelectric Project owned and operated by Alcoa Power Generating Inc.
(APGI) and the Yadkin-Pee Dee River Hydroelectric Project owned by Carolina Power & Light
Company and operated by Progress Energy Carolinas, Inc. (PE) (collectively, Licensees) during
the term of the new FERC licenses issued for these projects. The provisions of this LIP should
be interpreted in a manner consistent with all other provisions of the new FERC licenses.
OVERVIEW
This LIP will be implemented during periods when there is not enough water flowing into the
projects' reservoirs to meet the projects' Required Minimum Instream Flows while maintaining
reservoir water elevations within Normal Operating Ranges. This LIP provides trigger points and
operating procedures that the Licensees will follow for the projects. This LIP also specifies water
withdrawal reduction measures for other water users in portions of the Yadkin-Pee Dee River
Basin.
The Licensees will provide flow from storage in the projects' reservoirs to support hydroelectric
generation and to provide Required Minimum Instream Flows in accordance with their
respective new FERC licenses. During periods of normal inflow, reservoir water elevations will
be maintained within their Normal Reservoir Operating Ranges. During times that inflow is not
adequate to provide Required Minimum Instream Flows and maintain reservoir water elevations
within their Normal Reservoir Operating Ranges, the Licensees will reduce releases for
hydroelectric generation. If reservoir storage continues to drop and climatologic or hydrologic
conditions worsen until trigger points defined in this LIP are reached, the Licensees will
implement additional provisions of this LIP, including meeting with the designated agencies and
water users to discuss the need for actions pursuant to this LIP. If conditions worsen,
progressive stages of this LIP will allow additional use of the available water storage inventory,
while conserving water storage volumes through required reductions in LIP Flows and required
reductions in water withdrawals.
Yadkin Hydroelectric Project (FERC No. 2197) A-1 February 2007
Relicensing Settlement Agreement
Implementation of this LIP and movement between the various stages are based on
measurements of Stream Gage Three-Month Rolling Average Flow, U. S. Drought Monitor
Three-Month Numeric Average, and the High Rock Reservoir water elevation. The calculation of
these triggers and specific thresholds associated with each stage are detailed in this LIP.
Recognizing that improvements to this LIP may be identified during the new FERC license
period, this LIP will be re-evaluated as defined in Key Definitions, Facts and Assumptions No.
18.
KEY DEFINITIONS, FACTS, AND ASSUMPTIONS
1. Low Inflow Watch or Low Inflow Condition- A period of time when there is not enough water
flowing into the projects' reservoirs to meet the projects' Required Minimum Instream Flows
while maintaining reservoir water elevations within Normal Reservoir Operating Ranges.
2. LIP Flows -For the purposes of this LIP, this term refers to the flows defined in Table 6.
3. Required Minimum Instream Flows - For the purposes of this LIP, this term includes the
minimum flow requirements included in the new FERC licenses for the projects.
4. Public Information Obligations - The Licensees will develop and provide information on their
respective websites to inform the public on reservoir water elevations, project releases,
usability of public access areas, reservoir inflows, meteorological forecasts, Historic and
Actual Stream Gage Three-Month Rolling Average Flow calculations, U.S. Drought Monitor
Three-Month Numeric Average calculations, LIP status, YPD-DMAG meeting summaries,
and implementation of maintenance or emergency operation plans.
5. Stream Gage Three-Month Rolling Average Flow -The three-month rolling average of
streamflow will be calculated at the following USGS stream gages:
• Yadkin River at Yadkin College (02116500)
• South Yadkin River near Mocksville (02118000)
• Abbotts Creek at Lexington (02121500)
• Rocky River near Norwood (02126000)
This flow will be calculated on the last day of each month by averaging the monthly average
of the current month and the two preceding months. The sum of the three-month rolling
average for these four gage stations will be compared to the Historic Stream Gage Three-
Month Rolling Average Flow for the corresponding period.
6. Historic Stream Gage Three-Month Rolling Average Flow - The daily flow for each of the
four designated USGS stream gages has been used to calculate a monthly average flow for
the period of record 1974 through 2003. Because the USGS only began gaging flows for
Abbotts Creek in 1988, the historical average for this gage will be based on the period 1988
through 2003. The historic three-month rolling average flow for each month of the year,
presented in Table 1, was calculated on the last day of each month of the year by averaging
the monthly average flow for each month and the preceding two months. The use of the
period of record 1974 through 2003 to calculate the historic three-month rolling average flow
will be evaluated every five years during the review of this LIP (see Key Definitions, Facts,
and Assumptions No. 18).
Yadkin Hydroelectric Project (FERC No. 2197) A-2 February 2007
Relicensing Settlement Agreement
Table 1. Historic Stream Gage Three-Month Rolling Average Flow
For Evaluation of
Flow Trigger on: Average of daily flows
during: Historic Three-Month
Rolling
Average Flow, cfs
January 1 Oct-Nov-Dec 4,000
February 1 Nov-Dec-Jan 5,200
March 1 Dec-Jan-Feb 6,250
April 1 Jan-Feb-Mar 7,700
May 1 Feb-Mar-Apr 7,550
June 1 Mar-Apr-May 6,850
July 1 Apr-May-Jun 5,350
August 1 May-Jun-Jul 4,200
September 1 Jun-Jul-Aug 3,600
October 1 Jul-Aug-Sep 3,200
November 1 Aug-Sep-Oct 3,300
December 1 Sep-Oct-Nov 3,550
7. Full Pond Elevation - Also referred to as "Full Pond", this is the elevation of a reservoir
(measured in feet, USGS datum [NGVD 1929]) that corresponds to the point at which water
would first begin to spill from each reservoir's dam if the respective Licensee took no action.
This elevation corresponds to the lowest point along the top of the spillway (including
flashboards) for reservoirs without flood gates; and to the lowest point along the top of the
flood gates for reservoirs that have flood gates. The Full Pond Elevation for each projects'
reservoirs is listed in Table 2.
Table 2. Full Pond Elevations
Reservoir Full Pond Elevation
(feet, USGS datum - NGVD 1929)
High Rock 623.9
Tuckertown 564.7
Narrows 509.8
Falls 332.8
Tillery 278.2
Blewett Falls 178.1
8. Normal Reservoir Operating Range - The band of reservoir water elevations within which
the Licensees normally attempt to maintain a given reservoir on a given day. Each reservoir
has its own specific Normal Reservoir Operating Range, bounded by Full Pond Elevation
and Normal Minimum Elevation. If net inflows to the reservoir are within a reasonable
tolerance of the average or expected amounts, project equipment is operating properly, and
if maintenance or emergency operation plans have not been implemented, reservoir water
elevation excursions outside of the Normal Reservoir Operating Range should not occur.
The new FERC license for the Yadkin Project includes operating curves that establish the
Normal Reservoir Operating Range for each Yadkin Project reservoir.
Yadkin Hydroelectric Project (FERC No. 2197) A-3 February 2007
Relicensing Settlement Agreement
9. Normal Minimum Elevation (NME) - The elevation of a reservoir (measured in feet, USGS
datum [NGVD 1929]) that defines the bottom of the reservoir's Normal Operating Range for
a given day of the year. NME for each of the projects' reservoirs is listed in Table 3.
Table 3. Normal Minimum Elevations (feet, USGS datum - NGVD 1929)

Month High
Rock Tucker-
town Narrows Falls
Tillery Blewett
Falls
Full Pond 623.9 564.7 509.8 332.8 278.2 178.1
January 1 613.9 561.7 504.8 328.8 273.2 172.1
February 1 613.9 561.7 504.8 328.8 273.2 172.1
March 1 transition 561.7 504.8 328.8 275.7 172.1
April 1 619.9 561.7 504.8 328.8 275.7 172.1
May 1 619.9 561.7 504.8 328.8 275.7 172.1
June 1 619.9 561.7 504.8 328.8 275.7 172.1
July 1 619.9 561.7 504.8 328.8 275.7 172.1
August 1 619.9 561.7 504.8 328.8 275.7 172.1
September 1 619.9 561.7 504.8 328.8 275.7 172.1
October 1 619.9 561.7 504.8 328.8 275.7 172.1
November 1 transition 561.7 504.8 328.8 275.7 172.1
December 1-15 613.9 561.7 504.8 328.8 275.7 172.1
December16-31 613.9 561.7 504.8 328.8 273.2 172.1
10. Public Water System - For the purposes of this LIP, a Public Water System is any publicly
or privately owned water system that supplies potable water to the public having an
instantaneous withdrawal capacity of one million gallons per day or more, and withdraws
from storage in the projects' reservoirs.
11. Non-Public Water User - For the purposes of this LIP, a Non-Public Water User is any
publicly or privately owned water withdrawer that withdraws water for uses other than
supplying potable water to the public, having an instantaneous withdrawal capacity of one
million gallons per day or more that withdraws from storage in the projects' reservoirs.
12. U.S. Drought Monitor -A synthesis of multiple indices, outlooks, and news accounts
(published by the U. S. Department of Agriculture) that represent a consensus of federal and
academic scientists concerning the drought status of all parts of the United States. Typically,
the U.S. Drought Monitor indicates intensity of drought as DO-Abnormally Dry, D1-Moderate,
D2-Severe, D3-Extreme and D4-Exceptional. The current U.S. Drought Monitor and
explanatory material can be found at.http://www.drought.unl.edu/dm/monitor.htmi.
13. U.S. Drought Monitor Three-Month Numeric Average - If the U.S. Drought Monitor has a
designation ranging from DO to D4 as of the last day of a month for any part of the Yadkin-
Pee Dee River Basin that drains to the Blewett Falls development, the basin will be
assigned a numeric value for that month. The numeric value will equal the highest U.S.
Drought Monitor designation (e.g. DO=0, D1=1, D2=2, D3=3 and D4=4) for any part of the
Yadkin-Pee Dee River Basin draining to Blewett Falls development as of the last day of the
month. A normal condition in the basin, defined as the absence of a drought designation, will
be assigned a numeric value of negative one (-1). A rolling average of the numeric values of
the current month and previous two months will be calculated by APGI at the end of the
month and designated as the U.S. Drought Monitor Three-Month Numeric Average for
purposes of this LIP.

Yadkin Hydroelectric Project (FERC No. 2197) A-4 February 2007
Relicensing Settlement Agreement
14. Critical Reservoir Water Elevation - The reservoir water elevation (measured in feet, USGS
datum [NGVD 1929]) below which a Public Water System intake, Non-Public Water User's
intake, or hydropower plant located on the reservoir cannot operate under normal
conditions. Critical Reservoir Water Elevations are defined in Table 4.
Table 4. Critical Reservoir Water Elevation
Critical Reservoir

Reservoir Water Elevation
Type
measured at the dam _
(feet USGS Datum - NGVD1929)
High Rock 599.9 (24 ft below full pool) Hydropower Production
Tuckertown 560.7 4 ft below full pool) Public Water Supply
Narrows 486.8 (23 ft below full pool) Public Water Supply
Falls 322.8 10 ft below full pool) Hydropower Production
Tillery 268.2 (10 ft below full pool) Public Water Supply
Blewett Falls 168 (10.1 ft below full pool) Public Water Supply/ Hydropower
Production
15. Critical Flow - The flows from the projects that are necessary to prevent long-term or
irreversible damage to aquatic communities consistent with the resource management goals
and objectives for the affected stream reaches and necessary to provide some basic level of
water quality maintenance in affected river reaches. For the purposes of this LIP, the
Critical Flows are defined as follows:
• Falls Development - the Critical Flow from the Falls Development is equal to 770 cfs
measured on a daily average basis.
• Tillery Development - the Critical Flow from the Tillery Development is the same as
required minimum instream flow as defined in the new FERC license for Yadkin Pee-
Dee River Hydroelectric Project
• Blewett Falls Development - the Critical Flow from the Blewett Falls Development is
925 cfs measured on a continuous basis.
16. Organizational Abbreviations - Organizational abbreviations include Alcoa Power
Generating Inc. (APGI), Progress Energy (PE), NC Department of Environment and Natural
Resources (NCDENR), North Carolina Division of Water Resources (NCDWR), North
Carolina Division of Water Quality (NCDWQ), North Carolina Wildlife Resources
Commission (NCWRC), South Carolina Department of Natural Resources (SCDNR), South
Carolina Department of Health and Environmental Control (SCDHEC), the United States
Fish and Wildlife Service (USFWS), High Rock Lake Association (HRLA), Badin Lake
Association (BLA), and South Carolina Pee Dee River Coalition (SCPDRC).
Yadkin Hydroelectric Project (FERC No. 2197) P-5 February 2007
Relicensing Settlement Agreement
17. Yadkin-Pee Dee River Basin Drought Management Advisory Group (YPD-DMAG) -The
YPD-DMAG is established to facilitate implementation and review of this LIP. Members of
the YPD-DMAG agree to comply with this LIP. Membership on the YPD-DMAG is open to
one representative from each of the following organizations:
• APGI
• PE
• NCDWR
• NCDWQ
• NCWRC
• SCDNR
• SCDHEC
• USFWS
• Duke Power
• HRLA
• BLA
• Lake Tillery homeowners representation
• SCPDRC
• All owners of a Public Water System intake or a Non-Public Water User's intake that
withdraw from storage in one of the projects' reservoirs.
The Licensees will share the responsibility to notify NCDWR of a Low Inflow Condition. .
NCDWR and SCDNR will share responsibility to coordinate with the YPD-DMAG including
notifying, setting agendas, leading discussions, and providing call/meeting summaries.
Regardless of the Low Inflow Condition, coordination will include a meeting convened
annually by NCDWR during April to discuss issues relevant to this LIP. Membership in the
YPD-DMAG may be expanded based on a consensus of the members or at the direction of
FERC. The NCDWR will maintain an active roster of the YPD-DMAG, will prepare meeting
summaries of all YPD-DMAG meetings.
18. Revising this LIP - During the new FERC license period, the YPD-DMAG will be convened
by NCDWR and SCDNR at least once every five (5) years to review and, if necessary,
update this LIP. Decisions on modifications to the Licensees' responsibilities under this LIP,
if any, will be determined by consensus of the Licensees and the States of North Carolina
and South Carolina (specifically NCDWR, NCDWQ, SCDNR, SCDHEC) after consultation
with other members of the YPD-DMAG. Proposed modification to the Licensees'
responsibilities will be submitted to FERC for review and approval as necessary.
Modifications to the responsibilities of other members (not the FERC licensees) of the YPD-
DMAG under this LIP, if any, will be determined by consensus of those members after
consultation with the Licensees. Approved modifications will be incorporated through
revision of this LIP. The YPD-DMAG may appoint an ad hoc committee to consider issues
relevant to this LIP. An issue such as the substitution of a regional drought monitor for the
U.S. Drought Monitor, if developed in the future, or proportional drawdown of storage
reservoirs during LIP stages are examples of items that may be considered.
19. Consensus - The unanimous support of all Parties, or at least no opposition from any
Parry.
20. Water Withdrawal Data Collection and Reporting - The owners of all water intakes impacted
by this LIP are to comply with water use reporting requirements of the appropriate State
Yadkin Hydroelectric Project (FERC No. 2197) A-6 February 2007
Relicensing Settlement Agreement
Agencies. The YPD-DMAG can request and should receive relevant water use information
from the appropriate state agency or directly from the owners of individual intakes.
21. Drought Response Plan Updates - All Public Water Supply System owners and Non-Public
Water Users subject to this LIP will review and update their drought response plans, or
develop a plan if they do not have one, to ensure compliance and coordination with this LIP,
including the authority to enforce the provisions outlined herein. Nothing in this LIP is
intended to prevent Public Water System owners or Non-Public Water Users from taking
more restrictive actions or from complying with any applicable law or regulation.
22. Relationship Between this LIP and Maintenance and Emergency Plans - Maintenance and
emergency plans outline the general approach the Licensees will take under certain
maintenance, emergency, equipment failure and other situations to continue practical and
safe operation of the projects; to maintain operations consistent with the new FERC license
conditions to the maximum extent possible; and to communicate with resource agencies and
the affected parties. Under these plans, temporary modifications to Required Minimum
Instream Flow releases, and the Normal Reservoir Operating Ranges are allowed.
Lowering projects' reservoir water elevations caused by situations addressed under
maintenance and emergency plans will not invoke implementation of this LIP. Also, if this
LIP has already been implemented at the time that a situation covered by these plans is
initiated, the Licensee may suspend implementation of this LIP until the maintenance or
emergency situation has been eliminated. Notification will be provided by the Licensees to
the State Agencies as soon as practicable.
PROCEDURE
A Low Inflow Watch or Low Inflow Condition, as specifically defined below, will be triggered by
the combination of conditions defined in Table 5. This LIP will be implemented at Stage 0 and,
if the combination of conditions becomes more severe, the stage will increase in one stage
increments. The Licensees and other water users will follow the procedure set forth in this
section regarding communications and adjustments to flows and other water demands.
Yadkin Hydroelectric Project (FERC No. 2197) A-7 February 2007
Relicensing Settlement Agreement
Table 5. Summary of LIP Triggers
Stage High Rock Reservoir US Drought Monitor
Th Stream Gage Three-Month
Rollin
Average
Elevation ree -Month Numeric as a percent
Average
Historical Average
< NME minus 0.5 ft and any or any
0 OR
< NME and either ? 0 or < 48 %
1 < NME minus 1 ft and either ? 1 or <41 %
2 < NME minus 2 ft and either > 2 or <35 %
3 < NME minus 3 ft and either > 3 or <30 %
4
F <'/: of (NME minus Critical
Reservoir Water Elevation) and either > q or <30 %
The LIP Flows set forth in Table 6 will be initiated on a monthly basis and are designed to
equitably allocate the impacts of reduced water availability in accordance with the goal of this
LIP. Initiation of this LIP will be based on analysis of the trigger conditions on the first day of
each month. The High Rock Reservoir water elevation as of midnight between the last day of
the previous month and the first day of the current month will be used in combination with the
U.S. Drought Monitor Three-Month Numeric Average and the Stream Gage Three-Month
Rolling Average Flow to determine the need to declare a Low Inflow Watch or change the stage
of Low Inflow Conditions.
Table 6. LIP Flowsni, cfs
High Rock
(daily average Falls (2) Blewett Fallsr2?

Stage
maximum flow target)
(daily
average flow target)
(continuous flow target<'t)
Feb 1- May 16 Jun 1- Feb 1- May 16 Jun 1- Feb 1- May 1& Jun 1-
May 15 31 Jan 31 May 15 31 Jan 31 May 15 31 Jan 31
0 2000 1500 1000 2000 1500 1000 2400 1800 1200
1 1450 1170 900 1450 1170 900 1750 1400 1080
2 1080 950 830 1080 950 830 1300 1150 1000
3 770 770 770 770 770 770 925 925 925
4
I Additional measures may be determined by consensus of the Licensees and State Agencies. FERC approval of
any additional measures may be required.
1 Consistent with the goal of this LIP to conserve water while maintaining downstream flows, projects will be operated to
achieve the target flows to the extent practicable as a first priority and to supplement inflows equitably from the storage
reservoirs as a second priority.
2 The LIP flow values shown in the table above reflect flow targets. These values cannot be met exactly as shown and will
likely vary slightly on a real time basis from the values shown here. It is expected that the variances from the target flows
will be minimal. In Stages 0-2 the releases from Blewett Fallsw ill be within 5% of the target as measured at the USGS
Rockingham gage. In stages 3-4 the releases from Blewett Falls will be between 900-950 cfs as measured at the USGS
Rockingham gage.
3 Local inflows to Blewett Falls Reservoir may be large even during extended low inflow conditions. If at any time during
the implementation of the LIP local inflows to Blewett Falls Reservoir are large enough to fill Blewett Falls Reservoir to full
pond, the Downstream Licensee may temporarily increase Blewett Falls generation to avoid spill.
i
Yadkin Hydroelectric Project (FERC No. 2197) A-8 February 2007
Relicensing Settlement Agreement
Stage 0 - Low Inflow Watch:
The Licensees will monitor High Rock Reservoir water elevations, the U.S. Drought Monitor and
the designated stream gages and will declare a Stage 0 Low Inflow Watch for the month if the
following conditions are present on the first day of the month:
• If the High Rock Reservoir water elevation is below the NME minus 0.5 ft under any
inflow or drought condition.
OR
• The High Rock Reservoir water elevation is below its NME.
AND EITHER
• The U.S. Drought Monitor Three-Month Numeric Average for the Yadkin-Pee
Dee River Basin draining to Blewett Falls Development is greater than or
equal to zero.
OR
• The Stream Gage Three-Month Rolling Average Flow for the monitored
stream gages is less than 48% of the Historic Stream Gage Three-Month
Rolling Average Flow.
When a Stage 0 Low Inflow Watch is declared:
1. The Licensees will notify via email the NCDWR of a Stage 0 Low Inflow Watch as soon as
practicable but no later than three business days after the declaration.
2. The NCDWR will activate the YPD-DMAG and initiate monthly meetings or conference calls
to be held on the Monday before the second Tuesday. Monthly discussions will:
a. Review provisions of this LIP.
b. Clarify communication channels between the YPD-DMAG members.
c. Review hydrological status of the basin.
d. Review the roles of each YPD-DMAG member and discuss their plans for responding if
an elevated Low Inflow Condition is declared.
e. Review information reporting by YPD-DMAG members, including a storage history and
forecast from the Licensees, a water use history and forecast from each water user on
the YPD-DMAG, and state-wide drought response status (including, but not limited to,
impact to water quality, fisheries, wildlife, etc.) from the member agencies.
f. Public communications.
Yadkin Hydroelectric Project jFERC No. 2197) A-9 February 2007
Relicensing Settlement Agreement
Stage 1 - Low Inflow Condition:
The Licensees will monitor High Rock Reservoir water elevations, the U.S. Drought Monitor and
the designated stream gages and will declare a Stage 1 Low Inflow Condition for the month if
the following conditions are present on the first of the month:
• The prior month LIP condition was Stage 0;
AND
• The High Rock Reservoir water elevation is more than 1 ft below the NME;
AND EITHER
• The U.S. Drought Monitor Three-Month Numeric Average for the Yadkin-Pee
Dee River Basin draining to Blewett Falls Development is greater than or
equal to 1.
OR
• The Stream Gage Three-Month Rolling Average Flow for the monitored
stream gages is less than 41% of the Historic Stream Gage Three-Month
Rolling Average Flow.
When a Stage 1 Low Inflow Condition is declared:
1. The Licensees will:
a. Notify NCDWR of declaration of a Stage 1 Low Inflow Condition via email as soon as
practicable but no later than two business days after the declaration.
b. Implement LIP Flows as detailed in Table 6 for each project by the seventh day of the
month in which a Stage 1 Low Inflow Condition is declared. To meet the LIP Flows for
Stage 1 :
APGI will supplement Project inflows by drawing first from Narrows Reservoir until
the Narrows Reservoir drawdown below its NME matches the High Rock Reservoir
drawdown below its NME at the time that the Stage 1 Low Inflow Condition is
declared.
APGI will supplement Project inflows by drawing from High Rock and Narrows
reservoirs approximately equally on a foot-per-foot basis below the Normal Minimum
Elevation (NME).
PE will supplement Project inflows by drawing from either Tillery or Blewett Falls as
required.
c. Update their respective websites as noted in Key Definitions, Facts and Assumptions
No. 4.
d. Provide Public Water System intake owners and Non-Public Water Users with weekly
updates on reservoir water elevations and inflow of water into the projects' reservoirs.
Yadkin Hydroelectric Project (FERC No. 2197) A-10 February 2007
Relicensing Settlement Agreement
2. If they have not already done so, NCDWR will coordinate with SCDNR to conduct monthly
meetings or conference calls to be held on the Monday before the second Tuesday. Monthly
discussions will:
a. Review provisions of this LIP.
b. Clarify communication channels between the YPD-DMAG members.
c. Review hydrological status of the basin.
d. Review the roles of each YPD-DMAG member and discuss their plans for responding if
an elevated Low Inflow Condition is declared.
e. Review information reporting by YPD-DMAG members, including a storage history and
forecast from the Licensees, a water use history and forecast from each water user on
the YPD-DMAG, and state-wide drought response status (including, but not limited to,
impact to water quality, fisheries, wildlife, etc.) from the member agencies.
f. Public communications.
3. Owners of Public Water System intakes will complete the following activities within 14 days
after a Stage 1 Low Inflow Condition is declared:
a. Notify their water customers of the low inflow condition through public outreach and
communication efforts.
b. Request that their water customers implement voluntary water use restrictions, in
accordance with their drought response plans. At this stage, the goal is to reduce water
withdrawals by approximately 5% from the amount that would otherwise be expected.
These restrictions may include:
• Reduction of lawn and landscape irrigation to no more than two days per week (i.e.
residential, multi-family, parks, streetscapes, schools, etc).
• Reduction of residential vehicle washing.
c. Provide a status update to the YPD-DMAG on actual water withdrawal trends and
discuss plans for moving to mandatory restrictions, if they are required.
4. Non-Public Water Users on the YPD-DMAG will complete the following activities within 14
days after a Stage 1 Low Inflow Condition is declared:
a. Notify their employees and/or customers of the low inflow condition,
b. Request that their employees and customers conserve water through reduction of water
use, electric power consumption, and other means, and
c. Institute in-house conservation consistent with their drought management plan and
minimize consumptive uses to the extent feasible.
Yadkin Hydroelectric Project (FERC No. 2197) /-11 February 2007
Relicensing Settlement Agreement
Stage 2 - Low Inflow Condition:
The Licensees will monitor High Rock Reservoir water elevations, the U.S. Drought Monitor and
the designated stream gages and will declare a Stage 2 Low Inflow Condition for the month if
the following conditions are present on the first of the month:
• The prior month LIP condition was Stage 1;
AND
• The High Rock Reservoir water elevation is more than 2 ft below the NME.
AND EITHER
• The U.S. Drought Monitor Three-Month Numeric Average for the Yadkin-Pee
Dee River Basin draining to Blewett Falls Development is greater than or
equal to 2.
OR
• The Stream Gage Three-Month Rolling Average Flow for the monitored
stream gages is less than 35% of the Historic Stream Gage Three-Month
Rolling Average Flow.
When a Stage 2 Low Inflow Condition is declared:
1. The Licensees will:
a. Notify NCDWR of a declaration of Stage 2 Low Inflow Condition via email as soon as
practicable but no later than two business days after the declaration.
b. Implement LIP Flows as detailed in Table 6 for each project by the seventh day of the
month in which a Stage 2 Low Inflow Condition is declared. To meet the LIP Flows for
Stage:
• APGI will supplement Project inflows by drawing from High Rock and Narrows
reservoirs approximately equally on a foot-per-foot basis.
• PE will supplement Project inflows by drawing from either Tillery or Blewett Falls as
required.
c. Update their respective websites as noted in Key Definitions, Facts and Assumptions
No. 4.
d. Provide Public Water System intake owners and Non-Public Water Users with updates
twice per week on reservoir water elevations and inflow of water into the system.
e. Continue participation in monthly or more frequent meeting or conference calls of the
YPD-DMAG
2. NCDWR will coordinate with SCDNR to conduct monthly YPD-DMAG meetings or
conference calls to be held on the Monday before the second Tuesday. Monthly discussions
will:
Yadkin Hydroelectric Project (FERC No. 2197) A-12 February 2007
Relicensing Settlement Agreement
a. Review provisions of this LIP.
b. Clarify communication channels between the YPD-DMAG members.
c. Review hydrological status of the basin.
d. Review the roles of each YPD-DMAG member and discuss their plans for responding if
an elevated Low Inflow Condition is declared.
e. Review information reporting by YPD-DMAG members, including a storage history and
forecast from the Licensees, a water use history and forecast from each water user on
the YPD-DMAG, and state-wide drought response status (including, but not limited to,
impact to water quality, fisheries, wildlife, etc.) from the member agencies.
f. Public communications.
3. Owners of Public Water System intakes will complete the following activities within 14 days
after the Stage 2 Low Inflow Condition is declared:
a. Notify their water customers of the continued low inflow condition and movement to more
stringent mandatory water use restrictions through public outreach and communication
efforts.
b. Require that their water customers implement mandatory water use restrictions, in
accordance with their drought response plans. At this stage, the goal is to reduce water
withdrawals by approximately 10% from the amount that would otherwise be expected.
These restrictions may include:
• Limiting lawn and landscape irrigation to no more than one day per week (i.e.
residential, multi-family, parks, streetscapes, schools, etc).
• Eliminating residential vehicle washing.
• Limiting public building, sidewalk, and street washing activities except as required for
safety and/or to maintain regulatory compliance.
• Limiting construction uses of water such as dust control.
• Limiting flushing and hydrant testing programs, except to maintain water quality or
other special circumstances.
• Eliminating the filling of new swimming pools.
• Enforce mandatory water use restrictions through the assessment of penalties.
• Encourage industrial/manufacturing process changes that reduce water
consumption.
• Provide a status update to the YPD-DMAG on actual water withdrawal trends.
4. Non-Public Water Users on the YPD-DMAG will complete the following activities within 14
days after the Stage 2 Low Inflow Condition is declared:
a. Notify their employees and/or customers of the low inflow condition through public
outreach and communication efforts.
b. Request that their employees and customers conserve water through reduction of water
use, electric power consumption, and other means.
c. Institute in-house conservation consistent with their required drought management plans
and minimize consumptive uses to the extent feasible.
Yadkin Hydroelectric Project {FERC No. 2197) A-13 February 2007
Relicensing Settlement Agreement
Stage 3 - Low Inflow Condition:
The Licensees will monitor High Rock Reservoir water elevations, the U.S. Drought Monitor and
the designated stream gages and will declare a Stage 3 Low Inflow Condition for the month if
the following conditions are present on the first of the month:
• The prior month LIP condition was Stage 2;
AND
• The High Rock Reservoir water elevation is more than 3 ft below the NME.
AND EITHER
• The U.S. Drought Monitor Three-Month Numeric Average for the Yadkin-Pee
Dee River Basin draining to Blewett Falls Development is greater than or
equal to 3.
OR
• The Stream Gage Three-Month Rolling Average Flow for the monitored
stream gages is less than 30% of the Historic Stream Gage Three-Month
Rolling Average Flow.
When a Stage 3 Low Inflow Condition is declared:
1. The Licensees will:
a. Notify NCDWR of a declaration of Stage 3 Low Inflow condition via email as soon as
practicable but no later than 48 hours after the declaration.
b. Implement LIP Flows to designated Critical Flows as detailed in Table 6 for each project
by the seventh day of the month in which a Stage 3 Low Inflow Condition is declared. To
meet the Critical Flows:
• APGI will supplement Project inflows by drawing from High Rock and Narrows
reservoirs approximately equally on a foot-per-foot basis.
• PE will supplement Project inflows by drawing from either Tillery or Blewett Falls as
required.
c. Update their respective websites as noted in Key Definitions, Facts, and Assumptions
No. 4.
d. Provide Public Water System intake owners and Non-Public Water Users with bi-weekly
(twice each week) updates on reservoir water elevations and inflow of water into the
system.
e. Continue participation in monthly or more frequent meeting or conference calls of the
YPD-DMAG.
Yadkin Hydroelectric Project (FERC No. 2197) X14 February 2007
Relicensing Settlement Agreement
2. NCDWR will coordinate with SCDNR to conduct monthly YPD-DMAG meetings or
conference calls to be held on the Monday before the second Tuesday. Monthly discussions
will:
a. Review provisions of this LIP.
b. Clarify communication channels between the YPD-DMAG members.
c. Review hydrological status of the basin.
d. Review the roles of each YPD-DMAG member and discuss their plans for responding if
an elevated Low Inflow Condition is declared.
e. Review information reporting by YPD-DMAG members, including a storage history and
forecast from the Licensees, a water use history and forecast from each water user on
the YPD-DMAG, and state-wide drought response status (including, but not limited to,
impact to water quality, fisheries, wildlife, etc.) from the member agencies.
f. Public communications.
3. Owners of Public Water System intakes will complete the following activities within 14 days
after the Stage 3 Low Inflow Condition is declared:
a. Notify their water customers of the continued low inflow condition and movement to
emergency water use restrictions through public outreach and communication efforts. At
this stage, the goal is to reduce water usage by approximately 20% from the amount that
would otherwise be expected.
b. Restrict all outdoor water use.
c. Implement emergency water use restrictions in accordance with their drought response
plans, including enforcement of these restrictions and assessment of penalties.
d. Prioritize and meet with their commercial and industrial large water customers and meet
to discuss strategies for water reduction measures including development of an activity
schedule and contingency plans.
e. Prepare to implement emergency plans to respond to water outages.
4. Non-Public Water Users on the YPD-DMAG will complete the following activities within 14
days after a Stage 3 Low Inflow Condition is declared:
a. Continue informing their customers of the low inflow condition through public outreach
and communication efforts.
b. Request that their customers conserve water through reduction of water use, electric
power consumption, and other means.
Yadkin Hydroelectric Project (FERC No. 2197) A-15 February 2007
Relicensing Settlement Agreement
Stage 4 - Low Inflow Condition:
The Licensees will monitor reservoir elevations, the U.S. Drought Monitor and the designated
stream gages and will declare a Stage 4 Low Inflow Condition for the month if the following
conditions are present on the first of the month:
• The prior month LIP condition was Stage 3;
AND
• The High Rock Reservoir water elevation is less than 606.9 ft USGS (November 1
through March 1) or less than 609.9 ft USGS (April 1 through October 1).'
AND EITHER
• The U.S. Drought Monitor Three-Month Numeric Average for the Yadkin-Pee
Dee River Basin draining to Blewett Falls Development is greater than or
equal to 4.
OR
• The Stream Gage Three-Month Rolling Average Flow for the monitored
stream gages is less than 30% of the Historic Stream Gage Three-Month
Rolling Average Flow.
When a Stage 4 Low Inflow Condition is declared:
1. The Licensees will notify NCDWR via email as soon as practicable but no later than 48
hours after the declaration.
2. NCDWR will request a meeting of the YAD-DMAG within 5 days after the declaration of the
Stage 4 Low Inflow Condition for discussion to determine if there are any additional
measures that can be implemented to:
a. Reduce water withdrawals, reduce water releases from the projects or use additional
reservoir storage without creating more severe regional problems.
b. Work together to develop plans and implement any additional measures identified
above.
c. Communicate conditions to the public.
Additional measures may be determined by consensus of the Licensees and State Agencies
with FERC approval as necessary.
' Less than one half the distance between the NME and the Critical Reservoir Water Elevation.
Yadkin Hydroelectric Project (FERC No. 2197) A-16 February 2007
Relicensing Settlement Agreement

Recovery from LIP Stages
Recovery from this LIP will be triggered by any of the three following conditions:
• Condition 1: All three triggers associated with a lower numbered LIP Stage are met.
OR
• Condition 2: High Rock Reservoir water elevations return to at or above the NME PLUS
2.5 ft.
OR
• Condition 3: High Rock Reservoir water elevations return to at or above the NME for 2
consecutive weeks.
When any of these three conditions occurs:
1. The Licensees will take the following action:
a. Condition 1: The LIP recovery will be a general reversal of the staged approach
described above.
b. Condition 2: The LIP will be discontinued.
c. Condition 3: The LIP will be discontinued.
2. The Licensees will notify the NCDWR via email within 3 business days following attainment
of any of the conditions necessary to return to a lower stage of this LIP. Changes to less
restrictive Stages will be made:
a. Condition 1: on the first of each month if a slow recovery is indicated; or
b. Condition 2: immediately if High Rock Reservoir elevations are at or above the NME
PLUS 2.5 ft.
c. Condition 3: immediately if High Rock Reservoir elevations are at or above the NME for
2 consecutive weeks.
3. The Licensees will update their respective websites as noted in Key Definitions, Facts and
Assumptions No. 4.
Yadkin Hydroelectric Project (FERC No. 2197) X17 February 2007
Relicensing Settlement Agreement
Appendix B - Yadkin Project Hydro Project Maintenance and
Emergency Protocol
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
Yadkin Project (FERC No. 2197)
Hydro Project Maintenance and Emergency Protocol
1.0 Overview
Under some maintenance and emergency situations, certain license conditions may be
impractical or even impossible to meet and may need to be suspended or modified temporarily.
The objectives of this Hydro Project Maintenance and Emergency Protocol (HPMEP) are to
define the most likely situations of this type, identify the potentially impacted license conditions,
and outline the general approach that Alcoa Power Generating Inc. (Licensee) will take at the
Yadkin Project (Project) (Federal Energy Regulatory Commission - FERC No. 2197) to maintain
operations consistent with license conditions, to the maximum extent possible, and to
communicate with the resource agencies and affected parties.
Due to the potential variability of these abnormal situations, this HPMEP is not intended to give
an exact step-by-step solution path. It does, however, provide basic expectations for the
Licensee's approach to dealing with the situation. The specific details of each maintenance or
emergency situation will vary and will be determined on a case-by-case basis as this HPMEP is
implemented.
The Licensee will review the requirements of this HPMEP each time it is used and if it
determines revisions are warranted, the Licensee will consult with appropriate resource
agencies and shall file with the Commission a revised HPMEP for the Yadkin Project. The
Licensee shall include with the revised HPMEP documentation of consultation, copies of
comments and recommendations on the revised HPMEP after it has been drafted and provided
to the agencies for their review, and specific descriptions of how comments are accommodated
by the final revised HPMEP. The Licensee shall allow a minimum of 30 days for the agencies to
comment on the revised HPMEP prior to filing it with the Commission. If the Licensee does not
adopt a recommendation, the filing shall include the Licensee's reasons, based on Project
specific information. Upon Commission approval, the Licensee shall implement the revised
HPMEP, including any changes required by the Commission.
2.0 Key Definitions, Facts, and Assumptions
1. Required Minimum Instream Flows - For the purposes of this HPMEP, this term refers to the
Required Minimum Instream Flow requirements included in the new FERC license for the
Project.
2. LIP Flows - For the purposes of this HPMEP, a Low Inflow Protocol (LIP) flow is any flow
required under the LIP.
3. Public Information Obligations - The Licensee will develop and provide information on its
website to inform the public on reservoir water elevations, Project releases, usability of
public access areas, reservoir inflows, meteorological forecasts, Historical and Actual
Stream Gage Three-Month Rolling Average Flow calculations, U.S. Drought Monitor Three-
Month Numeric Average calculations, LIP status, flow and drought triggers, and
implementation of this HPMEP.
Yadkin Hydroelectric Project (FERC No. 2197) B-1 February 2007
Relicensing Settlement Agreement
4. Full Pond Elevation - Also referred to as "full pond", this is the elevation of a reservoir
(measured in feet, USGS datum [NGVD 1929] that corresponds to the point at which water
would first begin to spill at the dam if the Licensee took no action. This elevation
corresponds to the lowest point along the top of the flood gates. The Full Pond Elevations
for the Yadkin Project reservoirs are:
Reservoir Full Pond Elevation
(feet, USGS datum - NGVD 19291
High Rock 623.9
Tuckertown 564.7
Narrows 509.8
Falls 332.8
5. Normal Minimum Elevation (NME) - The elevation of a reservoir (measured in feet, USGS ,
datum [NGVD 1929]) that defines the bottom of the reservoir's Normal Operating Range for
a given day of the year.
6. Normal Reservoir Operating Range - The band of reservoir water elevations within which
the Licensee normally attempts to maintain a given reservoir on a given day. Each reservoir
has its own specific Normal Reservoir Operating Range, bounded by Full Pond Elevation
and Normal Minimum Elevation. If net inflows to the reservoir are within a reasonable
tolerance of the average or expected amounts, Project equipment is operating properly, the
LIP has not been implemented, and this HPMEP has not been implemented, reservoir water
elevation excursions outside of the Normal Reservoir Operating Range should not occur.
The new FERC license for the Project includes operating curves that establish the Normal
Reservoir Operating Range for each Project reservoir.
Yadkin Hydroelectric Project (FERC No. 2197) B-2 February 2007
Relicensing Settlement Agreement
7. Most Likely Situations - The following table identifies the most likely situations when this
HPMEP will be implemented and the license conditions that would most likely be affected:
Situation Indications Potentially Affected License
Conditions
Required Normal
Minimum Reservoir
Instream Flows Operating Range
or
LIP Flows
Hydro Unit or Dam Maintenance may require X X
Maintenance hydro unit shutdown or gates
laced out of service.
Maintenance of Normal Maintenance will require X
Means of Providing interruption of scheduled
Required Minimum minimum releases from
Instream Flow normal locations.
afety Emergency Red Alert or Yellow Alert (i.e. X X
dam failure has occurred, is
imminent or a potential failure
situation is developing) is
declared per Emergency
Action Plan or other dam
safety concern is identified.
Voltage or Capacity A voltage or capacity X X
Emergency emergency is declared by the
electric grid security authority.
Reservoir Drawdown The reservoir water elevation X X
Beyond Normal Minimum at a reservoir is significantly
Elevation due to below Normal Minimum
maintenance, emergency Elevation
or other reasons (not due
to low inflow
Expected or existing high The reservoir water elevation X X
inflow event at a reservoir is significantly
below the Normal Minimum
Elevation
8. Returning to Normal - Some of the above situations can impact the Licensee's ability to
operate the Project in the most efficient and safest manner for power production. The
Licensee will therefore endeavor in good faith to repair existing Project equipment and
facilities and return them to service within a reasonable period of time, commensurate with
the severity of the equipment / facility repair requirements.
9. Scheduled Maintenance- Maintenance that is planned at least 3 months in advance.
10. Unscheduled Maintenance - Any maintenance activity other than Scheduled Maintenance
that arises out of need, generally in response to unexpected conditions or events.
Yadkin Hydroelectric Project (FERC No. 2997) B-3 February 2007
Relicensing Settlement Agreement
11. Incidental Maintenance - Maintenance of Project works that are very brief or that require
minimal, if any, deviation from normal license conditions. For the purposes of this HPMEP,
maintenance of Project works that does not require deviation from any license conditions
related to Required Minimum Instream Flows, LIP Flows or the Normal Reservoir Operating
Ranges or are less than 24 hours in duration are considered Incidental Maintenance and,
except for the identified notification for Incidental Maintenance that impact Required
Minimum Instream Flows, are exempt from the requirements of this HPMEP.
12. Notification Guidance for Scheduled Maintenance - Once a likely maintenance schedule
has been established, the Licensee will endeavor in good faith to provide as much advance
notice as possible to the affected parties identified in this HPMEP.
13. Notification Guidance for Unscheduled Maintenance and Emergencies - In the event of an
emergency or unscheduled maintenance, it is not possible for the Licensee to assure any
level of advance notice. For these situations, the Licensee will endeavor in good faith to
inform the affected parties identified in this HPMEP within some reasonable amount of time
after the situation has been identified.
14. Preparation for High Inflow Events - With modern forecasting, it is more possible than ever
to predict large precipitation events and to increase generation hours to reduce reservoir
water elevations in order to mitigate the potential for spilling and downstream high water.
Typically, this type of advance action is taken from 1 to 5 days before the expected arrival of
a storm. It is assumed that the Normal Reservoir Operating Ranges may not provide
adequate flexibility (i.e. band width) to allow for this type of reservoir water elevation
reduction under heavy inflow circumstances, and therefore, allowances are made in this
HPMEP to lower reservoir water elevations below the Normal Minimum Elevations, if
needed, in preparation for such events.
15. Relationship Between this HPMEP and the Low Inflow Protocol - The Low Inflow Protocol
(LIP) provides for deviations from the Required Minimum Instream Flows and deviation from
the Normal Reservoir Operating Ranges when water demands on the reservoirs
substantially exceed net inflow. Lowered reservoir water elevations caused by maintenance
or emergency situations addressed under this HPMEP will not invoke implementation of the
LIP.
16. Critical Flow - The flow that is considered necessary to prevent long-term or irreversible
damage to aquatic communities consistent with the resource management goals and
objectives for the affected stream reaches and necessary to provide some basic level of
water quality maintenance in affected river reaches. The LIP defines the Critical Flow from
the Falls Development as 770 cfs, measured on a daily average basis
17. Organizational Abbreviations - Organizational abbreviations include Alcoa Power
Generating Inc. (APGI), Progress Energy (PE), North Carolina Department of Environment
and Natural Resources (NCDENR), North Carolina Division of Water Resources (NCDWR),
North Carolina Division of Water Quality (NCDWQ), North Carolina Wildlife Resources
Commission (NCWRC), the United States Fish and Wildlife Service (USFWS).
18. Voltage and Capacity Emergencies - The Yadkin transmission system is interconnected to
the Duke Power transmission system and the Progress Energy transmission system. If
system reliability is at risk due to Voltage and Capacity Emergencies, the ability to provide
secure and continuous electric service becomes compromised. The electric grid security
Yadkin Hydroelectric Project (FERC No. 2197) B-4 February 2007
Relicensing Settlement Agreement
authority continuously monitors the electric transmission system. Therefore, for the
purposes of this HPMEP, a voltage or capacity emergency shall exist when declared by the
electric grid security authority.
19. Human Health and Safety and Electric System Integrity are of Utmost Importance- Nothing
in this HPMEP will limit the Licensee's ability to take any and all lawful actions necessary at
the Yadkin Project to protect human health and safety, protect its equipment from major
damage, and ensure the stability of the regional electric grid. It is recognized that the
Licensee may take the steps that are necessary to protect these things without prior
consultation or notification.
20. Large Water Intake - For the purposes of this HPMEP, a Large Water Intake is any intake
(e.g. public water supply, industrial, agricultural, power plant, etc.) having a maximum
instantaneous capacity greater than or equal to one Million Gallons per Day (MGD), the
FERC approval level for new intakes.
21. Critical Reservoir Water Elevation - The elevation of water in a reservoir (measured in feet,
USGS datum [NGVD 1929]) below which a Large Water Intake or hydropower plant located
on the reservoir cannot operate under normal conditions. The Critical Reservoir Water
Elevations are the Critical Reservoir Water Elevations defined in the LIP.
Yadkin Hydroelectric Project (FERC No. 2197) B-5 February 2007
Relicensing Settlement Agreement
3.0 General Approach to Abnormal Situations
A Powerhouse and Dam Maintenance
1. Mitigating Actions
a. Scheduled Maintenance
Scheduling - To the extent practical, the Licensee will avoid scheduling unit maintenance
that would impact Required Minimum Instream Flows or LIP Flows, unless it is likely that
the equipment condition will cause damage or unscheduled unit maintenance if repairs
are delayed.
b. Unscheduled Maintenance
Required Minimum Instream Flow Releases - If the Unscheduled Maintenance affects
equipment that provides the normal method of providing Required Minimum Instream
Flows or LIP Flows, then the Licensee will endeavor in good faith to restore some or all
of the Required Minimum Instream Flows or LIP Flow as soon as practicable.
2. Communication with Resource Agencies and Affected Parties
a. Scheduled Maintenance
1) Direct Consultation - If the Scheduled Maintenance will affect any Required Minimum
Instream Flow release or Normal Reservoir Operating Range, the Licensee will
consult with NCDENR, NCWRC, PE, and USFWS, as soon as approximate
maintenance schedule dates are determined, but at least 10 days prior to beginning
any reservoir drawdown for the unit maintenance. If the scheduled maintenance is
expected to result in a drawdown of any of the Project reservoirs below the Critical
Reservoir Water Elevation, the Licensee will consult with the North Carolina State
Historic Preservation Office (NCSHPO). The Licensee will notify FERC after
consultation with agencies. If the maintenance will require a reservoir drawdown
below the Critical Reservoir Water Elevation (as defined in the LP) the Licensee will
notify the owner of any Large Intakes located on the reservoir of the maintenance
and drawdown schedule. The Licensee will consider options suggested by the
identified agencies and organizations that could lessen the impact of the
maintenance.
2) General Notification - If the Scheduled Maintenance will affect any downstream
Required Minimum Instream Flow release or Normal Reservoir Operating Range, at
least 10 days before beginning any reservoir drawdown or the unit maintenance, the
Licensee will add the appropriate messages to its public information website and/or
its reservoir water elevation phone system to inform the general public of the
maintenance and drawdown schedule.
b. Unscheduled Maintenance
1) Direct Notification - If the Unscheduled Maintenance will affect any Required
Minimum Instream Flow, LIP Flow, or Normal Reservoir Operating Range, the
Yadkin Hydroelectric Project (FERC No. 2197) B-6 February 2007
Relicensing Settlement Agreement
Licensee will notify NCDENR, NCWRC, PE, USFWS, and FERC as soon as possible
after the unscheduled maintenance begins, but no longer than 72 hours afterwards.
If the maintenance will require a reservoir drawdown below the Critical Reservoir
Water Elevation (as defined in the LIP), the Licensee will notify the owner of any
Large Intakes located on the reservoir of the maintenance and drawdown schedule.
2) General Notification - 9 the Unscheduled Maintenance will affect any Required
Minimum Instream Flow, LIP Flow or Normal Reservoir Operating Range, as soon as
possible after the unscheduled maintenance begins but no longer than 72 hours
afterwards, the Licensee will add the appropriate messages to its public information
website and its reservoir water elevation phone system to inform the general public
of the maintenance and drawdown schedule.
3) Direct Consultation - If the Unscheduled Maintenance will affect any Required
Minimum Instream Flow, LIP Flow, or Normal Reservoir Operating Range, the
Licensee will consult with NCDENR, NCWRC, PE, USFWS as soon as possible after
the unscheduled maintenance begins, but no longer than 10 days afterwards. If the
Unscheduled Maintenance is expected to result in a drawdown of any of the Project
reservoirs below the Critical Reservoir Water Elevation, the Licensee will consult with
the NCSHPO. The Licensee will notify FERC after consultation with agencies. The
Licensee will consider options suggested by the identified agencies and
organizations that could lessen the impact of the maintenance.
B. Maintenance of the Normal Means of Providing Required Minimum Instream Flow
1. Mitigating Actions
a. Scheduled Maintenance
1) Scheduling - To the extent practical, the Licensee will avoid scheduling maintenance
that would impact the ability to release Required Minimum Instream Flows from the
Project, unless it is likely that the equipment condition will cause damage or an
unscheduled maintenance condition if repairs are delayed.
2) Required Minimum Instream Flows - If the Scheduled Maintenance cannot avoid
impacting Required Minimum Instream Flows from the Project, then the Licensee will
endeavor in good faith to restore some or all of the Required Minimum Instream
Flows as soon as practicable.
3) Critical Flow - To the extent practical, the Licensee will avoid falling below the
Critical Flow (as defined in the LIP). If it is determined that 100% exceedance of the
Critical Flow cannot reasonably be achieved, the Licensee will work with the
resource agencies to monitor any potential aquatic species impacts in the affected
reach below Falls Dam.
b. Unscheduled Maintenance
1) Required Minimum Instream Flows - If the Unscheduled Maintenance cannot avoid
impacting Required Minimum Instream Flows or LIP Flows, then the Licensee will
endeavor in good faith to restore some or all of the Required Minimum Instream
Flows or LIP Flows as soon as practicable.
Yadkin Hydroelectric Project (FFRC No. 2197) B-7 February 2007
Relicensing Settlement Agreement
2) Critical Flow - To the extent practical, the Licensee will avoid falling below the
Critical Flow (as defined in the LIP) as noted above. If it is determined that 100%
exceedance of the Critical Flow cannot reasonably be achieved, the Licensee will
work with the resource agencies to monitor any potential aquatic species impacts in
the affected reach below Falls Dam.
2. Communication with Resource Agencies and Affected Parties
a. Scheduled Maintenance
1) Direct Consultation - If the Scheduled Maintenance cannot avoid impacting Required
Minimum Instream Flows from the Project, the Licensee will consult with NCDENR,
NCWRC, PE, and USFWS, as soon as approximate maintenance schedule dates
are determined, but at least 10 days prior to beginning the maintenance. The
Licensee will notify FERC after consultation with the agencies. The Licensee will
consider options suggested by the identified agencies and organizations that could
lessen the impact of the maintenance.
2) General Notification - If the Scheduled Maintenance will affect any Required
Instream Minimum Flow, at least 10 days before beginning the maintenance, the
Licensee will add the appropriate messages to its public information website and its
reservoir water elevation phone system to inform the general public of the
maintenance.
b. Unscheduled Maintenance
1) Direct Notification - If the Unscheduled Maintenance cannot avoid impacting
Required Minimum Instream Flows from the Project, the Licensee will notify
NCDENR, NCWRC, PE, USFWS, and FERC as soon as possible after the
unscheduled maintenance begins, but no longer than 72 hours afterwards.
2) Direct Consultation - If the Unscheduled Maintenance cannot avoid impacting
Required Minimum Instream Flows or LIP Flows, the Licensee will consult with
NCDENR, NCWRC, PE, USFWS as soon as possible after the Unscheduled
Maintenance begins, but no longer than 10 days afterwards. The Licensee will notify
FERC after consultation with agencies. The Licensee will consider options
suggested by the identified agencies and organizations that could lessen the impact
of the maintenance.
C. Dam Safety Emergency
1. Actions
Safety Must Come First- If a Red Alert or Yellow Alert is declared per the Licensee's
Emergency Action Plan, or other dam safety concerns arise, the Licensee can take any and
all steps necessary to restore the dam to a safe condition.
Yadkin Hydroelectric Project {FERC No. 2197) B-8 February 2007
Relicensing Settlement Agreement
2. Communication with Resource Agencies and Affected Parties
a. Direct Notification - Notification of any dam safety emergency will be conducted strictly
in accordance with the Licensee's Emergency Action Plan. In cases where dam safety
concerns arise that are not a Red Alert or Yellow Alert per the Licensee's Emergency
Action Plan, consultation with resource agencies and affected parties will occur as soon
as possible, after the dam safety concern arises.
b. Once Dam Safety Conditions Have Stabilized - The Licensee will add the appropriate
messages to its public information website and/or its reservoir water elevation phone
system to inform the general public of the situation and any expected return to normal
operation.
D. Voltage and Capacity Emergencies
1. Actions
a. Normal Reservoir Operating Range - If a Voltage or Capacity Emergency (as defined
above) occurs, the Licensee may take any and or all steps necessary to aid in restoring
the electric grid to a stable condition.
b. Conserving Water for Power Generation - If a Voltage or Capacity Emergency is
expected to continue for two weeks or more, the Licensee may reduce Project outflow
below Required Minimum Instream Flows or LIP Flows to the Critical Flow (as defined in
the LIP) if taking such action is necessary to maintain the water inventory in Project
reservoirs for use during the voltage and capacity emergency. During a voltage and
capacity emergency, the Licensee will not conserve water for power generation strictly
as a cost avoidance measure, but only to assist in addressing the emergency.
2. Communication with Resource Agencies and Affected Parties
a. Direct Notification - The Licensee will notify NCDENR, NCWRC, PE, USFWS and FERC
as soon as possible following a deviation from license conditions for Voltage or Capacity
Emergency reasons. If the Voltage or Capacity Emergency is expected to result in a
drawdown of a reservoir below it Critical Reservoir Water Elevation, the Licensee will
notify NCSHPO.
b. General Notification - Within 72 hours following the start of the emergency deviation, the
Licensee will add the appropriate messages to its public information website and its
reservoir water elevation phone system to inform the general public of the situation and
any expected dates for return to normal operations.
c. Direct Consultation - The Licensee will consult with NCDENR, NCWRC, PE, and
USFWS as soon as possible following a deviation from license conditions for voltage or
capacity emergency reasons. The Licensee will consult with downstream water users if
they are affected by the Voltage and Capacity Emergency through reduction of the
Required Minimum Instream Flow or LIP Flow to the Critical Flow. If the voltage or
capacity emergency is expected to result in a drawdown of any of the Project reservoirs
below the Critical Water Elevation, the Licensee will consult with NCSHPO. The
Licensee will notify FERC after consultation with agencies. If the emergency requires a
reservoir drawdown below the Critical Reservoir Water Elevation the Licensee will notify
Yadkin Hydroelectric Project (FERC No. 2197) B-9 February 2007
Relicensing Settlement Agreement
the owner of any Large Intakes located on the reservoir of the nature of the emergency
and the anticipated drawdown schedule. The Licensee will consider options suggested
by the identified agencies and organizations that could lessen the impact of the
emergency.
E. Reservoir Drawdown
1. Actions
a. Planned Drawdowns
1) Scheduling - To the extent practical, the Licensee will avoid scheduling reservoir
drawdowns needed for maintenance purposes that would impact the ability of the
Licensee to release Required Minimum Instream Flows from the Project
2) Required Minimum Instream Flows - If a Planned Drawdown cannot avoid impacting '
Required Minimum Instream Flows from the Project, then the Licensee will endeavor
in good faith to restore some or all of the Required Minimum Instream Flows as soon
as practicable.
3) Critical Flow - To the extent practical, the Licensee will avoid falling below the
Critical Flow (as defined in the LIP). If it is determined that 100% exceedance of the
Critical Flow cannot reasonably be achieved, the Licensee will work with the
resource agencies to monitor any potential aquatic species impacts in the affected
reach below Falls Dam.
b. Unplanned Drawdowns
1) Required Minimum Instream Flows - If an Unplanned Drawdown cannot avoid
impacting Required Minimum Instream Flows from the Project, then the Licensee will
endeavor in good faith to restore some or all of the Required Minimum Instream
Flows as soon as practicable.
2) Critical Flow - To the extent practical, during an Unplanned Drawdown, the Licensee
will avoid falling below the Critical Flow (as defined in the LIP). If it is determined
that 100% exceedance of the Critical Flow cannot reasonably be achieved, the
Licensee will work with the resource agencies to monitor any potential aquatic
species impacts in the affected reach below Falls Dam.
2. Communication with Resource Agencies and Affected Parties
a. Planned Drawdowns
1) Direct Consultation - If the Planned Drawdown will cause the reservoir to be out of
the Normal Reservoir Operating Range, the Licensee will consult with NCDENR,
NCWRC, PE, and USFWS as soon as approximate dates of a planned drawdown are
determined, but at least 10 days prior to beginning the drawdown. If the Planned
Drawdown is expected to draw the reservoir below the Critical Reservoir Water
Elevation, the Licensee will consult with NCSHPO. If the Planned Drawdown is
expected to go below the Critical Reservoir Water Elevation (as defined in the LIP),
the Licensee will consult with the owners of any Large Intakes located on the
Yadkin Hydroelectric Project (FERC No. 2197) B-10 February 2007
Relicensing Settlement Agreement
reservoir. The Licensee will notify FERC after consultation with agencies. The
licensee will consider options suggested by the identified agencies and organizations
that could lessen the impact of the drawdown.
2) General Notification - If the Planned Drawdown will cause the reservoir to be out of
the Normal Reservoir Operating Range, at least 10 days before beginning any
drawdown, the Licensee will add the appropriate messages to its public information
website and its reservoir water elevation phone system to inform the general public of
the planned drawdown schedule.
b. Unplanned Drawdowns
1) Direct Notification - If an Unplanned Drawdown causes the reservoir to be out of the
Normal Reservoir Operating Range or the unplanned drawdown cannot avoid
impacting Required Minimum Instream Flows or LIP Flows, the Licensee will notify
NCDENR, NCWRC, PE, USFWS, and FERC, of the Unplanned Drawdown as soon
as practicable, but no longer than 72 hours afterwards.
2) Direct Consultation - If the Unplanned Drawdown cannot avoid impacting Required
Minimum Instream Flows or LIP Flows, the Licensee will consult with NCDENR,
NCWRC, PE, and USFWS as soon as possible, but no longer than 10 days
afterwards. The Licensee will notify FERC after consultation with agencies. The
Licensee will consider options suggested by the identified agencies and organizations
that could lessen the impact of the drawdown.
F. Expected or Existing High Inflow Event
1. Actions
In preparation for an expected high inflow event or in response to an ongoing high inflow event,
the Licensee may reduce reservoir water elevations significantly below the Normal Minimum
Elevation, in order to minimize the effects of spilling. The reservoir water elevation may be
below Normal Minimum Elevations for as long as necessary to minimize the effects of spilling
and to manage reservoir elevations during high inflow events.
2. Communication with Resource Agencies and Affected Parties
a. Direct Notification - The Licensee will notify NCDENR, NCWRC, PE, USFWS and FERC
as soon as practicable following a deviation from the Normal Reservoir Operating Range
for an existing or expected high inflow event. If the drawdown is anticipated to go below
Critical Critical Reservoir Water Elevation (as defined in the LIP) of the reservoir, the
Licensee will notify the owners of any Large Water Intakes on the reservoir.
b. General Notification - As soon as practicable after the Licensee determines that
deviation from Normal Reservoir Operating Range is needed due to an ongoing or
expected high inflow event, the Licensee will add the appropriate messages to its public
information website and its reservoir water elevation phone system to inform the general
public of the situation and any expected dates for return to normal operations.
Yadkin Hydroelectric Project (FERC No. 2197) B-11 February 2007
Relicensing Settlement Agreement
Appendix C - Yadkin Project Recreation Facility
Enhancements
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
Yadkin Project Recreation Facility Enhancements
1. Project Recreation Site Facility Upgrades and Improvements
The Licensee (Alcoa Power Generating Inc. or APGI) will make improvements at up to 10 of
its public recreation sites to make the facilities more ADA (Americans with Disabilities Act)
compatible. A preliminary list of sites that can most readily be made to comply with ADA
standards and that would benefit recreation users the most is provided in Table 1. A final
list of sites and the improvements necessary to make the sites ADA compatible will be
determined in consultation with resource agencies and the surrounding Counties, and will be
included in the Recreation Plan for the Project.
Table 1
Preliminary List of APGI's Public Recreation Sites
That Can Most Readily Be Made to Comply with ADA Standards
Site Name Reservoir Improvements Needed to Achieve Barrier-Free
Accessibility
Buddle Creek Boat Access High Rock ADA parking signage; accessible bathroom; accessible
Area pathway; accessible picnic table
Old Whitney Boat Access Narrows ADA parking space; ADA parking signage; accessible
pathways; accessible bathroom; accessible picnic table
Badin Boat Access Narrows ADA parking spaces; ADA parking signage; transition
plates; accessible bathroom; accessible picnic table;
accessible pathways
Riles Creek Recreation Area Tuckertown ADA parking space; ADA parking signage; accessible
bathroom; accessible pathways
Falls Boat Access Falls ADA parking space; ADA parking signage; dock
abutment; courtesy floating dock
Highway 601 Access Area High Rock ADA parking space; ADA parking signage; dock
abutment; courtesy floating dock; accessible pathways
Badin Lake Swim/Picnic Narrows ADA parking spaces; ADA parking signage; accessible
Area bathroom; accessible picnic tables; accessible
pathways
Flat Swamp Boat Access High Rock ADA parking space; ADA parking signage; accessible
bathroom; accessible picnic table; accessible pathways
Southmont Boat Access High Rock
P ADA parking spaces; ADA parking signage; accessible
Area
L- -
- I bathroom; accessible picnic table; accessible pathways
2. The Licensee will provide and maintain new portable toilet facilities at several of its existing
public recreation sites, where such facilities are not currently available. A preliminary list of
sites where portable toilets will be added is provided in Table 2. A final list of sites where
portable toilets will be added will be determined in consultation with resource agencies and
the surrounding Counties, and will be included in a Recreation Plan for the Project.
Yadkin Hydroelectric Project (FERC No. 2197) C-1 February 2007
Relicensing Settlement Agreement
Table 2
Preliminary List of APGI Recreation Sites
Where New Portable Toilets will be Added
Site Name Reservoir Number of Toilets to be Added
York Hill Boat Access High Rock 1
Dutch Second Creek Boat Access High Rock 1 -2
Riles Creek Recreation Area Tuckertown 1
Lakemont Access Area Narrows 1
3. The Licensee will install two (2) ADA compliant fishing piers at existing APGI public
recreation sites. One of the fishing piers will be installed on High Rock Reservoir and the
other on Tuckertown Reservoir. The final location of the new fishing piers will be
determined in consultation with resource agencies and the surrounding Counties during
development of the Recreation Plan.
4. The Licensee will make modifications to the existing tailwater fishing areas located at the
High Rock and Tuckertown tailwaters. The concept would be to provide facilities that allow
improved access to the tailwater areas for fishing, with special consideration given to public
safety and facility security issues. Conceptual plans for these facility modifications will be
developed in consultation with the resource agencies, with guidance from Federal Energy
Regulatory Commission (FERC or Commission) staff during the development of the
Recreation Plan.
5. The Licensee will make improvements to North Carolina standards at the existing portage
trails at each of the four Project dams. Implementation of portage trail improvements will be
spread out over the New License period. Improvements to the Falls Dam portage trail will
be made within ten years of the effective date of the New License. Improvements to the
High Rock, Tuckertown and Narrows portage trails will be made within 20 years of the
effective date of the New License, unless the North Carolina Department of Environment
and Natural Resources (NCDENR) agrees that recreational use data demonstrates
insufficient demand by non-motorized boaters. • Any proposal to defer improvements to the
High Rock, Tuckertown or Narrows portage trails beyond 20 years of the effective date of
the New License will be filed for Commission approval. Conceptual designs for the portage
trail improvements will be developed in consultation with NCDENR and other resource
agencies during the development of the Recreation Plan.
II. New Project Recreation Facilities
The Licensee will develop a new public recreation site with a swimming area and beach on
the Rowan County side of High Rock Reservoir. The final location of the new recreation site
will be determined by APGI and will be on non-Project land currently owned by APGI.
Conceptual plans for this new recreation site will be developed in consultation with Rowan
County, NCDENR, North Carolina Wildlife Resources Commission (NCWRC), and other
resource agencies during the development of the Recreation Plan.
2. The Licensee will install up to ten "hardened" (or platform) campsites dispersed throughout
the Project area. The purpose of the campsites is to promote paddling through the Project
by non-motorized boaters using the Yadkin-Pee Dee River Trail.
Yadkin Hydroelectric Project (FERC No. 2197) C-2 February 2007
Relicensing Settlement Agreement
The Licensee will consult with the NCDENR Division of Parks and Recreation, and others as
appropriate, to determine the location of the campsites during the development of the
Recreation Plan. Preferred locations will be those that meet the following minimum criteria:
1) located on Licensee-owned Project or non-Project land, 2) located in areas not prone to
flooding, 3) located away from existing public recreation sites, 4) accessible by water or by
trail, 5) sites conducive for use primarily by non-motorized watercraft, 6) sites distributed
throughout the Project so as to support use of the Project reservoirs as part of the Yadkin-
Pee Dee River Trail, and 7) sites conducive with the safety and security of the Project and
Project facilities. Consideration will also be given to the following:
- Design and location criteria should promote use by non-motorized boaters and seek to
exclude access by motorized boaters or automobiles. Criteria that should be evaluated
include locating campsites away from public access roads.
- Campsites should be located to avoid competition for commercial campgrounds and
existing facilities.
- A reconnaissance level survey of potential campsite locations should be conducted.
Potential site locations include near Boone's Cave Park and Eagle Point Nature
Preserve on High Rock Reservoir.
- Campsites do not have to be equally distributed throughout the Project area. Clustering
of campsites may be desirable.
- Design of campsites should be based on applicable North Carolina paddle trail
standards.
- When possible, the sites should be accessible by land to facilitate maintenance by APGI.
A right-of-way to the campsites should be maintained by APGI as a condition of land
sales and donations contemplated in this Relicensing Settlement Agreement.
III. Replacement Project Recreation Facilities
1. Boating access to the lower part of Tuckertown Reservoir is currently provided at an access
area located immediately off of Highway 49, in the vicinity of the Highway 49 Bridge. While
the facility is located primarily on property owned by APGI, parking for the site is located in
the North Carolina Department of Transportation (NCDOT) Highway 49 right-of-way.
NCDOT has plans to widen Highway 49 in this area. It is likely that when that widening
occurs the existing site would have to be closed due to lack of parking. At the time of the
Highway 49 widening, the Licensee will replace the existing boat launch with a similar facility
located elsewhere on the lower portion of Tuckertown Reservoir. A final determination on
the site of the new facility will be made by the Licensee, and the design of the new facility
will be carried out in consultation with NCWRC and other resource agencies. Plans for the
new facility will be filed for Commission approval.
Yadkin Hydroelectric Project (FERC No. 2197) C-3 February 2007
Relicensing Settlement Agreement
Appendix D - Modifications to the Yadkin Project
Specifications for Private Recreation Facilities, Shoreline
Stewardship Policy, and Subdivision Access Approval, Multi-
use Facility Permitting, and Industrial Approval Procedures
for Inclusion in the Revised Shoreline Management Plan

Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
I. Private Recreation Facility Specifications - General
F. All other activities undertaken in the reservoirs or along the shoreline within the FERC)-
licensed Project boundary (Project Boundary) or on the Yadkin-Managed Buffer, including
installation or maintenance of shoreline erosion control measures, pathways, sitting areas,
utilities, or irrigation equipment; vegetation removal; and excavation require a written activity
permit from Yadkin before work begins. An onsite meeting between the adjoining property
owner and a Yadkin representative is mandatory before Yadkin will issue a written activity
permit. See the Stewardship Policy for procedures and requirements related to activity
permits. In some cases, the permission for other activities may be included in a construction
permit or private recreation facility permit.
III. New Recreation Facilities
All new private piers, including replacement structures, must meet the following specifications.
Construction of new launch ramps, boat houses, sun-decks, and other "on-pier" structures,
other than conforming boat lifts, boat lift covers, and on-pier gazebos/shelters, is not permitted.
A. Individual and Shared Piers
Lot Width - The adjoining property (applicant's lot) must have a minimum shoreline lot
width of 200 feet as measured by extending the adjoining property owner's side lot lines to
the normal full-pool elevation of the reservoir (623.9-foot' contour on High Rock Reservoir
and 509.8-foot contour on Narrows Reservoir). For subdivisions developed prior to May 1,
1987, an individual pier may be granted for a lot with a minimum shoreline width of 50 feet
(as measured above) provided Yadkin's other minimum eligibility requirements are satisfied.
Two adjoining shoreline lots of 100 feet minimum shoreline width each (measurement as
described above) may share a pier. For subdivisions developed prior to May 1, 1987, a
shared pier may be granted for two adjoining shoreline lots with a total combined shoreline
width of 50 feet (as measured above) provided Yadkin's other minimum eligibility
requirements are satisfied. Shared piers must be located on or close to the adjoining
property line.
2. Water Depth - Piers must be constructed such that they have access to a minimum water
depth of 6 feet within 75 feet of the shoreline as measured from the normal full-pool
elevation of the reservoir (623.9-foot contour on High Rock Reservoir and 509.8-foot contour
on Narrows Reservoir).
3. Cove Width - Piers cannot be located in coves less than 100 feet in width at normal full-
pool elevation, and piers may not extend more than 25% of the width of the cove at normal
full-pool elevation.
4. Piers with Floating Sections - The pier must have a floating section for ingress/egress to
watercraft. The remainder of the pier may include stationary and ramp sections.
5. Private Individual or Shared Pier Dimensions:
1 All contour elevations are US Geological Survey datum.
Yadkin Hydroelectric Project (FERC No. 2197) D-1 February 2007
Relicensing Settlement Agreement
i) Total maximum pier length - 75 feet or 25% of the width of a cove at normal full-
pool elevation. Yadkin may require the pier to be less than 75 feet in total length
for purposes of safety, navigation, and ingress/egress.
ii) Total maximum square footage -1,100 square feet (for an individual or shared
pier)
iii) Stationary Section
a) Maximum width -12 feet
b) Minimum width - 5 feet
iv) Floating Section
a) Minimum total area -144 square feet
v) Ramp Section (the following only apply if the ramp is constructed of pressure
treated lumber)
a) Minimum width - 4 feet
b) Maximum width - 6 feet
c) Maximum length - 16 feet
6. Pier Location - A pier will be located as near as possible to the middle of the applicant's
lot(s), and the pier should not encroach across the extended adjoining property owner's side
lot lines. In cases where there is aquatic vegetation (e.g., water willow) present along the
shoreline adjacent to the applicant's lot, piers must be located as far from the vegetation as
possible without encroaching on the neighboring property. In cases where piers cannot be
located away from aquatic vegetation, piers must meet the criteria described in Section IV,
below.
7. Pier Construction - Piers must be constructed of pressure-treated lumber and pilings,
grade marked by the American Wood Preservers' Bureau. Proposals to use materials other
than pressure treated lumber will be reviewed on a case by case basis and may require
approval of a MSDS sheet from the material manufacturer and written approval from Yadkin.
The construction permit will constitute written approval from Yadkin. Other materials must
meet the standards cited in these Specifications and must be installed according to
manufacturer's specifications. Only manufactured plastic-encased floatation devices will be
permitted as floatation. All piers must meet all applicable County and State building codes.
8. Handrails - Handrails are required on stationary and walkway ramp sections of pier and
must meet North Carolina State Building Code Standards.
9. Reflectors - 2-inch minimum diameter blue colored reflectors must be placed at 10-foot
intervals along all sides of the pier.
10. Boat Lifts -
i) Boat lifts must be mounted on the floating portion of a pier. If the boat lift is
located inside of a boat slip, the lift may have supports resting on the reservoir
bottom, so long as the area affected is incorporated into the total allowable
maximum pier footprint.
ii) Boat lift covers must be pre-fabricated and designed specifically for piers.
Covers can be no more than 10 feet in height above the deck and can be used to
cover the area of the boat slip only. No asphalt roofing material will be allowed.
11. On-Pier Structures - Gazebos/shelters may be installed over the stationary section of the
pier provided the overall square footage of the structure does not exceed 240 square feet.
Yadkin Hydroelectric Project (FERC No. 2197) D-2 February 2007
Relicensing Settlement Agreement

Such structures must be open-sided (not screened). The roof pitch should be no more than
3/12, with the bottom of the outer edges of the roof no less than seven feet above the pier
surface to allow for boater visibility through the structure. No asphalt roofing material will be
allowed. All applicable county and state building requirements must be satisfied. No decks,
sitting areas, or other on-roof structures will be permitted on the gazebo/shelter.
12. Plans must be submitted for each proposed pier. Yadkin reserves the right of final approval
or denial of any proposed pier design.
13. Shared pier applicants are individually and jointly responsible for compliance with these
Specifications, the Stewardship Policy, and all other applicable Yadkin policies, procedures,
and requirements. Failure of one applicant to comply therewith may render both lots
ineligible for a shared pier and subject to other enforcement, as provided in Section VI,
below.
Yadkin Hydroelectric Project (FERC No. 2197) 0-3 February 2007
Relicensing Settlement Agreement
Shoreline Stewardship Policy
III. 100-foot Forested Setback Requirement
A Specifications
For all lots in new subdivisions platted and recorded on or after July 1, 1999, as a condition
of eligibility for private individual piers, shared piers, or use of, or private access to the
Project lands and waters across, the Yadkin-Managed Buffer, Yadkin requires satisfaction of
the following minimum specifications for a 100-foot forested setback:
All structures (including but not limited to buildings, houses, driveways, roof overhangs,
decks, porches, patios, cantilevered decks, stairs, posts, columns, fences, retaining
walls, landscaping walls, and gazebos), unless otherwise allowed in III.A.2 and III.A.3,
must be set back at least 100 feet from the reservoir shoreline. The setback will be
maintained as a forested area. The 100-foot forested setback will be measured along
the ground surface from the normal full-pool elevation of the reservoir to the nearest
structure(s) (see Figure 1).
Figure 1
100-foot Forested Setback
'A-^ -A-- P-. Elevation of Reservoir
100-foot Forested Setback -All structures (including but not limited to buildings,
houses, driveways, roof overhangs, decks, porches, patios, cantilevered decks,
stairs, posts, columns, fences, retaining walls, landscaping walls, and gazebos),
unless otherwise allowed in III.A.2 or III.A.3, must be set back at least 100 feet
from the reservoir shoreline. A septic field or well, however, will be allowed in the
100-foot forested setback to the extent that installation does not require removal
of any vegetation other than as permitted in Section III.A.5, below. In addition,
the 100-foot forested setback requirement does not apply to a pathway to a pier,
an irrigation system, etc., that has been permitted by Yadkin in accordance with
this Policy. The 100-foot forested setback will be measured along the ground
Yadkin Hydroelectric Project (FERC No. 2197) D-4 February 2007
Relicensing Settlement Agreement
surface from the normal full-pool elevation of the reservoir to the nearest
structure(s).
20-foot Construction Zone - A 20-foot-wide construction zone will be permitted
to intrude into the 100-foot forested setback to accommodate construction.
Vegetation may be removed in the construction zone, but that portion of the
construction zone intruding into the setback must be revegetated upon
completion of the construction.
Vegetation Removal - Vegetation removal on the adjoining property owner's
property is allowed within the 100-foot forested setback in accordance with
Section III.A.5. No vegetation removal is allowed on the Yadkin-Managed Buffer
without a written permit from Yadkin.
2. A septic field or well will be allowed in the 100-foot forested setback to the extent that
installation does not require removal of any vegetation other than as permitted in Section
III.A.5, below. In addition, the 100-foot forested setback requirement does not apply to a
pathway to a pier, an irrigation system, etc., that has been constructed pursuant to a
written permit issued by Yadkin in accordance with this Policy.
3. A sitting area maybe permitted within the 100-foot setback. The sitting area must beat
ground level, must not exceed 200 square feet, and must have a pervious surface (e.g.
pressure-treated wood, gravel, or uncemented brick, rock, stone, or paving blocks).
4. Variances will be granted only when a lot is unbuildable. Unbuildable means the inability
to build the minimum size house required by the subdivision's restrictive covenants, or
an 1,800 square foot home, if no minimum house size is specified, behind the 100-foot
forested setback.
In instances where compliance with the 100-foot forested setback requirement would
render a lot unbuildable, Yadkin may, but is not required to, approve variances granting
a lesser setback on a lot-by-lot basis that would provide the maximum possible setback,
which in no case will be less than 50 feet. For lots where Yadkin approves a setback of
less than 100 feet, Yadkin will also designate an appropriate construction zone for that
lot.
5. Vegetation in the 100-foot forested setback must be maintained as it existed prior to
development.
i) Fallen trees (blow-down), fallen limbs, and fallen branches may be removed,
but all leaf litter (leaves, pine needles, etc.) must remain.
ii) No lap trees, trees, or vegetation of any type overhanging the reservoirs or
within the reservoirs may be removed without specific permission from Yadkin.
iii) Any tree that poses an imminent threat to life or property may be removed.
iv) Within 30 feet of tributaries that drain into the reservoir, no living vegetation, or
dead vegetation root structure may be removed.
To provide opportunity for improved water views, adjoining property owners may remove
one hundred percent (100%) of trees less than two inches in diameter (measured one
foot above ground level). Fifty percent (50%) of other vegetation less than 5 feet in
height may be removed. In addition to the above, living limbs may be removed up as
much as fifty percent (50%) of the height of the tree as necessary (dead limbs of any
height may be removed on trees). If the above measures do not provide satisfactory
views of the reservoir, the property owner may remove, with Yadkin's written permission,
Yadkin Hydroelectric Project (FERC No. 2197) D-5 February 2007
Relicensing Settlement Agreement
additional trees up to six inches in diameter within a 30-ft wide corridor. The adjoining
property owner may be required to re-vegetate the view corridor with low-growing native
species to minimize overland erosion.
6. Removal of any vegetation from any portion of the 100-foot forested setback within the
Yadkin-Managed Buffer requires a written permit from Yadkin. For adjoining property
owners in new subdivisions who satisfy the above requirements on their property,
vegetation removal from the Yadkin-Managed Buffer will generally be considered, by
written permit, in accordance with the criteria listed under Section III.A.5. Failure to
secure a permit from Yadkin prior to removing any vegetation from the Yadkin-Managed
Buffer, or removal in any manner other than as permitted by Yadkin, is subject to
enforcement as set forth in Section XIV below.
7. In a permit to construct a private individual or shared pier (see Yadkin's Specifications
for Private Recreation Facilities), Yadkin may allow movement or removal of identified
lap trees where necessary for construction or installation of the facilities. In cases where
removal is necessary, Yadkin will require replacement of the lap trees along the same
stretch of shoreline at a 2:1 replacement to removal ratio.
8. For any lot in a new subdivision subject to the 100-foot forested setback requirement set
forth above, the primary sanction for failure to comply with this requirement is a loss of
eligibility for: (i) a private (individual or shared) permit within the Project Boundary (i.e.,
on a reservoir); and (ii) use of, or private access to the Project lands and waters across,
the Yadkin-Managed Buffer. Once an adjoining property owner in a subdivision to which
these setback requirements apply has a permitted private pier, subsequent removal of
vegetation from the 100-foot forested setback, other than as allowed under the above
criteria, is also subject to enforcement as set forth in Section XIV below.
9. In no case may management of the 100-foot forested setback be inconsistent with the
requirements of North Carolina's watershed protection rules and county watershed
protection ordinances.
XV. Voluntary Guidelines for Timbering Operations
[Note: APGI proposes to delete Section XV of the Shoreline Stewardship Policy (Voluntary
Guidelines for Timbering Operations) because most of the protective measures are already
contained in the 100-ft Forested Setback Requirement (Section III of the Shoreline Stewardship
Policy).]
Subdivision Access Approval, Multi-use Facility Permitting, and Industrial Approval
Procedures
D. Construction Permit Approval Criteria and Provisions
Yadkin will determine whether to issue a multi-use facility construction permit based on
its review of the application package and, where applicable, FERC's response to the
prior notice or Yadkin's request for prior approval. Yadkin's determination will be based,
in part, on the following criteria:
a. Proposed facilities meet the following specifications:
i. Proposed facilities will generally not encroach or extend into Project
waters more than 1 /4 of the distance to the opposite shoreline or more
Yadkin Hydroelectric Project (FERC No. 2197) D-6 February 2007
Relicensing Settlement Agreement
than 120 feet into Project waters, whichever is less; and in no case will
proposed facilities extend further into the water than is necessary to
achieve the intended use;
Proposed facilities will meet Yadkin's minimum water depth requirements
(6-foot minimum water depth at normal full-pool elevation) such that the
minimum water depth is available to all proposed slips or along all
portions of the facilities intended for docking watercraft;
Yadkin Hydroelectric Project (FERC No. 2197) D-7 February 2007
Relicensing Settlement Agreement
Appendix E - Maps of Land Conveyances and Land Grants
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
N \ so
t- 7\ c
Narrows
Reservoir

Narrows Dam and
/ Powerhouse

Hogpen Road
r
Proposed Boundary
at Edge of Road
sew s
O ir?\
State-Owned Road
Notes:
This map generally represents APGI
owned land being discussed with
parties participating in the development
of the final relicensing settlement
agreement. More precise legal
descriptions of any land to be conveyed
or encumbered will be developed prior
to completing the final relicensing
settlement agreement.
- --- FERC Project Boundary
---- County Boundaries
Uwharrie National Forest
Reservoirs
Proposed APGI retained
lands (also includes all Project
recreation areas (not shown])
Non-project Yadkin property
® proposed for sale/transfer
("Subject Property")
_ Road Easement
("Subject Property')
February 2007

UWHARRI E
NATIONAL
FOREST
Falls Dam and
Powerhouse
V7AJJ
Alcoa Power Generating Inc. - Yadkin Division
Morrow Mountain State Park
Expansion Lands
0 0.25 0.5 0.75 1
Miles
N
E-1
J /Existing Utility I
?' /?- Corridor
High Rock Dam
and Powerhouse
Notes:
This map generally represents APGI owned land being
discussed with parties participating in the development of
the final relicensing settlement agreement. More precise
legal descriptions of any land to be conveyed or
encumbered will be developed prior to completing the
final relicensing settlement agreement.
Rowan County _ __
S County \`\'-- MDavidontgomsonery County
n ----------------------------------
. . . •
I
t
? I
\ kertown Dam
d Powerhouse
- PE RC Boundary
Major Roads
?'- County Boundaries
Re,e
Nan -project Yadkin property
proposed for sale/transfer
("Subject Property")
Proposed APGI retained
lands (also includes all Project
recreation areas [nol shown[,
Non-project Yadkin property
proposed for sale/transfer to
t.TCNC ('Subject Property")
February 2007
Alcoa Power Generating Inc. - Yadkin Division
Tuckertown Reservoir Lands
µ
0 0.5 1 1.5 2
Miles Appendix E-2
Notes:
This map generally represents APGI owned land being
discussed with parties participating in the development of
the final relicensing settlement agreement. More precise
legal descriptions of any land to be conveyed or
encumbered will be developed prior to completing the final
relicensing settlement agreement.
V
Davidson County
Davie
County
Rowan County

-'Res
FERC Project Boundary
Roads
---- County Boundaries
Reservoirs
Non-project Yadkin property proposed
for sale/transfer ("Subject Property')
Proposed APGI retained lands
(also includes all Project recreation
areas (not shown))
Non-protect Yadkin property proposed
for sale/transfer to LTCNC ("Subject
Property")
February 2007
Alcoa Power Generating Inc. - Yadkin Division
High Rock Reservoir Lands
? i
0 0.5 1 2 3 4
Miles Appendix E-3
U
_ Davidso_n_C_oun_ty____
Montgomery County
Tuckertown Dam
\ and Powerhouse
Stanly County
't l Parcel 3
? l
C
Parcel 4
Kok
?G`aa
d
(? S
P
Buffer
Strip
?I
Narrows
Reservoir
Parcel2 Pear
y Tree
Island
Narrows Dam and
Powerhouse
Uwharne
National
Forest
Falls Dam and
Note: Powerhouse
This map generally represents APGI owned land being
discussed with parties participating in the development -?
of the final relicensing settlement agreement. More precise Buffer
Strip
p
TI
legal descriptions of any land to be conveyed or eivoir
RLk
encumbered will be developed prior to completing the '.
final relicensing settlement agreement. APGI reserves `
flooding rights on entire "Subject Property".

FERC Boundary
MniorRoads
Alcoa Power Generating Inc. - Yadkin Division
C-oty
Uwharrie National Forest Lands
Reservoirs
Uwhanie National Forest
Proposed APGI retained
lands (also includes all Project
atinn areas [not shown])
- u
Non
Project Yadkin property
-.. '' proposed for saleltransfer
f
('subject Property") ,
_ Road Easu-rL
('subject Property')
0 0.5 1 1.5 2
February 2007 Miles
-- III Appendix E-4
High Rock
\ Reservoir
)y-'rS0
rx)

a??a
?c %
0
.L ?
.
High Rock
Reservoir
- FERC Project Boundary
--- County Boundaries
Reservoirs
Non-project Yadkin propel
- proposed for sale/transfer
("Subject Property")
February 2007
Notes:
This map generally represents APGI owned land being
discussed with parties participating in the development of
the final relicensing settlement agreement. More precise
legal descriptions of any land to be conveyed or
encumbered will be developed prior to completing the
final relicensing settlement agreement. APGI retains
flooding rights on entire "Subject Property".
Alcoa Power Generating Inc. - Yadkin Division
Eagle Point Nature Preserve
& Park Lands
0 025 0.5 0.75 1
i,,liles
K
Appendix E-5

FERC Project
Boundary
El. 509.8'

Narrows
Reservoir
Land Retained
,- byAPGI
50' Horizontal Buffer from
FERC Project Boundary

i
W- I
1
r•
FERC Project Boundary
Reservoirs
("Subject Property") Non-project
_ Yadkin property proposed for sale
("Subject Property") Non-project
_ Yadkin property proposed for
donation
("Subject Property") Non-project
ti -,-_h Yadkin property available for sale.
Right of First Refusal to Town
of Badin
Retained Land
February 2007
Alcoa Power Generating Inc. - Yadkin Division
Town of Badin Lands
0 100 200 400 600 800
Feet
Appendix E-6
Appendix F - List of Parties and Primary Contacts
Alcoa Power Generating Inc., Yadkin Division
Gene Ellis
P.O. Box 576
Badin, NC 28009
704-422-5606 phone
704-422-5776 fax
gene. elIis(a)-alcoa.com
American Rivers
Gerrit Jobsis
2231 Devine Street, Suite 100
Columbia, SC 29205
803-771-7114 phone
803-771-7580 fax
giobsis(aD-americanrivers. org
Badin Historic Museum Inc.
John D. Summerlin III
P.O. Box 381
Badin, NC 28009
704-422-3713 phone
704-791-7011 fax
Badin Lake Association
Harry Saunders
P.O. Box 805
Denton, NC 27239
336-880-7451 phone
336-461-4241 fax
badinlake(a)rtmc.net
Catawba Indian Nation
Tribal Historic Preservation Office
Wenonah Haire
1536 Ton Steven Road
P.O. Box 750
Rock Hill, SC 29731
803-328-2427 phone
803-328-5791 fax
Wenonah(a)ccppcrafts.com
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
City of Albemarle
Raymond I. Alen
P.O. Box 190
Albemarle, NC 28002
704-984-9408 phone
704-984-9406 fax
rallen(aD-ci.albemarle.nc.us
High Rock Business Owners Group
Mark Oden
150 Dockside Drive
Salisbury, NC 28146
704-637-6498 phone
markoden(a)-carolinasr.com
High Rock Lake Association
Larry O. Jones
310 Fox Hollow Farm Road
Salisbury, NC 28146
704-633-8799 phone
larryoiones(aD-bellsouth.net
Montgomery County
Lance L. Metzler
Judy Stevens
102 E. Spring Street
3rd Floor County Administration
Mt. Gilead, NC 27306
910-576-4221 phone
910-576-4566 fax
Imetzler(a-)montgomerycountync.com
iudy(a)montgomery-county.com
North Carolina Department of Environment and Natural Resources
Division of Parks and Recreation
Carol Tingley
1615 Mail Service Center
Raleigh, NC 27699-1615
919-715-8691 phone
919-715-3085 fax
carol.tingley(a-)ncmail.net
Division of Water Resources
Steve Reed
1611 Mail Service Center
Raleigh, NC 27699-1611
919-715-5424 phone
919-733-3558 fax
steven.reed(cD- ncmail. net
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
Division of Water Quality
Darlene Kucken
1617 Mail Service Center
Raleigh, NC 27699-1615
919-733-5083 ext 354 phone
919-715-5637 fax
darlene.kucken(aDncmail.net
North Carolina Wildlife Resources Commission
Todd D. Ewing
2551 Winding Woods Lane
Asheboro, NC 27205
336-625-5257 phone
todd.ewing(cD,ncwildlife.org
Pee Dee River Coalition
Frank E. Willis
P.O. Box 5687
Florence, SC 29502
843-669-6391 phone
843-669-0936 fax
royam 10(cD_aol.com
Piedmont Boat Club
Roy Rowe
2093 Warf Road
Lexington, NC 27292
336-798-2013 phone
336-798-2012 fax
rlrowe(@..lexcominc.net
Rowan County
William K. Cowan
130 W. Innes Street
Salisbury, NC 28144
704-216-8180 phone
704-216-8195 fax
cowanwk(a--)co.rowan. ns.us
Salisbury/Rowan Association of Realtors
c/o Wallace Realty Company
P.O. Box 102
Salisbury, NC 28145
704-636-2021 phone
704-633-3409 fax
gscarborough(cDcbiinternet.com

Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
South Carolina Coastal Conservation League
Patrick Moore
2231 Devine Street, Suite 100
Columbia, SC 29205
803-771-7550 phone
803-771-7580 fax
patrickm(cD-scccl.org
South Carolina Department of Health and Environmental Control
Larry Turner
2600 Bull Street
Columbia, SC 29201
803-898-4005 phone
803-898-4140 fax
turnerle(a)_dhec.sc.gov
South Carolina Department of Natural Resources
Robert E. Duncan
P.O. Box 12559, 217 Ft. Johnson Road
Charleston, SC 29412
843-953-9054 phone
843-953-9399 fax
duncane(a_dnr.sc.gov
The Land Trust for Central North Carolina
Jason A. Walser
P.O. Box 4284
Salisbury, NC 28145
704-647-0302 phone
704-647-0068 fax
Jason(a?landtrustcnc.org
The Nature Conservancy
Eric Kreuger
960 Morrison Drive Suite 100
P.O. Box 20246
Charleston, SC 29413
843-937-8807 ext. 16 phone
843-937-6735 fax
ekrueger(a)tnc.org
Town of Badin
Todd Herms
P.O. Box 707
36 Falls Road
Badin, NC 28009
704-422-3470 phone
704-422-5344 fax
therms(ab,badin.org
Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
U.S. Forest Service
National Forests in North Carolina
Raymond M. Johns II
160 Zillicoa Street, Suite A
Asheville, NC 28801
828-257-4859 phone
828-259-0567 fax
rayiohns(a-)fs.fed.us
Uwharrie Point Community Association
Bob Warren
444 Allenton Ferry
New London, NC 28127
336-461-3030 phone
bobpeg2(a--)rtmc.net

Yadkin Hydroelectric Project (FERC No. 2197) February 2007
Relicensing Settlement Agreement
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Alcoa Power Generating Inc., Yadkin Division
Signature:
Print: d ?1 i Q i. A'+ AA,
iljczr PP-e1)o9, kq10r0f0-JA- 0j'nAtigt-6 APGj
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: 4=1?-t-k S
Address: -??
` . o.7axc 576
Phone: ?r31{-- `ZZ -- ?? otQ
FAX: 70A - -4Z-Z -- S--r7 L,
Email: c^_t?n - . e1(: 5 @.. akcca . cs,.A.
?Ij
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
American Rivers
Signature: ! I? aGGLI? ??? Uj d/?.Q?? "'
Print: ???? f?ocIGYE??
Title:
*American Rivers' signature is conditioned on Section 1.3.2 of the RSA that states fish passage
issues under Section 18 of the FPA are not addressed through the RSA and that we will be able
to fully address Section 18 issues without being inconsistent with the RSA. We have been
assured by APGI and its counsel that this will be clarified in the Joint Explanatory Statement.
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Gerrit Jobsis
Address: 2231 Devine Street, Suite 100
Columbia SC 29205
Phone: [phone]
FAX: [phone]
Email: _q obsis(aDamericanrivers.org
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
Badin Historic Museum Inc.
Signature:
February 2007
Signature Page
Print
?la ?.v S?.ne??i,u ZIl
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: z,v .7u r+?,r E'?/?.y ?
%,3
Address: ?Q d304
yu/Vc -2 R ?d 9
Phone: 2a Y. az - 3,7/ 7eQ?- 22(- 7-Q&
FAX: --
Email: --
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Badin Lake Association
Signature:
Print: CA?rrtl
I'
Title: Are, SStSC;??I14017
The Ulowing person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name:
Address: • ?? Jed
2,22 J
Phone: nA YV - ?7 5
FAX:
Email: 1"

W81/2907 13:39 2222 QCPP:: PAGE 82/82
11w Catawba Indian Nation
By: s Date : :511b'7
Chief Evmts Gauge; Jr
By; C. -CJ Datc: S/ J16 7
ScecatWyIrre& rer Carson Bkac
main= Mmjjjm?
By: nat?: ?'rro7
E= ive
By: 5 r Date: 5?l? /a 7
E ive Com nktcc Cbm& A,yeirs /
&YcAi?x C,o=n tt= M=bcr Jason Hat?c?;
vc Comnsictc?c Tho+m?ss Saaxia?s /
By. 1GZ Date.
Dr. ae tah Haire Tribal HisuniC Presw -/J/47
ion Offee

YADKIN PROJECT (F'ERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Paoe
City of Albi
Signature:
Print:
Title:.
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Raymond I. Allen
Address: P-0 __ _ROX 190
Albemarle. N.C. 28002
Phone: [phone]
FAX: [phone]
Email: rallenki.albemarle.nc.us
Mayor
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
High Rock Business Owners Group
Signature:
Print: A.
Title: `` ' .? Al - to 4 LgL &0j&21 iuu2S
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Rl? om j
Address: I -lip !W I D(- fVt --
21L4
Phone: bm . LLqa
_
FAX:
Email: _ MA a3(Q PSbwOh . W,
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
High Rock L
Signature:
Print:
Title:
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: L A a 2./ .tt?o??e?S
Address: 31o F'o-*
!?o)Ic•.? F•rtM.
z& 14e.
c.J
Phone: :10 A .X033 • $799
FAX:
Email: U,agni o JAS o IoemII ,cw % . oc+

04-11-2007 11:45 FROAHMtGOWRY CO ADMpM [phone] T-013 PV1 F-625
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Montgomery
Signature:
Prins:
Title:
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: ?Ci?tr'?G.Q L. Me -'zjo,y- JtJ1AV S??X1 s
Address: 10 - 7- C1.
Phone: Ci j o ? 5 ? L • ZZ
FAX: COQ I o) S 7 G - L/ S? (o it
Email:

e Man}9oyr'>!erl --C©Lk^4-,.j . Go n.,
Le. ne o _ L~ . Me, mle rr
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
North Carolina Department of Environment and Natural Resources
Signature:
Print: W I{ 1 l G M G. R p S S, J 2.
Title: .? C 2 Q, `'A ('21C
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Steve Reed
Address: D I V I S I.0 rJ 6-f WAfe<e R e SU U eC e s
(D (I Met; ( Eese V I CG Cent tzrC
Ka(e1ah . NC 27(09 01 - I(o/(
Phone: 9 (9 - 7 I S- -- 5 q Z4'
FAX: "l I C-'73 3 3 S S
Email: _ 'tPVPAI. RPPdn Airpmeio t. "-f
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
North Carolina Wildlife Resources Commission
Signature: a?'1 }y??tiyt
Print: IC ?I C. fed 0 __ ltCAMI Itohj
True: L Xe C 1Ve
, ?iire0-c) C
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name:
Address:
lfshe&fo X c- 27,2U.5
Phone: t 6,25-52,57
FAX:
Email:
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Pee Dee River Coalition
Signature:

Print: 1 fl-A d & C &1) : 1 j .-5 -11
Title: Ce l v, ? t IZAI of A-1
The following person will serve as the contact for the above listed organization
and will be included in Appendix rFto the Relicensing Settlement Agreement.
CZ. C? S
Name:
Address: L C g /?
Phone: [phone], 9 - 3 9 I
FAX: c9s(,
tit' `
Email:? C? L2 !r iC / cc,) o
r
Piedmont. Boat Club
February 2007
Signature Page
Signature:
1 ?
I
Print: -»
Title:
The following person wilt serve as the contact for #* above listed organization
and -,Wl to included in Appendix F to the Relicensing Settlement Agreement.
Name:
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT

Address: ?,' 1L r_cf
C 1 h sr Il v{ f
Phone: : r 7? n
FAX: ?G r 3
Email: 'eo ?4,L C..? x crfnt
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Rowan Court
Signature:
Print:
Title:
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: William K. covap
Address: 130 W. Znnes St
Salisbury NC 28144
Phone: [phone]
FAX: [phone]
Email: cowanwkko.rowan.nc.us
Arnold S. Chamberlain
Chairman, Rowan County Board of Commissioners
MAR.27. 2007 11:27AM WALLACE READY CO. 7046333404
YADrJN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Salisbury/Rowan Association of Reaftom
NO.2856 P. 2/2
Signature: . /a ?y
Print: ? . C 1t 0 PLY y??tjo R eV G I3 3tt,•,
Title: Ad"VCiltS. 9D RAPU,5&„X8]f2NjS
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: - .R .G-Ctitt.?! ,fie >?1 0 ? 6A) , ESL,
Address: '/a W,0 is R EaIkY C-a
'Pd Oax
A. v I?-4' N 2S' I ,.
Prone: r?Cl",I. 0 (?,• i
3x3 9
FAX: a k ,, 6-33
Finaii: .?. S C-A2aQ&0Q "
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Coastal Conservation League
Signature:
Print: Dana Beach
Title:
Executive Director
*Coastal Conservation League' signature is conditioned on Section 1. 3.2 of the RSA that states
fish passage issues under Section 18 of the FPA are not addressed through the RSA and that we
will be able to fully address Section 18 issues without being inconsistent with the RSA. We have
been assured by APGI and its counsel that this will be clarified in the Joint Explanatory
Statement.
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Patrick Moore
Address: 2231 Devine Street, Suite 100
Columbia, SC 29205
Phone: [phone]
FAX: [phone]
Email: patrickm(a-)-scccl.org
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
South Carolina Department of Health and Environmental Control
Signature:
Print: M. Rheta Geddings
Title: Assistant Bureau Chief, Bureau of Water
The followin g person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Larry Turner
Address: 2600 Bull Street
Columbia, SC 29201
Phone: [phone]
FAX: [phone]
Email: [e-mail]

YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
South Carolina
Signature:
Print: John E.
February 2007
Signature Page
of Natural Resources
Title: Director, South a nl ina b Fartm :n of N ,raj Reco ,rr s
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Rellcensing Settlement Agreement.
Name: Robert E. Duncan
Address: South Carolina Department of_Natural. Resources
P.O. Box 12559, 227 Ft. Johnson Rosd
Charleston, SC 29412
Phone: [phone]
FAX: [phone]
Email: [e-mail]
MAR-19-2007 02.09 From:LP D TRUST To:70 r 5 Po*e:l,'J.
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
The Land Trust for Central North Carolina
Signature: I ? 4
so, 4
Print;
Title:
The following person will serve as the contact for the above listed organization
and will be included in AAppe?ndix. F to thet R?elicensing Settlement Agreement.
Name: J tt1? s oh A. W 4 0sev~
Address: A X 9d, Ely
Phone:
FAX:
Email:

l G ct ?11/P &P C"46'.
i rt_St7a1 ? ?D?Yt?__TrkS?'t?G, a?4
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
The Nature Conservancy
Signature:
Print: 4??e-jc., rv e
Title: l?i?ec ? ?, c+ ? CLJ s ?-is skr
The following person will serve as the contact for the above listed organization
and will be included' in Appendix F to the Relicensing Settlement Agreement.
Name: r J e
Address: 76 M cr,s? ? , ? ? o? e. loo
Pa a
Phone: R/43 J- 737- RR©7 x41
FAX: _ A
Email: ?alrr.?e e? r26 +Ac.,v
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Town of Bad
Signature:
Print
Tide:
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement
Name: Town of Badin
Address: PO Box 707
36 Falls Road
Badin, NC 28009
Phone: _704-422-3470
FAX: [phone]
Email: [e-mail]

YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
USDA - Forest Service
Signature: _.. _.. ? ... --- -- ?• ..`. -_. _ _? ..-.. _ .-..
CHARLES L. MYERS
Regional Forester
USDA Forest Service
Southern Region ,
The following person will serve as the contad for the above listed organization and will be
included in Appendix F to the Relicensing Settlement Agreement.
Name: Raymond M. Johns II
Lands & Minerals Program Manager
Address: National Forests in North Carolina
160 Zillicoa Street, Suite A
Asheville, NC 28801
Phone: [phone]
FAX: [phone]
Email: ray}ohns@fs,fed.us
YADKIN PROJECT (FERC NO. 2197)
RELICENSING SETTLEMENT AGREEMENT
February 2007
Signature Page
Uwharrie Point Community Association
1
Signature:
??
Bob Warren
Print:
Title: Authorized Representative
The following person will serve as the contact for the above listed organization
and will be included in Appendix F to the Relicensing Settlement Agreement.
Name: Bob Warren
Address: 444 Allenton Ferry
New London, NC 28127
Phone: [phone]
FAX:
Email: [e-mail]

200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
YADKIN PROJECT
FERC No. 2197
JOINT EXPLANATORY STATEMENT
FOR THE RELICENSING SETTLEMENT AGREEMENT
(April 2007)
This Joint Explanatory Statement (JES) presents an overview and explanation of a
comprehensive Relicensing Settlement Agreement (RSA) reached between the License
Applicant, Alcoa Power Generating Inc. (APGI), and most of the participants in the Yadkin
Project (FERC No. 2197) licensing proceeding. This RSA is intended to replace an Agreement
in Principle (AIP) that was executed in June 2006 and filed with the Commission. The Parties 123
respectfully request that the Commission (i) adopt the RSA as its preferred alternative for the
purposes of the National Environmental Policy Act, (ii) incorporate without modification the
Proposed License Articles included in the RSA into a New License for the Yadkin Project, and
(iii) issue a New License for the Yadkin Project with a term of 50 years.
1. Background
On April 25, 2006, APGI filed an Application for a New License with the Federal Energy
Regulatory Commission (FERC or Commission) for its Yadkin Project (Yadkin Project or
Project). In June 2006 APGI and most of the participants in the relicensing process reached an
AIP regarding issues pending in the relicensing. Subsequently, the signatories to the AIP
engaged in a negotiation process to finalize a Relicensing Settlement Agreement, using the AIP
as a basis for further discussion. The group's goal was to develop an agreement which
achieved an appropriate balance of competing resource interests in the Yadkin Project. This
effort produced a consensus among the AIP signatories representing a broad range of interests
on protection, mitigation, and enhancement measures (PMEs) for the Yadkin Project that
address environmental, recreational, and cultural issues, as well as other beneficial uses of the
Project waters and the Yadkin-Pee Dee River, including hydropower generation, drought
management, and endangered species protection, as required by Sections 4(e), 10(a), 100) and
18 of the Federal Power Act (FPA). The participants in this process included APGI, state and
federal resource agencies, the Catawba Indian Nation, local governments, homeowner
associations, and national and local non-governmental organizations (NGOs).
1 Alcoa Power Generating Inc., American Rivers, Badin Historic Museum, Inc., Badin Lake Association,
Catawba Indian Nation, City of Albemarle, High Rock Business Owners Group, High Rock Lake
Association, Montgomery County, North Carolina Department of Environment and Natural Resources,
North Carolina Wildlife Resources Commission, Pee Dee River Coalition, Piedmont Boat Club, Rowan
County, Salisbury/Rowan Association of Realtors, South Carolina Coastal Conservation League, South
Carolina Department of Health and Environmental Control, South Carolina Department of Natural
Resources, The Land Trust for Central North Carolina, The Nature Conservancy, Town of Badin, United
States Forest Service, Uwharrie Point Community Association.
2 Although they are not a signatory to the Yadkin RSA, the U.S. Fish and Wildlife Service and U.S.
Environmental Protection Agency have indicated their support for the operating proposals and resource
protection measures included in the RSA.
3 APGI and PE have agreed that, for corporate and operational reasons the licensees will not sign each
others comprehensive agreement. Instead, there will be a separate agreement between the companies
that addresses issues specific to the licensees.
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
This JES provides a framework for understanding the outcome of the Yadkin Project relicensing
negotiations process, which is detailed in the RSA being filed with the Commission. Importantly,
the RSA should be read and evaluated by FERC as a stand-alone proposal of PMEs that
supersedes both the proposals put forth in APGI's Application for New License and those
outlined in the AIP previously filed with the Commission.
2. The Settlement Agreement Process
This RSA is the result of an intensive effort, by many dedicated organizations and their
representatives, to relicense the Yadkin Project that began over four years ago. At that time,
APGI elected to utilize a communications-enhanced version of the traditional three-stage
consultation process to relicense the Project. This process was initiated in 2002, with the
preparation and issuance of an Initial Consultation Document (ICD). In conjunction with the
ICD, Yadkin held a series of public meetings to introduce the public to the relicensing process,
to review the ICD, and to gain additional input on relevant resource issues to be addressed
during the relicensing. APGI engaged in consultation with resource agencies, tribes and other
interested stakeholders through the formation of Issue Advisory Groups (IAGs) to define
information needs and identify needed scientific and technical studies. As the studies were
completed, APGI continued to engage the participants in the review of study results and the
evaluation of potential PMEs for inclusion in the New License. Most recently, APGI has
continued to work with interested participants in settlement negotiations. The initial focus was
on the development of a Meetings and Negotiations Protocol in late 2004, providing the
framework and ground rules for these negotiations, and culminated in June 2006 with the
signing of the AIP. At that point, several different Workgroups comprised of AIP signatories that
had been actively involved in the early IAGs were formed to resolve any remaining issues and
draft the detailed settlement language and license articles intended to reflect the AIP
commitments. The Workgroups included a Project Operations Workgroup (including the Low
Inflow Protocol) a Water Quality Workgroup, a Fish Passage Workgroup, an Environmental
Management Workgroup, a Recreation and Shoreline Management Plan Workgroup, a Lands
Workgroup, and a Historic Properties Management Plan (HPMP) Workgroup, along with a Legal
Workgroup. Together, these Workgroups created the legally binding RSA to implement the
agreed-upon PMEs and to govern the relationship among the Parties over the life of the New
License.
3. Relicensing Settlement Agreement
The RSA is comprised of three parts:
1. General Provisions that include the legal definitions and standards of the RSA;
2. Settlement Provisions Not Covered by the Proposed License Articles, including various
funding commitments by APGI, cooperative agreements between APGI and various state and
federal agencies, and commitments regarding non-Project land grants and conveyances; and
3. Proposed License Articles that establish the Licensee's obligations that will be enforceable
by the Commission. These Proposed License Articles have been drafted to conform to the
Commission's need to assure enforcement of the entirety of the New License. The articles
specify operational requirements including flow schedules and values, reservoir operating
curves, water quality enhancements, recreational enhancements, shoreline management
provisions, cultural resource management provisions, rare, threatened, and endangered (RTE)
species management provisions, and other PME enhancement measures and funding support.
2
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
The proposed articles, taken together with other commitments made in the RSA and with the
conditions within the State of North Carolina's certification pursuant to Section 401 of the Clean
Water Act (CWA), will ensure that the Project is and will be best adapted to a comprehensive
plan of development for the Yadkin-Pee Dee River, and that it will continue to comply with all
applicable laws.
The RSA also contains a series of Appendices including a Low Inflow Protocol (LIP), a Hydro
Project Maintenance and Emergency Protocol (HPMEP), Recreational Facility Enhancements,
modifications to various specifications and procedures in the Yadkin Project Shoreline
Management Plan (SMP), and descriptions of land conveyances and land grants.
The three main parts of the RSA along with the Appendices comprise the entire RSA. In its
issuance of a New License for the Yadkin Project, the Parties to the RSA respectfully request
that the Commission incorporate into the New License the Proposed License Articles and the
HPMEP without modification and also approve the proposed modifications to the SMP. The
remaining elements of the RSA, including the "Settlement Provisions Not Covered by Proposed
License Articles" in Section 2 of the RSA, the LIP (Appendix A), and the land grants and
conveyances depicted on maps in Appendix E are for FERC's information only and will be
implemented and enforced as provided for in the RSA.
4. FERC Adoption Without Modification
The Parties to the RSA respectfully urge the Commission to incorporate the Proposed License
Articles into the New License as drafted. The detailed provisions of the Proposed License
Articles reflect the intent of the Parties to ensure the Commission's ability to enforce the License
while fully effectuating the delicate balance of the RSA. Material changes to the Proposed
License Articles could lead to adverse consequences, including the potential for Parties to
withdraw from the RSA or for the entire RSA to be terminated. Therefore, the Parties to the
RSA request that the Commission honor the Parties' intentions by issuing a New License to
APGI for the Yadkin Project incorporating the Proposed License Articles without modification.
5. Consistency with FERC's Settlement Policy
In developing the RSA, the Parties sought to reflect their agreements in a fashion that, with one
exception, is consistent with the guidance provided in the Commission's Policy Statement on
Hydropower Licensing Settlements (Docket No. PL06-5-000, September 21, 2006) and believe
that the Commission can fully discharge its legal responsibilities through adoption of the
Proposed License Articles into the New License for the Project.
Given the relicensing record, the Parties believe that the settlement proposal contained in the
RSA fully meets the comprehensive development/equal consideration standards embodied in
Sections 10(a)(1) and 4(e) of the Federal Power Act. The Parties also believe that the Proposed
License Article language provides the Commission with clear and enforceable language with
which to oversee license compliance. With this in mind, the Parties developed the Proposed
License Article language with specific measures to reflect license obligations.
At the same time the Parties fully acknowledge that there are provisions of the RSA that are not
within the scope of the Commission's jurisdiction and thus not appropriate for inclusion in the
New License. It is the intent of the Parties that these provisions will be enforced among the
Parties pursuant to applicable provisions of the RSA itself. We have attempted to clearly identify
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
which portions of the RSA are within the Commission's jurisdiction and which are not, both
through the organization of the RSA itself as well as through the rationale provided in this JES
There is no intent on the part of the Parties to extend the Commission's jurisdiction. With this in
mind, the Parties, for example, are proposing a License Article articulating the Licensee's
responsibilities under a proposed Low Inflow Protocol (LIP), while not proposing that the
Commission include the entire LIP in the license as that document includes provisions and
responsibilities that extend to entities other than the Licensee.
The exception to the Commission's Policy Statement on Hydropower Licensing Settlements that
we bring to the Commission's attention relates to the operation and maintenance (O&M) of
public recreation sites that provide access to Project lands and waters. There are 40 public
recreation sites in the immediate proximity of the Project and there is no disagreement among
the Parties that these facilities provide access to the Project However, these sites are owned
and managed by a variety of entities, including the Licensee, the North Carolina Wildlife
Resources Commission (NCWRC) and the U.S. Forest Service (USFS). During settlement
negotiations it was made clear by NCWRC and USFS that they preferred to have APGI provide
a defined level of funding support to their organizations so that they could undertake the
necessary O&M activities at their facilities as part of their larger organizational O&M efforts.
Thus, the language in the RSA is crafted to require APGI to provide specified financial support
to these organizations to conduct the necessary O&M, with the identified amount of funding
being based on long-term experience with the types of O&M activities that can be anticipated in
the future. We believe that cooperation with these state and federal agencies in providing
recreational access to the project provides sufficient justification for distinguishing these
provisions of the RSA from the Commission's preference for avoiding specified funding
obligations in a license.
In addition, the Parties understand that the Commission's decision with regard to the RSA must
be supported by substantial evidence. During the development of the RSA close attention was
paid to the scientific and technical information generated during the course of the relicensing
consultation and filed in the Commission's relicensing docket for this Project. In the instance of
each of the Proposed License Articles, the Parties believe that the compiled record supports the
proposed provisions and that need for the article is based on an established nexus to Project
purposes and identified impacts of the Project. Information in Section 7 of this JES provides
supporting rationale for how each license article will accomplish its stated purpose.
6. Long-Term Protection of Lands
The Parties to the RSA consider the land grants and conveyances involving non-Project lands
between APGI and specified Parties to be essential elements of the RSA, although outside of
the Commission's jurisdiction. These agreements provide long-term or permanent protection for
thousands of acres owned by APGI in the vicinity of the Project reservoirs, thereby preserving
and protecting ecologically and culturally significant lands as open-space in the rapidly
developing central North Carolina region. The ultimate consummation of these land agreements
is contingent upon APGI accepting the New License for the Yadkin Project.
7. Record Support
The Parties to the RSA concur that the record developed to date in this proceeding supports the
PMEs contained in the RSA, including APGI's obligations set forth in the Proposed License
Articles. Each of the proposals set forth in the Proposed License Articles and other provisions
4
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
of the RSA, rests on a thorough review of the scientific and technical information available or
produced as part of this relicensing process. In some cases RSA provisions reflect information
and analyses that were not complete or available during the preparation of the Application for
New License. APGI and the other Parties to the RSA believe that these proposals represent an
improvement over proposals in the Application for New License and have developed the
following summary of the changes to Project resources that are expected to occur as a result of
implementing each of the Proposed License Articles contained in the RSA.
7.1 Reservoir Operations - Article PO-1
7.1.1 High Rock
Under the provisions of the RSA, APGI proposes to operate High Rock Reservoir in accordance
with an operating curve such that the reservoir water level will be maintained within 4 ft of full
between April 1 and October 31 of each year, and within 10 ft of full between November 1 and
March 31 of each year, except as needed in order to maintain minimum flows, or as provided
under the LIP or HPMEP. If water levels in High Rock Reservoir fall below these normal
minimum elevations, then APGI will reduce releases to no more than the daily average
equivalent of the minimum flow requirement at Falls Dam described in proposed License Article
PO-2.
This proposal will provide significant environmental, recreational and aesthetic resource
enhancement. Maintaining reservoir water levels within 4 ft of full April 1 - October 31 will
maintain and enhance the quality fisheries in the reservoir and fish and wildlife access to a
portion of the high quality habitat located within the upper 6 ft of the reservoir for three more
months per year than under the existing license. The operating curve calls for raising the water
levels in High Rock six weeks earlier in the spring than under the existing license to provide
spawning fish with earlier and better access to high quality spawning habitats. Maintaining the
reservoir within 4 ft of full for six weeks longer than under the existing license in the late summer
and fall will enable juvenile fish to remain in the high quality habitats for much longer, allowing
them to grow larger and making them less vulnerable to predation. Maintaining the reservoir
within 4 ft of full between April 1 and October 31 also extends the potential growing season for
submerged and emergent wetland vegetation, allowing more vegetation to become established
and to be maintained in the reservoir, and enhancing aquatic habitat availability.
Maintaining the reservoir within 4 ft of full also enhances conditions for recreational boating
during the peak of the recreation season and significantly improves the opportunity for
recreation on the reservoir by three (3) additional months each year. It also improves reservoir
area availability for use by fishermen and boaters in the early spring and fall, along with
opportunities for recreation on the reservoir during the fall foliage season.
Limiting the winter drawdown to a maximum of 10 ft below full will also provide significant
enhancements. Limiting the drawdown to 10 ft will protect a greater portion of the reservoir
littoral zone from the effects of desiccation and freezing and will enable more organisms and
plants to establish themselves in the reservoir. Limiting the winter drawdown will enhance the
ability for reservoir refill each spring in time for fish spawning season and the prime spring
fishing season. Limiting the winter drawdown to 10 ft will also prevent dewatering of significant
areas of the reservoir bottom and so should help to reduce related problems such as sediment
re-suspension. The limited winter drawdown will also help to improve the scenic quality of the
reservoir during the late fall and winter.
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
7.1.2 Tuckertown
APGI proposes to continue to operate Tuckertown Reservoir as it has in the past, with typical
reservoir fluctuations of 3 ft or less. The reservoir will be operated in accordance with an
operating curve such that the reservoir will be maintained within 3 ft of full, except as provided
under the HPMEP.
This proposal will maintain the very high quality wetland and fish habitats that currently exist in
Tuckertown Reservoir. This proposal will also maintain the existing high quality recreation
opportunities available at the reservoir and the current scenic quality of the reservoir. Continued
operation of Tuckertown Reservoir as in the past will also allow the City of Albemarle and Town
of Denton to operate their municipal water withdrawals on the reservoir as they have historically.
7.1.3 Narrows
APGI proposes to operate Narrows Reservoir in accordance with an operating curve such that
the reservoir will be maintained within 5 ft of full, except as needed in order to maintain
minimum flows, or as provided under the LIP or HPMEP.
This proposal will maintain the extensive water willow beds and high quality fish habitat that
currently exist in Narrows Reservoir. This proposal will also maintain the existing high quality
recreation opportunities available at the reservoir and the current scenic quality of the reservoir.
Operation of Narrows Reservoir in this manner will also allow the City of Albemarle to operate
its municipal water withdrawal on the reservoir as it has historically.
7.1.4 Falls
APGI proposes to continue to operate Falls Reservoir as it has in the past with typical reservoir
fluctuations of 4 ft or less. The reservoir will be operated in accordance with an operating curve
such that the reservoir will be maintained within 4 ft of full, except as provided under the
HPMEP.
This proposal will maintain the limited, but important, wetland and fish habitat on Falls
Reservoir. The above proposal will also help to preserve the "natural" recreation experience
provided by Falls Reservoir. This proposal will also maintain existing recreation opportunities
and the current scenic quality of the reservoir.
7.1.5 Reservoir Stabilization to Enhance Fish Spawning
APGI proposes, from April 15 through May 15 of each year, to endeavor to maintain reservoir
water elevations at the four Project reservoirs no lower than -1.0 feet below the elevation of
each reservoir on April 15. Stabilizing the reservoirs during this critical spring period is expected
to enhance conditions for spawning fish.
6
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
7.2 Project Instream Flows - Article PO-2
Except when operating under the LIP or HPMEP, APGI proposes to operate the Yadkin Project
so as to provide a daily average minimum flow from Falls Development according to the
following schedule:
June 1 - January 31 1,000 cfs
February 1 - May 15 2,000 cfs
May 16 - May 31 1,500 cfs
This proposal will support flow conditions in the lower river (below Blewett Falls Dam, which is
part of the downstream Yadkin-Pee Dee River Project (FERC No. 2206)), that allow state and
federal management goals for fish, water quality and recreational resources to be met. The
minimum flows proposed by APGI for the summer, winter and spring periods are sufficient to
allow the downstream licensee to provide continuous minimum flows of 1,200 cfs, 2,400 cfs and
1,800 cfs at the U.S. Geological Survey (USGS) gage at Rockingham, during each of these
seasons, respectively. These flows in the lower river are expected to significantly enhance
aquatic habitat conditions in the lower river for a wide array of fish species, as well as for
mussels and macroinvertebrates. The details of the habitat enhancements expected to accrue
in the lower river as a result of these minimum flows at Rockingham are available through study
reports and other documents filed as part of the Yadkin-Pee Dee River Project relicensing
proceeding.
7.3 Flow Monitoring - Article PO-3
APGI will prepare a Flow and Reservoir Elevation Monitoring and Compliance Plan for the
Project. The plan will include provisions for monitoring reservoir water elevations in all four
reservoirs, and flows from both the Narrows and High Rock developments. Once implemented,
the monitoring plan will call for APGI to conduct monitoring sufficient to demonstrate that it is
meeting the operational requirements of its New License.
7.4 Low Inflow Protocol - Article PO-4
APGI proposes to operate the Yadkin Project in accordance with a LIP which is attached to the
RSA as Appendix A. Key elements of the LIP include a definition of "stages" and Project
operational measures to be undertaken by APGI during each of the respective stages.
The drought of 2001-2002 in the Yadkin-Pee Dee River basin demonstrated clearly the
importance of water availability and use to both upstream (reservoir) and downstream users.
During periods of drought, or extreme low inflow, there is simply not enough water available to
maintain the hydropower reservoirs at their normal levels and maintain an appropriate minimum
flow in the river downstream of the Project. The proposed LIP appropriately considers both
reservoir and river needs, and sets forth actions to be taken by APGI, and others, that will help
to conserve water and strike an appropriate balance between the water needs of the reservoirs
and water needs of the river during low inflow conditions.
7.5 Hydro Project Maintenance and Emergency Protocol - Article PO-5
APGI is proposing that the Commission adopt, as part of the New License, a Hydro Project
Maintenance and Emergency Protocol (HPMEP) for the Yadkin Project. The HPMEP, which is
appended to the RSA, details the steps to be taken by APGI at the Project in the event of an
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
emergency or unanticipated maintenance situation that requires a change in the normal
operation of the Project.
7.6 Water Quality - Article WQ-1
APGI is committed to operating the Project in accordance with the anticipated conditions of the
Section 401 water quality certification to be issued by the State of North Carolina. A major
emphasis of the certification will require the implementation of necessary measures to insure
that all tailwaters meet state water quality standards for dissolved oxygen.
Technologies to increase tailwater DO conditions are available as possible corrective measures,
but such technologies are time consuming and expensive to install and operate, and result in a
loss in the efficiency of the generating units, and therefore a loss in power generation. To be
effective, aeration technologies have to be designed and installed specific to the dam,
powerhouse, penstock, turbine and tailwater conditions that are unique to each development. In
other words, to be effective, it appears that each development will likely require a site specific
aeration technology.
The most efficient and effective time to do such installations at the Yadkin Project is in
conjunction with other facility sustainability work being planned for the various developments
and units. APGI's plans to refurbish and upgrade the generating units at its four developments
provide a prime opportunity to efficiently and cost effectively install aeration technology, as
needed.
7.6.1 Tailwater Dissolved Oxygen Enhancement Schedule
APGI proposes to undertake a series of Project modifications designed to increase DO
concentrations and enhance water quality in the four Project tailwaters. The fundamental
concept of APGI's proposed DO enhancement schedule will be to first increase DO
concentrations below Narrows and High Rock dams, and then to monitor to see what, if any, DO
enhancement might still be needed at Tuckertown and Falls dams. APGI anticipates these
measures and the related schedule for implementation will become a condition of the CWA 401
Certification issued for the Yadkin Project by the State of North Carolina.
The improved DO concentrations in the Project tailwaters that will be achieved as a result of the
proposed DO enhancements will have many significant benefits. Increasing tailwater DO
conditions will certainly improve habitat conditions for invertebrates, including mussels, and fish,
which in turn should produce better recreational fisheries in these tailwaters. Water quality,
fisheries and macroinvertebrate data collected as part of various relicensing resource studies
demonstrate that the water quality conditions are generally not meeting WQ standards during
the summer months. Moreover, given the short residence times for water in the Tuckertown and
Falls developments, APGI and the Parties expect to see some improvement in tailwater DO
conditions at these two developments as a result of improving DO conditions in the High Rock
and Narrows tailwaters. However, if such improvements are not sufficient to allow these
tailwaters to meet state DO standards, the DO enhancement schedule calls for APGI to take
additional actions to improve DO concentrations in the Tuckertown and Falls tailwaters.
7.6.2 Tailwater Dissolved Oxygen Enhancement Operations
As DO enhancement measures are installed (as described above), APGI will operate the
generating units with DO enhancement equipment added on a "first on-last off" basis, subject to
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
unit availability, so as to maximize the DO benefit obtained from the available aeration
technology. DO enhancement equipment and measures will be operated beginning no later
than May 1 each year and will continue through November 30 of each year.
During the winter and early spring months, cooler water temperatures and mixing in the
reservoirs generally assures that DO standards are met in the Project tailwaters under normal
Project operations. The operation of the proposed DO enhancement technologies during the
period May 1 through November 30, each year is expected to significantly increase tailwater DO
conditions during the periods of warm water, low flows, and reservoir stratification, all of which
can adversely affect tailwater DO concentrations. Studies of Narrows Unit 4 (where aeration
valves have already been installed) suggest that DO concentrations may be raised as much as
2-4 mg/I at the Narrows Development, when all the DO enhancement measures are completed
there. At High Rock it is more difficult to predict how much DO may be added as a result of the
DO enhancement proposed for that development (utilizing through the blade aeration
technology), but continuous DO monitoring will allow an accurate determination of the
effectiveness of these enhancements once they are completed.
7.7 Dissolved Oxygen Monitoring - Article WQ-2
Monitoring of DO conditions in the tailraces will be critical to determine the effectiveness of the
enhancement measures and operations described previously. The primary component of the
proposed DO monitoring plan will be the operation of four continuous DO/temperature monitors
(one in each tailwater), for the period of May 1 through November 30 of each year. The plan will
also include provisions for conducting two studies as part of the overall DO enhancement
schedule utilizing the continuous DO monitoring data to determine the effectiveness of the
aeration technology installed and assist in determining what additional measures will be
required if the planned measures are not successful in meeting state DO standards.
7.8 Recreational Enhancements - Article REC-1
APGI proposes to upgrade and improve existing recreational facilities and construct new
recreational facilities, including a recreation area with a swim beach at High Rock Reservoir and
ten dispersed campsites - in accordance with Table REC-1 in the RSA which will be reflected in
a Recreation Management Plan.
There are currently over 40 public recreation facilities at the Yadkin Project. These facilities
provide public access for boat launching, fishing, and picnicking at all four Project reservoirs,
and for swimming at High Rock and Narrows reservoirs. Intensive use surveys during
relicensing demonstrate that none of the existing public recreation facilities are currently
exceeding their capacity; however some improvements to existing facilities are needed. The
recreational improvements proposed will appropriately address the needs that were identified
during the relicensing process, including accessibility for the disabled and expanded sanitation
facilities, and will allow the Yadkin Project to meet public recreation demand well into the future.
APGI is also committing to O&M responsibilities for all recreation facilities that provide access to
Project waters. Details regarding APGI's facilities and O&M obligations under the New License
will be documented in a Recreation Management Plan required by proposed Article REC-1.
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
7.9 Shoreline Management Plan - Article SMP-1
With FERC's approval, APGI will make certain modifications to the Yadkin Shoreline
Management Plan (SMP) as provided in Appendix D of the RSA.
The Yadkin SMP has been in effect for nearly eight years. Over that time, the SMP has been
demonstrated to be protective of the reservoir shoreline and associated environments
However, such protections have only been achieved through non-Project development review
processes and appropriate restrictions on shoreline property development that can affect
Project resources. Based on experience since the initial SMP implementation, APGI has
worked with the other Parties to identify modifications to existing specifications and procedures
applicable to non-Project activities that can be modified while still maintaining the same level of
resource protection. These SMP modifications have been developed in
consultation/collaboration with agencies and other stakeholders and have been designed to
ensure adequate protection to reservoir resources while allowing some changes in certain
shoreline specifications that are of interest to shoreline property owners.
Section 2.4.2 of the RSA discusses the implementation of the SMP modifications. APGI
proposes to implement the modifications to the existing SMP within three months of the effective
date of the New License. As reflected in Article SMP-1, APGI also proposes to file a revised
Shoreline Management Plan after consultation with state and federal agencies and other
interested parties.
7.10 Historic Properties Management Provisions - Article HP-1
APGI proposes to prepare an HPMP for the Yadkin Project. The HPMP will be prepared in
consultation with NC State Historic Preservation Office (NCSHPO), the Catawba Indian Nation,
and other organizations with an interest in cultural issues at the Yadkin Project, and will be filed
with FERC in accordance with Article HP-1.
APGI and NCSHPO have developed a predictive model for the Yadkin Project reservoirs that is
used to establish cultural probability zones in the Yadkin SMP. The identification of areas that
are of potential cultural significance and the establishment in the SMP of processes and
requirements to evaluate the potential impact to cultural resources in these areas that may
occur as a result of activity undertaken within the Project boundary, provide a high level of
protection to cultural sites at the Yadkin Project. APGI, in consultation with NCSHPO and
others will update the cultural probability zones for the Project to protect both prehistoric and
historic sites of significance based on new information on the existence of significant historic
sites and cultural landscapes generated through relicensing studies. The scope of such
activities and other measures for protection of significant cultural sites through the term of the
New License will be outlined in an HPMP for the Yadkin Project.
7.11 Rare, Threatened and Endangered (RTE) Species Management Plan -Article FW 1
APGI proposes to prepare an RTE Species Management Plan for the Yadkin Project. The RTE
Species Management Plan will be prepared in consultation with USFWS, NCWRC, NC Natural
Heritage Program, and other agencies and organizations with an interest in RTE species and
habitats at the Yadkin Project. The RTE Species Management Plan will outline specific actions
to be taken by APGI during the term of its new FERC license to monitor and protect RTE
species and their habitats. The plan will specifically address the needs of the federally listed
10
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
Bald Eagle and Schweinitz's Sunflower, as well as other species of interest including the Yadkin
River Goldenrod and certain freshwater mussel species.
Bald Eagles (Haliaeetus leucocephalus), a federally listed threatened species, have been
nesting in the vicinity of the Yadkin Project over the past several years. Concern about how
shoreline development and use could impact eagle use of the reservoirs led APGI to begin
monitoring bald eagle nesting activities several years ago. Results of the monitoring thus far
suggest that several pairs of breeding eagles have been successful in nesting and rearing
young at the Project. Current nesting sites are generally well protected from human disturbance
by either natural or man-made landscape features. Continued monitoring of eagle nesting
activities will help ensure that adequate nesting habitat is maintained for the birds.
Schweinitz's Sunflower (Helianthus schweinitzh), a federally listed species, occurs in various
locations around the Project. Although this species is not directly impacted by the operation of
the Project, there is concern about potential impacts to the species or its habitat from
recreational use of the Project, vegetation management activities along the Project transmission
lines, and encroachment by non-native, invasive species. APGI proposes to develop specific
management initiatives in the RTE Management Plan to ensure the continued protection of this
species and its habitats within the Project boundary.
Yadkin River Goldenrod (Solidago plumosa) was recently listed as a candidate species by the
USFWS. The only known occurrences of Yadkin River Goldenrod are small populations located
below Narrows and Falls dams. Though most of the existing plants are located in areas that are
not directly impacted by flows from the Project, it seems clear that the plants do benefit from
periodic scouring (produced during extreme flood flow events) which reduces competition. The
plants also appear vulnerable to human activities in the tailrace areas. The NC Rare Plant
Program has been informally monitoring the status of the plants over the past several years.
With APGI's cooperation, monitoring of the Yadkin River Goldenrod populations can continue
and will help protect the plants and their habitat.
7.12 Project Transmission Line Corridor Management Plan - Article FW-2
APGI proposes to develop a Transmission Line Corridor Management Plan (TLC Plan) for the
Yadkin Project. The TLC Plan will be developed in consultation with the NCWRC, USFWS, and
other appropriate state and federal wildlife resource agencies.
Vegetation within the two Project transmission line corridors is maintained by APGI at specific
height limits, depending on location, to ensure the safe and reliable operation of the Project.
APGI has historically maintained the vegetation along the two transmission line corridors
primarily using a variety of mechanical methods and with limited herbicide applications. Under
the proposed TLC Plan, APGI will review these management methods with state and federal
wildlife agencies, and will develop a long-term plan for the continued management of
transmission line vegetation that will both ensure the reliability and safety of the two
transmission lines while at the same time protecting and enhancing habitat conditions within the
corridors.
8. Term of New License
The Parties to the RSA unanimously agree to support the issuance of a 50-year New License
from the Commission, and the Parties to the RSA have agreed to advocate for such a term in
any further filings with the Commission.
11
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
9. Resource Questions Not Addressed in the RSA
9.1 Fish Passage
The RSA is silent on the issue of fish passage at the Yadkin Project. The Parties to the RSA
recognize that fish passage is an important issue for the Yadkin-Pee Dee River, but given the
multi-jurisdictional nature of the issue the Parties have determined that fish passage would be
best addressed in a separate, cooperative agreement among the Licensees (APGI and
Progress Energy), the states of North Carolina and South Carolina, and the two federal
agencies with responsibility for managing anadromous fish restoration efforts, the USFWS and
the National Marine Fisheries Service, neither of which is a signatory to the RSA. Negotiations
regarding fish passage at the Yadkin Project are continuing, and all those involved are hopeful
that the fish passage issues for the Yadkin Project will be appropriately addressed in a separate
agreement that will be filed with the Commission. Given the RSA's silence, the RSA will not be
interpreted to preclude any signatory's participation in proceedings under Section 18 of the FPA
9.2 Stanly County and the City of Salisbury
The Parties acknowledge that two non-signatories, Stanly County and the City of Salisbury,
have perspectives that differ, at least in part, from those of the Parties on such issues as the
completeness of the RSA, Project effects and the Licensee's obligations. The Parties
understand that these two non-signatories will continue to press their claims and respectfully
request that FERC confine its relicensing Order to issues that are germane to the
Yadkin Project.
10. Stakeholder Participation
The organizations that have chosen to sign the RSA represent a very broad spectrum of
interests in the relicensing of the Project and the future management of resources potentially
affected by the Project. In particular, signatories include organizations with specific interest in
how High Rock and the other Project reservoirs are managed in the future for recreational
access, shoreline management, habitat protection and power generation. Other signatories
include those with specific interest in protecting and enhancing downstream resources
potentially affected by Project operations and drought contingency planning. By their signatures,
each of these organizations is acknowledging its belief that the proposals embodied in the RSA
represent an appropriate balance among all of the identified competing uses for available water
and related resources.
The Parties acknowledge that there are some stakeholders in the Yadkin Project relicensing
who have chosen not to sign the RSA, despite the significant effort put forth throughout the
relicensing process to provide an inclusive environment for people to communicate their
interests and have them addressed.
11. Conclusion
The Parties respectfully request that the Commission issue a New License to APGI that
includes the specific provisions of the RSA within the Commission's jurisdiction. The Parties
believe that those provisions, together with APGI's plans to make significant investment in the
unit upgrade/rehabilitation program and the non-jurisdictional elements of the RSA comprise a
12
200705075011 Received FERC OSEC 05/07/2007 12:19:46 PM Docket# P-2197-073
proposal that fully meets the comprehensive development and equal consideration provisions of
the FPA.
13
2
f'
Notes:
This map generally represents APGI owned land being
discussed with parties participating in the development of
the final relicensing settlement agreement. More precise
legal descriptions of any land to be conveyed or
encumbered will be developed prior to completing the
final relicensing settlement agreement.
__^______ _____
Rowan County i \` _Davidson County
Stanly County Montgomery County
(ertown Dam
Powerhouse
---- FERC Boundary
- Major Roads Alcoa Power Generating Inc. - Yadkin Division
- - County Boundaries
Res Tuckertown Reservoir Lands
e
Non-project Yadkin property
LOA proposed for saleltrans(er N
("Subject Property")
Proposed AP I retained R, F
lands (al o indl includes all Pro)ect
recreation areas (not shownj)
Nonproject Yadkin property `
Gar-:.:i proposed for sale/transfer to
LTCNC ('Subject Property")
0 0.5 1 1.5 2
February 2007 Miles Appendix E-2
Received FERC OSEC 05/07/20r07?+15:19:46 PM
Davidson County
___-_-__\--) _ - -_____-_-_-___-_-_____-_-
Montgomery County J1IJ/
,. ? ? Ej, /
Nn ?
sir
k
fff????
Tuckertown Dam Parcel3
"and Powerhouse
1 c l Parcel4
Q
? o
1l '?. ? ?=C1 ?s
Received FERC OSEC 05/07/20 •19 PM Docke-t#--.g-2197-073 !
stanly County 19
4
? t
Narrows 1-_a
j
Reservoir Buffer
C Strip ,
1
G'
Parcel 2
By er t _
=1 Strip
2007
Narrows Dam and
Powerhouse
Note:
This map generally represents APGI owned land being
discussed with parties participating in the development
of the final relicensing settlement agreement. More precise
legal descriptions of any land to be conveyed or
encumbered will be developed prior to completing the
final relicensing settlement agreement. APGI reserves
flooding rights on entire "Subject Property".
- FERC Boundary
- Major Roads
--- County Boundaries
Re c-n,
Uwharric National Forest
Proposed APGI retained
lands (also includes all Project
recreation areas (not shownj)
Non-Project Yadkin property
® proposed for saleltransfer
("Subject Property")
_ Road Easement
February 2007
Buffer
Strip
Alcoa Power Generating Inc. - Yadkin Division
Uwharrie National Forest Lands
n'
0 0.5 1 1.5 2
Miles
I
i
i
is
o
U

Uwharrie
National
Forest
Falls Dam and
Appendix E-4
Attachment 4
Draft Dissolved Oxygen Monitoring Plan
Yadkin Project (FERC No. 2197)
Draft Dissolved Oxygen Monitoring Plan
Alcoa Power Generating Inc.
May 2007
O
ALCoA
Licensee Contact: Gene Ellis
APGI, Yadkin Division
P.O. Box 576
Badin, NC 28009
[phone]
[e-mail]
M0
Table of Contents
Table of Contents ............................................................................................................................. i
List of Tables ................................................................................................................................. . ii
List of Figures ................................................................................................................................ iii
Acronyms ....................................................................................................................................... iv
1 Introduction .............................................................................................................................. . 1
1.1 Project Description ......................................................................................................... . 1
1.2 Background .................................................................................................................... . 1
1.3 Purpose of the Dissolved Oxygen Monitoring Plan ...................................................... . 1
1.4 Dissolved Oxygen Monitoring Plan Development ........................................................ . 2
2 Background on Continuous Tailwater Monitoring at the Yadkin Project ............................... . 4
3 Continuous Dissolved Oxygen Monitoring ............................................................................. . 5
3.1 Monitoring Locations ..................................................................................................... . 5
3.2 Methods .......................................................................................................................... .5
4 Unit Aeration Technology Evaluation .................................................................................... 11
5 Quality Control/Quality Assurance Procedures ...................................................................... 13
6 Schedule, Implementation, Reporting ..................................................................................... 14
6.1 Continuous Dissolved Oxygen Monitoring Schedule ................................................... 14
6.2 Aeration Technology Evaluation .................................................................................. 14
7 References ............................................................................................................................... 15
Appendices
Appendix A: Quality Assurance Project Plan
Appendix B: Summary of Consultation
Appendix C: Consultation Record
Appendix D: Comments Received on Draft Dissolved Oxygen Monitoring Plan and APGI's
Responses
FI
Yadkin Project i Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
List of Tables
Table 1: DO Monitoring Plan Specified Instrument Site Locations ............................................... 5
Table 2: Schedule for Continuous Dissolved Oxygen Monitoring ............................................... 14
Yadkin Project ii Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
List of Figures
Figure 1: Yadkin Project Regional Locus Map .............................................................................. 3
Figure 2: Location of High Rock Tailwater Continuous Monitoring Instrument ........................... 7
Figure 3: Location of Tuckertown Tailwater Continuous Monitoring Instrument ......................... 8
Figure 4: Location of Narrows Tailwater Continuous Monitoring Instrument .............................. 9
Figure 5: Location of Falls Tailwater Continuous Monitoring Instrument .................................. 10
kI
Yadkin Project iii Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Acronyms
APGI Alcoa Power Generating Inc. or Licensee
DO Dissolved Oxygen
FERC Federal Energy Regulatory Commission
Licensee Alcoa Power Generating Inc. (APGI)
NCDWQ North Carolina Division of Water Quality
NCDWR North Carolina Division of Water Resources
NCWRC North Carolina Wildlife Resources Commission
Plan Dissolved Oxygen Monitoring Plan
Project Yadkin Project or Yadkin Hydroelectric Project (FERC No. 2197)
QAPP Quality Assurance Project Plan
USEPA U.S. Environmental Protection Agency
USFWS U.S Fish and Wildlife Service
Yadkin Yadkin Division of Alcoa Power Generating Inc.
Yadkin Project Yadkin Hydroelectric Project (FERC No. 2197) or Project
Yadkin Project iv Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
I Introduction
1.1 Project Description
The Yadkin Hydroelectric Project (Yadkin Project or Project) is owned by Alcoa Power
Generating Inc. (APGI), a wholly-owned subsidiary of Alcoa Inc. (Alcoa). APGI's Yadkin
Division (Yadkin) is responsible for operation of the Project. The Yadkin Project includes four
hydroelectric developments, the High Rock, Tuckertown, Narrows and Falls developments,
which are located on a 38-mile stretch of the Yadkin River (see Figure 1). High Rock, the most
upstream development, is located at mile 253 on the Yadkin River and serves as the principal
storage facility for the entire Yadkin-Pee Dee River. The Tuckertown, Narrows, and Falls
developments are located approximately 8.7 miles, 16.5 miles, and 19.0 miles downstream,
respectively, of the High Rock Development.
The Yadkin Project is located approximately 60 miles northeast of Charlotte on the Yadkin River
in Davidson, Davie, Montgomery, Rowan, and Stanly counties in central North Carolina. The
Yadkin River and its tributaries are part of the Yadkin-Pee Dee River Basin, which extends from
the eastern slopes of the Blue Ridge Mountains to the Atlantic coast near Georgetown, South
Carolina. The Yadkin River's name changes to the Pee Dee River at its confluence with the
Uwharrie River. The Pee Dee River continues its southeastern flow to Winyah Bay, where it
meets the Atlantic Ocean.
1.2 Background
The Yadkin Project is licensed by the Federal Energy Regulatory Commission (FERC No.
2197). On , the North Carolina Division of Water Quality (NCDWQ) issued a water
quality certification for the Yadkin Project under Section 401 of the Clean Water Act. On
APGI received a new license for the Project from FERC. In accordance with the conditions
of the 401 Water Quality Certification and the FERC License (Article X), APGI is required to
prepare a Dissolved Oxygen (DO) Monitoring Plan (Plan) and a Quality Assurance Project Plan
(QAPP) for the Project, and to monitor dissolved oxygen and temperature conditions in
accordance with the specifications of the DO Monitoring Plan and the QAPP. The QAPP is
located in Appendix A of this DO Monitoring Plan.
1.3 Purpose of the Dissolved Oxygen Monitoring Plan
The purpose of the Yadkin Project DO Monitoring Plan is to monitor ongoing dissolved oxygen
and temperature conditions in the four Yadkin Project tailwaters and to allow an assessment of
changes to tailwater DO concentrations that occur as aeration equipment is installed and DO
enhancement measures undertaken at the Project, in accordance with the conditions of the 401
Water Quality Certification issued by NCDWQ for the Yadkin Project. The 401 Water Quality
Certification outlines the schedule for the installation of the aeration equipment designed to
increase tailwater DO concentrations and enhance water quality in the four Project development
tailwaters. The DO enhancement program is designed to meet water quality standards for DO
Yadkin Project 1 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
downstream of each of the hydro developments. The DO enhancement program will first
address DO concentrations below the Narrows and High Rock developments, and then monitor
these results to determine what DO enhancements might be needed in the tailwaters of the
Tuckertown and Falls developments.
1.4 Dissolved Oxygen Monitoring Plan Development
On , a Draft Dissolved Oxygen Monitoring Plan and QAPP were distributed to NCDWQ,
North Carolina Division of Water Resources (NCDWR), North Carolina Wildlife Resources
Commission (NCWRC), U.S. Environmental Protection Agency (USEPA), and the U.S Fish and
Wildlife Service (USFWS) for comment and review. Comments were requested by
Comments were received from
A complete record of this consultation is provided in Appendices B, C, and D.
Yadkin Project 2 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
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Yadkin Project 3 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
2 Background on Continuous Tailwater Monitoring at the
Yadkin Project
In August 2001, APGI filed a Dissolved Oxygen Plan developed as required by FERC Order
dated August 2, 2000. FERC's Order approved APGI's license amendment request and
amended the FERC License for the Project to reflect changes in the Project associated with
proposed generating unit upgrades. To address concerns regarding the potential effects of the
proposed unit upgrades on Project water quality, FERC included Article 39 in the amended
license requiring a DO Plan to assess the effect of the generating unit upgrades on DO
concentrations below the Project developments and, if necessary for compliance with state water
quality standards, to develop and implement measures to improve tailwater DO conditions.
Since 2001, APGI has been operating continuous dissolved oxygen and temperature monitors in
the Narrows and Falls tailwaters from May 1 through November 30 of each year. The
monitoring instruments were located to provide a representative sample of DO concentrations
throughout each of the tailwater areas. To confirm the representativeness of the current monitor
locations, APGI conducted several field surveys designed to examine the lateral and longitudinal
change in tailwater DO conditions and to determine if the monitor locations were indicative of
overall tailwater conditions. Results of these studies demonstrated that both monitoring
instruments are located in areas that are generally representative of overall tailwater conditions
(NAI, 2005).
Beginning in 2003, continuous tailwater DO and temperature monitoring instruments were added
to the Tuckertown and High Rock tailwaters. The representativeness of these instrument
locations within the tailwaters was also evaluated through field investigations by APGI (NAI,
2005).
Yadkin Project 4 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
3 Continuous Dissolved Oxygen Monitoring
3.1 Monitoring Locations
One site in each of the four Project tailwaters (High Rock, Tuckertown, Narrows, Falls) will be
monitored. The locations of each monitoring instrument will be the same year to year (see Table
1 and Figures 2-5) unless other conditions require the evaluation of a new location for placement
either on a temporary or permanent basis. However, no change in instrument location will occur
without consultation with NCDWQ.
Table 1: DO Monitoring Plan Specified Instrument Site Locations
Tailwater Latitude Longitude
High Rock N35 35 48.279 W 80 13 54.184
Tuckertown N 35 29 01.739 W 80 10 21.234
Narrows N 35 25 05.637 W 80 05 28.767
I Falls N 35 23 28.734---- [W 80 04 14.938
The continuous DO monitoring instruments located in the High Rock, Tuckertown and Falls
tailwaters are anchored to buoys and sit approximately one meter below the water surface. The
Narrows tailwater instrument is suspended in a pipe anchored to a bridge abutment. The
Narrows tailwater instrument is approximately one to four meters below the water surface
depending upon discharge from the development.
3.2 Methods
YSI 6920 in situ field instruments will be used for the monitoring in each of the monitoring
locations. A small boat is required to reach each monitoring location. Once the instruments are
deployed and anchored to the existing buoys or pipe at the monitoring locations (see Section
3. 1), the instruments will be set to record and store DO and water temperature measurements
every 15 minutes for the period May 1 through November 30, annually.
Weekly site visits will be made to each instrument to download data, check for fouling, and to
calibrate the field instruments in accordance with the manufacturer's specifications and the
attached QAPP (Appendix A). The field instruments will be fully serviced and DO membranes
will be replaced monthly in accordance with the manufacturer's procedures and the QAPP
(Appendix A). At the end of the monitoring season, field instruments will be retrieved, cleaned
and stored.
The instrument model specified above may be modified, as necessary or desired. However, the
Licensee will notify NCDWQ of its intention to change the instrument model before a new
model is deployed.
MI
Yadkin Project 5 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
If an instrument is lost, stolen, damaged or not functioning properly, it will be replaced with a
backup instrument as soon practicable.
If at any time APGI or its Monitoring Subcontractor determines conditions in the Yadkin Project
tailwaters are unsafe, APGI may at its sole discretion suspend monitoring or related calibration,
data retrieval, and downloading activities until conditions are determined to be safe. If APGI
determines that it is no longer safe to continue monitoring at a specific location, APGI will notify
NCDWQ. The Monitoring Subcontractor will at all times follow APGI's Subcontractor Health
and Safety Plan and all applicable safety requirements required by regulating agencies and
APGL
Yadkin Project 6 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Yadkin Project 7 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Figure 2: Location of High Rock Tailwater Continuous Monitoring Instrument
Yadkin Project 8 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Yadkin Project 9 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Figure 4: Location of Narrows Tailwater Continuous Monitoring Instrument
Yadkin Project 10 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
4 Unit Aeration Technology Evaluation
APGI plans to undertake a series of Project modifications designed to increase DO
concentrations and enhance water quality in the four Project development tailwaters, in
accordance with the DO Enhancement Schedule approved by NCDWQ in the 401 Certification
for the Yadkin Project (Table X). The continuous tailwater DO monitoring will measure
ongoing dissolved oxygen and temperature conditions in the four Yadkin Project tailwaters to
allow an assessment of changes to tailwater DO concentrations that occur as aeration equipment
is installed at each of the refurbished/upgraded units at the Project developments. The DO
enhancement program is designed to meet water quality standards for DO downstream of each of
the hydro developments. The DO enhancement program will first address DO concentrations
below the Narrows and High Rock developments, and then monitor these results to determine
what DO enhancements might be needed in the tailwaters of the Tuckertown and Falls
developments.
In accordance with the DO enhancement schedule set forth in the 401 Water Quality
Certification for the Project, APGI will install aeration technology to Narrows Units 1-3 in
conjunction with a planned unit refurbishment/upgrade program followed by a special DO
monitoring study (up to a period that includes two summer seasons) to assess the effectiveness of
the aeration technology in increasing DO concentrations in the Falls tailwater. At the end of the
study, APGI will prepare and file a study report with NCDWQ and FERC. If the special study
fails to demonstrate that APGI can operate the Yadkin Project so as to meet state dissolved
oxygen standards in the Falls tailwater, APGI shall prepare and file an Action Plan for DO
enhancement in the Falls tailwater with NCDWQ and FERC.
Similarly, in accordance with the DO enhancement schedule set forth in the 401 Water Quality
Certification, APGI will install aeration technology to High Rock Units 1-3 in conjunction with a
planned unit refurbishment/upgrade program followed by a special DO monitoring study (up to a
period that includes two summer seasons) to assess the effectiveness of the aeration technology
in increasing DO concentrations in the Tuckertown tailwater. At the end of the study, APGI will
prepare and file a study report with NCDWQ and FERC. If the special study fails to demonstrate
that APGI can operate the Yadkin Project so as to meet state dissolved oxygen standards in the
Tuckertown tailwater, APGI shall prepare and file an Action Plan for DO enhancement in the
Tuckertown tailwater with NCDWQ and FERC.
For each of the special DO monitoring studies, the existing locations of the continuous
monitoring instruments will be used to evaluate various operating regimes. During each special
study, the DO and temperature measurements will be continuously measured every 15 minutes
and reviewed in the field in "real time." DO concentrations for each scenario will be recorded
throughout the study period or until equilibrium is reached (when three successive DO
measurements are within 0.5 mg/1 of each other). Once equilibrium is reached in the tailwater
under each operating scenario, real time monitoring will continue for at least two hours. At the
end of each day's testing, all data will be downloaded and evaluated to guide the following day's
testing. Various test scenarios will be run on successive days. Field instruments will be serviced
Yadkin Project 11 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
and calibrated prior to and after testing and checked with an independent instrument at the
beginning and end of each test scenario and in conjunction with each data download.
In addition to the DO and water temperature data measured from the existing continuous
monitoring locations, turbine power output and turbine discharge data will also be needed for
each of the special studies. The turbine power output for each powerhouse, measured with
existing metering equipment, will be recorded in the APGI Operating Center. Water flow
through all turbines will be calculated from power output for the turbine discharge.
Yadkin Project 12 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
5 Quality Control/Quality Assurance Procedures
In recognition of the requirements for valid and reliable information as the basis for sound
management decisions, APGI and its Monitoring Subcontractor will implement a QAPP
designed to attain desired quality levels in field and reporting activities. The QAPP was
developed in accordance with USEPA guidance documents for QAPPs' in consultation with
NCDWQ in conjunction with this DO Monitoring Plan. The QAPP as approved by NCDWQ is
included as Appendix A of this Plan and should be referred to for specific details.
MI
1 USEPA guidance documents used included: USEPA Requirements for Quality Assurance Project Plans (EPA
QA/R-5) dated March 2001 and USEPA's Guidance for Quality Assurance Project Plans (EPA QA/G-5) dated
December 2002.
Yadkin Project 13 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
6 Schedule, Implementation, Reporting
6.1 Continuous Dissolved Oxygen Monitoring Schedule
Upon approval of this DO Monitoring Plan and the QAPP located in Appendix A by NCDWQ,
APGI will modify the ongoing tailwater monitoring in accordance with this Plan and the QAPP.
Tailwater DO and water temperature monitoring will be conducted May 1 through November 30,
annually. Final data and an annual report will be filed with NCDWQ and Progress Energy by
March 31 of each year for the previous monitoring season. Final data and an annual report will
be filed with FERC within 30 days of the filing with NCDWQ. Continuous DO monitoring and
data reporting will be conducted in accordance with the schedule outlined in Table 2.
Table 2: Schedule for Continuous Dissolved Oxygen Monitoring
Task Date
DO Monitoring Plan and QAPP effective date upon written approval by NCDWQ
Begin seasonal DO/water temperature May 1, annually
monitoring (measured at 15-minute intervals)
Complete DO/water temperature monitoring for November 30, annually
the season
Provisional data made available upon request to Annually, as requested
NCDWQ
Final data and annual report filed with NCDWQ By March 31, annually
and Progress Energy
Final data and annual report filed with FERC Within 30 days of filing with
NCDWQ
6.2 Aeration Technology Evaluation
In accordance with this Plan (Section 4) and the schedule outlined in the 401 Water Quality
Certification for the Yadkin Project, APGI will conduct two special DO monitoring studies (up
to two-years each during the summer season following installation of aeration technology at the
Narrows and High Rock developments) to evaluate the effectiveness of the aeration technology
installed at the Narrows and High Rock developments. At the completion of each study, APGI
will prepare and file a study report with NCDWQ and FERC. As discussed in Section 4, if the
special studies fail to demonstrate that APGI can operate the Yadkin Project so as to meet state
dissolved oxygen standards in the Tuckertown or Falls tailwater, APGI shall prepare and file an
Action Plan for DO enhancement for that tailwater with NCDWQ and FERC.
Yadkin Project 14 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
7 References
Federal Energy Regulatory Commission (FERC). 2000. Order Amending License on Project
Number 2197-038. August 2, 2000.
Normandeau Associates, Inc. (NAI). 2005. Yadkin Water Quality Final Study Report. August
2005.
U.S. Environmental Protection Agency. 2001. EPA Requirements for Quality Assurance
Project Plans. EPA QA/R-5. March 2001.
U.S. Environmental Protection Agency. 2002. Guidance for Quality Assurance Project Plans.
EPA QA/G-5. December 2002. "
Yadkin Project 15 Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Appendix A
Quality Assurance Project Plan
Yadkin Project Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Appendix B
Summary of Consultation
Yadkin Project Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Appendix C
Consultation Record
Yadkin Project Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Appendix D
Comments Received on Draft Dissolved Oxygen Monitoring Plan
and APGI's Responses
Yadkin Project Draft Dissolved Oxygen Monitoring Plan
FERC No. 2197 May 2007
Attachment 5
Draft Tailwater Dissolved Oxygen Monitoring
Draft Quality Assurance Project Plan
Yadkin Project (FERC No. 2197)
Tailwater Dissolved Oxygen Monitoring
Draft Quality Assurance Project Plan
Alcoa Power Generating Inc.
May 2007
Al Title and Approval Sheet
Yadkin Project (FERC No. 2197)
Tailwater Dissolved Oxygen Monitoring
Draft Quality Assurance Project Plan
Alcoa Power Generating Inc.
May 2007
Approved By:
Alcoa Power Generating Inc. Project Manager/Project QA Manager
Monitoring Subcontractor Project Manager/QA Manager
Monitoring Subcontractor Field Manager
North Carolina Division of Water Quality QA Officer/Approving
Officer
Alcoa Power Generating Inc.
Yadkin Project (FERC No. 2197)
Tailwater DO Monitoring Draft QAPP
Date:
May 2007
Page 1 of 35
A2 Table of Contents
Al Title and Approval Sheet ............................................................................ 1
A2 Table of Contents ...................................................................................... .. 2
A3 Distribution List ........................................................................................ .. 4
A4 Project Organization ................................................................................. .. 5
A5 Problem Definition/Background ............................................................... .. 7
A.5.1 Background ............................................................................................ ..7
A.5.2 Problem Statement ................................................................................. ..9
A6 Project/Task Description ........................................................................... 11
A7 Quality Objectives and Criteria for Measurement Data ........................... 12
A8 Special Training and Certification ............................................................ 16
A9 Documents and Records ........................................................................... 17
BI Sampling Process Design .......................................................................... 19
B2 Sampling Methods .................................................................................... 24
B3 Sample Handling and Custody .................................................................. 24
B4 Analytical Methods ................................................................................... 25
B5 Quality Control ......................................................................................... 25
B6 Instrument Testing, Inspection, and Maintenance .................................... 26
B7 Instrument Calibration and Frequency ...................................................... 27
B8 Inspection/Acceptance of Supplies ........................................................... 28
B9 Non-direct Measurements ......................................................................... 28
B 10 Data Management ..................................................................................... 29
C 1 Assessments and Response Actions .......................................................... 32
C2 Reports to Management ............................................................................ 32
D1 Data Review, Verification, and Validation ............................................... 33
D2 Verification and Validation Methods ........................................................ 33
D3 Reconciliation with User Requirements ................................................... 34
Attachments
Attachment A: Standard Operating Procedures for In Situ Field Instrument
Maintenance/Calibration and Data Downloads ...................................... A-1
Attachment B: Standard Operating Procedures for Calibrating YSI 58 Meters used for
Comparison with In Situ Field Instruments ............................................ B-1
Attachment C: Procedures for Replacing a Dissolved Oxygen Membrane on In Situ
Field Instruments .................................................................................... C-1
Attachment D: DO Calibration Form ............................................................................. D-1
Attachment E: Temperature Check Form ........................................................................E-1
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 2 of 35
Tailwater DO Monitoring Draft QAPP
List of Tables
Table 1: Dissolved Oxygen Monitoring Plan Schedule .................................................... 11
Table 2: Data Quality Objectives and Criteria .................................................................. 13
Table 3: DO Monitoring Plan Specified Instrument Site Locations ................................. 19
Table 4: Field Measurement Method and Reporting Levels ............................................ 25
List of Fiizures
Figure 1: Program Organization Chart ............................................................................... 6
Figure 2: Yadkin Project Regional Locus Map .................................................................. 8
Figure 3: Location of High Rock Tailwater Continuous Monitoring Instrument ............. 20
Figure 4: Location of Tuckertown Tailwater Continuous Monitoring Instrument........... 21
Figure 5: Location of Narrows Tailwater Continuous Monitoring Instrument ................ 22
Figure 6: Location of Falls Tailwater Continuous Monitoring Instrument ...................... 23
Figure 7: Data Flow Chart ................................................................................................ 31
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 3 of 35
Tailwater DO Monitoring Draft QAPP
M1
A3 Distribution List
This Quality Assurance Project Plan (QAPP) will be distributed to the following agencies
and entities with an interest or role in water quality monitoring conducted by Alcoa
Power Generating Inc. (APGI or Licensee) for the Yadkin Hydroelectric Project (FERC
No. 2197).
Gene Ellis, Alcoa Power Generating Inc.
Darlene Kucken, North Carolina Division of Water Quality
John Dorney, North Carolina Division of Water Quality
Todd Ewing, North Carolina Wildlife Resources Commission
Ben West, U.S Environmental Protection Agency
Steve Reed, North Carolina Division of Water Resources
Mark Bowers, U.S. Fish and Wildlife Service
Matthew Chan, Normandeau Associates, Inc.
Jeff Wollis, Normandeau Associates, Inc.
Wendy Bley, Long View Associates, Inc.
Joyce Brooks, Long View Associates, Inc.
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 4 of 35
Tailwater DO Monitoring Draft QAPP
A4 Project Organization
The APGI Project Manager is responsible for overseeing all aspects of the continuous
dissolved oxygen (DO) monitoring program in the four Yadkin Project (Project)
tailwaters, including oversight of the subcontractor collecting the data in accordance with
the Dissolved Oxygen Monitoring Plan for the Project and this QAPP. The APGI Project
Manager is responsible for reporting data to the North Carolina Division of Water
Quality (NCDWQ) as described in Section A6.
The APGI Project Manager also acts as the Project QA Manager and is responsible for
maintaining the QAPP and Quality Assurance/Quality Control (QA/QC) files. The APGI
Project Manager/QA Manager is independent from personnel collecting the data and ,
ensures that the data collected is consistent with this QAPP. Also independent of the data
collection process, the APGI Project Manager/QA Manager is responsible for the final
review of documentation for the continuous DO and water temperature monitoring
QA/QC file.
The Monitoring Subcontractor Project Manager/QA Manager is independent of the data
collection process and is responsible for the review of data and supporting documentation
prior to submittal to the APGI Project Manager/QA Manager. The Monitoring
Subcontractor Project Manager/QA Manager oversees the field collection and
maintenance of equipment in accordance with this QAPP, the DO Monitoring Plan and
all associated Standard Operating Procedures (SOPS). The Monitoring Subcontractor
Project Manager/QA Manager is also responsible for reporting data and any
equipment/calibration issues to the APGI Project Manager/QA Manager and may reject
from reporting due to known equipment/calibration issues.
The Monitoring Subcontractor Field Manager is responsible for directly overseeing
Monitoring Subcontractor Field Staff and the day-to-day coordination of field collection
and equipment maintenance in accordance with this QAPP, the DO Monitoring Plan and
all associated SOPS. The Monitoring Subcontractor Field Manager is responsible for
reporting any equipment/calibration issues to the Data Processor and for making
decisions related to corrective action related to equipment/calibration issues encountered
by Monitoring Subcontractor Field Staff. The Monitoring Subcontractor Field Manager
also makes recommendations for flagging data due to known equipment/calibration
issues.
The Monitoring Subcontractor Field Staff are responsible for downloading data and
maintenance of equipment and field log books in accordance with this QAPP, the DO
Monitoring Plan and all associated SOPS. Field Staff are responsible for reporting any
equipment/calibration issues to the Monitoring Subcontractor Field Manager.
The downloaded data are processed into an annual database and electronic spreadsheets
by the Data Processor. The Data Processor is responsible for reviewing selected portions
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 5 of 35
Tailwater DO Monitoring Draft QAPP
of the individual data files and for maintaining records of changes or flagging of data in
the database.
Several resource agencies have assisted in the development of this monitoring program
and QAPP and will serve as Technical Advisors to the program. These include NCDWQ,
North Carolina Division of Water Resources (NCDWR), North Carolina Wildlife
Resources Commission (NCWRC), U.S. Fish and Wildlife Service (USFWS) and the
U.S. Environmental Protection Agency (USEPA).
Figure 1: Program Organization Chart
APGI Project Manager/QA
Manager
Monitoring Subcontractor
Project Manager/QA Manager
Data Processor I I Monitoring Subcontractor
Field Manager
Monitoring Subcontractor
Field Staff
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 6 of 35
Tailwater DO Monitoring Draft QAPP
A5 Problem Definition/Background
A.5.1 Background
The Yadkin Project is owned by APGI, a wholly-owned subsidiary of Alcoa Inc. (Alcoa).
APGI's Yadkin Division (Yadkin) is responsible for operation of the Yadkin Project.
The Yadkin Project includes four hydroelectric developments, the High Rock,
Tuckertown, Narrows and Falls developments, which are located on a 38-mile stretch of
the Yadkin River (see Figure 2). High Rock, the most upstream development, is located
at mile 253 on the Yadkin River and serves as the principal storage facility for the entire
Yadkin-Pee Dee River. The Tuckertown, Narrows, and Falls developments are located ,
approximately 8.7 miles, 16.5 miles, and 19.0 miles downstream, respectively, of the
High Rock Development.
The Yadkin Project is located approximately 60 miles northeast of Charlotte on the
Yadkin River in Davidson, Davie, Montgomery, Rowan, and Stanly counties in central
North Carolina. The Yadkin River and its tributaries are part of the Yadkin-Pee Dee
River Basin, which extends from the eastern slopes of the Blue Ridge Mountains to the
Atlantic coast near Georgetown, South Carolina. The Yadkin River's name changes to
the Pee Dee River at its confluence with the Uwharrie River. The Pee Dee River
continues its southeastern flow to Winyah Bay, where it meets the Atlantic Ocean.
The Yadkin Project is licensed by the Federal Energy Regulatory Commission (FERC
No. 2197). On , APGI received a new license for the Yadkin Project from FERC.
During the relicensing process, APGI formed an Issue Advisory Group (IAG) composed
of members of federal and state resource agencies and other interested stakeholders to
identify issues related to water resources and to develop study plans for studies to address
potential impacts to water quality. Two specific studies related to water quality issues at
the Yadkin Project were conducted under the guidance of the Water Quality IAG: (1)
Yadkin Water Quality Study and (2) Sediment Fate and Transport Study. Another study
indirectly related to water quality issues, the Tailwater Fish and Aquatic Biota
Assessment, was conducted under the guidance of the Fish and Aquatics IAG whose
focus was to identify issues related to fish and aquatic resources. Data generated from
these studies were used during discussions with NCDWQ regarding the 401 Water
Quality Certification of the Yadkin Project.
On , the NCDWQ issued a water quality certification for the Yadkin Project under
Section 401 of the Clean Water Act. In accordance with the conditions of the 401 Water
Quality Certification and the FERC License (Article, APGI is required to prepare a
DO Monitoring Plan for the Yadkin Project, and to monitor dissolved oxygen and
temperature conditions in accordance with the specifications of that plan. This QAPP
will become a component of the DO Monitoring Plan.
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page 7 of 35
Tailwater DO Monitoring Draft QAPP
Figure 2: Yadkin Project Regional Locus Map
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Miles
Alcoa Power Generating Inc. May 2007
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A.5.2 Problem Statement
The Yadkin Pee-Dee River Basinwide Water Quality Plan (Basinwide Water Quality
Plan), prepared by NCDWQ in March 2003, provides an overview of the Yadkin-Pee
Dee River basin. Increased monitoring of High Rock Reservoir over recent years (1999,
2000, and 2001) by NCDWQ has shown high levels of nutrients, combined with
chlorophyll a, turbidity and percent DO saturation excursions from the state standards.
The Basinwide Water Quality Plan discusses the low DO concentrations below High
Rock Dam, which, according to the Plan, likely result from hypolimnetic (deep water)
releases. The tailwater below High Rock Dam is listed on the impaired waters list (the
303[d] List) due to DO levels that do not meet state water quality standards.
Additionally, portions of High Rock Reservoir are on the 2006 North Carolina draft list
of impaired waters and require the development of Total Maximum Daily Loads M
(TMDLs).
APGI began collecting baseline water quality data in the Project reservoirs and tailwaters
in 1999 in accordance with a water quality study plan developed with input from the Water
Quality TAG. APGI conducted monthly water quality sampling at reservoir locations and
at each of the four tailraces below the dams from June 1999 to December 2003 and an
additional station was added in Lick Creek in July 2003. The tailraces of the Falls and
Narrows developments were continuously monitored for DO and temperature for
extended periods (May through November) from 2000 through 2005; while the tailraces
of the High Rock and Tuckertown developments were continuously monitored for DO
and temperature for extended periods (May through November) in 2003 and 2004.
Additional DO and temperature measurements were collected at two sites in the Lick
Creek arm of Tuckertown Reservoir and at seven stations below the High Rock Dam
tailrace beginning in July 2003.
Specific to tailwater water quality, APGI's water quality study generally demonstrated
that nutrient and solids concentrations in the four development tailraces were generally
similar to conditions in the reservoirs immediately upstream of them, but that
temperature, pH, DO, nitrate and ammonia differed considerably. Based on the study
results, a downstream trend in median water quality values was apparent through the
tailraces. Water quality of High Rock and Tuckertown tailraces was fairly similar. These
two tailraces were turbid, nutrient rich, and contain moderate amounts of algal biomass.
Between Tuckertown and Narrows tailraces, there was a moderate reduction of ammonia,
chlorophyll a, nutrients, and solids. Water clarity improved somewhat in the downstream
tailraces. The water quality of Narrows and Falls tailraces was almost identical.
Although median concentrations were above the state standard, all four tailraces
experienced low DO concentrations.
The typical pattern at the High Rock tailrace showed reduced DO concentrations through
the summer period, which was a direct result of low DO in High Rock Reservoir. When
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river flows were high, water in the reservoir was exchanged more rapidly, translating into
relatively higher DO concentrations in the tailrace. The Tuckertown tailrace exhibited
patterns similar to High Rock. In the Narrows tailrace, there were frequent occurrences
of DO below 4 mg/l from June to October. The study was unable to discern a clear
relationship between hydrometeorologic conditions and the frequency of low DO levels
in Narrows tailrace.
DO concentrations in the Narrows tailrace were generally higher than conditions
observed in either the High Rock or Tuckertown tailrace. The Narrows Unit 4 turbine
has two air injection valves to introduce air into the flow during generation. The aeration
valves on Unit 4 began operating in early 2001 and an initial study of Narrows tailwater
DO, conducted by APGI in 2001, generally demonstrated that with both valves and only
Unit 4 operating, about 2 to 4 mg/1 of DO was added to the tailwater. As part of the
Water Quality Study, APGI conducted additional operational testing in 2004 to further
examine the effect of Narrows Unit 4 air injection on tailwater DO. The 2004 test of the
effect of the two aeration valves on Unit 4 generally confirmed earlier results in 2001 that
with both valves operating, and just Unit 4 operating, about 2 mg/l of DO was added to
the tailwaters. The tests also demonstrated that increases in Narrows tailwater DO levels
were generally translated into similar increases in DO concentrations below Falls Dam.
Data generated from the Water Quality Study were used during discussions with
NCDWQ regarding the 401 Water Quality Certification of the Yadkin Project.
Throughout the relicensing of the Yadkin Project, NCDWQ expressed concerns about
DO concentrations in each of the four Project tailwaters because they are frequently
below North Carolina's state water standards during periods of warm water temperature
and low river flows.
The Yadkin Project DO Monitoring Plan is being implemented to monitor ongoing DO
and temperature conditions in the four Yadkin Project tailwaters and to allow an
assessment of changes to tailwater DO concentrations that occur as aeration equipment is
installed and DO enhancement measures undertaken at the Yadkin Project, in accordance
with the conditions of the 401 Water Quality Certification issued by NCDWQ for the
Yadkin Project.
The purpose of this QAPP is to provide a quality assurance/quality control program for
the DO monitoring implemented under the DO Monitoring Plan so that the data can be
used by APGI and NCDWQ. The QAPP documents the data collection and the
procedures in place to ensure that the data are valid. This QAPP was developed in
accordance with the USEPA guidance document "Guidance for Quality Assurance
Project Plans, EPA QA/G-5" dated December 2002.
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A6 Project/Task Description
APGI's monitoring subcontractor will monitor DO and water temperature in accordance
with the DO Monitoring Plan at four sites (one in each of the four Yadkin Project
tailwaters), for the term of the Yadkin Project FERC License.
Table 1 summarizes the tasks anticipated to occur under the DO Monitoring Plan and this
QAPP. This QAPP will become part of the DO Monitoring Plan and will be effective
upon written approval by NCDWQ.
Table 1: Dissolved Oxygen Monitoring Plan Schedule
Task Date
QAPP effective date upon written approval by NCDWQ
Deploy field equipment April, annually
Begin seasonal DO/water temperature monitoring May 1, annually
(measured at 15-minute intervals)
Data downloads and field equipment May 1 through November 30,
maintenance/calibration weekly
Data Processor update Annual Database May 1 through November 30, every
two weeks
Monitoring Subcontractor Project Manager/QA May 1 through November 30, every
Manager submit provisional data to APGI Project two weeks
Manager/QA Manager
Complete DO/water temperature monitoring for the November 30, annually
season
Provisional data made available upon request to Annually, as requested
NCDWQ
Retrieve field equipment December, annually
Monitoring Subcontractor Project Manager/QA December-January, annually
Manager and APGI Project Manager/QA Manager
review data
Final data and annual report filed with NCDWQ By March 31, annually
and Progress Energy
Final data and annual report filed with FERC Within 30 days of filing with
NCDWQ
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MI
Task Date
Initiate special study (up to 2 years) to evaluate the 2011
effectiveness of the aeration technology installed at
Narrows development on DO concentrations in the
Falls tailrace
Initiate special study (up to 2 years) to evaluate the 2013
effectiveness of aeration technology installed at
High Rock development on DO concentrations in
the Tuckertown tailrace
A7 Quality Objectives and Criteria for Measurement Data
The dissolved oxygen and temperature data collected in the tailwaters of the four Yadkin
Project developments will be primarily used to assess changes to tailwater DO
concentrations that occur as aeration equipment is installed and DO enhancement
measures undertaken at the Yadkin Project in accordance with the conditions of the 401
Water Quality Certification issued by NCDWQ for the Yadkin Project. The DO and
temperature data will be plotted every two weeks and reviewed for unusual values of DO
and temperature, as well as any period where water quality standards was not met. If
unusual values or periods of DO or temperature are found, the Monitoring Subcontractor
Project Manager/QA Manager will check for notes by the Monitoring Subcontractor
Field Manager regarding the data quality, review watershed conditions during
monitoring, e.g., storm events, and then check for possible effects of Project operations
affecting readings.
Data quality objectives are used to assess the adequacy of data in relation to the intended
use. Implementation and adherence to data quality indicators ensures that data quality
objectives are met. Data quality indicators are measures of quality assurance and include
statements of the precision, bias, and lower reporting limits necessary for the data to
address objectives.
This section focuses on several data quality indicators to ensure that the data collected are
valid and repeatable. Objectives for several of these data characteristics are summarized
in Table 2. Each data quality indicator is discussed briefly below along with how each is
addressed by this QAPP. The following sections of this QAPP provide further detail on
how each indicator is addressed.
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Table 2: Data Quality Objectives and Criteria
Parameter Method Units Measuremen
t Range Accuracy Completeness
Dissolved Electronic mg/L 0 - 50 mg/1 +/- 2% of the 90%
Oxygen meter reading or 0.2
mg/l (whichever
is greater)/
resolution is 0.01
mg/l
Water Electronic °C -5 to +45 °C +/- 0.15 °C 90%
Temperature meter
Accuracy
Accuracy is a measure of the overall agreement of a measurement to a known value,
including a combination of random error (precision) and systematic error (bias) from
sampling and analytical operations.
In accordance with the SOPs in Attachment A, accuracy of the in situ field instruments
will primarily be assured by calibration and maintenance of the instruments per the
manufacturer's specifications. Each field instrument will be calibrated and checked for
damage before deployment at the beginning of the monitoring season and on a weekly
basis thereafter. The DO membranes will be replaced on each in situ field instrument on
a monthly basis (or more frequently, if necessary). Temperature thermistors will be
verified with a National Institute of Standards and Technology (NIST) certified
thermometer before deployment and upon removal of the instruments at the end of the
monitoring season to ensure the accuracy of the water temperature data.
Accuracy will also be ensured by comparing the in situ field instruments to a comparable
YSI 58 meter prior to the weekly calibration of each field instrument. The YSI 58 meter
will be calibrated according to the manufacturer's specifications and the SOPs in
Attachment B and compared to a NIST certified thermometer. Independent DO and
water temperature measurements using a YSI 58 meter will be compared to the field
instruments to ensure that the field instruments are not drifting (see Attachment A). If the
independent DO differs by more than 0.5 mg/L or the water temperature measurements
differ by more than 0.5 degree, the DO membrane of the in situ instrument will be
replaced or the probes on the field instrument will be replaced or reconditioned. The
Monitoring Subcontractor Field Manager will make a note on the data QA transmittal
form instructing the Data Processor to flag measurements as suspect since the last valid
measurements obtained during the comparison.
P1
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Precision
Precision is the measure of agreement among repeated measurements of the same
parameter under identical, or substantially similar conditions.
Prior to the weekly calibration of each in situ field instrument, independent DO and water
temperature measurements using a YSI 58 meter will be compared to the field
instruments. The YSI 58 meter will be calibrated according to the manufacturer's
specifications and the SOPS in Attachment B. The YSI 58 meter will be compared to a
NIST certified thermometer. If the independent DO differs by more than 0.5 mg/L or the
water temperature measurements differ by more than 0.5 degree, the DO membrane of
the in situ instrument will be replaced or the probes on the field instrument will be
replaced or reconditioned. The Monitoring Subcontractor Field Manager will make a
note on the data QA transmittal form instructing the Data Processor to flag measurements
as suspect since the last valid measurements obtained during the comparison.
Bias
Bias is the systematic or persistent distortion of a measurement process that causes errors
in one direction.
Measurement bias is minimized by adhering to the standard, written procedures in
Attachments A, B, and C to ensure consistency if different personnel are involved in the
field monitoring. Each site visit is conducted by a field crew of two personnel that
provides an additional level of assurance that the SOPs are followed. The in situ field
instruments will be calibrated and maintained per the manufacturer's specifications.
Prior to the weekly calibration of each field instrument, independent DO and water
temperature measurements using a YSI 58 meter will be compared to the field
instruments to determine if there has been instrument drift. The YSI 58 meter will be
calibrated according to the manufacturer's specifications and the SOPS in Attachment B.
The YSI 58 meter will be compared to a NIST certified thermometer. If the independent
DO differs by more than 0.5 mg/L or the water temperature measurements differ by more
than 0.5 degree, the DO membrane of the in situ instrument will be replaced or the probes
on the field instrument will be replaced or reconditioned. The Monitoring Subcontractor
Field Manager will make a note on the data QA transmittal form instructing the Data
Processor to flag measurements as suspect since the last valid measurements obtained
during the comparison.
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Representativeness
Representativeness is the degree to which data accurately and precisely represent a
characteristic of a population, parameter variations at a sampling location, a process
condition or an environmental condition.
While the continuous DO data collected may not be representative of the watershed, it
will be representative of the stream reach being sampled. The purpose of the monitoring
is to monitor ongoing dissolved oxygen and water temperature conditions in the four
Yadkin Project tailwaters and to allow an assessment of changes to tailwater DO
concentrations that occur as aeration equipment is installed and DO enhancement
measures undertaken at the Yadkin Project, in accordance with the conditions of the 401
Water Quality Certification issued by NCDWQ. To confirm the representativeness of the
current locations, several field surveys were conducted prior to implementing continuous
DO and temperature monitoring. These surveys were designed to examine the lateral and
longitudinal change in tailwater DO conditions and to determine if the locations were
indicative of overall tailwater conditions. Results of these studies demonstrated that the
instruments are located in areas that are generally representative of overall tailwater
conditions' (the red lines in Figures 3-6 indicate the transect locations of these surveys).
Additionally, the data is being collected in 15 minute intervals which allows for good
representation of daily trends in the data.
Comparability
Comparability is the measure of confidence that one data set can be compared to another.
The continuous monitoring locations are fixed and the latitude and longitude documented
to ensure that data are comparable spatially. Existing buoys (in the High Rock,
Tuckertown, and Falls tailwaters) and a pipe (in the Narrows tailwater) mark the
locations to ensure consistency. The field instruments are attached to the existing buoys
and pipe and these buoys and pipe are left in place at the end of the monitoring season.
The use of standard, written procedures in Attachments A, B, and C will ensure
consistency if different personnel are involved in the field monitoring. The Monitoring
Subcontractor Field Manager will review the procedures with the Monitoring
Subcontractor Field Staff prior to each monitoring season. Consultation with NCDWQ
will ensure that data collected under this QAPP will be comparable to that collected by
NCDWQ. Before modifying any measurement method, the APGI Project Manager/QA
Manager will review with NCDWQ the effects of such a modification.
1 Normandeau Associates Inc. 2005. Water Quality Final Study Report. August 2005.
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Completeness
Completeness is the measure of the amount of valid data needed from a measurement
system.
There may be data gaps caused by unavoidable circumstances such as loss of instruments
due to high water, inoperability of instruments during extreme low water conditions,
instrument theft or destruction, instrument malfunction or instrument
maintenance/servicing and/or calibration. The goal is to have a minimum of 90% of the
expected data measurements usable for analysis. It is expected that at each monitoring
location, DO and water temperature measurements will be taken at 15-minute intervals
from May 1 through November 30 except for gaps due to unavoidable circumstances.
The reason(s) for missing data and data rejected from analysis will be included in the
annual data reports.
Sensitivity
Sensitivity is the capability of the instrument or method to discriminate between
measurement responses representing different levels of the variable of interest.
The instruments used measure the range of expected values for DO and water
temperature under all field conditions. Water temperature is reported to the nearest
hundredth of a degree Celsius. Dissolved oxygen (mg/L) will be calculated by the Sonde
from percent air saturation, temperature and salinity values. Salinity of freshwater will
be considered 0 ppt. The range of the DO sensor is 0 to 50 mg/L. The accuracy (from 0
to 20 mg/L) is plus or minus 2% of the reading or 0.2 mg/L, whichever is greater, and the
resolution of the sensor is 0.01 mg/L. DO values are typically reported to the nearest
hundredth.
A8 Special Training and Certification
All personnel responsible for field monitoring must be familiar with this QAPP and the
attached SOPS.
The Monitoring Subcontractor Field Manager will train the Monitoring Subcontractor
Field Staff in field procedures and provide the SOPs in Attachments A, B, and C
(developed in accordance with the manufacturer's specifications for calibration, repair,
and maintenance) prior to each monitoring season. On a monthly basis, the Monitoring
Subcontractor Field Manager will visit each monitoring location for servicing the field
instruments and observe the field techniques of Monitoring Subcontractor Field Staff.
Any issues with technique will be corrected at that time and documented in the
appropriate field log book.
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All personnel responsible for field monitoring must complete a safety training as required
by regulating agencies and APGI. Documentation of completion of this training on an
annual basis will be maintained by the APGI Project Manager/QA Manager.
A9 Documents and Records
All personnel with a role in implementing the DO Monitoring Plan will receive the most
recently approved QAPP and associated documents. These documents will be updated as
necessary by the APGI Project Manager/QA Manager and distributed in electronic format
to all parties listed in Section A3. Any revisions to the QAPP will be noted on the title
page with the revision number and effective date. Only the APGI Project Manager/QA
Manager will have access to making revisions to the electronic copy of the QAPP. M
During the monitoring season, the Monitoring Subcontractor Field Staff will maintain
records of calibration and maintenance in a field calibration log book and other field
notes/information in field log books. Each field instrument will be identified by its serial
number (or assigned a unique number if it does not have a serial number) and have its
own field log book. The Monitoring Subcontractor Field Staff will maintain a backup
copy of the field calibration log book and field log books in a separate file location from
the originals. Copies of relevant calibration forms, instrument maintenance records and
other notes related to field issues/observations created by the Monitoring Subcontractor
Field Staff will be transferred to the Monitoring Subcontractor Field Manager on a
monthly basis. The Monitoring Subcontractor Field Manager will maintain the copies as
backups until the end of each monitoring season.
The Monitoring Subcontractor Field Manager will maintain Temperature Check Forms in
a thermistor log book for the comparisons of the thermistors with a NIST certified
thermometer. The Monitoring Subcontractor Field Manager will maintain a backup copy
of the thermistor log book until the end of each monitoring season in a separate file
location from the original.
At the end of each monitoring season, the Monitoring Subcontractor Field Manager will
provide copies of the field calibration log books, field log books, and the thermistor log
book to the Monitoring Subcontractor Project Manager/QA Manager. The Monitoring
Subcontractor Project Manager/QA Manager will provide copies to the APGI Project
Manager/QA Manager. The APGI Project Manager/QA Manager will maintain copies of
these records in the QA/QC files for this monitoring project for the term of the Yadkin
Project FERC License in a fire-proof cabinet. T he APGI Project Manager/QA Manager
will control access to the QA/QC files.
The Monitoring Subcontractor Project Manager/QA Manager will maintain scans of all
forms and all data files in electronic fonnat for five years in a fire-proof cabinet. Access
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to these files is controlled by the Monitoring Subcontractor Project Manager/QA
Manager.
All annual data reports submitted to NCDWQ (see Section A6) will also be maintained in
hard copy and electronic format by the APGI Project Manager/QA Manager for the term
of the Yadkin Project FERC License.
Details of electronic data management are further described in Section B10 of this QAPP.
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B1 Sampling Process Design
Continuous in situ DO/temperature instruments will be used to collect data at locations in
each of the four Yadkin Project tailwaters as specified in the DO Monitoring Plan. The
locations of each instrument will be the same year to year (see Table 3 and Figures 3-6)
unless other conditions require the evaluation of a new location for placement either on a
temporary or permanent basis. However, in accordance with the DO Monitoring Plan, no
change in instrument location will occur without prior consultation with NCDWQ.
Table 3: DO Monitoring Plan Specified Instrument Site Locations
Tailwater Latitude Longitude
High Rock N35 35 48.279 W 80 13 54.184
Tuckertown N 35 29 01.739 W 80 10 21.234
Narrows N 35 25 05.637 W 80 05 28.767
Falls N 35 23 28.734 W 80 04 14.938
The DO/temperature monitoring instruments located in the High Rock, Tuckertown and
Falls tailwaters are anchored to buoys and sit approximately one meter below the water
surface. The Narrows tailwater instrument is suspended in a pipe anchored to a bridge
abutment. The Narrows tailwater instrument is approximately one to four meters below
the water surface depending upon discharge from the development.
The instruments record DO and water temperature at 15-minute intervals except during
unavoidable circumstances, such as instrument theft or destruction, instrument
malfunction or instrument maintenance/servicing and/or calibration, for the period May 1
through November 30, annually.
The DO and temperature data will be plotted every two weeks and reviewed for unusual
values of DO and temperature, as well as any period where water quality standards was
not met. If unusual values or periods of DO or temperature are found, the Monitoring
Subcontractor Project Manager/QA Manager will check for notes by the Monitoring
Subcontractor Field Manager regarding the data quality, review watershed conditions
during monitoring, e.g., storm events, and then check for possible effects of Project
operations affecting readings.
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M1
Figure 3: Location of High Rock Tailwater Continuous Monitoring Instrument
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Figure 4: Location of Tuckertown Tailwater Continuous Monitoring Instrument
Figure 5: Location of Narrows Tailwater Continuous Monitoring Instrument
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Figure 6: Location of Falls Tailwater Continuous Monitoring Instrument
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B2 Sampling Methods
YSI 6920 in situ field instruments will be used for the monitoring in each of the
monitoring locations. A small boat is required to reach each monitoring location. Once
the instruments are deployed and anchored to the existing buoys or pipe (see Section B I)
at the monitoring locations, the instruments will be set to record and store DO and water
temperature measurements every 15 minutes, for the period May 1 through November 30,
annually.
The Monitoring Subcontractor Field Staff will make weekly site visits to download data,
check for fouling, and to calibrate the field instruments. Field instrument calibration and
weekly data downloads will be conducted in accordance with the manufacturer's M ,
specifications and the attached SOPs (Attachment A). The instruments will be fully
serviced and DO membranes will be replaced monthly in accordance with the
manufacturer's procedures summarized in Attachment C by the Monitoring
Subcontractor Field Manager. At the end of the monitoring season, field instruments will
be retrieved, cleaned and stored.
Instrument models specified in the QAPP may be modified, as necessary or desired.
However, the Licensee will notify NCDWQ of its intention to change the instrument
model before a new model is deployed, and review the QAPP for any necessary changes,
and review the QAPP for any necessary changes.
If an instrument is lost, stolen, damaged or not functioning properly, it will be replaced
with a backup instrument as soon as practicable. This information will be recorded in the
appropriate field log book.
If at any time APGI, the Monitoring Subcontractor Field Staff or the Monitoring
Subcontractor Monitoring Field Manager determines conditions in any of the Yadkin
Project tailwaters are unsafe, APGI may at its sole discretion suspend monitoring or
related calibration, data retrieval, and downloading activities until conditions are
determined to be safe. This will be noted in the appropriate field log books. If APGI
determines that it is no longer safe to continue monitoring at a specific location, APGI
will notify NCDWQ. The Monitoring Subcontractor Field Manager and Field Staff will
follow APGI's Subcontractor Health and Safety Plan and all applicable safety
requirements required by APGI.
B3 Sample Handling and Custody
Dissolved oxygen and water temperature measurements collected under this QAPP and
the DO Monitoring Plan are recorded by the monitoring instruments in situ and therefore,
no samples are collected, transported or stored.
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B4 Analytical Methods
Dissolved oxygen and water temperature measurements collected under this QAPP and
the DO Monitoring Plan are made in situ and therefore, no samples are analyzed by a
laboratory. Field measurement methods are summarized in Table 4.
Table 4: Field Measurement Method and Reporting Levels
Parameter EPA Method (if applicable) Reported to Nearest...
Dissolved Oxygen 360.1 0.01 mg/L
Water temperature 170.1 0.01 °C
DO and water temperature measurements are made in accordance with the SOPS in
Attachment A. The instruction manual for the in situ instruments should also be
consulted.
B5 Quality Control
Quality control measures for the DO and water temperature field monitoring primarily
include calibration, comparing instrument performance to an independent calibrated
instrument, and servicing of the instruments (see Sections B6 and 137). The in situ field
instruments will be calibrated for DO prior to deployment at the beginning of the
monitoring season. Weekly calibration of the in situ instruments will be in accordance
with the SOPS in Attachment A and the calibrations for each instrument will be recorded
on -a calibration form (Attachment D) contained in the field calibration log book.
Moreover, monthly servicing will include replacement of the DO membrane in
accordance with the SOPs in Attachment C. Documentation of the monthly servicing of
each instrument will be recorded in the field calibration log book.
Prior to deployment at the beginning of the monitoring season, the temperature
thermistors will be compared by the Monitoring Subcontractor Field Manager to a NIST
certified thermometer as described in detail in Section B7 and recorded on a Temperature
Check Form (Attachment E) contained in the thermistor log book. If the temperature
measurements differ by more than 0.5 degree, then a thermistor will not be deployed.
After deployment, the thermistors will be compared with the NIST certified thermometer
at the end of the monitoring season. Results of this comparison will be recorded on a
Temperature Check Form contained in the thermistor log book. If the temperature
measurements differ by more than 0.5 degree, the Monitoring Subcontractor Field
Manager will make a note on the data QA transmittal form instructing the Data Processor
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to flag water temperature measurements since the last valid weekly temperature check in
the Annual Database. Weekly DO and temperature checks are described below.
Prior to the weekly calibration of each field instrument, independent DO and water
temperature measurements using a comparable YSI 58 meter (calibrated in accordance
with Attachment B and compared to a NIST certified thermometer) will be compared to
measurements of the in situ field instruments made in a bucket of tailrace water (see
Section 137). This comparison will be recorded in the appropriate field log book and used
to determine if there has been drift in the in situ field instrument measurements. If the
independent DO differs by more than 0.5 mg/L or the water temperature measurements
differ by more than 0.5 degree, the DO membrane of the in situ instrument will be
replaced or the probes on the field instrument will be replaced or reconditioned. The
Monitoring Subcontractor Field Manager will make a note on the data QA transmittal M "
form instructing the Data Processor to flag measurements as suspect since the last valid
measurements obtained during the comparison with the YSI 58 meter in the Annual
Database.
B6 Instrument Testing, Inspection, and Maintenance
Testing, inspection and maintenance of the field instruments is the responsibility of the
Monitoring Subcontractor Field Manager and Monitoring Subcontractor Field Staff.
Prior to deployment, all instruments are inspected, calibrated, and loaded with new
batteries. Any non-functioning instrument is taken out of service and shipped to the
manufacturer for repair, if necessary. Instruments that are not in the field are maintained
by the Monitoring Subcontractor Field Manager or Monitoring Subcontractor Field Staff.
Continuous in situ field instruments will be inspected and cleaned on a weekly basis
during the May through November monitoring period. The instruments will be serviced
on a monthly basis. Monthly servicing includes replacement of the DO membranes and
batteries and the cleaning, inspection and regreasing of o-rings of the sondes in
accordance with the manufacturer's specifications (Attachment Q. The SOPS in
Attachments A and C contain detailed information on the maintenance procedures of the
field instruments.
All maintenance and servicing of the instruments will be documented by the Monitoring
Subcontractor Field Manager and Monitoring Subcontractor Field Staff in the field
calibration log book. Copies of relevant instrument maintenance records will be
transferred to the Monitoring Subcontractor Field Manager on a monthly basis. If an
instrument appears to be malfunctioning or damaged, the Monitoring Subcontractor Field
Manager will note data for flagging by the Data Processor when it appears to be
obviously erroneous. The Monitoring Subcontractor Field Manager will make a note on
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the data QA transmittal of any suspect data with instructions for the Data Processor for
flagging in the Annual Database.
B7 Instrument Calibration and Frequency
The in situ YSI 6920 field instruments will be calibrated in accordance with the
procedures outlined in Attachment A prior to deployment at the beginning of the
monitoring season and weekly, except in extenuating circumstances. Each field
instrument has its own unique number serial number and calibration information is
recorded on calibration forms (Attachment D) contained in the field calibration log book.
Once the instrument is calibrated on a weekly basis, that measurement serves as a
calibration for measurements that are about to be collected and a post-calibration for
measurements that were collected prior to calibration. Any non-functioning instrument is
taken out of service and shipped to the manufacturer for repair, if necessary.
Copies of relevant instrument calibration forms will be transferred to the Monitoring
Subcontractor Field Manager on a monthly basis. If an instrument appears to be
malfunctioning or damaged, the Monitoring Subcontractor Field Manager will make a
note on the data QA transmittal of any suspect data with instructions to the Data
Processor for flagging in the Annual Database.
Moreover, a YSI 58 meter will be calibrated prior to weekly use and post-calibrated at the
end of the field day to document any potential instrument drift in accordance with
Attachment B. Calibration information will be recorded on a calibration form
(Attachment D). The YSI 58 meter will also be compared to a NIST certified
thermometer before and after weekly use (at the beginning and end of the field day) and
the results recorded on a Temperature Check form (Attachment E). The YSI 58 meter
will be used for comparison measurements in conjunction with the weekly site visits to
the in situ field instruments. Prior to the weekly calibration of each in situ field
instrument, independent DO and water temperature measurements from a YSI 58 meter
will be compared to measurements of the in situ field instruments made in a bucket of
tailrace water. If the independent DO differs by more than 0.5 mg/L or water
temperature measurements differ by more than 0.5 degree, the DO membrane of the in
situ field instrument will be replaced or the probes on the field instrument will be
replaced or reconditioned and the issue will be recorded in the field log book for that field
instrument. If replacing the DO membrane, servicing the probe, or replacing the probe
does not resolve the problem, the in situ field instrument will be replaced and returned to
the office for further analysis and repair. The Monitoring Subcontractor Field Manager
will also make a note on the data QA transmittal form for the Data Processor to flag the
suspect data in the Annual Database and a note on the amount of the difference for
potentially correcting the data.
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Tailwater DO Monitoring Draft QAPP
The Monitoring Subcontractor Field Manager will compare thermistors in the office with
a NIST certified thermometer prior to deployment at the beginning of the monitoring
season and at the end of the monitoring season using a two-point calibration with high
and low temperatures. Results of this comparison will be recorded on a Temperature
Check Form contained in the tbermistor log book. If the temperature measurements
differ by more than 0.5 degree, then a thermistor will not be deployed. After
deployment, the thermistors will be compared with the NIST certified thermometer at the
end of the monitoring season. Results of this comparison will be recorded on a
Temperature Check Form contained in the thermistor log book. If the temperature
measurements differ by more than 0.5 degree, the Monitoring Subcontractor Field
Manager will make a note on the data QA transmittal form instructing the Data Processor
to flag water temperature measurements since the last valid weekly temperature check in
the Annual Database.
B8 Inspection/Acceptance of Supplies
Routine supplies such as DO membranes, electrolyte (KCl), deionized water, and
batteries are purchased from vendors by the Monitoring Subcontractor Field Manager.
Supplies and packages are inspected for damage upon receipt from vendors. Any
damaged supplies will be returned to the vendor and not accepted for use. DO
membranes are visually inspected prior to use. Deionized water and the electrolyte are
visually inspected prior to use for discoloration, debris, or other contaminants.
Supplies are stored with both the Monitoring Subcontractor Field Manager and
Monitoring Subcontractor Field Staff in waterproof cases indoors under controlled
temperatures. DO probes will be stored in a moist environment when not in use.
B9 Non-direct Measurements
Measurement data not obtained directly under the DO Monitoring Plan and this QAPP,
including hydro plant generating data, reservoir elevation data, National Weather Service
weather data, and U.S. Geological Survey (USGS) gage stream flow data, may be used
for interpretation of continuous DO monitoring data. Data collected by regulatory and
governmental agencies will be used and considered as valid data since these agencies
have independent QA/QC programs to ensure valid data. Yadkin Project discharge and
generation data will be obtained from APGI operations staff.
Data from universities, non-governmental organizations, or industries may be used to
analyze continuous monitoring results depending upon methods, sampling design, and
QA/QC limitations. Citations will be made when such data are used.
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Tailwater DO Monitoring Draft QAPP
B10 Data Management
The continuous DO and water temperature data are stored on the YSI 6920 instruments
upon measurement. The Monitoring Subcontractor Field Staff or Monitoring
Subcontractor Field Manager will download data from the in situ instruments on a
weekly basis (the Monitoring Subcontractor Field Manager will do this on a monthly
basis while the Monitoring Subcontractor Field Staff will download data the other weeks)
to a laptop or hand held device (YSI 650 MDS) as described in Appendix A. Data files
are archived on up to two disks in addition to the hard drive on the laptop. In addition,
the Monitoring Subcontractor Field Staff or Monitoring Subcontractor Field Manager
saves all data on each field instrument during the monitoring season in case it is
necessary to retrieve previous data. At the end of the monitoring season, the data files
will be deleted from each of the field instruments as one of the last steps in demobilizing
each of the field instruments.
Once data files are downloaded on a weekly basis, the Monitoring Subcontractor Field
Staff will transfer the files to the Monitoring Subcontractor Field Manager. Applicable
calibration forms and maintenance records contained in the field calibration log books
will be transferred to the Monitoring Subcontractor Field Manager on a monthly basis.
The Monitoring Subcontractor Field Manager will review the data for completeness and
any obvious errors and will instruct the Data Processor to flag suspect data on the data
QA transmittal form. These data files are transferred electronically to the Data Processor
along with a data QA transmittal form weekly. Supporting calibration forms and
maintenance records will be transferred to the Monitoring Subcontractor Project
Manager/QA Manager and Data Processor monthly. The Monitoring Subcontractor Field
Manager will maintain two archived copies of all data files transferred to the Data
Processor, one on disk and the other on the hard drive of a laptop.
Data files are stored for the duration of the project on the Data Processor computer
server, which is backed up electronically on a daily basis. The Data Processor reviews
data files individually, inspecting the beginning and end data points for omissions or
anomalies related to removing the in situ field instruments from the tailwater monitoring
locations for download and servicing. Suspect data are flagged and omitted from
analysis.
The Data Processor processes the data into electronic spreadsheets using the YSI
software interface program, Ecowatch, custom SAS programs, Microsoft Excel software.
A series of SAS macros developed specifically for this study, process the data and
prepare graphical representation of the data. This graphical presentation allows
additional visual inspection to identify issues with the data and allow for immediate
problem identification and resolution, if necessary.
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Tailwater DO Monitoring Draft QAPP
As the data is reviewed, only the Data Processor or the Monitoring Subcontractor Project
Manager/QA Manager will be able to make any changes to the data. All changes are
documented on the data QA transmittal form.
The Monitoring Subcontractor Project Manager/QA Manager will provide the provisional
data to the APGI Project Manager/QA Manager every two weeks after it is processed and
the Data Processor will update the Annual Database. Only the Data Processor and the
Monitoring Subcontractor Project Manager/QA Manager have access to the database.
The Monitoring Subcontractor Project Manager/QA Manager will provide the APGI
Project Manager/QA Manager with a copy of the final Annual Database at the end of the
field monitoring season. The APGI Project Manager/QA Manager will file a copy of the
Annual Database in electronic format with the project files.
Throughout the entire monitoring season the database is archived daily to ensure no loss
of data and to guarantee database integrity. At the end of the field monitoring season, all
forms, original data, and the database will be archived in electronic format on digital
media; the Data Processor will maintain a copy in a fire-proof vault and the Monitoring
Subcontractor Project Manager/QA Manager will maintain a copy in the project files.
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Tailwater DO Monitoring Draft QAPP
M1
Figure 7: Data Flow Chart
Data downloaded
weekly
Monitoring
Subcontractor Project
Manager/QA Manager
provides provisional
data to the APGI
Project Manager/QA
Manager every two
weeks
b
Data Processor
finalizes and
incorporates data in
Annual Database

Data downloaded by
Monitoring
Subcontractor Field Staff
are transferred to the
Monitoring
Subcontractor Field
Manager weekly

Monitoring
Subcontractor Field
Manager reviews data
and makes notes on the
data QA transmittal form
instructing the Data
Processor to flag suspect
data
0
Data processed and
reviewed by Data
Processor and
Monitoring
Subcontractor Project
Manager/QA Manager

Monitoring Subcontractor
Project Manager/QA
Manager provides copy of
final Annual Database to
APGI Project Manager/QA
Manager at end of
monitoring season for project
files
Monitoring
Subcontractor Field
Manager transfers data
and data QA
transmittal form to
Data Processor weekly
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Tailwater DO Monitoring Draft QAPP
C1 Assessments and Response Actions
The Monitoring Subcontractor Project Manager/QA Manager, or a qualified QA/QC
auditor appointed by the Monitoring Subcontractor Project Manager/QA Manager, will
perform an annual (after the field monitoring season) internal self-assessment of the QA
program to ensure the QA/QC records are complete and accountable. The Monitoring
Subcontractor Project Manager/QA Manager is independent of the data collection
process. The self-assessment results will be documented and provided to the APGI
Project Manager/QA Manager for the project QA/QC files. Any corrective actions, as
required, will be implemented and documented.
The APGI Project Manager/QA Manager provides additional oversight through the
review of the QA/QC records generated for the continuous DO and water temperature
monitoring. The APGI Project Manager/QA Manager will review and verify field data
collection, data processing and data file submittals; submittal of QA records to the
QA/QC file; corrections or revisions to data files and any subsequent documentation in
the QA/QC file; and self-assessment results.
Moreover, the Monitoring Subcontractor Field Manager will accompany and observe
Monitoring Subcontractor Field Staff monthly. This field assessment is to ensure that
Monitoring Subcontractor Field Staff are performing activities in accordance with this
QAPP and the associated SOPs and to determine if there are any other issues that need to
be addressed. Concerns or irregularities will be documented and procedures will be
reviewed with any Monitoring Subcontractor Field Staff in need of performance
improvement.
C2 Reports to Management
The Monitoring Subcontractor Field Manager reports significant issues to the Monitoring
Subcontractor Project Manager/QA Manager via email. Issues are then reported to the
APGI Project Manager/QA Manager as part of the reports accompanying data submittals.
The APGI Project Manager/QA Manager will receive reports from the annual internal
self-assessment of the QA program, and copies of all QA documentation, including field
log books and calibration forms. The APGI Project Manager/QA Manager is responsible
for maintaining these records in the continuous DO and water temperature monitoring
QA/QC file.
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D1 Data Review, Verification, and Validation
Continuous DO and water temperature data are accepted or flagged as suspect based on
instrument performance and calibrations. Instruments are calibrated for DO and
compared to a calibration table to ensure accurate DO measurements. Any questionable
instrument is replaced by a backup instrument, as soon as practical, until the issue can be
corrected. In some cases, replacement of the DO membrane or a probe may correct the
issue. As described in Sections B6 and B7, if an instrument appears to be malfunctioning
or damaged, the Monitoring Subcontractor Field Manager will make a note on the data
QA transmittal form instructing the Data Processor to flag data, and not include that data
in reports when it appears to be obviously erroneous. The DO and water temperature
data are reviewed by the Monitoring Subcontractor Field Manager for anomalies prior to
transfer to the Data Processor. The Monitoring Subcontractor Field Manager will make
notes on the data QA transmittal form instructing the Data Processor to flag suspect data
based upon instrument performance and professional judgment.
Once the data have been processed by the Data Processor, the DO and water temperature
data are reviewed by the Monitoring Subcontractor Project Manager/QA Manager and
the Data Processor as described in further detail in Section D2. Any changes or flagged
data will be documented on the data QA transmittal form. The Monitoring Subcontractor
Project Manager/QA Manager is responsible for final review, verification and validation
of all monitoring results prior to submittal to the APGI Project Manager/QA Manager.
Data QA transmittal forms documenting data flagging situations and rejections of data for
reporting will also be provided to the APGI Project Manager/QA Manager along with
data submittals for the QA/QC file.
D2 Verification and Validation Methods
As described in further detail in Section B 10, continuous DO and water temperature
monitoring data are downloaded in the field from the in situ instruments to a laptop or
hand held device (YSI 650 MDS). The Monitoring Subcontractor Field Manager will
review data for completeness and any obvious errors prior to transfer to the Data
Processor. The DO and water temperature data are reviewed by the Monitoring
Subcontractor Field Manager for anomalies prior to transfer to the Data Processor and the
Monitoring Subcontractor Field Manager will make a note on the data QA transmittal
form to the Data Processor on whether to flag data as suspect based upon instrument
performance and professional judgment.
The Data Processor also reviews data files individually, inspecting for data omissions or
anomalies.
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Tailwater DO Monitoring Draft QAPP
The Data Processor processes the data into electronic spreadsheets using an YSI software
interface program (Ecowatch). Data continue to be inspected for completeness and
accuracy via the use of custom programs in SAS and Microsoft Excel. A series of
macros developed specifically for this study process the data, and prepare graphical
representation of the data. Additional visual inspections may identify issues with the data
and allow for immediate problem identification and resolution, if necessary.
In preparation for the annual reporting of continuous DO and water temperature
monitoring, the SAS software analysis allows opportunity for identification of areas of
concern and permits immediate resolution of data anomalies. Additional tools, such as
Microsoft Excel, afford further analysis and data presentation capabilities.
Once the data have been processed by the Data Processor, the DO and water temperature
data are reviewed by the Monitoring Subcontractor Project Manager/QA Manager and
the Data Processor. The DO and temperature data will be plotted every two weeks and
reviewed for unusual values of DO and temperature, as well as any period where water
quality standards was not met. If unusual values or periods of DO or temperature are
found, the Monitoring Subcontractor Project Manager/QA Manager will check for notes
by the Monitoring Subcontractor Field Manager regarding the data quality, review
watershed conditions during monitoring, e.g., storm events, and then check for possible
effects of Project operations affecting readings.
Any changes, flagged data, or deletions of data from reporting will be documented by the
Data Processor or Monitoring Subcontractor Project Manager/QA Manager on the data
QA transmittal form. Data QA transmittal forms documenting non-reporting, corrections
to the data based on calibration records, or suspect data will also be provided to the APGI
Project Manager/QA Manager along with data submittals for the QA/QC file. Once the
data are finalized, the data files will be incorporated into the Annual Database and any
accompanying documentation will be incorporated into QA/QC file for the continuous
DO and water temperature monitoring.
D3 Reconciliation with User Requirements
The continuous DO and water temperature monitoring data will be used for an
assessment of changes to tailwater DO concentrations that occur as aeration equipment is
installed and DO enhancement measures undertaken at the Yadkin Project in accordance
with the conditions of the 401 Water Quality Certification issued by NCDWQ for the
Project.
The DO and temperature data will be plotted every two weeks and reviewed for unusual
values of DO and temperature, as well as any period where water quality standards was
not met. If unusual values or periods of DO or temperature are found, the Monitoring
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Tailwater DO Monitoring Draft QAPP
Subcontractor Project Manager/QA Manager will check for notes by the Monitoring
Subcontractor Field Manager regarding the data quality, review watershed conditions
during monitoring, e.g., storm events, and then check for possible effects of Project
operations affecting readings.
As described in Section A6 and the DO Monitoring Plan, data will be reviewed at the end
of the monitoring season and provided to NCDWQ, Progress Energy and FERC in an
annual report. Any data limitations will be documented in the report. Any sampling
design modifications considered for future annual monitoring will be done in consultation
with NCDWQ.
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Tailwater DO Monitoring Draft QAPP
Attachment A: Standard Operating Procedures for In Situ
Field Instrument Maintenance/Calibration and Data
Downloads
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page A-1
Tailwater DO Monitoring Draft QAPP
YADKIN HYDROELECTRIC PROJECT
SOP for WEEKLY DOWNLOADS OF YSI 6920 Sondes
A. Post-Calibration of YSI 6920 prior to weekly download of data.
1. Approach each buoy or pipe.
2. Place buoy on the boat, unlock the cap on the pipe and remove cap and
YSI 6920 Sonde from the pipe. Record the time of Sonde removal from
the water using the clock on the YSI 650.
3. Tie off the Sonde.
4. Connect the 650MDS to the sonde using the cable and turn the unit "on"
5. Select "Sonde Menu" using the arrow buttons and enter.
6. Select "Run" and enter
7. Select "Unattended Sample" and enter
8. Using arrow button, scroll down to bottom of the page to highlight "Stop
Logging" and enter. (If the instrument asks you "are you sure", select
"yes" and enter)
9. Use the "Esc" to escape back to the main menu and then turn off the
650MDS
10. Fill a 5 gallon bucket with tailrace water.
11. Place the Sonde and the probe for the YSI 58 meter in the bucket.
12. Record DO and water temperature readings from both meters in the field
log book, while gently swirling water in the bucket. If differences are
more than 0.5 mg/L for DO and 0.5 degree for water temperature, make a
note to the Data Processor to flag the data as suspect for further review.
Additionally, differences more than the criteria noted here require that at a
minimum the DO membrane will need to be changed.
B. Weekly Maintenance and Calibration
1. Remove the lock and ring of the YSI 6920 Sonde.
2. Clean the YSI 6920 Sonde and inspect buoy cable attachment points.
3. Clean lock and ring and spray with WD40.
4. Rinse probes 3 time with water. Water can be lake, tap, or deionized
water.
5. Dry (dab) off dissolved oxygen probe and place in calibration cup with
just a little bit of water at the bottom of the cup. Put the cup back on the
YSI 6920 Sonde with just a couple of turns. This will allow the air in the
cup to saturate with water.
6. Let the YSI 6920 Sonde sit for 10 minutes.
7. After 10 minutes, connect the handheld YSI 650MDS to the YSI 6920
Sonde using the download cable and turn on the YSI 650MDS.
8. Using the arrow buttons to select "sonde run", press "Enter" button. This
is an enter button just like a computer has.
9. Record the DO (%) and temperature in the field calibration log book.
Alcoa Power Generating Inc. May 2007
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10. Hit "Esc" to back to the main menu.
11. Using the arrow keys, select "sonde menu" and hit "Enter" button.
12. Select "calibrate" and hit "Enter" button
13. Select "dissolved oxygen" and press "Enter" button.
14. Select "DO %" and again hit the "Enter" button.
15. Enter the correct barometric pressure reading and press "Enter", IF the
reading is close to the one in the lower right corner (less than 0.2mmHg of
a difference), hit "Enter". If the barometric pressure differs by more than
0.2mmHg use the arrows to enter the correct barometric pressure. Note,
barometric pressure changes are normal since it is not totally stable and
especially since the instrument is recording down to the tenths of a
millimeter of Hg.
16. The YSI 650MDS will count down and display the calibrated reading.
Record the calibrated reading in the field calibration log book. w
17. Use the escape (Esc) key to go backwards and get into the "sonde menu"
and select "run"
18. Select "unattended sample"
19. Use the arrow to move down to file and enter the proper file name. (The
file name will be the first letter of the tailrace; F=Falls, N=Narrows,
T=Tuckertown, H=High Rock and the 6 digit date - mo/day/year). Then,
hit enter key to make sure meter accepts the file name.
20. Record the new file you started under the date in the field log book.
C. Pre-Data Collection Calibration
1. Check battery voltage, time etc. Record battery voltage in field calibration
log book. Batteries are changed on a monthly basis along with the DO
membrane. If battery voltage is below 8.0, change the batteries.
2. Fill a 5 gallon bucket with fresh tailrace water.
3. Place the YSI 6920 Sonde and the probe for the YSI 58 meter in the
bucket.
4. Record DO and water temperature readings, while gently swirling water in
the bucket, from both meters in the field log book
5. If the difference in DO is more than 0.5 mg/L between meters or the water
temperature is more than 0.5 degree difference between meters, then re-
perform this check with fresh tailrace water; remember to swirl the water
in the bucket.
6. If differences in readings remain higher than 0.5 mg/L or 0.5 degree,
replace the DO membrane or the probe.
7. If large differences in readings exist after replacing the DO membrane,
then recondition the probe using the reconditioning instructions and if that
does not work replace the YSI 6920 Sonde probe(s).
8. If replacing the probe does not resolve the issue, replace the YSI 6920
Sonde with a backup unit and take the problem Sonde to the office for
further analysis and repair.
D. Re-starting Data Collection
1. Once the Sonde readings are comparable to the YSI 58, the Sonde may be
re-installed.
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2. Using arrow move down to "start logging" and push enter key,
3. The meter will ask you if you are sure and select "yes" using enter key
4. Use escape key to go back to main menu
5. Unhook cable from Sonde and place cap back on and re-tape the small
bulkhead cap that allows communication from 650MDS/computer to the
sonde. Taping is a redundant way to protect the prongs inside the
bulkhead.
6. Re-attach the YSI 6920 Sonde to the buoy using the lock and ring, and
place the buoy back in the water. Record the time you reset the YSI 6920
in the filed log book. Sonde using the clock on the YSI 650MDS.
E. Daily Post-Calibration Check of the handheld YSI 58
1. At the end of the day, or back at the office after a day trip, compare water
temperature readings of the YSI 58 against a NIST thermometer. Record
the readings on the Temperature Check form for that unit. If the
difference exceeds more than 0.5 degree at either the high or low check
points, then make a note to the Data Processor on the data QA transmittal
form.
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Tailwater DO Monitoring Draft QAPP
Attachment B: Standard Operating Procedures for Calibrating
YSI 58 Meters used for Comparison with In Situ Field
Instruments
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page B-1
Tailwater DO Monitoring Draft QAPP
CALIBRATING DISSOLVED OXYGEN METER
Meter Used to Compare Data Point at Retrieval of Sonde
(This should be done before and after sampling)
1. Rinse off membrane and dry off with kim wipe.
2. Insert probe into cup and let sit for 15 minutes (make sure towel at bottom of cup is
moist)
3. While waiting for 15 minutes to elapse, turn on machine and "zero" using zero knob -
you can leave the instrument on after this has been done.
4. After 15 minutes has elapsed, turn knob to "temp" and record temperature on the
calibration form for the corresponding YSI 58 meter contained in the field calibration
log book along with your initials, date, and the barometric pressure from the 650MDS
5. Turn the knob to 0.01mg/L and get a reading. Place this reading in "Uncalibrated
Reading" column of the calibration form
6. Using the barometric pressure, find the correct dissolved oxygen reading on the back
of the meter and record in "Calibrated Reading" column of the calibration form
7. Unlock the 02 knob and dial in the correct value then lock the button
9. Turn off meter.
Note - This instrument is to be used for comparing against long term monitors (sonde) in
each tailrace for dissolved oxygen and temperature.
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Yadkin Project (FERC No. 2197) Page B-2
Tailwater DO Monitoring Draft QAPP
Attachment C: Procedures for Replacing a Dissolved .Oxygen
Membrane on In Situ Field Instruments
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page C-1
Tailwater DO Monitoring Draft QAPP
Procedures for Replacing a Dissolved Oxygen Membrane on the
YSI 6920s
1. Remove the probe guard from the sonde and hold it in a vertical position such that
the sensors are upright.
2. Remove o-ring and old DO membrane and then clean probe tip with water and
lens cleaning tissue.
3. Remove any debris/deposits from the o-ring groove.
4. Using the supplied bottle of electrolyte (KCl), place electrolyte on the DO probe
until a high meniscus is formed.
5. Position the membrane parallel to the probe making sure all corners are
supported. Using one continuous downward motion, stretch the membrane over
the probe face.
6. Install o-ring by placing one side of the o-ring in the groove and rolling into place
across the membrane and into the groove on the opposite side of the probe face.
Avoid touching the probe face with your fingers. Make sure o-ring is securely in
place by squeezing it every 90 degrees to equalize the tension.
7. Trim the excess membrane away with a scalpel or scissors making sure to stay 1/8
inch below the o-ring.
8. The finished product should have no bubbles or wrinkles.
9. Record the time and date of DO membrane replacement in the maintenance
records section of the field calibration log book.
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Tailwater DO Monitoring Draft QAPP
Attachment D: DO Calibration Form
Alcoa Power Generating Inc. May 2007
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Tailwater DO Monitoring Draft QAPP
Dissolved Oxygen Calibration Log (DO Cal Log.xls)
Date Tech Temp' Barometric Pressure DO units Meter oC units Number M 91L or Calibrated Uncalibrated Dill Of
/a Satur readin readin Cal/Uncal
Notes/Maintenance
Attachment E: Temperature Check Form
Alcoa Power Generating Inc. May 2007
Yadkin Project (FERC No. 2197) Page E-1
Tailwater DO Monitoring Draft QAPP
NORMANDEAU ASSOCIATES
Temperature Check Form
Date:
- Manufacturer Model SN
NIST
Test 1
Test 2
------- ----

-- - - - - - -
Test 3 -- - - -

C or F NIST Test 1 Test 1 Adjustment Test 2 Test 2 Adjustment Test 3 Test 3 Adjustment Checked
Reading Reading Test 1-NIST=Adj Reading Test 2-NIST=Adj Reading Test 3-NIST=Adj By:
Low
High
I

I
L
Comments:
ThermCal.ai
Attachment 6
Draft Flow and Reservoir Elevation Monitoring
Plan
DRAFT
Yadkin Project (FERC No. 2197)
Flow and Reservoir Elevation Monitoring Plan
MI
Licensee Contact:
O
ALCOA
Alcoa Power Generating Inc.
April 2007
Gene Ellis
APGI, Yadkin Division
P.O. Box 576
Badin, NC 28009
[phone]
[e-mail]
Table of Contents
Table of Contents
List of Figures .....
Acronyms ............
1 Introduction .............................................................................................
1.1 Project Description ........................................................................
1.2 Background ...................................................................................
1.3 Purpose of the Flow and Reservoir Elevation Monitoring Plan ...
1.4 Plan Development .........................................................................
2 Flow Monitoring .....................................................................................
2.1 High Rock Flow Monitoring .........................................................
2.2 Narrows Flow Monitoring ............................................................
3 Reservoir Elevation Monitoring .............................................................
4 Flow and Reservoir Elevation Monitoring Records ...............................
5 Schedule ..................................................................................................
6 References ...............................................................................................
.................... i
................... ii
.................. iii
................... 1
................... 1
................... 1
................... 1
................... 1
................... 4
................... 4
................... 6
................... 8
................... 8
................... 8
................... 8
Yadkin Project i Draft Flow and Reservoir Elevation Monitoring Plan
FERC No. 2197 April 2007
List of Figures
Figure 1: Yadkin Project Regional Locus Map .............................................................................. 3
Figure 2: Approximate Location of High Rock Flow Monitoring Device Transect ...................... 5
Figure 3: Approximate Location of Narrows Flow Monitoring Device Transect .......................... 7
P1
Yadkin Project ii Draft Flow and Reservoir Elevation Monitoring Plan
FERC No. 2197 April 2007
Acronyms
APGI
FERC
Licensee
NCDWQ
NCDWR
NCWRC
Plan
Project
USFWS
USGS
Yadkin
Yadkin Project
Yadkin Project
FERC No. 2197
Alcoa Power Generating, Inc. or Licensee
Federal Energy Regulatory Commission
Alcoa Power Generating, Inc. (APGI)
North Carolina Division of Water Quality
North Carolina Division of Water Resources
North Carolina Wildlife Resources Commission
Flow and Reservoir Elevation Monitoring Plan
Yadkin Project or Yadkin Hydroelectric Project (FERC No. 2197)
U.S Fish and Wildlife Service
U.S. Geological Survey
Yadkin Division of Alcoa Power Generating, Inc.
Yadkin Hydroelectric Project (FERC No. 2197) or Project
iii Draft Flow and Reservoir Elevation Monitoring Plan
April 2007
1 Introduction
1.1 Project Description
The Yadkin Hydroelectric Project (Yadkin Project or Project) is owned by Alcoa Power
Generating Inc. (APGI), a wholly-owned subsidiary of Alcoa Inc. (Alcoa). APGI's Yadkin
Division (Yadkin) is responsible for operation of the Project. The Yadkin Project includes four
hydroelectric developments, the High Rock, Tuckertown, Narrows and Falls developments,
which are located on a 38-mile stretch of the Yadkin River (see Figure 1). High Rock, the most
upstream development, is located at mile 253 on the Yadkin River and serves as the principal
storage facility for the entire Yadkin-Pee Dee River. The Tuckertown, Narrows, and Falls
developments are located approximately 8.7 miles, 16.5 miles, and 19.0 miles downstream,
respectively, of the High Rock Development. "
The Yadkin Project is located approximately 60 miles northeast of Charlotte on the Yadkin River
in Davidson, Davie, Montgomery, Rowan, and Stanly counties in central North Carolina. The
Yadkin River and its tributaries are part of the Yadkin-Pee Dee River Basin, which extends from
the eastern slopes of the Blue Ridge Mountains to the Atlantic coast near Georgetown, South
Carolina. The Yadkin River's name changes to the Pee Dee River at its confluence with the
Uwharrie River. The Pee Dee River continues its southeastern flow to Winyah Bay, where it
meets the Atlantic Ocean.
1.2 Background
The Yadkin Project is licensed by the Federal Energy Regulatory Commission (FERC No.
2197). On , the North Carolina Division of Water Quality (NCDWQ) issued a water
quality certification for the Project under Section 401 of the Clean Water Act. On APGI
received a new license for the Project from the FERC. In accordance with the conditions of the
401 Water Quality Certification and the FERC License (Article _J, APGI is required to prepare
a Flow and Reservoir Elevation Monitoring Plan (Plan) for the Project and to monitor flows and
reservoir elevations in accordance with the Plan.
1.3 Purpose of the Flow and Reservoir Elevation Monitoring Plan
The purpose of the Yadkin Project Flow and Reservoir Elevation Monitoring Plan is to ensure
through appropriate monitoring that Project operations are in compliance with applicable
requirements of the FERC license and 401 Water Quality Certification.
1.4 Plan Development
On , a Draft Flow and Reservoir Elevation Monitoring Plan was distributed to NCDWQ,
North Carolina Division of Water Resources (NCDWR), North Carolina Wildlife Resources
Commission (NCWRC), U.S Fish and Wildlife Service (USFWS), and the U.S. Geological
Yadkin Project 1 Draft Flow and Reservoir Elevation Monitoring Plan
FERC No. 2197 April 2007
Survey (USGS) for comment and review. Comments were requested by . Comments were
received from
A complete record of this consultation is provided in Appendix
Yadkin Project 2 Draft Flow and Reservoir Elevation Monitoring Plan
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Figure 1: Yadkin Project Regional Locus Map

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Yadkin Project 3 Draft Flow and Reservoir Elevation Monitoring Plan
FERC No. 2197 April 2007
2 Flow Monitoring
In accordance with the 401 Certification and Article _ of the new license, APGI is required to
monitor Project flows from the High Rock and Narrows developments. Monitoring of flow at
Narrows development is to serve as the compliance point for flows to be released from the
Project at the Falls Development, in accordance with the terms of the 401 Certification and
License Article . The flow gauges and monitoring equipment to be used at both locations
will be developed in close consultation with the USGS. Any details of flow monitoring and
recording methods not yet available for inclusion in this draft plan will be added to the final plan
that will be submitted to NCDWQ and FERC in accordance with the terms of the 401
Certification and the new FERC license.
2.1 High Rock Flow Monitoring
APGI is working with the USGS to identify and evaluate potential sites to install a permanent
flow monitoring device below High Rock dam. The first step in determining an appropriate
monitoring location and gauging equipment to be used was an evaluation of the site conditions in
the High Rock tailwater area by the USGS. In , 2007, the USGS gathered field data
utilizing a boat equipped with an Acoustic Doppler Current Profiler, GPS, and depth finder. A
visual survey was made of the area to locate transects where it appeared the flow of water was
not significantly influenced by large rocks. Due to the rocky nature of the tailwater area, the
potential gauging sites are limited. Velocity measurements and bottom profile data were
gathered on transects upstream and downstream of the Bringle Ferry Road Bridge and in the
vicinity of the town of Denton water intake.
Based on the evaluation of the data that was gathered by the USGS, it is anticipated that the
USGS will recommend installing a permanent flow monitoring device near the town of Denton
water intake. There is good water depth in this area and the rocks have limited influence on
velocity. The flow monitoring device will measure velocity using Acoustic Doppler technology.
To calibrate the flow monitoring device, the USGS will perform field measurements to develop
the relationship between measured velocities and total stream flow. The accuracy of the flow
monitoring device is expected to be +1-5%. The flow monitoring device will be solar powered
with a battery backup. Maintenance will be performed by the USGS annually or as deemed
necessary.
Communications for the flow monitoring device will be via satellite. Hourly data will be
available on the USGS National Water Information System website. Hourly data will be stored
in the USGS database which is accessible from the USGS website.
Yadkin Project 4 Draft Flow and Reservoir Elevation Monitoring Plan
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Yadkin Project 5 Draft Flow and Reservoir Elevation Monitoring Plan
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Figure 2: Approximate Location of High Rock Flow Monitoring Device Transect
2.2 Narrows Flow Monitoring
APGI is also working with the USGS to identify and evaluate potential sites for a permanent
flow monitoring device below Narrows dam in the Falls Reservoir. A visual survey was
performed by the USGS on the Falls Reservoir to identify transects to collect velocity data. Two
transects were selected. Both transects are downstream of the two islands that divide now just
downstream of the Narrows bypass spillway. The first site is approximately 1000 feet
downstream of the islands and the second site is approximately 3000 feet downstream of the
islands.
Based on the evaluation of the data that has been gathered, it is anticipated that the USGS will
propose installing a permanent flow monitoring device at the site approximately 3000 feet
downstream of the islands. There is good water depth in this area that will allow the device to
gather velocity data across the reservoir. The flow monitoring device will be installed on the
Stanly County side of the reservoir and measure velocity using Acoustic Doppler technology.
To calibrate the flow monitoring device, the USGS will perform field measurements to develop
the relationship between measured velocities and total stream flow. The accuracy of the flow
monitoring device is expected to be +/- 5%. The flow monitoring device will be solar powered
with a battery backup. Maintenance will be performed annually or as necessary by the USGS.
Communications for the flow monitoring device will be via satellite. Hourly data will be
available on the USGS National Water Information System website. Hourly data will be stored
in the USGS database which is accessible from the USGS website.
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Yadkin Project 7 Draft Flow and Reservoir Elevation Monitoring Plan
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3 Reservoir Elevation Monitoring
Equipment that is currently installed will be utilized by APGI to monitor reservoir elevations.
Each dam has an elevation monitoring device on the upstream face of the dam. The data from
these devices is transmitted hourly to the APGI Operating Center computers and logged in a
database.
The accuracy of the elevation monitoring devices is +/- 0.10 foot compared to the staff gauge
that is permanently installed at each dam. The calibration of the elevation monitoring devices vs.
the staff gauges is checked weekly by APGI. All maintenance of the elevation monitoring
devices is performed by APGI.
4 Flow and Reservoir Elevation Monitoring Records
APGI will log and store in a database the hourly flow data for High Rock and Narrows and the
hourly reservoir elevation data for each of the four reservoirs. APGI will post on its website the
most recent hourly flow data, the previous 24 hourly flow data points, the average of the hourly
flow data for the previous day, and the average of hourly flow data for the previous week.
APGI will continue to post on its website the most recent hourly reservoir elevation and the
previous 24 hourly elevation data points for all four reservoirs.
All flow data and reservoir elevation data will be maintained in the APGI database for the term
of the license. The APGI database is backed up daily in two separate server locations.
5 Schedule
APGI shall install and have the flow and reservoir elevation monitoring equipment operational
within six (6) months of approval by NCDWQ and FERC of the final Plan.
6 References
[add references if necessary]
Yadkin Project 8 Draft Flow and Reservoir Elevation Monitoring Plan
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