Text

New York State - Notice of Intention to Participate and Petition to Intervene and Supporting Declarations and Exhibits, Volume I of II
	ML073400205
Person / Time
Site:	Indian Point
Issue date:	11/30/2007
From:	Blanch P, Bradford P, Hausler R, Lochbaum D, Rice T, Schlissel D, Seeber L, Sykes L; Bradford Brook Associates, Columbia Univ, State of NY, Dept of Environmental Conservation, State of NY, Office of the Attorney General, Synapse Energy Economics, Union of Concerned Scientists
To:	; Office of Nuclear Reactor Regulation
	SECY RAS
Shared Package
ML0703400174	List: ML073400205;
References
	50-247-LR, 50-286-LR, ASLBP 07-858-03-LR-BD01, FOIA/PA-2009-0035, RAS 14717
	Download: ML073400205 (255)
	v • d • e

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION

x In re:

Docket Nos. 50-247-LR and 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC Entergy Nuclear Indian Point 3, LLC and DPR-26, DPR-64 Entergy Nuclear Operations, Inc.

.................. x NEW YORK STATE NOTICE OF INTENTION TO PARTICIPATE AND PETITION TO INTERVENE AND SUPPORTING DECLARATIONS AND EXHIBITS Volume I of II Filed on November 30, 2007

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION

-------------- --------------- ---- 7 --------

In re:

Docket'Nos. 50-247-LR and 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64 Entergy Nuclear Operations, Inc.

. -------- ...........-------------------------- x DECLARATION OF DAVID LOCHBAUM.

David Lochbaum, hereby declares under penalty of perjury that the following is true and correct:

1. Attached hereto and made a part of this sworn statement are a report prepared by me regarding the importance of compliance with 10 C.F.R. § 50.71(e) and lack of compliance by Indian Point Energy Center with that requirement, a chart prepared by me based on the information contained in Nuclear Regulatory Commission records and the UFSAR filed by IP 2 and IP 3 with its LRA in this case and my current CV. The report, chart and CV are true and correct to the best of my personal knowledge.

Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Dated: November 27, 2007 Knoxville, Tennessee David Lochbaum 1

INDIAN POINT ENERGY CENTER, 10 CFR 50.71(E), AND LICENSE RENEWAL INTRODUCTION OF 10 CFR 50.71(e)

In May 1980, the NRC issued a final rule, 10 CFR 50.71(e), applicable to all licensees of operating power reactors like Indian Point Units 2 and 3. That final rule stated:

Each person licensed to operate a nuclearpower reactorpursuant to the provisions of § 50.21 or §S50.22 shall update periodically,as provided in paragraphs(e)(3) and (e)(4) of this section, the final safety analysis report (FSAR) originally submitted as part of the applicationfor the operating license, to assure that the information included in the FSAR contains the latest material developed.

and The updated FSAR shall be revised to include the effects of: all changes made in the

-facilityor procedures as described in the FSAR; all safety evaluationsperformed by the licensee either in support of requested license amendments or in support of conclusions that changes did not involve an unreviewed safety question; and all analyses of new safety issues performed by or on behalf of the licensee at Commission request. The updated informationshall be appropriatelylocated within the FSAR.1 2

This rule had the effect of requiring the FSAR. to become a "living document" that is periodically updated to incorporate information regarding applicable modifications to the facility and procedures.

In December 1980, the NRC used its generic communications process to remind its licensees about their obligations under the recently promulgated rule. By Generic Letter 80-1 10, the NRC notified its licensees that:

The Commission approved the rule 50.71(e) (copy enclosed) entitled "PeriodicUpdating of Final Safety Analysis Reports" and published the rule in the FederalRegister on May 9, 1980. The rule became effective on July 22, 1980.

and For non-SEP [Systematic Evaluation Program] plants, the rule requires submittal of the updated FSAR within 24 months of either July 22, 1980, or the date of issuance of the' operating license, whichever is later.

The NRC's Systematic Evaluation Program (SEP) was an initiative begun in. 1977 seeking to compare the licensing bases for 11 older nuclear power reactors (Dresden Units 1&2, Yankee Rowe, Big Rock Point, San Onofre Unit 1, Connecticut Yankee, LaCrosse, Oyster Creek, Ginna, Millstone Unit 1, and Palisades) to current safety regulations. 3 Because Indian Point Units 2 and

'U.S. Nuclear Regulatory Commission, Final Rule, "Periodic Updating of Final. Safety Analysis Reports," Federal

" Register, Vol. 45, No. 92, May 9, 1980,,pp. 30615-30616.

2Over the years, the NRC and industry have inconsistently applied various terms to the FSAR. Some have used FSAR to refer to the original document submitted, and amended, for the initial operating license application and used Updated Final Safety Analysis Report (UFSAR) or Updated Safety Analysis Report (USAR) to refer to the periodically updated FSAR. For the purposes of this paper, all three terms are considered interchangeable and FSAR will be used outside of quoted material.

3U.S. Nuclear Regulatory Commission, Press Release No.77-196, "NRC Staff to Begin New Systematic Evaluation of 11 Operating Nuclear Power Facilities," November 17, 1977.

3 were non-SEP reactors, 10 CFR 50.51(e) required the first update to the FSAR to be submitted to the NRC on or before July 22, 1982.

RE-EMPHASIS OF 10 CFR 50.71(e)

Nearly 15 years later, the NRC and the nuclear industry became aware of compliance problems with the 10 CFR 50.71(e) requirements. While the most prominent compliance&problems surfaced at the Millstone nuclear plant in 1996, the problems extended beyond:this one facility and prompted the NRC and the nuclear industry to take steps to remedy the situation-: "

The nuclear industry, via the Nuclear Energy Institute (NED, developed guidance document NEI 98-03 Rev. 1 in June 1999 outlining the steps needed to comply with 10 CFR 50.7 1(e):.

Inspections in 1996-1997 by the NRC and licensees identified numerous discrepancies between UFSAR information and the actual plant design and operation. These findings have raised questions about possible noncompliance with 10 CFR 50.71(e). The industry has developed this guidance in recognition of the importance of the UFSAR, the need to comply with. 10 CFR 50.71(e) update requirements, and the need for UFSARs to be consistent with the plant design and operation.4 The NRC issued Regulatory Guide 1.181 in September 1999 to clarify its regulatory position on updating the FSARs:.

As a result of lessons learnedfrom the Millstone experience and other initiatives related to UFSARs, the NRC has determined that additionalguidance regardingcompliance with 10 CFR 50.71(e) is necessary.... In a staff requirements memorandum dated May 20, 1997, the Commission directed the staff, in part, to issue guidancefor complying with 10 CFR 50.71(e) so that UFSARs are updated to reflect changes to the design bases and to reflect the effects of other analyses performed since original licensing that should have been included under 10 CFR 50.71(e). This regulatory guide provides the guidance requestedby the May 20, 1997, staff requirements memorandum.

and The objectives of 10 CFR 50.71(e) are to ensure that licensees maintain the information in the UFSAR to reflect the current status of the facility and address new issues as they arise, so that the UFSAR can be used as a reference document in safety analysesi5 Among other things, the NRC fonrmally endorsed NEI 98-03 in Regulatory Guide 1.181 as an acceptable method of complying with 10 CFR 50.71 (e), -although they readily acknowledged that licensees may employ other methods to comply:

4 Nuclear Energy Institute, NEI 98-03 Rev. 1, "Guidelines for Updating Final Safety Analysis Reports," June 1999, page 1.

5 U.S. Nuclear Regulatory Commission, Regulatory Guide 1.181, "Content of the Updated Final Safety Analysis Report in Accordance with 10 CFR 50.71(e)," September 1999, pp. 1-2. Available online at http://www.nrc.gov/reading-rm/doc-collections/reg-guides/power-reactors/active/01 -181/01-181 .pdf and from the NRC's Agencywide Document Access and Management System (ADAMS) via accession number ML003740112).

November 27, 2007 Page 2 of 13

Revision 1 of NEI 98-03, "Guidelinesfor Updating Final Safety Analysis Reports," dated June. 1999, provides methods that are acceptable to the. NRC for complying with the provisions of 10 CFR 50.71(e). ... Licensees may use methods other than those proposed in Revision.] of NEI 98-03 to meet the requirements of 10 CFR 50.71(e). The NRC will

.:. determine the acceptability of other methods on a case-by-case basis.6 NEI 98-03 Rev. 1 described the FSAR's role:

S..UFSARs provide a description of each plant and, per the Supplementary Informationfor the FSAR update rule, serve as a "reference document to be used for recurring safety analyses perfonned by licensees, the Commission, and other interested parties." The UFSAR is used by theNRC in its regulatory oversight of a nuclearpower plant, including its use as a reference for evaluating license amendment requests and in the preparation for and conduct of inspection activities. Forlicensees, portions of the UFSAR are used as a reference in evaluating changes to the facility and procedures under the 10 CFR 50.59 change process. The UFSAR also serves to provide the general public a description of the plant and its operation.7 NEI 98-03 Rev. 1 described the updates to FSARs required by 10 CFR 50.71(e):

Based on analysis of 10 CFR 50.34(b), UFSAR updates should contain the following

. basic types of information concerning new requirementsand information developed since the UFSAR was last updated that are required to be reflected in the UFSAR under 10 CFR 50.71(e):

new or modified design bases

summary of new or modified safety analyses

UFSAR description sufficient to permit understandingof new or modified design 8

bases, safety analyses, andfacility operation NEI 9*8-03 Rev. 1 defined the "safety analyses" covered by the second bullet to be:

Safety analyses are analyses performed pursuant to Commission requirement to demonstrate the integrity of the reactorcoolant pressure boundary, the capability to shut down the reactor and maintain it in a safe shutdown condition, or the capability to prevent or mitigate the consequences of accidents that could result in potential offsite exposures comparable to the guidelines in 10 CFR 50.34(a)(1) or 1o CFR 100.11. Safety analyses are required to be presented in the UFSAR per 10 CFR 50.34(b) or 10 CFR 6U.S. Nuclear Regulatory Commission, Regulatory Guide 1.181, "Content of the Updated Final Safety Analysis

Report in Accordance with 10 CFR 50.71 (e)," September 1999, page 3. Available online at http://www.nrc.gov/reading-rm/doc-collections/ree-guides/power-reactors/active/0 1-181/01-181 .plf and from the NRC's Agencywide Document Access and Management System (ADAMS) via accession number ML003740112).

7 Nuclear Energy Institute, NEI 98-03 Rev. 1, "Guidelines for Updating Final Safety Analysis Reports," June 1999, page 3 .

NEI 98-03 Rev. 1, page 4.

November 27, 2007 Page 3 of 13

50.71(e) and include, but are not limited to, the accident analyses typically presented.in Chapter 14 or 15 of the UFSAR. 9 NEI 98-03 Rev. 1 described what constituted "new or modified safety analyses" (vice restated safety analyses) and the related level of detail issue for summaries of new or modified safety analyses:

Licensees should evaluate the effects of analyses or similar evaluations performed by licensees in response to plant-specific NRC requests or NRC generic letters.or bulletins.

NRC-requested analyses and evaluations must be reflected in UFSAR updates only if, on the basis of the results of the requested analysis of evaluation, the licensee determines that the existing design bases, safety analyses or UFSAR description ýare either not accurateor not bounding or both. The existing design bases, safety analyses and UFSAR.

description must be updated to reflect the new information,as appropriate.101 and While not explicitly addressing the level of detail required for FSARs, 10 CFR 50.34(b)(2) required that the originalFSARs include:

... description and analysis of the structures, systems, and components. of the facility, with emphasis on performance requirements, the bases, with technical justification therefore, upon which such requirements have been established, and:

the evaluations required to show that safety functions will be accomplished. The description shall be sufficient to permit understandingof the system designs and their relationshipto safety evaluations."

NEI 98-03 Rev. 1 contained case studies to assist licensees decide what. did and did not constitute new or modified safety analyses to be summarized in the FSARs. One. case study covered the evaluation required by the NRC by Bulletin 88-04:

A change to the safety injection system was initiated to address an operability concern identified in NRC Bulletin 88-04, "Potential for Safety-Related Pump Loss." An evaluation of safety injection pump minimum-flow lines resulted in an Iincrease in the recommended minimum-flow rate to preclude hydraulic instability at low flow conditions and assure pump operability. ... Because sufficient minimum-flow is necessary to ensure the system is able to perform its intended safety function, the UFSAR description associatedwith the safety injection system should be modified to include a discussion of the minimum-flow function as it relates to maintaining operabilityof the safety injection pumps. In some cases,, this may entail adding UFSAR discussion of the minimum-flow function.where none previously existed. 12 NRC RE-ViSITS 10 CFR 50.71(E) FOR INDIAN POINT UNITS 2 AND 3 9 NEI 98-03 Rev. 1, page 2.

1'NEI 98-03 Rev. 1, page 7.

n NEI 98-03 Rev. 1, page 8.

12 NEI 98-03 Rev. 1, page 9.

November 27, 2007 Page 4 of 13

On October 9, 1996, the NRC requested pursuant to 10 CFR 50.54(f) that the licensees of Indian Point Units 2 and 3 submit material to the NRC, under oath or affirmation, regarding the adequacy and availability of design bases information.' 3 The NRC expressly informed the Indian Point licensees that "the NRC staff has found that- some licensees have failed to ... assure that UFSARs properly reflect the facilities." 14 The NRC described the nexus between these failures and public safety:

particularconcernis whether licensee programs are consistent with and are being maintained in accordance with their design bases. The extent of the licensees'failuresto maintain control and to identify and correct the failures in a timely manner is of concern because of the potential impact on public health and safety should safety systems not respond to challengesfrom off-normal and accidentconditions.15 TheNRC requested the licensees to take five actions, the first being to provide the NRC with a:

Descriptionof engineeringdesign and configurationcontrol processes, including those that implement 10 CFR 50.59, 10 CFR 50.71(e), and Appendix B to 10 CFR Part 50 16

[emphasis added]

By letter dated February 13, 1997, the licensee for Indian Point Unit 2 responded to the NRC's 10 CFR 50.54(f) request. 17 The licensee described its process for updating the FSAR:

The 10 CFR 50.59 evaluations are used to identify updates to the Updated Final Safety Analysis Report (UFSAR). Updates to the UFSAR include the effects of changes made to the facility or procedures described in the USAR, Safety Evaluations performed in support of requested license amendments or conclusions that changes have not involved an unreviewed safety question (USQ) (10 CFR 50.59 process). 18 13 U.S. Nuclear Regulatory Commission letters from James M. Taylor, Executive Director for Operation, to E. R.

McGrath, Consolidated Edison Company of New York, Inc., and Robert G. Schoenberger, President and Chief Executive Officer, Power Authority of the State of New York, "Request for Information Pursuant to 10 CFR 50.54(f) Regarding Adequacy and Availability of Design Basis Information," October 9, 1996. Available from the NRC's Public*Document Room via accession numbers 9610110273 and 9610110057.

14 Ibid.

15 Thid, page5.

16 Ibid, page 6.

17 Consolidated Edison Company of New York, Inc. letter from'Stephen E. Quinn, Vice President, to U.S. Nuclear Regulatory Commission, "Response to Request for Additional Information Pursuant to 10 CFR 50.54(0 Regarding Adequacy and Availability of Design Bases Information, NRC Letter from James M. Taylor to Eugene McGraht dated October 9, 1996," February 13, 1997. Available from the NRC's Public Document Room via accession number 9702190330.

18 Consolidated Edison Company of New York, Inc. letter from Stephen E. Quinn, Vice President, to U.S. Nuclear Regulatory Commission, "Response to Request for Additional Information Pursuant to 10 CFR 50.54(0 Regarding Adequacy and Availability of Design Bases Information, NRC Letter from James M. Taylor to Eugene McGraht dated October 9, 1996," February 13, 1997,'page 3.1-3. Available from the NRC's Public Document Room via accession number 9702190330.

November 27, 2007 Page 5 of 13

By letter dated February 7, 1997, the licensee for Indian Point Unit 3 responded to theNRC's 10 CFR 50.54(f) request. The licensee described its process for updating the FSAR:

The processfor updating the FSAR is controlled by procedure NLP-3. "FSAR Updates.

This procedure requiresthat the FSAR is updated to reflect plant modifications, changes to procedures described in the FSAR, 10CFR50.59 Safety Evaluations, Technical Specification Amendments, NRC correspondence, and to reflect the on resolution of discrepancies[sic]. 20 The FSAR updating processes for Indian Point Units 2 and 3 were administered by different licensees at that time, but the processes were very similar. Both relied on the 10 CFR 50.59 process to trigger updates to the FSARs. This regulation controls when and under what conditions licensees "may make changes in the facility as described in the final safety analysis report (as updated), make changes in the procedures as described in the final safety analysis report (as updated), and conduct tests or experiments not described in the final safety analysis report (as updated)" without first obtaining NRC approval. The 10 CFR 50.59 processes do not trigger updates to the FSARs for safety analyses performed at the NRC's request, unless those safety analyses also involve a plant modification or procedure revision.

RELEVANCE OF 10 CFR 50.71(e) FOR LICENSE RENEWAL OF INDIAN POINT UNITs 2 AND,3 Federal regulation 10 CFR 50.71(e) requires NRC licensees of operating nuclear reactors like Indian Point Units 2 and 3 to periodically update the FSARs for their facilities to include applicable information from safety analyses performed at the NRC's request.

NEI's guidance document 98-03 Revision 1 describes a methodology for updating FSARS to conform to 10 CFR 50.7 1(e) requirements. This guidance defines "safety analyses", and details what constitutes applicable information from safety analyses performed at the NRC's request to be incorporated into the FSARs.

NRC's Regulatory Guide 1.181 endorsed NEI 98-03 Rev. 1 as an acceptable means for conforming to the 10 CFR 50.71(e) requirements, but provided licensees the option of establishing an alternative means of conformance for the NRC to review and accept.

NRC's generic correspondence program uses Regulatory Issue Summaries, Information Notices, Generic Letters, and Bulletins to make licensees aware of relevant operating experience and to:

require licensees to take certain actions based on that operating experience. Regulatory Issue' Summaries and Information Notices involve administrative (e.g., scheduling testing of 19 New York Power Authority letter from Harry P. Salmon, Jr., Chief Nuclear Officer - Acting, to U.S. Nuclear Regulatory Commission, "Response to Request for Additional Information Pursuant to 10 CFR 50.54(f) Regarding Adequacy and Availability of Design Bases Information," February 7, 1997. Available from the NRC's Public Document Room via accession number 97021201201 20 New York Power Authority letter from Harry P. Salmon, Jr., Chief Nuclear Officer - Acting, to U.S. Nuclear Regulatory Commission, "Response to Request for Additional Information Pursuant to 10 CFR 50.54(f) Regarding Adequacy and Availability of Design Bases Information," February 7, 1997, page 22 of attachment 1. Available from the NRC's Public Document Room via accession number 9702120120.

November 27, 2007 Page. 6 of 13

candidates for operator licenses) and information awareness matters. Generic Letters and Bulletins typically involve actions NRC requests licensees to take.

I reviewed NRC Generic Letters and Bulletins issued since 1982, corresponding to when 10 CFR 50.7 1(e) required. the Indian Point 2 and 3 licensees to begin submitting periodic updates to the FSARs to include applicable information from safety analyses requested by the NRC via these generic correspondence documents. The generic correspondence documents included in this review are listed in Table 1.

For Indian Point Units 1, 2, and 3, I reviewed the licensee responses to the NRC generic correspondence. I. also reviewed the latest FSARs for references to this NRC generic correspondence. The responses I reviewed are also listed in Table 1 along with references found within the FSARs.

I also reviewed the license renewal application for Indian Point Units 2 and 3 for references to the NRC generic correspondence. Table 1 also indicates the NRC generic correspondence references found in the license renewal application.

I have summarized below some of the Table 1 entries. Generally, these summaries indicate what safety analyses were performed by the Indian Point licensees in response to NRC generic correspondence and how that information was, or was not, reflected within the FSARs.

NRC Bulletin 82-02 The NRC issued Bulletin 82-02 on June 2, 1982, to licensees of operating pressurized water reactors regarding an age-related degradation mechanism (corrosion) affecting bolts and studs in the reactor coolant pressure boundary. Specifically, this bulletin informed licensees of significant corrosion. of the closure studs for the reactor coolant pumps at Fort Calhoun and of closure studs for a steam generator primary manway at Maine Yankee. This bulletin required licensees to take appropriate steps to reduce the likelihood of similar corrosion problems at their facilities.

The Indian Point Unit 2 licensee responded to the NRC on August 2, 1982, reporting that wastage in 8 of the 24 closure studs for reactor coolant pump 23 had occurred due to leakage from the pump's main flange. The Indian Point Unit 2. licensee's response also informed the NRC that the reactor coolant pump insulation had been changed from blanket insulation to a preformed metal type to preclude boric acid buildup, and resulting corrosion, in event of future leaks. NRC Bulletin 82-02 is not mentioned in the Indian Point Unit 2 FSAR. The design change to the reactor coolant pump insulation type made to prevent significant age-related degradation (corrosion) is not mentioned in the. Indian Point Unit 2 FSAR.

The licensee's August 2, 1982, response to the NRC for Bulletin 82-02 credited a design change

in the type of insulation applied to the reactor coolant pumps in preventing significant age-related degradation from boric acid accumulation. This modification to the plant and its bases was not incorporated into the Indian Point Unit 2 FSAR. The role of the preformed metal type insulation in minimizing corrosion, credited in the licensee's response to NRC Bulletin 82-02, is not mentioned in the Indian Point license renewal application.

November 27, 2007 Page 7 of 13

NRC Bulletin 84-03 The NRC issued Bulletin 84-03 on August 24, 1984, to licensees of operating reactors. regarding the failure of the refueling cavity water seal at Connecticut Yankee that resulted in.

approximately 200,000 gallons of water flooding containment. This bulletin required licensees to evaluate the potential for and consequences of a refueling cavity water seal failure at their facilities.

On March 31, 1987, the licensee for Indian Point Unit 2 submitted to the NRC safety analyses performed in response to Bulletin 84-03. These safety analyses included evaluations of postulated breaks in 4-inch and 6-inch diameter piping (assumed to occur individually) that results in drainage of water from the refueling cavity. The purpose of these evaluations was to determine if sufficient time existed for the operators to move an irradiated fuel assembly from an elevated position into a safe location before the lowering water level uncovered it. An estimated maximum time of 1.1 hours1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months for the operators to re-position an elevated irradiated fuel assembly was used in the evaluations, which concluded that the calculated draindown times provided at least that amount of time. The submittal also apprised the NRC of the steps the operators would take, in addition to relocating an elevated irradiated fuel assembly, in response to a refueling cavity draindown event. Section 9.5.3.2, Malfunction Analysis, of the Indian Point Unit.2 FSAR states "Various potential failures, which could create paths for drainage from the refueling cavity, have been considered. A plant procedure defines actions to deal with these postulated events." Section 14.2.1, Fuel-Handling Accidents, of the Indian Point Unit 2 FSAR stated.

"Adequate cooling, of fuel during underwater handling is provided by convective heat transfer to the surrounding water. The fuel assemblyis immersed continuously while in the refueling cavity or spent fuel pit." This section summarizes the results from evaluations of three postulated accident: (1) drop of a fuel assembly in the fuel handling building, (2) drop of a fuel assembly.

inside containment,- and (3) drop of a spent fuel storage cask.

The Indian Point Unit 2 FSAR has not been updated to reflect the safety analyses performed in response to NRC Bulletin 84-03. The FSAR currently contains a discussion of a fuel handling accident in which fuel rods are damaged from the postulated dropping of a'fuel assembly. But the FSAR does not contain a discussion of the other credible fuel handling accident scenario evaluated by the licensee in response to NRC Bulletin 84-03; namely, that fuel rods are damaged by the fuel assembly remaining in place while the refueling cavity water level drops. The

associated operator response times and procedural steps to prevent fuel damage in event of water inventory loss have not been incorporated into the Indian Point Unit 2 FSAR.*

By letter dated November 27, 1984, the licensee for Indian Point Unit 3 submitted to the NRC safety analyses performed in response to Bulletin 84-03. These safety analyses included evaluations of various refueling cavity water seal failure modes such as deflection of-the seal due to hydrostatic pressure, compressive forces that might push the seal through the annular gap between the reactor vessel flange and the reactor cavity floor, and damage resulting from a fuel assembly dropping onto the seal and deflating it. The safety analyses additionally considered the response time for operators to mitigate a refueling cavity draindown. The submittal informed the NRC that operators can close the fuel transfer tube gate valve in approximately 20 minutes to isolate the fuel building from the reactor cavity, that operators can move the fuel transfer cart from the fuel building to the containment in approximately 5 minutes, and that operators can November 27, 2007 Page 8 of 13

lower a fuel assembly in the upender from the vertical position to the horizontal position in sapproximately 2 minutes. Section 9.5.3, System Evaluation, of the Indian Point Unit 3 FSAR states "An analysis is presented in Chapter 14 concerning damage to one complete outer row of fuel rods in an assembly.. This accident is assumed as a conservative limit for evaluating environmental consequences of a fuel handling accident."

The Indian Point Unit 3 FSAR has not been updated to reflect the safety analyses performed in response to NRC Bulletin 84-03. The FSAR currently contains a discussion of a fuel handling accidentin which fuel rods are damaged from the postulated dropping of a fuel assembly. But the FSAR does not contain a discussion of other credible fuel handling accident scenarios evaluated by the licensee in response to NRC Bulletin 84-03; namely, (a) that fuel rods are

.damaged by the fuel assembly remaining in place while the refueling cavity water level drops, and(b) that a dropped fuel assembly damages the refueling cavity water Seal causing a loss of

,water inventory. The associated operator response times and procedural steps to prevent fuel damage in event of water inventory loss have not been incorporated into the Indian Point Unit 3 FSAR.-

NRC Bulletin 87-01 The NRC issued Bulletin 87-01 on July 9, 1987, to licensees of operating nuclear reactors regarding a December 1986 event at the Surry nuclear plant that resulted in the deaths of four workers. Erosion/corrosion of a carbon steel pipe in the feedwater system caused it to rupture and release a two-phase mixture. This bulletin required licensees to take actions to prevent recurrence of this failure at their facilities-By letter dated September 11, 1987, the licensee for Indian Point Unit 2 submitted its response to the bulletin to the NRC. The Indian Point Unit 2 licensee informed the NRC "As a result of the Surry event, we have augmented our inspection program to include the following single phase systems: the main feedwater system, the condensate system, the heater drain pump discharge piping and the auxiliaryfeedwater system." The Indian Point Unit 2 licensee also informed the NRC "We are expanding our high energy pipe inspection program. In addition to the extraction steam program, the following systems are being added to that program: condensate,feedwater, moisture separatordrains,feedwater heater drains, steam generatorblowdown." Section 10.4, Tests and Inspections, of the Indian Point Unit 2 FSAR states "In response to NRC IE Bulletin 87-01, an inspection program has been established for piping and fittings in the extraction steam, turbine crossunder, heater drain pump discharge, condensate, feedwater, and auxiliary feedwater systems. UT inspections are utilized to evaluate wall thickness at locations considered to be most

susceptible to erosion/corrosion."

By letter dated September 15, 1987, the licensee for Indian Point Unit 2 submitted its response to the bulletin to the NRC. The Indian Point Unit 3 licensee informed the NRC "As a direct result of the Surry event and other industry reported failures in single phase systems, the Authority undertook an expanded inspection programduring the 1987 refueling outage." The discussion of erosion/corrosion piping 'degradation mechanisms and associated inspection regimes in the Indian Point Unit 3 FSAR is limited to steam generator tubes, service water system piping, and emergency core cooling system piping and fails to describe the inspection scope revisions made

in response to NRC Bulletin 87-01.

November 27, 2007 Page 9 of 13

NRC Generic Letter 87-12 The NRC issued Generic Letter 87-12 on July 9, 1987, to licensees of pressurized water reactors like Indian Point Units 2 and 3 regarding lessons learned from a loss of residual-heat removal-(RHR) cooling during midloop operation at Diablo Canyon. The bulletin required licensees, to describe design features and procedures at their facilities that can prevent and/or mitigate loss of cooling events during midloop operations at their facilities.

By letter dated September 29, 1987, the licensee for Indian Point Unit 2 informed the:NRC that "during RCS draindown, the Residual Heat Removal (RHR) System complies with the licensing basis for Indian Point Unit 3 as expressed in the FSAR and the Technical. Specifications." The licensee went on to inform the NRC that "recognizing the -potential significant of the Containment integrity issues addressed in the generic letter, we have conservatively analyzed offsite radiological consequences of RCS fluid boiloff without Containment integrity" and that the result from this safety analysis led the license to "prohibit draindown of the RCS to the water level where the potential for vortexing of RHR can occur unless the radioactivity level in the primary coolant is at an acceptable limit as defined in the attached analyses." No`ireference to Generic Letter 87-12 exists in the Indian Point Unit 2 FSAR and no discussion of these safety analyses and operational restrictions was found.

By letter dated September 21, 1987, the licensee for Indian Point Unit 3 provided the NRC with its response to Generic Letter 87-12. Section 4.3.7, Cold Shutdown RCS Level Indication, of the Indian Point Unit 3 FSAR describes the water level instrumentation installed in response to Generic Letters 87-12 and 88-17. -with explicit references to these documents - to monitor reactor coolant system conditions during cold shut down.

NRC Generic Letter 88-05 The NRC issued Generic Letter 88-05 on March 17, 1988, to licensees of operating pressurized water reactors including Indian Point Units. 2 and 3 regarding. events where reactor coolant leakage below the technical specification limits caused degradation of carbon steel components it contacted. The NRC reported:

In light of the above experience [boric acid degradation at Turkey Point Unit 4,' Salem Unit 2, and Fort Calhoun], the NRC believes that boric acid leakage potentially affecting the integrity of the reactor coolant pressure boundary should be procedurally controlled to ensure continued compliance with the licensing basis. We therefore request that you provide assurances that a program has been implemented consisting: of systematic measures to ensure that boric acid corrosion does not lead to degradation of the assurance that the reactor coolant pressure boundary will have an extremely low probabilityof abnormalleakage, rapidlypropagatingfailure or gross rupture.

and The request that licensees provide assurances that a program has been implemented to address the corrosive effects of reactor coolant system leakage at less than technical specification limits constitutes a new staff position. Previous staff positions have not considered the corrosion of external surfaces of the reactor coolant pressure boundary.

Based on the frequency and continuing pattern of significant degradation of the reactor November 27, 2007 Page 1.0 of 13

coolant pressure boundary that was discussed above, the staff now concludes that in the absence of. such a program compliance with General Design Criteria 14, 30, and 31 cannot be ensured.

By letter dated May 31, 1988, the licensee for Indian Point Unit 2 submitted a response to the NRC for Generic Letter 88-05. The licensee informed the NRC that its inspection program for boric acid corrosion developed in response to NRC Bulletin 82-02 "has since been expanded to cover more than 350 mechanical connections." Section 4.2.7.3; Locating Leaks, of the Indian Point Unit 2 FSAR mentions that "the presence of boric acid crystals near the leak" makes visual observation a method of locating sources of escaping steam of water. Sections 6.7.1.2.1.3, Releases to the Containment Environment; 6.7.1.2.8, Steam Generator Blowdown Liquid Sample Z.. Monitor; 6.7.1.2.9, Residual Heat Removal Loop; 6.7.1.2.10, Recirculation Loop; and 6B.0, Operational Experience; contain similar discussions. No mention of Generic Letter 88-05, a boric acid corrosion control program, or an inspection program of mechanical components for borated water leakage and/or boric acid accumulation was found within the Indian Point Unit 2 FSAR.

By letter dated June 1, 1988, the licensee for Indian Point Unit 3 submitted a response to the NRC for Generic-Letter 88-05. The licensee informed the NRC that it had revised procedures at Indian Point Unit 3 in response to the generic letter. The licensee informed the NRC that these steps included requiring "promptrepairand clean-up [of boric acid] when the component can be readily made available for maintenance activities" and "an engineering evaluation for continuing operability in those instances where prompt corrective action is impractical." No mention of Generic Letter 88-05,. a boric acid corrosion control program, or an inspection program of piping and components for borated water leakage and/or boric acid accumulation was found within the Indian Point Unit 3 FSAR.

In March 2002, workers at the Davis-Besse nuclear plant in Ohio discovered extensive degradation to the reactor vessel head caused by boric acid corrosion. The Davis-Besse licensee had also received Generic Letter 88-05 and committed to the NRC to implement a boric acid corrosion control program. A description of that boric acid corrosion control program was not incorporated into the Davis-Besse FSAR. Neither workers nor NRC inspectors detected over the intervening decade that the boric acid corrosion control program was not being implemented.

Had the FSAR been updated to reflect the licensee's response to Generic Letter 88-05 as 10 CFR 50.51(e) requires, the likelihood would have, been reduced that plant workers and NRC inspectors remained unaware of the implementation deficiency across this protracted period.

NRC Generic Letter 88-17 The NRC issued Generic Letter 88-17 on October 17, 1988, to licensees of operating pressurized water reactors including Indian Point Units 2 and 3 requiring actions to be taken to protect against fuel damage and release of radioactivity to the environment caused by reactor coolant system draindown during cold shut down. This generic letter required licensees to "Implement procedures and administrative controls that reasonably assure that containment closure will be achieved prior to the time at which a core uncovery could resultfrom a loss of DHR [decay heat removal] coupled with an inability to initiate alternate cooling or addition of water to the RCS inventory."

November 27, 2007 Page I I of 13

By letters dated February 3, 1989, August 22, 1990, September 20, 1991, and July 28, 1997, the licensee for Indian Point Unit 2 responded to the NRC regarding Generic Letter 88-17. The licensee informed the NRC that it was installing two separate and diverse reactor coolant system (RCS) water level monitoring systems, adding a control room indicator for operators to monitor residual heat removal (RHR) flow conditions, revising procedures to de-energize two open motor-operated valves (RHR isolation valves MOV-730 and MOV-731) when RHR is operating, establishing a vent pathway prior to RCS draindown to the level where RHR pump vortexing is possible, and adding an alarm function for the RCS water level monitoring system. No mention of Generic Letter 88-17 was found within the Indian Point Unit 2 FSAR. Section 5.1.4.2.3, Equipment and Personnel Access Hatches, discusses containment integrity during refueling, but only when "the Reactor Coolant System elevation >66 feet (i.e., not in reduced inventory)"

[emphasis in original] which is not the configuration of concern in Generic Letter 88-17. Section 9.3.2.2, Residual Heat Removal Loop, states that "Instrumentation has been provided in the control room to monitor RHR and reactor coolant system level when the system is cooled and depressurized" and describes the design features of this level monitoring. instrumentation.:-

Section 7.5.2.1.16, Reactor Coolant System Pressure, describes how pressure instruments provide redundant interlock signals to RHR isolation valves MOV-730 and MOV-73 1: to prevent.

them from opening at high RCS pressure, but there is no mention in the FSAR about de-energizing these valves in the open position when RHR is operating during cold shut down with' the reactor coolant system partially drained.

NRC Bulletin 94-01 The NRC issued Bulletin 94-01 on April 14, 1994, to licensees with irradiated fuel stored in spent fuel pools at permanently shut down nuclear reactors including Indian Point Unit 1 regarding lessons learned from an event at Dresden Unit 1 where cold weather caused water to freeze and rupture the pipe containing it.

By letter dated August 11, 1994, the licensee for Indian Point Unit 1 submitted its response to the NRC on Bulletin 94-01. The licensee described five key steps in a work plan it developed with the express objective of identifying and quantifying non-evaporative losses of water from the Unit 1 spent fuel pools: (1) isolate the east/west pools containing spent fuel from four smaller pools using new gates, (2) install new water level monitoring instrumentation in the west pool, (3) de-water the four smaller pools, (4) monitor and sample various plant sumps and offsite locations, and (5) perform mass balance inventory calculations to quantify any inventory losses and demonstrate they are being recovered by the plant's subsurface drain system. The licensee also informed the NRC of a "hydro-geologicalassessment of the potentialfor any leakagefrom the storage pools to affect ground water supplies and the range of such influence were it determined to be capable of occurring." The Indian Point Unit 1 FSAR contains no mention of Bulletin 94-01, the gates installed to separate the pools, the new spent fuel pool water level instrumentation, the inventory management program, or hydro-geological assessment results.

November 27, 2007 Page 12 of 13,

CONCLUSIONS The Indian Point licensees failed to comply with the regulatory requirement in 10 CFR 50.71(e) to update the FSARs to reflect safety analyses performed at the request of the NRC. Even the

.1996 reminder from the NRC following the problems at Millstone failed to stop the non-compliance problem and to remedy past shortfalls.

As a direct consequence of violating this regulation, the Indian Point Unit 1, 2, and 3 FSARs do not adequately contain all of the required safety analyses information.

The inadequate FSARs, it is impossible to ascertain the adequacy of the aging management programs for Indian Point. The inadequate FSARs do not fully describe the safety functions

., performed by structures, systems, and components within the design and licensing bases, making it impossible to first establish that all required structures, systems, and components are properly included within the scope of the aging management programs and then evaluate whether the scope and methodology of the aging management programs for those structures, systems, and components is adequate to provide reasonable assurance that the credited safety functions will be performed.

Prepared by: David A. Lochbaum

. .Director,-Nuclear Safety Project Union of Concerned Scientists 1707 H Street NW, Suite 600 Washington, DC 20006 (202) 331-5430 November 27, 2007 Page 13 of 13,

Table 1.

NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application Generic Letter 82-09, IP-2 UFSAR Rev. 20 "Environmental. submitted with the License Qualification of Safety Renewal Application Section Related Electrical 7.1.4 states that Generic Equipment," dated Letter 82-09 accepted the 04/20/1982 use ofpeak accident temperatureratherthan saturationtemperaturefor EQ purposes.

Bulletin 82-02, 08/Q2/1q8 Responise: ".'.the 08/03/1982 Response: no "Degradation of 'blanket hnisuation [o)n design basis changes Threaded Fasteners in RatrCoolant Pumrp 2-3] identified.

the Reactor Coolant ,x, hinged to a prefobtied Pressure Boundary of mea vet preclude PWR Plants," dated poteeftial fiature buifld up [of~

06/02/1982 b6oric~ acid]I."'

Generic Letter 82-33, 04/15/1983 Response: Con "Supplement 1 to Ed described its plans for an NUREG-0737 - SPDS, detailed control room Emergency Response design review, EOPs, Capabilities," dated emergency response facilities 12/17/1982 and other TMI-related items.

09/12/1986 RAI Response:

Con Ed responded to open items from the NRC's technical evaluation report.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section

Table 1:

NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal ApplicatiOn NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application'.

7.1.5 states that IP-2 theGeneric Letter 82-3.-

instrumentationcompliance ictions per the schliedule in with Reg -Guide 1.97 Rev. 2 NIA ,06/29/1984 as requiredby Generic spbnlittaV- ...

Letter 82-33 has been addressedin various submittals.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section 7.7.1 states that a detailed control room design review * ,

was conducted in response to. Generic Letter 82-33.

JP-2 UFSAR Rev. 20 submitted with the.License ,

Renewal Application Section -

12.3.1 states that the IP-2 proceduresgeneration package (PGP)and emergency operating .

procedures (EOPs) were developed in accordance with Generic Letter 82-33. , * . ; ,

IP-2 UFSAR Rev. 20 submitted with the License

Renewal Application Section :,

12.7.2 states that emergency responsefacilities are

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application r I r

NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application addressed as requiredby Generic Letter 82-33.

Generic Letter 83-35, 08/26/1986 Response: Con I 1I 13/1

/ S Acceptance:

"Clarification of TMI Ed cited WCAP- 11145 NRC accepted NYPA's Action Plan Item analyses. 07/09/1985 and 08/18/1986 II.K.3.3 1," dated letters citing WCAP- 11145 11/02/1983 IP-2 UFSAR Rev. 20 analyses.

submitted with the License Renewal ApplicationSection IP-3 UFSAR submitted with 14.3.3.4 states that the License Renewal evaluations in accordance Application Section 14.3.3.3 with Generic Letter 83-35 states that evaluations in were performed and accordance with Generic documented in WCAP- Letter 83-35 were performed 11145. and documented in WCAP-

.4- . 4 -I 11145.

Bulletin 83-08, 04/06/1984 Response: no "Electrical Circuit undervoltage trip attachments Breakers With used in safety-related Undervoltage Trip...in applications other than the Safety-Related reactor trip breakers Applications other than the Reactor Trip System," dated 12/28/1983 Bulletin 84-03, "Refueling Cavity Water Seal," dated 08/24/1984

Table I NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point I Indian Point 2 Indian Point 3 Application i

Generic Letter 85-01, oio/i/iYo IKesponse:

"Fire Protection Policy provides evaluation of a fire Steering Committee door frame assembly that is Report," dated not labeled by an approved 01/09/1985 independent testing lab. The evaluation includes eight factors (assumptions) needed to support the evaluation's conclusion.

IP-3 UFSAR submitted with the License Renewal Application Section 9.6.2.2 states that an evaluationfor this unratedfire door was performedper Generic Letter 85-01.*

Generic Letter 85-02, 07/07/1987 Amendment 76:

"Staff Recommended Revised steam generator tube Actions ... Regarding inspection to reflect GL 85-Steam Generator Tube 02.

Integrity," dated 04/17/1985 Generic Letter 85-12, 12/20/1985 Response: Oii fl* 12/13/1985 Response: NYPA "Implementation Of tewRCP p provided the plant-specific TMI Action Item iun*tumens wi bereplaced complement to the generic

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application II.K.3.5, "Automatic analysis by the WOG.

Trip Of Reactor Coolant Pumps," dated 11/19/1986 Acceptance:

06/28/1985 NRC accepted NYPA's reliance on the WOG analysis.

IP-3 UFSAR submitted with the License Renewal ,

Application Section 14.0.1 states that the reactor coolantpump trip analysis addressedall of the points in Generic Letter 85-12.

Bulletin 85-01, 02/18/1986 Response:

"Steam Binding of describes changes to Auxiliary Feedwater operating procedures and Pumps," dated operators rounds 10/29/1985 Bulletin 85-03, U1/L219Z5; Response: ton "Motor-Operated Ed outlines plans.

Valve Common Mode Failures During Plant 02/26/i988 Response: Con Transients Due to. Ed. stated that bulletin only Improper Switch applied to 13.valves in the.

Settings," dated. high pressure coolant' 11/15/1985 injection system. Engineering reviews of the thermal overload heater sizing led to replacement of the overload devices on two of the valves.

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point I Indian Point 2 Indian Point 3 ,Application 4 4 05/09/1988 RAI Response:

Con Ed addressed NRC' s questions about 13 MOVs.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section 6.2.2.3.16 states that "in response to the IE Bulletin 85-03, the operability of key safety Motor Operated Valves was verified with associatedfull differential pressure."

Generic Letter,85-22, IP-3 UE'SAR submitted with Potential For Loss Of the License Renewal "Post-LOCA Application Section 6.2.2 Recirculation states that the actual Capability Due To containment water level Insulation Debris priorto swapover to the Blockage," dated recirculationphase would be 12/03/1985 sufficient to provide adequate NSPHfor the pumps, based upon a review performed in response to Generic Letter 85-22.

Generic Letter 86-10, IP-3 UFSAR submitted with "Implementation of the License Renewal Fire Protection Application Section 9.6.2.2 Requirements," dated states thatfire protection 04/24/1986 features within the turbine building were evaluatedper

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application d (onorh VotforRI' IH

1- I Generic Letter 87-02, 10/04/1988 Response: Con "Verification of Ed committed to comply .with Seismic Adequacy of the Generic Implementation Mechanical and Procedure (GIP) in its Electrical Equipment entirety.

In Operating Reactors (USI A-46)," dated- 09/21/1992 Response: Safe 02/19/1987 Shutdown Equipment List (SSEL) has been developed and additional walkdowns are required. Con Ed intends to comply with the Generic Implementation Procedure (GIP) in its entirety. "In accordance with 10 CFR 50.71(e), the Updated Final Safety Analysis Report (UFSAR) would consequently be updated."

IP,2 UFSAR Rev. 20 submitted with the License Renewal Application Section 1.11.7 states thatthe licensee committed to implement the GenericImplementation Procedure(GIP-2) including the clarifications, interpretations,and exceptions in the NRC's Supplemental Safety

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point I Indian Point 2 Indian Point 3 Application

+

Evaluation Report (SSER-2).

Generic Letter 87-11, IP-2 UFSAR Rev. 20 "Relaxation in submitted with the License Arbitrary Intermediate Renewal Application Section Pipe Rupture 1.11.3 states that the original Requirements,' dated design criteriain Table 1.11-06/19/1987 2 have been modified to eliminate pipe whip restraintsandjet impingement shields per 4 +

Generic Letter 87-11.

Bulletin 87-01, "Thinning of Pipe Walls in Nuclear Power Plants," dated 07/09/1987 Generic Letter .87-12, "Loss of Residual Heat Removal While The.

Reactor Coolant System is Partially Filled," dated 07/09/1987

Table I NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application makes minor editorial corrections to its 09/21/1987 and 11/13/1987 responses.

IP-3 UFSAR submitted with the License Renewal Application Section 4.3.7 states that a new system to monitor reactorcoolant system water level during cold shutdown was implemented in response to Generic Letter 87-12. -4.

Bulletin 88-01, 08/04/1988 Response:

"Defects in provides results of breaker Westinghouse Circuit tests Breakers," dated 02/05/1988 Bulletin 88-02, Table 3.1.1 item 3.1.1-79 states "Rapidly Propagating that Aging Management Fatigue Cracks in Program takes corrective Steam Generator actions consistent with Bulletin Tubes," dated 88-02.

02/05/1988

Table I NRC, Generic Correspondence Cited. in Indian Point FSARS and/or License. Renewal Application NRC Generic License Renewal Correspondence Indian Point. 1 Indian Point 2*" Indian Point 3 Application.:

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal I Application Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Generic Letter 88-05, UJ/3 1/ iYoo nesponse: uouo/ iJo Aesponse:

"Boric Acid Corrosion describes RCS inspection Describes commitments to of Carbon Steel scope and frequency develop list of vulnerable Reactor Pressure components and develop Boundary Components procedures for appropriate in PWR plants," dated inspections 03/17/1988 Bulletin 88-04, IP-3 UFSAR submitted with "Potential Safety- the License Renewal Related Pump Loss,"' Application Section 6.2.2 dated 05/05/1988 states that strongpump/

weak pump interactions .-:

describedin Bulletin 88-04,"

arepreventedby the recirculationline

____________________ configuration. *_ _ __**_ _

Table 1' NRC Generic Correspondence Cited in Indian Point FSARs and/or Lice se ReneWal Application NRC Generic "License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application_

Generic Letter 88-11, 03/03/1990 Response: 01/13/1989 Response:

"NRC Position on transmitted formal evaluation revised methodology requires Radiation by Southwest Research changes before cycle 8 Embrittlement of Institute of reactor vessel Reactor Vessel material specimen Materials and Its Impact on Plant Operations," dated 07/12/1988

.Bulletin 88-09, 04/20/1989 Response: 04/25/1989 Response: results "Thimble Tube. discussion of design and of thimble tube thickness Thinning in inspection results measurements Westinghouse Reactors," dated 07/26/1988 Generic Letter 88-12, 06/16/1994 Request: Con Ed 04/18/1994 Request: NYPA "Removal of Fire submitted a license submitted a license Protection amendment request to amendment request to Requirements from relocate fire protection relocate fire protection Technical requirements from the requirements. from the Specification," dated technical specifications per technical specifications per 08/02/1988 the generic letter. the generic letter.

03/26/1996 Amendment: The NRC issued Amendment 186 which relocated fire protection requirements from the technical specifications per the generic letter.

Generic Letter 88-17, 02/03/19819Respon Con, 01/03/1989 Response: NYPA "Loss of Decay Heat Edde4scribed plastoinst*ll.,1 described existing equipment Removal," dated to ispepar nd*itverse and procedures used during

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application 10/17/1988 ~RCS level monitorin ~ "mid-loop operation.

instrnlentation ssstems*, yV the enid ofthe1989 refueling IP-3 UFSAR submitted with outage Con Ed alsot the License Renewal d*escriedan Indicator being Application Section 1.3.2 ad:aded in the control room to states that two independent allow the operators to reactorcoolant system water monitor low ,RR loi , level indication systems were 0conditions. Conn stated installedin response to that procedures woutld be GenericLetter 88-17..

rev*sed to de*energize rmotor-Ioperated alves MOV730 IP-3 UFSAR submitted with a.d NIOV** 3. ien they, are the License Renewal

opened with RHRin servyice Application Section 4.3.7 states that new methods of 08/22,1990 Response: Con monitoringreactorcoolant

Ed revised&its conmrnitment K system water level during onofestablishinig a vent: cold shutdown were

- athayA~irintg R" 'P implemented in response to draindown. The new *' Generic Letter 88-17.

coomrnutment! is to provaide vent path prior to RCS '

RHJR vortexing is possible, Con Ed stated an tiiltrasic1 level detector hadbee J

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic .License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application Generic Letter 88-18, IP-2 UFSAR Rev. 20 "Plant Record Storage submitted with the License on Optical Disks," Renewal ApplicationSection dated 11.4 states that IP 10/20/1988 proceduresfor storing records on opticaldisks complies with Generic Letter 88-18.

BULLETIN 88-11, 03/03/1989 Response: more 03/21/1989 Response: more Section 4.3.1.8 states that IP's "Pressurizer Surge time for analysis needed time for analysis needed original design analyses did not Line Thermal consider thermal stratification Stratification," dated 02/04/1991 Response: more 05/30/1989 Response: of the surge line, but a program 12/20/1988 time for analysis needed provides justification for was developed for IP to ensure interim operation based on component integrity.

10/01/1991 Response: Con WOG evaluation Ed provided its closeout package in response to the 01/18/1991 Response: more bulletin, including transmittal time for analysis needed and proprietary and non-proprietary versions of the IP-3 UFSAR submitted with plant-specific analyses the License Renewal performed by Westinghouse.. Application Section 1.3.4

_______________________ .1____________________ 1 states that a new

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application IP-2 UFSAR Rev. 20 methodology per Generic submitted with the License Letter 88-11 was appliedto Renewal Application.Section the evaluation of reactor 4.2.2.7 states that thermal vessel capsule Z.

stratificationeffects on the pressurizersurge lines have been evaluatedfor the design life of the plant. ..

Generic Letter 89-13, IP-3 UFSAR submitted with "Service Water System the License Renewal Problems Affecting Application Section 6.4.2 Safety-Related states that containmentfan Equipment," dated cooler cooling coil thermal 07/18/1989 . performance is assuredby means other than roughing filters and references Generic Letter 89-13.

Generic Letter 92-01, 07/06/1992 Response: Con Table 4.2-4 9 th column is "Reactor Vessel Ed stated "This report "Chemistry Factor GL 92-01" Structural Integrity," describes the methods used dated 02/28/1992 and results obtained in evaluating Indian Point Unit 2 relative to GL 92-01.".

IP-2 UFSAR Rev..20.

submitted with the License Renewal Application Section, 4.2.5 states that additional information On nil ductility transitiontemperaturesfor pressurizedthermalshock iný _

response to Generic Letter __._ *___....__._-_*_______ ..__

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic .License Renewal' Correspondence Indian Point 1' Indian Point 2 Indian Point 3 Application.,

92-01, Rev. 1, is provided in a reference.

Generic Letter .93-04, *12/11/1997 Response: Con "Rod Control System Ed notified NRC that the Failure and Withdrawal Salem rod withdrawal of Rod Control Cluster modification had been Assemblies, 10 CFR completed during.the 1997 50.54(f)," dated refueling outage.

06/21/1993 05/04/1998 Response: Con Ed notified NRC that the modification and testing recommended by Westinghouse had been completed during the 1997 refueling outage.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section 3.2.3.4.1.7 states that the sequence timing has been modified to preclude the rod withdrawal event described in GenericLetter 93-04.

Bulletin 94-01, N/A N/A "Potential Fuel Pool ~Response:describes Draindown Caused by ~plans to install new Inadequate level Maintenance Practices at Dresden Unit 1," the west pool~ and dated 04/14/1994 variouis

........ ~ ... ~. . L

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application administrative owntrols,e t escrie,

-afrea(lnista11ed tco j separate the spenti -

ftlel pools..

Thc /P-1 FSAR, submnitted with the License Renewal i Applicatio~n

~containsno

!mention of Bulletin i94-01, the hcensees'si

reonse, the gates

installedto sepa~rate thesefuen': fue pools, or the new level ins frumientation in Genetic__Letter_95-07, west -the I U R.l.P___

Generic Letter 95-07, IP-2 UFSAR Rev. 20 "Pressure Locking and submitted with the.License Thermal Binding of Renewal Application Section Safety-. Related Power- 6.11.5 states that Operated Gate evaluationsof safety-related, Valves," dated power-operatedgate valves 08/17/1995. were performed in response.-

________________ .___________ to Generic Letter 95-07.

Generic Letter 96-04, 10/23/1996 Response:. 08/06/1996 Response:

"Boraflex Degradation describes monitoring boraflex not used at IP-3 in Spent Fuel Pool program established after.

Storage Racks," dated "_'. boraflex panels installed in *_"_"_*_____"._._.__._-_'

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal' Correspondence Indian Point 1. Indian Point 2 Indian Point 3 Application 06/26/1906 VVI*VI *JJV lQl.

JJV Generic Letter 96-06, 01/28/1997 Response:

"Assurance of describes analysis showing.

Equipment Operability containment response to and Containment postulated event Integrity During Design-Basis Accident 08/29/1997 Response:

Conditions," dated addresses "the corrective 09/30/1996 actions and modifications made during the 1997 refueling outage, which restored certain lines at Indian Point Unit No. 2 to full compliance with Generic Letter 96-06." Ex: "The original piping insulation*

installed on line #10 was changed from two inches of calcium silicate to six inches of glass wool" and "Line

69, 26 had relief valves installed."

09/15/1998 Response: reply to NRC RAI on analytical methodology and assumptions.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section 6.1.1.5 states that isolated

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application piping segments penetrating the containment were evaluated in response to Generic Letter 96-06.

IP-2 UFSAR Rev. 20 submitted with the License Renewal Application Section 9.6.1.3 states that the containmentfan cooler units were evaluatedfor waterhammerpotentialin response to Generic Letter 96-06.

Generic Letter 97-01, 05/01/1997 Response: sceule1uf info i nfosponlsy "Degradation of schedule info only schedule only' Control Rod Drive Mechanism Nozzle and 07/30/1997 Response: no 02/16/1999 Response:

Other Vessel Closure design basis changes referenced EPRI evaluation Head Penetrations," identified dated 04/01/1997 01/12/1999 Response:

provided EPRI evaluation Generic Letter 98-04, 11/10/1998 Response: design "Potential for basis for containment Degradation of the coatings, Emergency Core Cooling System and IP-2 UFSAR Rev. 20..

the Containment Spray submitted with the License System After a Loss- Renewal Application Section of-Coolant Accident 6C.6 references'Generic Because of ._"_ Letter 98-04.

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 .Indian Point 3 Application..

Construction and Protective Coating Deficiencies and Foreign Material in

.Containment," dated 07/14/1998 Generic Letter 99-02, 08/02/1999 Response: NYPA "Laboratory Testing of committed to testing per Nuclear- Grade ASTM D3803-1989 and to Activated Charcoal," revising technical dated 03/06/1992 specifications accordingly.

IP-3 UFSAR submitted with the License Renewal Application Section 1.3.2 states that nucleargrade activated charcoalis tested per response to Generic Letter 99-02.

IP-3 UFSAR submitted with the License Renewal Application Section 6.4.2 states that activated carbon is tested perASTM D3803-1989 per response to Generic Letter*99-02.

IP-3 UFSAR submitted with the License Renewal Application Appendix 6C I - states that activatedcharcoal

Table 1 NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic License Renewal Correspondence Indian Point 1 Indian Point 2 Indian Point 3 Application is tested per response to Generic Letter 99-02.

Bulletin 2003-01, . 08/07/2003 Response: 08/07/2003 Response:

"Potential Impact of describes design describes design Debris Blockage on Emergency Sump Recirculation at Pressurized-Water Reactors," dated 06/09/2003 i Generic Letter 2003-01, "Control Room Habitability," dated 06/12/2003 Generic Letter 2004- ULILNZUUJ Re; U2/2IL/mUU3. Kesponse:

02, "Potential Impact schedule plans schedule plans of Debris Blockage on

.Emergency 09/01/2005 Response: plans 09/01/2005 Response: plans Recirculation during for calculations and. for calculations and.-

Design Basis Accidents modifications modifications at Pressurized-Water Reactors," dated 12/15/2005 Response:. 12/15/2005 Response:

09/13/2004 I I schedule commitments ý I schedule commitments

Table 1-:

NRC Generic Correspondence Cited in Indian Point FSARs and/or License Renewal Application NRC Generic eLicense Renewal Correspondence Indian Point I Indian Point 2 Indian Point 3 Application Generic Letter 2006- 04/03/2006 Response: no 04/03/2006 Response: no 02, "Grid Reliability design basis changes design basis changes and the Impact on Plant identified identified.

Risk and the Operability of Offsite 01/31/2007 RAI Response: 01/31/2007 RAI Response:

Power," dated no design basis changes no design basis changes 02/01/2006 identified identified _ _.._

Generic Letter*2007- 05/07/2007 Response: 05/07/2007 Response:

01, title? operational experience operational experience

.02/07/2007 reported reported __

David A. Lochbaum EDUCATION June 1979 Bachelor of Science in Nuclear Engineering, The University of Tennessee at Knoxville 37996 June 1976 Diploma, Farragut High School, Knoxville, TN 37934 Note: I received a diploma from the Farragut High School although I did not attend a single day of class there. After finishing my junior year at the Terry Parker High School in Jacksonville, FL 32211, my family moved to Knoxville. With the advanced courses taken at Terry Parker and high score on the ACT test, I skipped my senior. year of high school to enroll at The University of Tennessee in September 1975.

EXPERIENCE

SUMMARY

10/96 to date Director- Nuclear Safety Project Union of Concerned Scientists Two Brattle Square Cambridge,MA 02238-9105 Supervisors: Lisbeth Gronlundand David Wright, Co-Directorsof the Global Security Program at (617) 547-5552 Responsible for directing UCS's nuclear safety program, for monitoring developments in the nuclear industry, for serving as the organization's spokesperson on nuclear safetyissues, for initiating action to correct safety concerns, for authoring reports and briefs on safety issues, and for presenting findings to the Nuclear Regulatory Commission, the US Congress, and state and local officials.

11/87 to 09/96 Senior Consultant Enercon Services, Inc.

.500 Townpark Lane, Suite 275 Kennesaw, GA 30144-5509 Supervisor: CarterNoland at (770) 919-1930 Responsible for developing the conceptual design package for the alternate decay heat removal system, for closing out partially implemented modifications, reducing the backlog of engineering items, and providing training on design and licensing bases issues at the Perry Nuclear Power Plant.

Responsible for developing a topical report on the station blackout licensing bases for the Connecticut Yankee plant.

Responsible for vertical slice assessment of the spent fuel pit cooling system and for confirmation of licensing commitment implementation at the Salem Generating Station.

Responsible for developing the primary containment isolation devices design basis document, reviewing the emergency diesel generators design basis document, resolving design document open items, and updating design basis documents for the FitzPatrick Nuclear Power Plant.

Responsible for the design review of balance of plant systems and generating engineering calculations to support the Power Uprate Program for the Susquehanna Steam Electric Station.

Responsible for developing the reactor engineer training program, revising reactor engineering technical and surveillance procedures and providing power manuevering recommendations at the Hope Creek Generating Station.

David A. Lochbaum Responsible for supporting the lead BWR/6 Technical Specification Improvement Program and preparing licensing submittals for the Grand Gulf Nuclear Station.

03/877 to 08/87 System Engineer General Technical Services Columbia, MD (company no longer in business)

Supervisor: James Bleier Responsible for reviewing the design of the condensate, feedwater and raw service systems for safe shutdown and restart camabilities at the Browns Ferry Nuclear Plant.

08/83 to 02/87 Senior Engineer Enercon Services, Inc.

500 Townpark Lane, Suite 275 Kennesaw, GA 30144-5509 Supervisor: CarterNoland at (770) 919-1930 Responsible~for performing startup and surveillance testing, developing core monitoring software, developing the reactor engineer training program, and supervising the reactor engineers and Shift, Technical Advisors at the Grand Gulf Nuclear Station.

10/81 to 08/83, ReactorEngineer/ShiftTechnical Advisor Tennessee Valley Authority Browns Ferry Nuclear Plant.

Athens, AL 35611 Supervisor:EarlNave (now retired)

Responsible for performing core management functions, administering the nuclear engineer training program, maintaining ASME Section XI program for the core spray and CRD systems, and covering STA shifts at the Browns Ferry Nuclear Plant.

06/8 1.to 10/81 BWR Instructor GeneralElectric Company BWR16 Training Center Inola, OK (site no longer in business)

Responsible for developing administrative procedures for the Independent Safety Engineering Group (ISEG) at the Grand Gulf Nuclear Station.

01/80 to 06/81. Reactor Engineer/ Shift Technical Advisor Tennessee Valley Authority Browns Ferry NuclearPlant Athens, AL 35611 Supervisor: EarlNave (now retired)

Responsible for directing refueling floor activities, performing core management functions, maintaining ASME Section XI program for the RHR system, providing power maneuvering recommendations and covering STA shifts at the Browns Ferry Nuclear Plant.

06/79 to 12/79 Junior Engineer Georgia*PowerCompany Edwin L Hatch Nuclear Plant Baxley, GA 31513 Supervisor: Steve Curtis

David A. Lochbaum Responsible for completing pre-operational testing of the radwaste solidification systems and developing design change packages for modifications to the liquid radwaste systems at the Edwin I. Hatch Nuclear Plant.

OTHER QUALIFICATIONS April 1982 Training culminating in certification as a Shift Technical Advisor at the TVA Browns Ferry Nuclear Plant 1981 Received Best Idea Award at Browns Ferry for change to control rod drive friction testing procedure that significantly reduced personnel radiation exposures May 1980 Training culminating in certification as an Interim Shift Technical Advisor at the TVA Browns Ferry Nuclear Plant Member, American Nuclear Society (since 1978).

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION In re:

Docket Nos. 50-247-LR and 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64 Entergy Nuclear Operations, Inc.

DECLARATION OF PAUL BLANCH Paul Blanch, hereby declares under penalty of perjury that the following is true and correct:

1. I have been retained by the New York State Office of the Attorney General to provide expert services in connection with the application by Entergy Nuclear Operations, Inc. and its affiliates (collectively Entergy) for a renewal of the two separate operating licenses for the nuclear power generating facilities located at Indian Point.

2. Beginning in 1964, I served in the U.S. Navy as a nuclear reactor and electric plant operator on Polarisclass submarines for seven years. As part of my Navy duties, I was certified as aln instructor at the Navy prototype reactor (S I C) in Windsor Locks, Connecticut. Thereafter, in 1972, I received a Bachelor of Science in Electrical Engineering from the University of Hartford. I have more than 25 years of engineering, engineering management, and project coordination experience for the construction and operation of nuclear power plants.

I Blanch Declaration

3. I have reviewed the April 30, 2007 License Renewal Application submitted by Entergy to renew the operating licenses for Indian Point Unit 2 and Unit 3. As set forth below and as developed in the relevant Contentions contained in the Petition to Intervene of the State of New York, it is my opinion that the proposed aging management programs fail to provide reasonable assurance that IP2 and IP3 will operate safely through their proposed license renewal periods.

4. Failure to properly manage aging of Non-environmentally-qualified (Non-EQ)

Inaccessible Medium-Voltage Cables may challenge:

a. the integrity of the reactor coolant pressure boundary;

b. the capability to shutdown the reactor and maintain it in a safe shutdown condition; or

c. the capability to prevent or mitigate the consequences of accidents which could result in potential offsite exposures comparable to those referred to in

§§ 50.34(a)(1), 50.67(b)(2), or 100.11.

5. The failure to properly manage aging of the Non-EQ Inaccessible Medium-Voltage Cables could result in the loss of the 6.9 kV and 13.8 kV safety related buses that supply emergency power to the 480 volt safety equipment including Station Blackout (SBO) loads, service water motors/pumps, safety injection pumps, and other electrical loads required to meet the requirements of 10 C.F.R. §§ 54.4 and 54.29.

6. Consequence of failures of Non-EQ Inaccessible Medium-Voltage Cables may result in accidents beyond the Design Basis Accidents resulting in exposures to the public exceeding 10 C.F.R. §100 limits.

7. The applicant has not "demonstrate(d) that the effects of aging will be adequately 2 Blanch Declaration

managed so that the intended function(s) will be maintained consistent with the CLB for the period of extended operation" (10 C.F.R. § 54.2 1(a)(3)) for those SSC's identified for Pressurized Water Reactors in Table 6 of NUREG 1801.

8. The applicant has failed to identify the location and extent of Non-EQ Inaccessible Medium-Voltage Cables in use at IP 2 and IP 3. For example, the Applicant has failed to provide drawings referenced in the LRA. See the reference to Drawing 9321 -F-31193.

9. The applicant has failed to provide access to referenced documents that are not publicly available (e.g. EPRI TR-103834-PI-2 and EPRI TR-109619). A computer search has been conducted by me of all publicly available documents using ADAMS, CITRIX, BRS, GOOGLE and the EPRI web site and the search has not located these referenced documents. It is not possible to fully evaluate the adequacy of the AMP without these references.

10. The applicant has failed to provide a copy of its "Non-EQ Insulated Cables And Connections Program" and "Non-EQ Inaccessible Medium-voltage Cable Program" identified in Appendix B of the LRA.

11. The applicant has failed to address specific recommendations from the referenced Sandia report (SAND96-0344).

12. There is no technical basis to support life extension using the existing medium voltage power cables without.a descriptive aging management plan.

13. There is no technical basis to justify differences between programs for aging management of accessible cables and inaccessible cables. 10 C.F.R. § 54.21 (a)(3).

14. A review of all documents supplied as part of the LRA has failed to identify which cables are encompassed by the AMP. A review of the "one line" electrical drawing from Chapter 3 Blanch Declaration

8 of the IP 2 UFSAR confirms that many of these medium voltage cables are within the scope of 10 C.F.R. § 54.4.

15. The applicant has failed to provide a copy of its "NonEQ Insulated Cables and Connections Program." It is not possible to assess the adequacy of the AMP without a copy of this program as described in LRA B. 1.25. No details are provided explaining the Non-EQ Inaccessible Medium-Voltage Cable Program except that it appears to be limited to ...

inspections for water accumulation in manholes at least once every two years." Id. Experience indicates that not all inaccessible cables are capable of inspection via "manholes".

16. The only difference between the cables discussed in B. 1.23 and B. 1.25 is accessibility which, in light of the comparable safety significance of both types of cables and the risk of aging damage to both types of cables is not a technically defensible basis for treating the two types of Non-EQ cables differently.

17. There are numerous inaccessible cables (less than 2 kV) ranging in voltage from 100 to 2,000 volts installed at the IP 2 and IP 3 that meet the requirement as described in 10 CFR § 54.4 including power and control for the following vital components.

- Auxiliary component cooling pumps

- Safety injection pumps

- Residual heat removal pumps

Nuclear service water pumps

- Containment air recirculation cooling fans

- Auxiliary feedwater pumps

- Spray pumps (if start signal present) 4 Blanch Declaration

18. The LRA has not specifically identified an aging management program and/or the' I

locations of the Non-EQ Inaccessible Low-Voltage Cables however these cables exist in many locations including power to the Service Water Pumps.

19. The most recent UFSAR confirms the use of these vital cables at IP2 and IP3.

20. Failure to properly manage aging of Non-EQ Inaccessible Low-Voltage Cables may adversely impact:

a. The integrity of the reactor coolant pressure boundary;

b. The capability to shut down the reactor and maintain it in a safe shutdown condition; or

c. The capability to prevent or mitigate the consequences of accidents which could result in potential offsite exposures comparable to those referred to in

§§ 50.34(a)(1), 50.67(b)(2), or 100.11 of this chapter, as applicable.

d. May result in the loss of emergency power to the 480 volt safety equipment including all Station Blackout (SBO) loads.

- /

21. There are numerous Electrical Transformers that perform a function described in §§ 54.4(a)(1 )/(2) and (3). Transformers function without moving parts or without a change in configuration or properties as defined in that regulation.

22. Failure to properly manage aging of Electrical Transformers may compromise:

a. The integrity of the reactor coolant pressure boundary;

b. The capability to shut down the reactor and maintain it in a safe shutdown condition; or

c. The capability to prevent or mitigate the consequences of accidents which 5 Blanch Declaration

could result in potential offsite exposures comparable to those referred to in

§§ 50.34(a)(1), 50.67(b)(2), or § 100.11 of this chapter, as applicable. 10 C.F.R. §§ 54.4(a)(1)(2) and (3).

23. The consequence of failures of Electrical Transformers may result in accidents beyond the Design Basis Accidents resulting in exposures to the public exceeding 10 C.F.R. § 100 limits.

24. Failure to properly manage aging of electrical transformers could result in loss of emergency power to the 480 volt safety equipment and 6.9kV busses including station blackout loads. Appendix A, Page A-35 of the UFSAR supplement describes a Structures Monitoring Program that includes a program for monitoring "transformer/switchyard support structures" yet there is no APM described for transformers within the scope of 10 C.F.R. § 54.21(a)(1)(i).

25. Many of the legally relevant GDC for IP2 and IP3 relate to components, equipment, and systems that may require aging management. See e.g. GDC 47 (Testing of Emergency Core Cooling Systems (Category A); GDC 34 (Reactor Coolant Pressure Boundary Rapid Propagation Failure Prevention (Category A); GDC 50 (NDT Requirement for Containment Material (Category A)). However, whether aging management is required for those components, equipment and systems cannot be determined nor can the adequacy of any aging management analysis or plan be evaluated until Applicant identifies components, equipment and systems that are in compliance with the legally relevant GDC.

26. There are substantial substantive differences between the trade association version of the GDC and the officially promulgated 1967 Draft GDC. The following are examples of the conflicts:

6 Blanch Declaration

A. Criterion 50 from 32 FR 10213 states: Criterion 50-NDT Requirement for Containment Material (Category A) Principal load carrying components of ferritic materials exposed to the external environment shall be selected so that their temperatures under normal operating and testing conditions are not less than 30 degrees F above nil ductility transition (NDT) temperature.

Chapter 5, Page 4 of 89 Revision 20 (541/1698) of the Indian Point.2 UFSAR provided as part of the LRA states: 5.1.1.1.7 Nil-ductility Transition Temperature Requirement for Containment Material - Criterion: The selection and use of containment materials shall be in accordance with applicable engineering codes.

(GDC 50).

Chapter 5, Page 5 of 188 (826/2108) of the Indian Point 3 UFSAR provided as part of the LRA states: Criterion: The selection and use of containment materials shall be in accordance with applicable engineering codes. (GDC 50 of 7/11/67)

Both IP2 and IP3 state compliance with GDC 50. However, both UFSARS have reworded and changed the intent of this GDC 50 by removing the words "Principal load carrying components" and "less than 30 degrees F above nil ductility transition (NDT) temperature" from the regulation.

B. Criterion 47 from 32 FR 10213 states: Criterion 47-Testing of Emergency Core Cooling Systems (Category A). A capability shall be provided to test periodically the delivery capability of the emergency core cooling systems at a location as close to the core as is practical.

Chapter 6, Page 8 of 120 Revision 20 (Page 717/1698) of the Indian Point 2 UFSAR provided as part of the LRA states: 6.2.1.4 Testing of Emergency Core Cooling System Criterion: Capability shall be provided to test periodically the operability of the emergency core cooling system up to a location as close to the core as is practical. (GDC 47)

Chapter 6, Page 10 of 215 (Page 1019/2108) of the Indian Point 3 UFSAR provided as part of the LRA states: Testing of Emergency Core Cooling System Criterion 47: Capability shall be provided to test periodically. the operability of the Emergency Core Cooling System up to a location as close to the core as is practical.

Both IP2 and IP3 state compliance with GDC 47. However, the USFARs have reworded and changed the intent of GDC 47 by removing the words "test periodically the delivery capability." The "delivery capability" of the Emergency 7 Blanch Declaration"

Core Cooling System (ECCS) may be impacted by aging mechanisms such as pipe fouling, erosion, corrosion and heat exchanger tube fouling. The License Renewal Application (LRA) has failed to discuss any Aging Management Program (AMP) to assure that the "delivery capability" of the Emergency Core Cooling System (ECCS) continues to meet the requirements of this GDC.

C. Criterion 34 from 32 FR 10213 states: Criterion 34-Reactor Coolant Pressure Boundary Rapid Propagation Failure Prevention (Category A). The reactor coolant pressure boundary shall be designed to minimize the probability of rapidly propagating type failures. Consideration shall be given (a). to the notch-toughness properties of materials extending to the upper shelf of the Charpy transition curve, (b) to the state of stress of materials under static and transient loadings, (c) to the quality control specified for materials and component fabrication to limit flaw sizes, and (d) to the provisions for control over service temperature and irradiation effects which may require operational restrictions.

Chapter 4, Page 6 of 85 Revision 20 (Page 443/1698) of the Indian Point 2 UFSAR provided as part of the LRA states: 4.1.3.4 Reactor Coolant Pressure Boundary Rapid Propagation Failure Prevention Criterion: The reactor coolant pressure boundary shall be designed and operated to reduce to an acceptable level the probability of rapidly propagating type failure. Consideration is given (a) to the provisions for control over service temperature and irradiation effects, which may require operational restrictions, (b) to the design and construction of the reactor pressure vessel in accordance with applicable codes, including those, which establish requirements for absorption of energy within the elastic strain energy range and for absorption of energy by plastic deformation and (c) to the design and construction of reactor coolant pressure boundary piping and equipment in accordance with applicable codes. (GDC 34)

Indian Point 3 UFSAR provided as part of the LRA fails to address Criterion 34 from the 1967 GDCs.

IP3 makes no commitment to comply with this regulation. IP2 has completely altered the words and the intent of this General Design Criterion by eliminating the following requirements that may be impacted by aging mechanisms within the scope of 10 CFR 54.4:

(a) to the notch-toughness properties of materials extending to the upper shelf of the Charpy transition curve, (b) to the state of stress of materials under static and transient loadings 8 Blanch Declaration

(c) to the quality control specified for materials and component fabrication to limit flaw sizes, and (d) to the provisions for control over service temperature and irradiation effects which may require operational restrictions.

27. If it is not known whether the components, equipment and systems at IP2 and IP3 are in compliance with the legally relevant GDC it is to be expected that the NRC Staff, in fulfillment of its regulatory obligations, will uncover the deficiencies and require that they be corrected. However, that has not occurred to date and until that has occurred, the specific components, equipment and systems are not known and it is not possible to design or evaluate the appropriate aging management programs and analyses.

28. There are substantial substantive differences between the trade association version of the GDC and the officially promulgated 1967 Draft GDC. The side by side comparison of the two versions is shown in a Chart prepared by me which is attached.

29. Throughout the UFSAR when the language of a GDC with which 1P2 and IP3 is alleged to be in compliance is cited, the language is taken from the trade association version of the GDC and not the 1967 Draft GDC.

30. While in a few instances the differences are of little obvious safety significance, in a number of instances the differences are substantial and result in IP2 and the trade association and IP3 and the trade association illegally "granting" IP2 and IP3 an "exemption" from the applicable safety requirements of the AEC. These substantial differences are highlighted on attached Exhibit, prepared by me.

31. Attached to this Declaration is the Chart prepared by me and a copy of my current CV. Both of these documents were prepared by me and are true and correct to the best of my 9 Blanch Declaration

personal knowledge.

Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Dated: November*,,#, 2007 West Hartford, Connecticut Paul Elnc 10 Blanch Declaration

Comparisinn of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point MFARS Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA PART 50 -LICENSINGOF PRODUCTION AND UTILIZATIONIFACILITIES 1.3 GENERALDESIGNCRITERIA(GDC) The GenerallDesignCriteria definer-describe. 1.3GENERALDESIGNCRITERIA The General DesignCriteria... nblith the .,-..say design, folbricaition,comonlcions,.tiestn and Introduction. EveryapplicantI., . rowt~rd.. permit 1, required by the safetyobjectivesad approachesincorporatedin the design flhi, pthm.ThroeGencra.[ Dei, pirt~ibrsces requirements for structures, system,,and copampoens, import..%ttn sotty; that is nnuctu , ,ytema and.omp ...t bh* .

,rnvisons.of 10.34to include the principal design criveria for the peposed facility Criteria caul qdwepiilh

i. th. pertinent tm*cl c i-n I. ýhi, n,-r, enmpri~cd h, provide..... N.bi suurvs sthatbe facilitycostbe p..t.d with..,t undue cut to the health ald lately ofthe public, Th.. Gevner

i. 'he Pplioin.t Tbe.* GeneralDedge Criteria ire intendedi. be nýrd p-p,r-psdAtomi, uiludo-a For..m, -mun r-rthe rcritr illucd f- 1 -r hmenIbchAECcm DesignCriteria establish minimum m*quirememts for the principal design criteria for w slr-cooled nuclear power phants, ThtG ..n..r aid~coin prncial stalisingth esin eiteilfori ncler pwerpiaL uh 11,t967. Alm inchudedlintih session, mrebrled diesription, ufmted phort ficsture, which einCiei c~ne n icse n*pt iic*ciU ) h S , i' e rlc**m.* u~r qimn l*cmoe*

The Geeral DesignCriteria reflect the predominating exporense with -war are provided toasset the designobj~des rive fliemcl in the craterd. a'the tif. of It.heiltin1lu ern. imiro-tu l . "*fe-) a rc those " hid', 0 cr in t'ffec'at lhr 6-m ý ho. indi.n Phoin3 -,a Nl,ig'd anrd-- *sru.t-d. Tbe (*e.vmJ Design power reactor s ,designed and oarmed to due, but their applicabilty is not application.The description%am more fully developed in those succeeding actions fthe repr Criteria , hicb fui-ed lhc bI,-, f-r lhe indin Point 3 de~iý. -me pxthlkhrdby'lhuAtomicEnrcy" Cuminiasan inthr Federalft'icger

[Jlastedta0hs rlmw

--.. They*ameconsideredgenerally applicable to 11l power Indicated bythe mreaerenc Mo.rrescenti* Co.Edison Weplau*d.tldy o compll imewth10 J 11, 967 rd .b-j.uW1lly .dc paro10CFR 50, Th.eAuthoritycompleted.tody of twthed by whichch, lidi- Point 3 sr~acton. Umdurthe Correlation',regulations, anpplicant most pmovide CFRP~rn.20-ndsoin l, tity cospliedwith the safetyrmiss andreniad~tw,,particular thowecontainedin10Ct`R Pon. 20and SIX utwer~n,.

facinethteomsins~nlmtr~dee~htt* ecltat th time offthe study.The study w- concludtedin Accorduncewith the provisions ofNRPC Confirmatory Order of February 11, 1980lad f surowe that its principal design criteria encompns, all those facility draign I"gl. Th, detailed meullsof the evaluation of Indian Point Unit I compliancewith ch. the.

itf - n oteqied

1. the la.-ret of publichealth andsalfety.There maybe ... .u-it General Deig. C riterpiaestabtishd by the N.1-at leituatery, C6.nfluio. (NRC) in 10 were slubmsedto the NRC an August 11. 1980,T. "[NeIRCaudi of labmsiha indicated that the Indian Poit. 3 chrig. andop-rtion a-e po.. wer naecases far which f.1fidarot of .,mof the General Design Criteria CFR 50 AppendixA- were submitted onthe NBC by Co. Edisonon August It],1980(Rdeference

pplicobb,re'gulation.n Thefollowintgretin* Provide the resdit, of the compfianc study, updated to reflect changes made in the way nlotbe necssry or tppropslate. Them will beother casw, inwhich theme 1)-Commissioatcoscrorran -l recived on January 19,1982. The pirecitheumd mnbmen -ofigurlnot ting I.. swtudy was co.pL.At IP3ISAR UPDATE crit*eriaamethsuffidioo, andadditional criftri, must be identified and satisfied by followingthe sectionheading, indica the.no-be. at" their relate propnw-d AtomricIndustrial 4.... . .. gn ritri the deig, n thed [Eteft tf public saety. I1is epected that additional criteria will For* renions oftbe General DesignCriteria as described Inthe fint pararaph of this scedon* . Generaldesign critertowichapltoheearCoanSyemmgin a be needed Particularly for .....

ewandadvanced typesof m*action.Withinthis co ~text a tIts andenvironmental condiblons,ad fur ch, General Deingn Criteria should be used a, , referen al*,* iu&oclusions or delolion,*a an MFISAR UPDATEChap-e 1. Page g oM/ Revision 20, 2006 The Goenda Design Criteria presented anddiscussedin this -- d:in .. those whbich -~r I. effect .1 the th, whenIndian Point 3 wasdesigned andmcostrunted.Thewtgeneral designcriteria, wbidsfonowd thebim for the IndianPoint 3 desig, wer pubh lishedby the AtomicEnoric Comissiaon in the Federa Register of July 11,1976, (sic)and subsequentfly individual rawe -a w.arnt Dip* roore,from the Genera Dresill Cri-trio made. partof 10 CFR 50*.

shouldlbe)iustife. The criteria we designated .s"General DesignCriteria for Th. Awilority has cornpleed . slady nf compliancewith 10CFR Paris 20 and50 in wc-rd-nce wish ..omeof the provisionsL of NowlearPower Plant Construction Permum"to emphadsiz the key cuts they assume the Commission'sConfirmatoaryOrder of gbnory 11, 1980.Th. detailed -eslt. oflkwe' iu~ of..opfin.ce.f Indian of this stag, of the licensingprm-ss Th, criteria haye beencategorized s Moie3 Category A or Category R. Experienb,u hihow, that momrdefinitive Information . iht eeal eign Crteri presetly-aibllthod by the N-ct-rRgut'lca. Commission (NRC) 1. 10 CFR 50 Appowdh, Isneeded at the construction penult stage fo, the ihem, listed i, Cate*go ry A than P, were submitted to NRC on August 1I, 1980and appmved by the Commissionon January 19,1992. Thewe mullts are

[or chase1. Costs. ry R. Seation1.3.

Criterion I-Q-Q lity Standard, (Category A). Those y-mws andlcomponentsor 4.1.2.1Quality Standard, Thosesystem, aid components of reactr *arilitis, which ir. eset QlIuality Standard,..nd Record, (Criocriun 1) Crioenion:St-Witres, system, - d rumpo-efts impo'an-t i safetytholl be designd reamth (oditiins whkh am essntial to the pe-veadon o f smid-t which Waldn mhe prevention,orchmitigatio orthe wnwq ue-e, of nuclear accidents, which mldedcow fabricated, erintsed nd calld soquality standards cummens~u.twish he inpmprnceof the ,W¢yfunction n b~e perforied. Where affect the public health andsafety, or to mitigation of their consequences %hall be undue risk to the health andsafetyof the public bhell be idea tilld sad then deoiigned* fibricaind* generally,recognized codes mcd stanlsdar armused, theyshallbe Identified -4d --ltaed to etemin bhelluapll-bility, edeq...y, aid identified *ad then designed.fabricatd, and erectedWo qualitystdards that tandere-t te qualitystandards that ralliedtthe importsoue of the sofe" function in be sufficienctyand hall besupplemented or modifiedas necessary to asure a quality product inkeeping with the required safety function.

cenietste hall. moomof the axftlyfo. Wointo1. perl'n-md. When seenitly performed. Where generally rmcegakted codes andstandards pertaining to dclipn, materials, A quainsyassurance progratm *hall heo.mtblibed lad imphunea~d ia order inprovide edequate assurance tis. these atructums, systems recognihoed codes orcand-ards on design, material,, fabrication andInspeaioa fabrication,a-ddinspeton an usedtheytha*llheIdentifiedWhereedhemme n sctuhraio r andcomponentswill .. t/sotorily pact.- theirsfely fusuctinoAppropriaterecordofth design, f~bricolmtio,e cd.. andsetingf amre ud. tbeethsll be identiied. Where mdhe~now to such cedes or tandards doe standards does aot suffice,to *scume, quality product i. keeping with the safey funcdon, tdey atraccum, tyawless-c! componets imhoporiant to safety bell bemaintained byor under thecntmol of the nuclear power p~luglizeusser isIotuftlm to -on,* . quality product1. keepingwish the lately ounction,

,bell besupplemenrd or modified ., -

they'

-cy. Quality ... rones.progems, -e1 holl besupplemented or modified s necks ry. Quality assurance programs, seatprocdu re, madinspection cceptesoecriteria to bewedthall e IdeatifIed. A.indllado f the pplicaboily thmagheut the life of the unit.

Th..esystem, ad cnisperi¢atfr-e rfocijlties which am enut/.1to the prevt/in or hadileoifi s.ton ch.eci-m rs, .c1~nuclea pmc-dare, mid Inspection scceptanne level. 1. be used shallbe identified. A *fwde,, standards, quality insurance prepare& test prieodures, and thspecrioi acceptolmes -¢ridants which Wauld c'auseundo, risk to the health -nd .afey of the public beallk Identified andthen designed,fab ricated, andceuet showingofunsim ncy andippliclbiliyv of *d-* -tad-4, quaxliy.- surae dori.ri used i. required.Where .. ch it-.* are -n c~e-mcl by appbic.bkcodes ad ouadard, . so quality.u-derds that reflect ch, importance of th, safety function in be p-opamed. Where genorallyreognized codes and standserd.

pglasti., -es proc"-due, andinmpeclnnaccptance level, u.ed i, rnquim.1 showingnf dequacy ti required (GDC 1)' pertaining to design, mitering, fabrication, and inspection are wsed,tr hey %bl bIdentified. Wher udheream o suchratioe or ianderd.

doesnot sufficeto .lure . qualityproduct in knifing with ch, ,fafeyfunction, they shall be supplemented or modified to u~si-ry.

Q*ualityassu rance progmnrt cast pnorodures, and Inspection,aeceptause crioariauobe ul.edshallbe identified.Arsindicationof the

.pplicab/lity of codes, stndlrds, quality -uarnseepgrocamu, teo4pro-dw~es andInmpertil- acesptanes riteiused .. t require,&Where suchiot-L ar not covered by ippust, cedh u ande sl sandlords, , showing f adequacy i, required. (GDC I of 7/I 1/67)

Crfterkon2.PerformnanStandard,(CUgtlo,yA).Thowtystmmsndmmponent, 4.1.2.2Perforance Standards Criterion: Thtemsystm =d compn...ts of I retor fvdbiýtt* Criterion 2:Structhre*system, andnesponewtsimportan~t Wsafety that]hedesignedtnwit/hstandtheefmb f naturalphenomena of rweao facilitieswhich am sawial to the prevetion of-uceldeats which could which am esnfal to the preventionor to the mitigation ofthe consequencesofnuckear icddeno, such .. e-rbquak.. tmolldocns, bank.-.,neelds,tsnm, and neicleswithout to,, of capability to perforu, theirsa5ety alnotinns. The iflect the public health and safety0, in witigs-ilo of their ce nsequtene shallbe which ,ouldesom nodus,naittto the hscoltian d safteyof the public shall bedesigned, fubricawd, design bases for ch- stlnr* y.... -ndcrompne.ts.shall .111-t (1) apprpriate considerationof the.Ios ... mof the naturall letlSued* I.brk.eatd, sail eod to ;orlw iann standards that wdi ecable t he anderected to performance ounmdard, that will enable such system, sad components to thewmostacthat have beenhistorically rerporterdfor the sift andsurmmusdinsi aren,with suffiieantmargin foa"ch, limitedaccueray, facility . withstlnd, without In.. of the capability,t. pro-ec the pbhli, the withstand,without undue risk to the health and safety of ch, public, the forees that might quantity, -nd period of thowin which th, hi~toricui data have boo ccum uinted*(2) uppmpriit combinationsof the nfectsofor-ma adlditionalforces that might be impnted by natural phenomena -uch sl eansobly be imposedby the occrrmice of- -netraordinary natural phenomenon such a, ad sciddmt conditions with the effect of the nrural phuenomensand (3) the importanc f(I lthe lfy functions tobe p.11wmel~t.

oothul-ke. condition,high wind, -r heavyIc- Th. desaigns floinndlg

.orad., base, .o itab~laed. Th.. yms,~aandtoapowsmt of reactor facilitieswhich esseta

-are thde prevnto- -r tothe mitigation of the conseqwen of

arthqakel, tonmedoew flood-tug condition,, wind,, ime tad other local sifte

flect. The designb- mo wsablishiedshall mflect:(a) Appropriate -asidetlo, shelf relloct: (a) appropriate cnnsde-tati of thc moa.., m. of thew .... ]a pisnocmanhs, b t end~s., ccldeatc which could cause andue risk TtoCheablth andslatelyuS" te public hall bedrsigned.fabricated, and -wootdto of the -nsl -,r of flwt hos .1trphenomna- tt hIs..bween rearded for the havebeen offcially recorded for the sit. andth.measiurrunin ... ~ and(b) -n ppropri.t. margin perfor'mance standard, that will enable such system. and comepcouents public, bheco-*:, that might reaso-biy beimposed by Ih,hoct.-

to willsoand, Jswihu 13*c - ammeodknordsy

.. due risk1. the finish ad safety of the

... u .1 phenomenon -suc., rl'q stake, she and the tut'emoldingin, and(b) an ap-pmuproare margin fo, withalandinE o, withotundingforces troler than abshoecourded.o reet- uncertainties abe.t th historical force, greater than chow mmrded to reflec un-rinirtin shouwthe historical dh. and bhellsuitabiity* as hei, to, dels.g (GDC 2) tornado, flooding Waondition highwind or heavy ic, The designbases anestablished hballnflonc;(La) appropriate manider-tionof the din.a nd bhell .icsbtiiy ou. basis to, design most aere offthes names]iphenomena [bat hie, been owilriuily recorded far the ti1e andthe surroundingl arec and(b) an apprapriate margin for witihstandingforme grater than these recorded inoreflect uirin nde, *bot the histo rical data and thdr sat/abidly as basicfor deig. (GDC2 of 7/11/67)

C riuerinwJ-Fir Prooestioo(Category A) The realtor facility shall be designed (1) 1..3Fire Piuctrtion Criterion: A relctor frdit/y dtull he designedto eastr that ch. Fire Protection (Crniteio 3) Cristeion: Smitrucmr oyscmt, and compoenetsimportant cosafey shall bedesigned andIreland tn omin timta mt~hossise the fwabaht/ltyof -. eit -tcb anflr ande-polioos add(2) on th poison.tial ect, ofsuch event, ...to uy. Noncombustible lad A.r phebthity of-wsn such . fires -ndespin tioss lad the potential consequencesof such Maunt naudeatze, stll} .. t rmsst i. Id-t d~k to the health andnfey ofthe publi. Noncombusible andfire ... ,rfallhall be ~whed consistentwith otherslfety requirmemet the problbillt) -it effect of fl-e end explusinn Noncombustibleandbear -isttmut e-,practiclcuihronglntte udieponit,cuJ-.i~y.ininea . mbsch,.. enhtnaromeat-6 -t.)rews. tFor, e~soccuitlrial, sh.Jl beused whenever prodical thrnwghuu te facility,

ahm peilrtyee ,rin area -otalminrg critical portions I the facility such as resi~qnetmaterial, shall be uledthroughout the facility whicr'ermnecessar to pielud, curbhrisk, isechioo and fightig ystem, of ppl~pri.. capacity -ad apebility shallhe provided anddesigned. toiimienu the ader- e11".t of Particularly i. area cutlmiscg critica po fin.... fib. facilitysuch .. cun lowtdncentra .o .. fiir 1 esaon m i-tctreu,y..., ad componen~t.iimpon-t in seyFivelghinibity,.- shall be designed tosssue, ~their rupturenr cotih room, and Wrap...tsof cgin-det~ safety finoeal e~acntral ae.comiponentsnf-egicerro.d vallayj1-t.r.(GDC 3)

,d inadvertent operation doe, not significantlyimpair the .rel~y capability of Ithwoe vftactur, systnaw,addwrmpworec TIexI in red illustrates some of (he differences between pubtlished criteria 132 FR 10213) and restated criterion from LRA

Comparisinn of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FIR10213) submitted with LRA Criterion 4-S.Arigof Systmsm (Category A). Reacorfocidts thoint[ o-h- 6.1.7 SharingO t tu Crtr-ndofa~n-rtron eco ugiiu a 1hmponent*-r~fjcO hr,, tm r opnnsi ta ystems, EvrnetladMsdeIi*

E.0ran .... * (rtr ) rtru:5~t fty..a sm

.. or components.. I., it i, show. safetyis not Impaired bythe sharing. beshown thd .. u..h sharintg Ultn0x -. 11in uIdDc hik v, Ihe-h-11), *hand

of ti6 m il, designedtoaccommodate be Weset.of and to becompatible wish theenro etl condition

... .. ci.ted with --t.1i F'mdao (GDC 4) sedmsmaiteace testing a~dpor~mlaiWamild..g includingles*fcoalaccidents. Thee strcture. system, andcvomaponect shallbe appropriately protectedaginst dynamic 17-ct Indctuingthe e1ffets of missile, pip. whippInstand discharging 11.1d.that way maslt fr.. equipment failnuresad from eysts and condition, outside the nuclear power udsit.

Criterion 5-Ricod rds Rquli*mcata (Category.A). Remord,of the d.1lgn, 4.1.2.3 Records Requieemet Shariangf Stracturea, Syaterm, and Components (Criterion 5) Criterion: structures, system, and components important to safetyshall fhbricaniot, and -cstucto ofessnd,11 component, of the plant %hall be Criterion: Th, reactor IHcn-e hlol bWresponsible for assuring the maintenance not be shard mog-nehtrpower units toles, it can be shown thatmsch sharing will not signiicanttly impair their ability in perform maintained by the reactor operator or under it, cantral throughout the [if' Of fithss throughout the fir, o f the reactor of records o f the dlesign,fabrication, ald their afbosrdmstIoncl

. neuding, in the e-et of an accident In on, unit, an orderly shutdown and coidowns of she remaining units..

m.-tr. construction of major os muoentoof the plantc-en 60ato -j~d,undue risk 0othe, The reactor ficmare shallheresponsible for assuIng the maintenance, throughout the flfeof the reamcorof record, of the kailm, health -Id WMf¢ Ior

public- (G*s 5) fabrieatiom and canmoerctions fmajor componentsofthe plant essentialinavoid undue risk to the health and safety of the public, (GI)C

..... .. 5 of 7/11/67)

Criterions6-Ractor Core Design (Catgory A). The reactor com shall Medesigned I mt-r Ca. Design Criterion 6: Th. re-t, with its reltegd. aos . .and protcedtiosystems shallbe designedanfunction Ihrm glual in to function throughout its design lifehue, without exceding acceptable fuel 3. LZ*I Reator Core Deig. design lifetimewitdout reading acceptable fueldamageficlts which It... beenstipulated lad justified+The core ad missed uiliary damagelimits which h...been dipuin..d andJustified`The core design, together Criterion: Th, reamto mmrwith in related summtb and pranced-o vystmsshallbe sysitemdkeilism shall prov~idethis integrity under aft etpacted mndiinu of normal operation wish ppmproiaft minims for uncertainties with reliablepro-. anddecay he.t remtova system*,shallproide farthis designed Wo functionsthroughout it, design lifetimewithout emcmdthgacceptable andfor specified trasient lsitatioss,which menbe nticipated.

capability under .11 -xpectedconditions .( ncormaloperationIrish appropriate fuel damageticati, which have beenstipulated andjustified. The co and relatged margn for uncertainties aid(Ig tranisit situations which ca. I, anticpatd, sanfliary systemdesignsshallprovide [his integrityunder all elpected conditions of includingthe effect of the low of power to recirculation pumps, tripping out of a ansrai °poationt with Oppropri-t margin, for tmenaintsd fur eparifled scroun ge- torscs. lsolution of the rectorfrm its primary beat sinlý and loss trnit taios hihc eatiptd.(D 6

.f alloffsie power. +" +

Criterion7-Supre.-ion of P.-e Oacilinti... (Category K) The coredesign, 3.1-2.2Suppression of Power Oscilleations StuppressionofReactor Power OscdilationsCriterion 7: Th, design of the maetor *rar with it. related commtroandpromection yxtylm%

togeitherwith mi~lcýhimoralms,shall ensure that power oscillations which could Criterko: Th, designof the reactor core with its reiated controls andprotectionsy'stem half -smur that power omiscitions,the magnitude of which ould Iausdomagei. aees of acceptableft.] damage lhicis, am*-o cau. d ".g. In .... e. es .I...eptable fuel damagenIoicta nout Criteion 8-Overll oe oliicet(aeoy )Tedtrshl possible or canbe

e. a d ese thallIn...retchatipower oscillations.the magnitudeofwhieh maid mumdamage iue-oaof acceptable3fuel damageIlalmt.no, am possible or Iabe readily smppocaed. (GDC 7) pssthio or canbe readily uppronaed.

designed~~~~( Copinentadrsehopianc not addressed

.ot beposltil._

.*rittrion9-Re.-tr CoolantP-msre Boundary(CategioryA) Th, reactor cooant. 4ý.1-]1 Resto- C-6.1t pressu re B*oundary Criterion: Th. recato -i fu. p-m s homnty .. shallbedesigned, fabricated andconstructedIn as t. Is-e Im.- cdwithln .

P-e'.re bounday thall be designed and I. ., t. h-v an --cdihily low Criterion: Th re~actorcoolan presm sureoudary,sha.l be designed,fabricated and prmbebililyof gros rmpw -rsignificant uncontrolled lkalige thmngalmotItsdesign lifetlem. (CI 9 of7/111/671 probabilityof gross capture,or, ia~nific-n leaku tg throughout Its design lifetam, nstocatmed t . .o h-.e an aiesfcgdlgy tow probabilityofgm,, capture,of significantuoncnrolled leakagethroughotia iti designfifetime.(GDC 9)

C riterion*lo-C--hontahe (CategoryA), Containmen. shall be proyrhudThe SA.1.1.5Reactr Caontaimentl C riteio- P.Isrms cymoae.shallbe designed An,high functionalreliabilityand In-.rvic tetbdity necessaryt. -vidud.. risk On co mnctaiant structurethall bedesigned to susai the Initiale.1e1t of ga-, Criterion: The emntalnscontsructmt sall be designed (a) so isasmin,I ithnu undue the heal thand at fety of the public.(GDC I 0 of`71111671 equipmentfalures, such a, , IM mdI-e bound-r break, without loss of r41, tI.hc health and-arcq of the public, the initial effetst ofgr- equipmentfulums, 1.3.2 protetion by Multipie FsluionProduct Barrier, (Criteria 10to 19) Reactor Design(Criterion 10) Criterion: The reactorrare and m*quiredintegrity and,together with other allocated saniy feature as maybe sucha s , lal rgeao-1-oul-n pIpebreak, without loss ormquimedintegrity, and(b) souto ted coolant,controlkandproitectio system, shall bedesignedwith appropriate.. argict-asure th., specified acceptableAnd necessiy, to retin. for as ]..g as the situation requires the functionalcapability 0 together with uther Ingiamerad safetyfranum as may be -ecssry, to retain far a, long *deals. limit.sa an, .. ,tieeedlduring any moedita.. Ofcomsal operation,including heeff,-t of adriipated poaertina o..rreI 1***'

h, publi-, . te sitr-ti.. rmquim, th. fancedi..l capability orum contwaimen I. thextn

........ yýýo s, id r 6,1, t ,,gh h,,utah -1d 0,qfeof the puhlilt.

(GD*C10g CriterianuII-ConstroRoom (Category Bý Th. efaclitythall beprovided with , 7.2.1.1 Comm]o Roo. Retor, Inherent Protection (Criterion 11) Criterion: Thereactor care and associated cuoutmsysem, shall bedesigned anthat in the

.mntro rma from which a.,c.tionsomainti afooper.tioa .. Iuau of the plans CrItterin Th, facility thall be provided witha control room from whichactions to poweroperating range the net effect of the is maps Inherent nuclear feedbackcbe-cocistics t-&d to conspe-asr fur . rapid increae i.

caintain safeoperationalIitatus, of the pI-, ca. b osocra;'lled,Adequateradiation reactivity.

, be aotrolled. Adequateradiation protection thall be provided1, permit acce, 7. Ite nder Icid4- -oditkons,to equipment I. the -mm* romoureother prostectiont shallbe proided sopermit uu ocpac .... of the control room under Th, facilityshal be provided wish .a . rosta~

t.. fo which rdiml1. anti safe op..aIkmal star., offthe plan, -a 1. caotroalled.

areas as n~eesary to shut down addmaintain safe contrl of the facility without any cred ibis pelt-accident conditionsor 11ImOllercati c, acres, in other am%, ofthe Adequateradiation protetion shallbe pr~vlded to permit continuousoccupancyof the coisro room under artycredible pot-acctidat radiation sxp,-u~ fip-~ro -1e to r~es+f 11 CFR 21)1aroia1,. 1t1h h*.1 1 po-sible faclifty as .II ...y sh ut do.wI ad MinWi sIficcontrol If the facility ý alhrlI conditkst,or msan iter-tios, acres, to other ama of the facility usnecessary t oat down and maintain life eotral of the facility

,,oo. i, lostduet ieicole as Criterion 12-Iamcumentationand Control systems (CltagoryB). 7A.1]lhslrmentrtion and Control System, Criteria Suppr-laol*acorIwee slah, (Criterin 2 lustrmumnatllio andcontrols sA.llbe provded msrquirdin cnul~torand Criterion: Instrumentatio andcoal.[,+hall beproided as required to moonit-orld Cutzial-Thiegactur Powre a uOsciatidons lt IOUtrol, andprotctto. *ymme.shall loal.aivariables within prescribed Operatingranges. cmsainai within presribed ypo-.ing namic .... Onta rto) f-fclik, *pý tling hedesignedto asure that power oscillations which mmn malt in onditfuns aribs.(GDC12) exceedling specifiedacceptable fueldesigs limits rentpossible or ran be llsrirusentation tad Comm[lsystoem Criterion: bnatraceentai'ou and centralsthall be pmvideMas required to montorte and maintain.

withi pretcribd np.-fi~g -. a. ... milreactr facilityoperating -trables.

(GDC 12o(7/11/67)

'ax! inired iiiu-i-tes som , r the ai f/erences betw*eenpithWishedcriteria (32 FR 10213) and restated criterion from LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 13-Fi4.ionPeeroo Molneitr andCo.r.l (CategoryB. Mrdns Chatll be 1.4.1.1 FissionProe Monacor and Control] I anansrmetatioandControl(Cciterion 13) provided for moli. ring and an tieeninei cnli ....thbefivion proteas Cdreeoln: Mnen shall be provided fornoetoreorotherwse elorsuroto g d maiotaining i" Criterion: thail be provided to monitor variables and synsensover their bneo~eenton threoghout rore life endfor all monditon that - caeonanbly be anticlptotedto antrol over the fissionproems throughoul rore life under all conditions that Canr onably anticipated ranges for Aon alloperation, for anticipated opeecltoal eat-nvrfitions in neativity lf 1or- -h tnditi,...

-i Wrpeilin n "rr l Is, anticipated to came variations in reactiviy ofthe tore (GIDC13))curreate andfor ccideot conditions Asapproprite to as-eedequate

,W,sand r nin

.. ,,f Mohlc rcait, it onr.-Aon. safety, icliuding those variable and oy.t"Cethat on effectthe fission pretess, the integrityof the reactor ron the reactor Coolntepresunre boundnay.ead tbe o* snuesnsandit Associatedsystems.Approprinee oontrols ehallbe provided to mainoltin etlhie the.e v.ccblen aod systems prescribed ptrautlsgranges i'tsionProuseusMonitors andControlo Criterion: Men ehell be provided for monitoring or other- he andmaintiningo ooteoioverthe finioneproeteetoroeghoot tore life undercli coeditions thet tan renenocl be anticipatedto Causevarinrioe 1 reActivLty of the core. (GOC 13Of 7./11167)

Criterion 14-Coue Protceton Systemo(Category B).Cor proetreton ysten.

gogetherwith nenolotodeluipomeet, shotsbe dotee~d It tI* 0t5,,0rolto1Isto

,riatvensr ld .,.cn..d prs aip thall

. oulde*sihgtnel~d

- .0 o c hteofue 72 . ~co 7.2.1.2 Rana- Protsctan Syostem rtcitSse Criterni: Core prtoctinn ny-tma, together with associatedequipment, Chat be dealgeed t, Oeeetorntent Pres..r Boundary(Criteria. 14) errCoatPesr omay(rtro Critoerl The reattor oinost prrne 4

bouondary hall be desi ned, nbricvdneseetIed g

preven or noppre heto fuel r upyostodtloo tne ttould rthult noelrrsedg eineptbie fooldm and loated sas;tn have anetresely loe probebilily of abnormal leskage, of damage1l010. Ieito.*(GDC 14) rapidlypropagating falle., nAdotgre-, replure Core Protectone Syntem, Crteilon: Con proloooe systoesm, together with -feoistedequipmoent,ehallbedesigned to pnreoet or anCnap-cnno*dilom that tonld result a, eAeeding acceptable fte.

damage lilmts. (GDC 14 of7)1/67)

Crterinoo15-Engineered Safety Fesman Protection Systems(CategoryH). 7.2.1.3 E.giotwred Safety antuons Protection System Rant r Coolant system Design(Criteriao 15)

Prolonion sysn.o. shall be provided for Aneiog Accident ltaudaons andi0itie00ng Criterion: Pro ltetosystems nhall be provided far nohg nttidrot aitmtioc a0d Criterione:The rettr coolantsycemoand associatd a-iia ry, Canoto and protectioe theoperntio of -ete-aryexoglererd safety fe-t*r*. initiatingthe oper.1i.. of etesanry englnered nsetoyfretures.(GDC 15) systelo shall be designedwith nottrident 0egin to .. "r,that the derign conditions of the nectorreolnn pressureboundaryian not eOcnededdurig any conditionof annusaloper*tion, intluding anticipated operational Occur--ce.

Engteaored Safty Features Protection Systems Criterion: Protectdn system, challbe provided for oreerigAccidentcrnationn andinitialingthe opor-l.. of ee.-.a.y engineerd safety tott-e (GDC 15of /1167 .

Criterion lt-Monlto ring Reactmor Coolant Precu re Boundary (Category B). 4.1.3.2Monitoring Re.ctorCoolant Lenakge FMonitoring Reanr Coolanrt Lebkage Means thal be provided for .o.ntoelogthe n*eter coolantpresure boundary to Criterion:MeIn .. hsll beprovidedto detelt tigni-ton uncotfrolled Iekcge fre toe Criterino: Mececchct be provided to detectcgdig*eiBt n Cootrolt-d teoe feorho detect Lake.t rentor Coolantpnesn beo.ndory.(GDC 1*) rest.orolhncprensre beundary. (GDC 10off7/ 1167)

Containment Dreige (Criterion 16)

Criterion: Reactortoontainmentand oeooinotdsynenc theli he provided to estebtish an nlb esseneally ioightharrier againstthe -ntootrolled *lane ofradloetrvity to the eneoronmmotendto cslumethat theontalenmnt designtoedtidool inportent t sfrty ar not etctded for a long a0poelolintd accident tondilions reqoulr.

Criterion 17-MonitoringRadioactivity Retlrace (Category KLMeane hhall e be o

.LL2 Monitoring gade tt Mledleeat Eletirloal PoweerSylstet (Criterioa 17) Crieterio: Aon0omilesrerti powertrynn nod an offnneeleterican poeercystOe chanIl be proridedtoermonitoring the otainmet Matoephere, the ftcilityCet1-1ne Clttotonl:M smshell be proolded for remnkonorg the contraine wronosnheneanod to. provided topermit functioningoffterue. systeonc,and catapnawta important 1. Wafety. The safety onctitn for abh nylsom ditcheage path, andthe te eo, c- for radioactivity thbe11.1dN-,releaned

-ili iote leffnluent dibege penbk ftoot, fnnrn nlnl*

rntcd ave from arnnulaparatdons,from (.ning the other *C.e i mh ot fansiotonhg) bhtll be toprovide sufficientr d, anpcoly d capaboity -abrethat: I) Spotitoed from -. 11o operations, from anticipated to, dren f

fntd mncide.t ant0petad oetrain , andfrom lacctden*aondlhor An... virormentl monitoring proga accept abhlefel designlinit and design oedid.o of the -e.o - . pressre boundary ane o eteeded as . relt oftatipted

-eedidio-a bhallbe .1 nOlelodto confir thct rndio-tmoy raltzets -t to enoirons oftweelcn hb..e operational occurrer a. 2) The tore ih Cooledand contaoime0nt integrity andother vital function, amemaintoined inthe e0entof n.t beene 171 (c(esie.OOC posntaioednideots. The.n-lusel-etical poawr, lpphes, includingthe baoeries, and the ontio electric distribution system,chellhere r ont l nbeelldepeodenetordndnocy, and testhbily te performthrrsfety fontions alumionigtsinle. lre-tripoweer frost CleteroenlsWon, -. ctoW toe o-ol. electric dhtributioe lycaen shallbe suppliedbyno physically independent 1ircu01s (not rneesrily ma peprselo righs of .. y)designedand inoasedn .. to itdniieo m Che e..... prncticalhe l.keihod of theic lainltsiean.

faollouunder operoting rod potlalted acmient nod environmentalConditions.A switchyard to both ceilcts is cirptsble.

0mmon Each of toece rmaotstchll be deslgned to be .. eleble eiufrlcol 000efolslgowg lionsof n altreroag ent powercupplies t hlit ..

and the other offil wtaleatrk power tiruit` to aonu belthat epeoled atceptoble *fl desig limit anddesignlimit and design conditiots of the renctor -oolntponore boundary en aol sotueedtd.0oe of thee cireatt. hallbe dtigned lo be .. liable within . few -eoondc following aL.l*-of-CnololtAcrideet toeorotoeththetontooliogcontalonmet ltegrity, andotheritalsefety fanctionnnn maotilntaed. Prole tho*be loelodedto ninioine toe prOboblity of osg eletic poler frome*ay of the remaniniog upplie aes result of, r coincidenl th, the o, of power geanted by the uleor powerunit,the Ion of power from the trae ision networ.

or the Inc ofpowes from toonril* ettric power cupplimc.

Monitoring RadioactivityRetasnte Criteria: Manonshell be provided for monitoring the containment atmosphere andthe facility eff.neet dinheorgopnte to, erdio-tehily .ta d Ioan normnl nontditoe, from ancticlpatedtransentl, Andfrom aocidentConditions.An enviroe*mtaollmonitoerint programshll be aiantained aoconfirmthat radioactivity eleaoee to the lovorol of the plan, haveot been exatioe (GDC 17of 711/6n7 Telt in red illustraes -ooeof she differences heIreeen publislhed criteria (32 FR 10213) ald restaled criterion from IRA

Compartiion of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion tOMonitoring Fuel and Wasle Stcrge (Categoty B). fMonitoringsad 11.2.1.2 Mnitoring Fel ae d Wasre Storage .Inpetion ad Teling offlencrical Powr System (Criterion 10) s Instrumentation shall be p ded for foel sd; -tme storage forconitin, asd eca, handling -ihoCriterion:

hatigl batCriterion: ositoring asdsinao instrusmenrtsdo hautbe preaidedtar furl asd waste inbutconinityin . : Electric powersystem important Mo safty shall bedesigned tWpermit arras far cooditioes that night coltn rbuhcl' totoss ofcosinoity to decay boat storage mudaiocio tedlhandling aseo for .o.dill. that might c Its nult tos t appropriateperiodic inspection and testing oftimportnit ae and feitares, rmocni tad to radiation enpoarn. upsbhiliy to removedecay heatsnd to detectoscessivorudiation e-els. (GDC i such as widag" innotutati, touectiou, asdswichboards, to assets the it) vontioultyofthe.yutmmsand the cosditio f their omponeuts. Therystemt shall be detignedwith a capabilityso tasrperiodically:

-- . -- .)hopirabillly T- ad funcionsl pertormncec f theompo .tasofthe B.I.1210 CFR 50 Appeadih A Generl DesignCriterion 1t - Inspectionsnd Tesningof systems such u osise power sourees,rays, wiwtcls, atd buseo, Electric Powar system, b) The operrhilia at the syse .tt whoie and, under co.ditiotas Elescric power nyst*sm important to ssaetyshali be designed to permit appropriate close todesign as practical, the full operadonasIsequrec that bring, periodie iopeetosasd Srtieg of impor sn areas aitd tesatem, sucho wiriag, tbe systems ato operoti, includtigoparati. o applicable pornoan of

.santtis. conoeodtn., andswitohbeaedc to as.es the saioilty afth tystems ad the the protection system,and the rsosferof power amongthe nuclear tadition aoftheirnmpoete Tbehyttemshill be designedwithsl.pabdity to bar powrraolk dheotfiep.w arsom dtbeomlower systes.

periodically(1) the operability and functional petasrrtac m of the ccmponeas altof syssema,such ot asistl power aorcas, ralsy,, switches,snd boses, sod (2) the operability ofthe systems Is a wholessd, under condition, as cloo to designas pmctical,the ull

- peration equtnc that brings the systems into operotion,including operationof appichble portions of the protection system,and the transfer f power among the moelearpower unit,the atsintepower ysteme,andthe osite powor system.

Criteriao tg-Protettln SystenmReliability(Category B).Proteationsystems shall ....... (Ci bedesigned for high functional reliability and ie-tenicrtestability c,:tt'nculc 7.11.4 Protection Systems Reliability ConteltRoom (Criterion It)

Criearioe: Protectio systems cohlt bedesigned fo, highfunctiousl reliabilityand i-rvit e Criterion: A control room sahl be provided from whichactions canhe taker tooperate e rintiabilitynecetshry avoidundue HA Wthe health and safetyof the public, the nuclear power unit safey under normal condition andto maintain it ina inn) hrdeafe fhteal t.ori

¢ tiot sirodet oanadidoa, Including ostof-ooit aa ciderm, (GDCIto). .... -- . .. ....- .. . " Adequate radiaion prteotioshalt be provided to permit mes and 9.4.1.6 Codessod Standards oceupsa*y ofshe control notmsadr amido-t conditionswithout persoanetl System sede rqairemento am tiven in Table 9.4-1.ia addition, the high radiation sampling . receiving raddiatio exporesaIn exess of 5 Rem whole body,or its equiealent nystem mat designed andinstalted tomae the prisiona oifNUREG-0737. Tha. provio o to .ay pat of tbe body, for thedoratios of he aco1dent.

inctode the following: Equipmsot as appropriste locatiusm uotid. te natarolmoom shall be provided 1.Proide postascidenosampling andanalytics pebilfty.The combined rit= for (1) with design pbpalityfor prompthot hdon- of theno cltorinouding sempling ad analysisio 3 hr or less from to timos decision i made to take . .- e.rary nottrnrameottiosInd onts to . maintain the clt ion safe coadidio.

sampl d during bet shutdown, and (2) with a potential capability for su bsquent sold

2. Proeide capability to obtain sod maldye samplewithout radiaten .. pos..r to hundowaof the noarmr through the at of suitable proseduors any individual nca-diogthe ceitrcd of GDC 19(10 CFR Part O0, Appendix . ...-.. . .. ...

Criterion 20-Pratectio Systems Redundancy and tdpmddnn (Category B). .1 1.5 P*tetioef SystemsRedundancy ad independence *Pmtec*oin Systems Redundancy ad Lodrpendeoce Redundancy and independence designed iot protection sycoms shsll be someins Criterion: Redundancy and independence designed ioto ptotlcsio systems shall be Criterion: Redundancy and independeor designed into protetion systema hallbe sufficient toasure that no single failuonor removal from seticei of asy component oam or solldmut se te that so singlefeilore cr removal s.ervce of any te astora tot nosngle failonon remova.from settie of any compnenstor chanel channel tfa system willrgmutt io on of the prtection function. The redundancy cmmpoenstor channel ofsouh ssystemowill result in losstofthe proteton ofa Ihsystemwdl readi in in. faf theprotection fus n. The, rdoandmcy provided sheal de, assamiimom, two ebannelsof protectionfor each function.The redandaney provided shall inclaud, nso minimam, two channels of provided shall indude, vs minimum, two hauentc of protectionbunction to be protection function a, beerved. DifferentprncilI,,shall hea-edhcrc ce,-cur pmtectlo function tobe served. (GDC20) served. (GDC 20of 7/11/67) to chici e tre inodpcnd-er f n. dluoano in__lu Wcnatvf oncov-o.ntnt, protection SystemFunctions (Criterion 20)

Criterion: The protectionystem shalUbe drai.ged (1) t iolist autsmatrisly the.

operation ofsippropriate sys,-ma iselodio the nactility coatrol systems us asur that specifed acceptahleFuel dig Houmits; am not aexeded o .

moull ffadkipmtai d operatonal o..I rrea-- oand (2) t. sense .odiden conttiont and to situatethe open.tion ofsysems. asdcompenentsimportant Criterion 21-SiogleF FilnDtlofltio .(Caungosy 0). Otltp1t failoas tailor.-

altiog Con Com pliance F.

not addressed. Protection system Reliabilityand Testability(Criterion 21) lrom a singlenssshall i be ntated asgl Irum *singleevent hall bntreatd aal*singlefdilur Criterion: The protection systemfabalbe designed far hiub teoctinndi relishilltysod inservise teastblity commensuratewith the safetyfnactions to be performed.

Redondasoy sod lndependesoodetigoed ntot the proateoionsyst'emshall be

,1ut*1 tattoasurathat () ao shingle failourneolt insle of the protection function atd(2) ramoont from errie of any eampoe¢t ar channel daeasat mult inloss of the required minimumredundancy unlest the acceptable relLibllltyofoperation of the protectionsystem ma be otherwis demontrated.

The protetien systemshall be designed topermit periodic teasingsf it.

functioningwhso henreatctoerin operation,including . capability to teat channels lidependentiy to determinefailuressod tost of red-ndansy that Criterion 22-Separadtn r protection andControl Instrumostailon Sysno r Proteotio system inded.am (Criterion 22)

(Cautgory B). Pratection systemt shall be separated from atelst C oo irnmentatine t ad e sed. Criterion: The protr.ctio systemshall be designed to asure that the efitet ofosatrol systems te tdmeoe-t1that fail..n ,orenmot from serviot of soy conatal phenmes, sud of annrat operating, mliotensce, tesftingsnd posateited Instrumentadtonsytem componentor chbnnedlor ofthse commortoontrol accident conditions on ndaundrat chonnels do not noult inloss of the instarmetatdon sad protection circuitry, le1re inttc a systemsstittying all protection hunetion or shall be demonstrated.c beacceptable onsine other reqouirotsfr the protectinu che.nes e definedhasll. Designtechniques,cueb , funoctiondi diversityor diversity in compounptdaiga snd prineiples of operatio, shall be ued la the e-tea, practical to prevet toot of the pmtection function.

Text in red illustrates some ofthe differrtces betfren pubtished criteria (32 FR 10213) and restated criterion from LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARS Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 23-Protect.onAgainst Multiple Disability ferProtmetion Systems 7.2.1.6 Protection AgainstMutlplr Itsabllity for Protection Systems Protection Against Multiple Disabilityfor PeotecrionSystem, (Caatsoy . Th affscst . ad-ere ndtio tomhirb redundant ehanneivor Criterion: Theeffets of edvenresondtionl to which *edundanechannels or protectin CditeriaenTh.e1e-aofed v*econditionstonwhihredmd-4-1han.,[..,protectionesystems proteedon systems might be exposedIn eommeo,either.. nder normal conditions qystms might be e-pried io common,either under normal conditionsor thobeof .. might be mposedin ommoeneither under normal conditions or those ofn or tho. of .n. cide, shallnot mott io I-s of the prtection fitirsn. acident bshull notrmaest i.ss of the protectionfunction rslhallbe wrsidw, hallnot W .td1 loss ofthe pro*eton raction or shall be tolerabhlen tomceobion om other basis. (GDC23) sameboth, (CDC 23 of 7/11167)

Protcttlon System Falloro Mode (Criterion 23)

Criterion: The protrction systemshall be designedto fall into a safestaft r into state demonstratedto bh acceptabhoa some ther defusedbasis Ifcondltion such andisconnectionof the system, los of eaenty (&g., electric power, Instrument air) or post-ulatedadvene environments (og., extremehbet or cold, 11re, pressere, msatn,w.ter, psi., asd -dint/re) tre esperlenced.

Crlterion 24Emewgency PowerforProtectionSystemt (Category BR).[nt*betn &1.l.,2EmerrcyPower SeporotinttofProtactlonandCoateotSytems(Cttterion24)

,tIfttollntlstte`p...et S tor*ternates`tureot Aru.i...i crthal h, p-tid Cee Criterion; An -md ...!crye orccthol/bevr/d evtotrcrlrrtehodrquaot CriteorionTh. protection tys-m shall be seppartedfromcontrol systems.teo. tent to pertit th. rqtrrl fovntirtr U to rrteirtny'. i rdctden. redsnct rayocict and tertabi/th. to termtitthe utonnnortbee that fil-re ofsay slngle snrsolnystem componentor bhansel,or failure or c-ginrt/ed afety fit-reosvdptretoetr vvterrrqtirtd tuo. dri.

id u n e1ri to d removalfrom Meio ofnyWsinle Protection systemomo*.et or channel the htalb and afc tht puehlie.Thi, prrrer-,hrcrc thal p-re idc Iriscopocitt whichIncommon to the oentrolandprotection systemslave sntact o system neerrming o Uaiun t~Ina/og~le corpr~onent. (GDCS en ad GIC 3d) styin~t.iag all reliablilty.,redundacy, and lodeprodence tqsieretent ofthe protectionsystem, Interoonnectionof the proteetion and cntent systems shalt holimitedre as to sassore thnt safety innot nigi~ifcoodyimpairedL EmergencyPower Criterion: Anemergeocy power mume shall beprovided and designed withadequate lodepsoimrs'y, seduodnscy, eapacity, and tetdhbilityto permit the fluctiooglg ofthe eognaorrdsafetyfeatsorn and protection systems required to avoid undue risk to the health rad safetyof the public Thispowersoure shall pmvrde thiscapaoty atsuming a failure ofa slgle tomprenon. (GOC 39 and GDC24 ofM/i 1 'i)

Criterion 25-Deaotrontetion of FPiotisosl Opernbility of Protetion Systems 7.2.1,7Demonstration of Funtio-nl Operability of ProaectomSystems Pt .oosystem Requi.rementsfar IRectisity Control Malfslnctiosw(Criterion 25)

(CategoryBn Meos shallbaincluded fartesting protectin systems whilethe Criterion: Meatsshall be includedfortitoltestslig of the utir o nnto of Criterion: The prloasystemshll be designed tossure that specifiedaceptable r, it in °ora to . d'mn ¢ 1ht - fl IJ'll,1f -W ha protelo systems whilethe reunr isn opeestlo- ter tttio it yiflle , ftel desig limits re sotcdead for say singlemaluctios ofthe reactiity

,ererorrod. vftlof dooevoha, oce-rrd.(GD1C 25) cotntrolsystems,such a accidentalwithdeawal (not jectioatordrmoist) of cootrol rods.

Dsmomststfiooof Fsmctinaid porohilisyof Protection Systems Criterion: Itens shall be Included for suitable testing of the active componentsofprotection sysemswhilethe rentor tis n opeetion to deteminse if failurcor loss of redundancy has occonred.(GDC25 of 7/11/67)

Criterlon26-ProsectdoeSystems Fail-safe Design (Category B)-The protection 7.2.1.8 Prot*Min Sysntems Fail. Analysis Design ny-temsshall bedesigned tIntota afe state or Into . state estblored a fall sysems Criteriao: The protection system, designedto fi lwora safe sa:e or lots a ihanl fall BRotlvy Ccntrol System add Capb stedemdnoy Criteriso: Tmo indepeodent reactioityreosrol systems iitgy o(Cpdterioi sd) f different design pelrinplenshall tolerabnle a de.fied baalsifconditionsosh no diston-Osoo of the syste, inss state entablished as teleohle a.. deflled bash if enditionsuch as d4scosoectimoof heprid Oe .1 the ys hall neconrol rodspreferably loeslg of energy (g., electric power, istaoment air). or adver environments (eg., the system,Ins.of energy (eg.e,leoctivalpower,instrmont air), or ade.- positlreownofth rtn t heroytes d hall beaon pableofreliably esteemshean or cold. OIresteam,or mater)areexpenroced. conicooments (eg., estems heat or cold, fir stoam,or oaster)areespriene d.

(GDC26) positive reol sor changes ontrolling reactivity oogre te inurmtst toro that under coniton ndes condition,ofofrmal normal J(GDC 26* oposlso~.,inrluding -oltipsated operetionmal ooree nod wlshpttrpp nces tbpite mrgls for malfinstrions such a stuckrods, speuifiedacceptable fooldesign limitnar not exceeded. The secood reactivityrotsrl systemshag bh cpable of reliablycontrolling the rate of reactivily changesresulting from planned, normal powerchang. (Includingsenso bho-.) .otassoreacceptablehoel desiglimit re s t enceeded. Ot of the systemshalt be capable of hold.gn*h rctcor sohotitloalsadiercoldcosiono.. . .

ProtectiosSystem Failure,A lyshsDesign Criterion: The protearodosystems ashll he designed to fall lao a safe mateor lore a stete establishedas toloerbleona defioedbasis ifconditionssuch as disconnect/io of the system,loss ofeergy (eg., electrical power, lntsrumeas ore) or addvend emvlronmests(e.g.,extreme heat or cold, ri, steam,or water) are eporierutLd.

(GDC26 of 7/11/67)

Criterion 27-Rtdwtdaecy of easclivity Control (CategoryA). At 1(ret -. 3.1.2.3 Redundancy of'Reantiity Control itedowdensy ofReactivity Cooteol indepoadeal re-ivity .o.trl ystes, prefehbly ofddlffc.t principles,shald be Criterion: "o indepoodetre aoctisys onsnt ystamn, proeblyo fdifefema CriterioncT-ooIndependentmcsrolsysots.preferablyofdlffemimtprinciplea,shllbe a prvided. orinciples, hall be pmlded. (GDC27) psovid*r (GDC27 of7/I/67)

Combined ReacndltyControl System Capahility (Criterion 27)

Criterlio: The reacotvitycontrol systems shallbe desiged Whaves combined capability, inconjunction with poaol addition bythe emergencycoo coolingsystem, of reliablycntrolling reactivisy chsmgastoaWsorethat under ptostulatedaccident endtion and withappropriate marginfor aMckrods the capability te ml the core is malosnined Test in red illustratets vome of the differences between lmublished criteria (32 FR 10213) and restated criterion from LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 28-RecctinitytIt Shelton Capability (Category A). Al 1e- 1co of 3.12.4 RoaMo.thy NOt ShutdowtnCcapablilt Reectivity Limit, (Crtreion 28) thcc cit -Irctv l tfh.

)-,mrol mpr l bi dv1ydcdlnl.vvdop1nd W- ybe2oofoaklh c ntoneon iab, ntralsysie*enood ems shall be capalbl of makingand holding Criterion: Thrtenactivity cotrol yaorm shal bedesigned with apprepite limitson the andholding the core aubcritcalo from moyhot atanhy or hot operating condition t (,OC 20) potential anouot sod rate of reaotilty increase to asern that the effert, of lItiuding thcob,rrolliv I`ol -cvr chncv..-,o- ficitlo Ito N r p--ov postuleted reactlvity acdest can neither (I) reamt in dacmagetothe mertor

,tcvding .ccc-.tolc NlOdumcuelimo. coolant pressure boundary greater than limited localyieldlag nor (2) aunfoeany disturb the cooMItssupport atrucsret or other reatourpresare veasel interenalsto impair algeifl.sady the capability to coolthe co- These postulated reacoivityaccidents hall ieclude coosidertion of rod ojeo*on (snless prevtatd by positivemeant) rod dropout, steam lia raptr, obhanerinreector coolant venowetre andneestoreand cold water addition.

ReactivityHot ShutdownCapability Criterion 20:The renctivitycentrl ayatems pmroldedshall becopaohicf making andholding tht ce aahrbertcal from any hot standbyor hot operating condition.

Reoclelity Hot Shutdown Capahility Criterion: The erotioricy control tystem pr-vid*d aha.1he capableof makingard holding the core suhtbcrivl from acy hotstandby or hot operatingcondition. (GD0 28 of 7111167)

Cite rien 2b-ReaotinityShetdown Capiplbity (Cat*egor-y A4 A les of the &L2.5Ra lat ruttltdowen CarobKti. Protectien AgainstAnticipat tpee Olosal Occurrence (Criterin 29) racdioly control syntemsprovided hall be copable of making the cone aubritioal n*Ceans ,.eeofa mall*torerl eVa*maprWocdad shall hecapableof masiength Criterion: The prtection and reactilty controltystermahall he designed to uremcan ticreu ycondltion (including anticipatedoporanlonaloraetiat) sufficenlody fast cormsubcritinalost any antidcpatedopratinlicondltin udingateicipated cl -. y high probability ofaccomplhing thrlrsafety fnctionsi the eveot topreent xceedingacceptable fuel damage limits- l movfiro l*-vtc

-huthoc oparanirtlonmlstnos ufd*ls tantioat to prevnonaoaindlttuntepthbil f of snticipatedoperaeesl occurroncra, hue-Iic Z u. ,orthl l (ti leotf1:ci t conrel rode hcn folli ,ithdrucco d.waaliti. Slm tdcoc -agin thotld ...... ythwivril themo --00

'boll h. prov'icot" Renctivlty Shutdown Ctpahbity Criterion: Onscofthe resctvity contrel systemaprovided sh01 he espableofmaking the core sebcritical tuder coy anticipated oporatingcondition(mcludingaticipated oporatienaltranosents)sauffcientlyfals toprevent exceedingacceptablefatc damage limits. Shutdowncargit should astern tubvrititicty withshemete rea.ctie control rod fully withdrawn. (GDC 29of 7/11/67)

Criterion30-Reactvity Holddw Capbilityh(Category B) AtlIrAoIen of the 3.t2 .n6Ractivtyl HWddoe CuP41,btW Reacivity Hfld-DownCapability contrl syste-. provided hell he capableo f making and boldiogthe yreatrity creterion:Tht raWtMottyanorni qestmws eprnidnd "tce oII ahcpac ca makin s cr Criterion: The rototivicy controlsystem, provided hall he capable of making the core corobcridcal under sy conditionswith, approprintesmrgtin, for contingenciese. t*httc undera-adthalauldae nteittls wishaipro*e*elt malanc ftar aubcriticaluader credible accidentconditionswith appropriate margnct fcr tcinoiancisd liactllcnga eenlenaruoturr to- cwarcud1h thetnhn .wllbe contingencies andlimtoing ay subaequect retur to power such that thermw i heo

.... d- ruk to th heth and tattv of tha public. (DC 30) udue rik tohe ha-lth and afyto the public (GDC of 7111)67)- - - - - .

QufalityofcanctorCoolautPr surmBoundary (Criterion 301 Criterion: Componentswhith tonpart of the reactorcoolant pressure boundary shallbe designed,fahricatederected, and teasedto the highest quality standerds practical. M*eao shall he preltded tor detecting and. to the ete-t preaticol, identifyingthe loation of the asorce of reactor aoolantleakge.

ReactivityHetddown Capability Criteeion30: The reactivity contel systemaprovided shali he cpsble of making the core auhicicttlcucter credible accidentroditions withappropriate marlna for coccingencinoandlimitng ayauheqtquentonecoto powerroh.tthherwiliheao end.e risk to the bealth andsafetyof the public.

Criterion3-.ROcctivityCoosrelSytemsMbalfunction (Category B). The e.sna7tcttcoemer Selms - MalhUetian Fractu Preaen im of RoactorC-elet Presetor udary (Criterion31) ci" control r thal he capable of .ueing any single malfuanctioc, Crsterion: ma. ctr poceion o - t hae siaall "te atpaia of reeteclt*i aaist any aolnlt Criterion: The reactor coolant pressure boundary ahallhe designed with ofllcient margln toch as,ueplanaed contin.ou withdrawal (net eiection oefIcntrt ree, wirohut 4 malfurnlan o tha mautitycomrol sytatt, such asn unplanned coanduo. to sar that h. tnted under operating, mainteencce,*,tetictod causing a reactivity tranient which could resultheetceding acepta ble tofrel mnttdroml (net JWon. or dropout nf a cnttrolred, b likegnitng .. Wv postulatted .ddc conditins (1) the boundary bheharcaIna annbritte damage iminte. amannts to onnuoting scacrabia hwildwaomalimit&(GnC31) ... aner ad (2) the probabilityof tpldly propagatintre faes*n

micoilmed.

The design that reflectconsiderationof ervicet*apeorature, and other conditions of the boundary materialuoder opoerting, maontncance,teectig. and postulated accident conditionsrnd the uncertaleties in determining(2) material prepertiesn(2) theelctoa of irradiation an matoridi proporties, (3) reoldeal, steady satoenod tration ancreasen and (4) aile of flama ReactirityConcral System Moaotlot'tio Criterion 31: The reoctr protection systems bhallbecapableofprotectingagiaolmay tingle malfunction ofthe rectivitycotrt system.such ao planned*nri*oout withdrawal (noteeotion or dropout of a control rod, buy limiting reactivity transiecte to svcid xocediatacceptahblefal damagelmits.

Reactivity ControlSystemoMalfuoction Criterioa: The reactor protection systemsahallbe capable of protecting against aey tingle malfunctionof the reactivity ontrol sntem, suchas unplannedcntinuoum withdrawal (cot electionur d repot) o ft control rod, by omiting reactivity tresoime to avoideccndinugaccetpbcl fueldnmsge titans.(GDC31 of 7111167)

Text ic red illustrtter some ofthe differrncev hetweet ptblished viterir (32 FR 10213) nodrrstated criterion foco LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Coerion 32-Mtaxiumuw Rraotivlty Worth of Control Rods (CasnosyA) Leta, 5t2teaoe oswnietnWrtotuenl ods whinlchode

.d id.crshl¢ margin, shalt be placed on the wa riwt eascstivity esset tod: Uraons,whisa sododa retasonable margie,shallbe alto haendplaced00mthetepairtmofCritriaea esoxittensspett:o of hh, setetorctoolalstPressure toreccoolContntrPrssrer Bo.."a(Crteria. houddacy shoronbe b2 Uaft, whichInclude rewnCrit C~mrion: magin, weh of control md orelemnotts andon rate at which reactivity an be increesed rascllN worth of mneil rodeor alamoensard en ransaat which mroneliye- ao permit (t) periodi inspartsos sand t ofrietnp

-ItIng ret otess end to enuse that the potentiai effectsof s audden or tarts iboge &",oncity oh f cannot ha ldsoessd to assure thosthe 5550r05labetst0 0 suddn oe 00555050501 feassestoo sstatheiratruoturalandlesL-oigbtlotegoity, and(21an (a) rspture she reactor coolant pressare boutudoyor (sb)durupt the mr0,its mrastloltscoann (a) rupssr talomasenrenolet poasum bannn oeeoe (b)disrpt support atsosores, or other cael intervallsu tty ta to be cffctifeneee tie tn.tn suppor t awnneores, sasoalIlemats suffidaeityto loss MaximumlReactlvltyWorth of CoatssltRodd hies c~loocoe rfrie .(lioil. eapsblllsoofcoolingthieeore.(Gtl*s$2) Crlseelnnj2: Limlts, whlch inoludeoreasonosble mslnargin lhoi eptacedonsthewmaoimum reactivityworth of control rodaor clement, nad on rosesoawhich reactivitycon he Intrensed so ensurethet the potential effectsofe suddenor largechangeof reactivitycanwot(a) trospr the reator conlontprsure boundary or (b) disrpt therose in support structnres, or othereesse lantesfa sutttern a lt y so lose capability of conoingthe cosr Criterion 33-Reactor Colost Preutsr Boundary Capability (Category A) The 4.L3.3 R-'or Ciossn PmsaumsBoundary yCnepabW Reactor Coolant Makeup (Criterina 33) rearturc oolst press* boundary soll be capable of accomodating wiinthout C rimoTo rssas molwn preshos b e.dure hll ha Isapabl of af. wnmdslej Criterino: A systemto supply rectorcooansmaseup forpsrotectionagainstsmeal breaks rapture, slid cejilb e ' lmited sAl -cc lr eirneiergy horle fion thmghclelu without rptuomtho stataa and dtmmnk mblsd Impesos dnyahoudarey ans In the ewsctý -o.1n- pr-..r boundary bhallhe provided.The systemsafety lefe slton., he statisasddynamic ioads imposed.. any boundary cowpeaat a con possesass r.susof an isolnertent asdsudden rela.. oae.a..yrs. tnh function shall he to a..ure that speified nceptablo foal design imits .r. e nt of any io-sdreoea and sodden release of energy to the coolsat Ass ntt nonlant, a d.

delig miatarse*,this sudden elussaa shti bhtah.e .. that owhich .tedd ass molt of racotr -oo.st I.a. due to leakagefrom the reactor design reference, this sudden rleaas shall he takenas that which weuld resolt would r.it froma stidda reactivityIanason sodh as rod jrtida (uJlas colantpressose boundaryand rupture of small piping or other small from a sudden rroctinisylaserhon such as rod ejection (nooos proented by pmewntadbyposttnawmstw*noncal mossen),rod droenne,orrold wateraddhian. cosrpooeso whiob aore epaofithe howuedsy.The spytem (assmhade.signed so poshtivemnbolow l eons)od mai rdcoipnst, or cold water addition. 0031assur sd(GDC3) thas for offalseelectric powersyssem operation(assuminog oasute power i t avasilble) the systemsafety function uan be accomplishedusing the piping, pumps, and vcavesused to maintain coolant inventory during normal reactorfpeaeton.

Criterion 34-Ractor Coolant prnosure Boundary RapidPropagation Failure 4.5-.4 Rtanor Colanes Prasue noundse oladPapngmelno paaamerooentin ReesldualH.os Renovsl (Criterina 34)

Pemoiodn (CategoryA4. The rescoor coolant pressure boundary shallhe Citeldne:Ths mccorecoolantpressouma boundardsy shot habedesnd sl operatad toead. sto Criterion: A system to sense residual heat shag he provided.The safetyfuootion shall dealgocdso .niirit, the pry~ehlilitsof rapidly propagating type failure an acoeptable lavelthe erobbllte, a mdmt peoportpgateip taIywlr, bean trenster fbsioe product decay heat and other mres.l heat from the Conslderationshall he given (.1 to the -ooch-uoghb*soprop ortifa afatedre Consideratiosnagiln (a) so t 0 povisions farcontrol nr servic temempna reter core at a rote such that apedified trptoab fuel dign limits andthe etuoding tothe upper shdf of the CherPy transition corn; (b)so the state of o alinslan stua moem mltt op te rasselo, h)an dexg notditins at she motor coolant presseitodasy am nostenat oteosetmascrials undeoratsntic sod tresient testings. () sothe quaslisy coatrol i sod canst ton of duen1tht nd rmas rp surs ooml In I wth -atle ble redundancy In oinpootts andfTe rs, and suitable praifled for material sod componet f. bM tion limit (inw des, sad (d) sn the appbcnhtaoode, sndingrutheo, whnat, ahic tish upramqus.fe wlasheeption01 intersoattions, leak deotection. and Isolation cpahbilty shall he provided to proelionsfuforco-tselorernioenpestosesadirrsdistloneffeotserhiohmay ser wyhla*n htats itt esin r-My r.no asd froanepaa - rgyaw aonore thse t tecoot for oolxsto l power system opesotion(eamldngoffailpower s s on tin nt seable) and r oflith e electric power tystem opertion (asawomi requireptn m osl plasiic d asnane smyogptio et sod)an th casdseoand consr ondof. m-s e ashat onvicepower a not avilable), the systemsafety fuoctinocan he scco.plishbd,

,wasm basadar,,,pipatl and sm..proureIn s~oerdan- wit appliable codes.

(GOC34)

Criteron 35-RetacorCooant Prure Boundary Britle Fcture Prerention Compliance not Addressed Compliance not Addressed (Category A4 Under conditions where remtei mo*olat preosre b*undatry system conpoorots constroctedof Ftrritic matertals may be sub-latded to potential loodiegs, such . o rootivlty dnomad Ioading servic tempera-turm shall sbe least 120W F. sbove the nil ductility trsotition (NDT) temperature of the component material if the resulting energy releainis expected so heabsorbed byplastic deformation or 60 F. ahove the NDTtempexaero of the component msootrislit the resulting energy relea*e Is sopected to he absorbed within theelastic strain eneregy Criterion 36-Rlndoir Coolant Proes-re Boundary Sureolance (Category A4 4.LSo Reactorcoolant Prasiurs oedndarY So*l"slo R.eactorCoolant Pressure Boundary surveillance Reactor -inst pmro- boundary compoeorts ohoA1 have proviWions for Criasene: *eaccar.enas per-ssr bhuadmy somponandts shal Ih monisioosfte Criterion: Re.c-or elint pm-.sre bhasdoy cempoe-ts shall have proisione for inlspectlon,tetl1g. asdsurallsneby appropriate maso .. ss thrsoctuh andsurnll of tlnol are ba y ae ostrs so edasppompr inspection,testing, and survertorn of critical areas by appropriate means to and lsktight Integrity efthe bonodory compomenotduring their serviorlitotfiw, mass the structrsl samlxinatlghe Inteegrrit e bondary dudeg sas she assoosurolsod too-tighe integrity abbthe oamepanst boundaty componmortduring For the recotor vessel,a material surmeills-c psogram conforming - lb AS F 3/4 obab. esrvselltlms. Porta orth m sraro l.as a matarlal siuesmllamrprogasm theirservice Ilfetfas For the reactor es. l, amseal t urietllasaoprgranm lS-it shallbe provided. omftorIlg wih cu--ans cpllcable coda"hsrllte pnovudd. (GO C 36 conformlng with curreot applicable codes hall beprvided. (GDC36 of 7/11167)

Insipecton of tmergency Cor Cosling System (Criterion 36)

Criterion: The emergencycore coolingsystem shallhe designedto p*amit approprmate period , inspection of important components, suchbs spry ringsin the metor pressu re vessel,water Injection nozzles,andpiping, moassure the intngrity and capabltity of the system Criterion 37 Engineered Safety Fe-te-Roglasered saetoytoss.m ~ ~~ shallbeMV

]*.n shal the facility so provided1nth.

be proide ~ ~ ~

Bash tor Design (CategoryA)

~ ~ barb sp obc provided bythe core design,the reactorcooant preooro boundtry, and their u the ssfety L11.

aeyftteron: ft4m Eeuitmsrstsatae gineroh.11 dertringlto sIfet featidFamassoo oashstorelsign In adsoaotsaosaslhall bo peovidodinOs. taollleeto Wn iCterioy Testing Oactf sf The Emergency Corecore emergency Cooting S'"ystem coolingysystem o si (Criterion 37) ll bedesigned to permidtapprop riate op hyti ch-ot dalsagen beeaartocodolat pawseum hasoalsef,sod chair periodic pmse andtontinal .. Itesuig so esurem(Il he otructuralsodIcabtight prteoslna systems.A .sIW ei such engineered safetyfetures shall be poe pno nstase, ds,e mIsaa istad uss m salaryfnd h ,eo rintegrity sof its csmpoocts, (2) the operability asnd performanenof the designed o copas with any sti reatr coolrnt pressore boundary bek op and peotldnes rss. snobst rodsalay latasns dm0ha dasined tesuen wisessny sctne componentsof tha systems*o, ad (3)the I peobilty of the systema .

iscluding s~tscircumferential optse f pipen. thsb ndar a ing ray oerad ping breakup to and Including the teiamvallotel wtoin b and,under u ooditeos se dlose so designas paticablr, the

.nah-astdi discharge frno both ado. m m f sopnondry pip. 1hat boundary,assomshg Inhtauteod perfora*neofathe fnlloposotleotdsenrserceth. brings the systemilte u d bdisnhsfrom both aeds- (GOlC 37 operation, includingoperation uf applicable portinas of the proteorios system.

ohsosonofarbetweo norai and emergencypower teres., asdthe operation of the associated coig -atersystem-Tet in red illhstratres sone of the differenres betwreernpisblished ,riteria (32 FR 10213) and restated criterion from IRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UPSAR3 Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 3Reliability asd Testability of ][ainemred Safety Fetores (Categoy 6.LL2 Ralinaby and Testabhtlityof tnteaedafotypaotras sseiec 2) COC33: to order to the reqoiremeots of GC 38, the caleolotedpreosoreot24 hours Aý Ali coigimseeed fotyllfeas-ow

..A* shallbedesgnd he desigeed z~iueredsa~tyfeaurs sel ttoprvie Iteoide hgh highfocttloi u~tinal

... st~nui aehsoa Carolina:AllOi.-.d m relysa)t fuUatuas-ahallbe shal hadaeslgroto dOrdedtrftt5t tootu peo .dsuchhfuntional hud should els be CDaCto less thanth50%

o satiofy the of the peak osloalsofoDesl peakcalcuanted this v-lw. (This 38,islrelated 1, mintsdiWto the tel.criteria r toa for dote fur doses reliability and ready testability. to determinlng the suitabilityof a facilityfoes reliahilieysadreadytestability as Is secessaey to aoid undtttt to it an tthsd o24 at hors-)

prposed lt., the derre of relinoce up.s eadaccepscs of the ohereatsad and safetyof te puhic. (GDCso) NOTE: Criterion from10CFR 5K Appendix A. 1971.

engineeredsafrty afforded by the systems, Includingeagineered safety features, will he ioflueocedby the btown aod shedemottntrsted performance capsbility asd Containmoent Heat Retocal (Certerion38) reliahility of the systems,sod.by sheeateot to wbichthe operability of each Criteriot : A systemto removee bat from the resecorconrotianmeot shell be provided.The systems cab he totted end tuspretedwhere appropriete during the life of the pianL systemsafety tboctiae sheil heto neducerapidly, vonsiaeot with the foottiarl of other sasociated systems, the eotaoinmeot pressure ond tetpersture followig any sccidentandmeiotWisthemes aoss-of-solent acceptabletot levels.

Suitable redundancy in omponents andfOtOres, and suitable interrconnectioln, leak detection,Isolation,and crntainment eapabtitiesshail beprovided to assure that for ousiteetectric power systemoperatlon (euaaamfgotfsite poter is cat vioablr) andfor offsateelectric power system opeeaion (assuminage.aite poweris not .. eltable)the systemsafety ftctioa Criterios 39-EmergertcyPower for Enginered Safety Featorm (Categoty A). 5.1.0.2 Emergeev PoCmer Inspecionof Cootaimentfleat Remocel System (Criterion 39)

Alternste power sytems shell be provided and desi*ned with adequate citerion:An emergenoy pM-era hallbe picnded sd deuigned with dq-.a Criterion: The .ostofemeat heat removal ysotm shall bedesigned to permit appropriate Independecy,redundancy, eapacity, and testability to permit the functooloniog itndeondey, dndoodaey, scapsedtn,ad testahdflto paaln rte ttl. oural ot tha periodic Itspectianof ipeatiestt ompenentssuch as tors, umps,spray r-tsairedof the engiaeered safetyfestoers- As a sialuum, the onsitepemer system anteaw;d safedty un end a pt eoa syotama vedas raqismdnoanaodundtm rist to nostles and piping to assure the itegrity and capability of the system.

sad the otfnte power systemshall each, independently, provide this capacity thehealth and araat of the pouht Thi poweraulses, aI phavid, this atapoity assumig a fulla reof a single ative component ineach power yste- a f eail. Wasta comcet,

.mflngat (G130C tWadaC G 24)

Cdritrio 40-Mbsile Protretion (Category A Ptroti-c for engiteered sseiny .3-2.4Misile Prdontioe TenilsgofCootoaimeatleettemodSystem(Criterion40) feature shblt be procided against dyomIe effects asdmissilesthat might mesult Ct.*rrta: ,,equataor.oeoiofoc thosen smdnafivt s, the teldhseat whidsnould Criterion: The rontainmentbeat removalsystemshll bedesigned to permit appropriate fromptnmtequipment fadr*e.s tamean tend- riskbo the heaathand saferyOftha psbi, shai be periodic pro ure andhuoation.Itesting tosasre:

providad agiler dynami afeacts and ciranl[s that reightro-h from aIel 1) The structural ad leakight Integrityof its compnents.

aquipmsnttsilubs. (GDC4) 2) The operability and performanc of the actire compenenteof the system.

3) The operability of the systemus whole,and, underrcoodiions a close to the design asprecidcat, the performanceof the fill opecationalsequence that brings the tystem itfe operation, icludinagoperandn of applicablepertloes of the proteetin system, the transfer beroeen normal and ewergeucypemer sonrce, andthe operatiun of the assoofeted rooliog meter system.

Criterion 41-Egginreeed Safety Featoem Performance Capability(CategoryA) aJ-1.4Ealdtarld tSety Fraturos P*rrmis-- capaility Contafenrat Atmospher Cltenap (Criterioll 41)

Enginrered safetyfeatar fnes sch ewergency oremcootho aed ametaistsbest te eosttnsotoatnensd nafhey attrnea,wch adthe emergencymaw cauolino tstatm and Criterion:a y. emnsto control fissionproducts, hydrogen,oxygen, ad other substances removalsystemrshell provide suoffcientperformance capability to accommodate taeontstimr he.,tammonal system,shallpreoids suffidastpersforman- cansabhityto which mayberetensodfete thehmetor

- ontainment shaelhe proided aas portial I,- ofint(i,,led a vityand stillfolill the required safetyfuctntino Mss aommodate te fisllr of any 0tngteo.ie lomrponet Withoutesldngin und., risk necssary to reduceý cnatnt with the funionsing of otheralsoiated minimumn,each engiareredsafety featare shell provide this required safety to the hixlth andsaFlryof the publ.li.(GOC 41) .ystems, the voototredi.o sadqualityoffhsios products released to the funcdion sseming a failureof I singleacrtdovempenetl raciroamentfoilowingpsostuatedaceidents, ad to control the ncemtradonof hydrogeo ornoygen and other substaccs lathe cootaiueotatolmosphea followingpstulatd accidents to .. a.a that ctatmoenWetategrityis maintained.

Each systemshall hare suitable redundancyi. components andfeasrm, sad suitable inteconeeuctlos, leaskdemcoox, ilatioen, and cortainruta capabliltes to tssure that for ousate eleeteicpower systemoperatioa (sasaming etfrsit pewer ia ant acoahiablesadtor offalteelectric power systemopees ios

..ssosumigoante power is ou aveaiable)io safetyfunction can be recomplished, saming a algle failuow Engineered Safety FeeutroesPesforlmce Capability Criterion: gngibered satety teatnre, suchas the emergencycoremooling systemandthe containment beatremoosi system,shall provide sufficientperformance capability to ttommodate the foilareof anysinglesctive campe-nartwithout resulting i. ued-e risk to the health and esfesyofthe public (CDC 41of 7/1/67) -

Criterion 42-Rngiaeered Safety Features Compeeent. Capability (Category Ab l.1.1Engineered Safety PeatomCompenenta Capabilty Englthered Safet Fstures Compesesn Capability Engineered safetyfeatures abelbe designed s that the capability of ech 6riterio: Engiteered safetyFeatsrm shall hedesigaed so that the capability of theme Criterixo: Lngiooesdssfety festoresshall he iealgxed sothat the cepsblityofthese compneas sadsystemtoperform leareqairedfaection f oot impeired by the featorm to perform their required function Is not impaired by the effectsof a los-of- fettaes toperform thei required function is not impaired by the effectsof a Loss of-rffes.

of a loas-of-.ooisttaccident coolantac ideot to the curc or ccn,-1 todue rik ct holi.uh hlt aed oafdj of Coolant Accidentto the esteat of catamlg ndan risk to shhealth andnsretyof th pbli. i C(GDC 42) ------

Inspetilonof Cotainment Atmosphere Cleanup Systems (Crirsrio 42)

Criterion: The cataimnst ttmospher olet..p systems shell be designed topermit appropriate periodic Inspectionof impeorint compenents,such as filter frames, do.x., asdpiping to a-surethe integrityandcapability oftoh systen.

T-x1 ix rred illustrtes sore of the differetter brtwevrr published criteria (32 FR 10213) and restated criterion froms LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 43-Accident Aggrac-aionPrevention (Ca7tgory A). Engineered safety &1.1.6Actlie-t Aggracstlon Prevention TentingofCoetainneent AtmosphereCennup Syatewn(Cclte'r..i 43) enture,shall he designed sothat any action of the engintered safetyfe fenturet uold esgtitee nfety frafethych Criterion: Protecten ngaloat any actin of thetngeingered Criterion: The contaagnnenta.noapher cdsanup alttl he designtd o permit h lthe dterc ftlreffectn ofa insofnormul coling/,hcll appapristeprielodicpemaureoad hcctilenui etn.t- a llure d)tlesigunctorl whichmigthtaccen adcrse after eftect ofthelon of -o-m1 tethee coliag i, .ncce.nt.sat tig/ifl-t'oidd. be pr' idod. (GDC43) and leakight integrityofibs comepooemn, (2) the operability and perforastc of the enticeoocponcellof the cyntoten auth no fna,& fdoera,dampers, pumps.

and rakhe,and (3) the cperohilityof the aystemt at whole and under couditloonssoloctnoodegnnasprscticnl, the peeformsnceof the fuid operntional aIqu.ecrthat brings theayetmaiw operation.,including oper-ola of applicable pertlom of the proteution aystem, the trantfer between normal and eme,.ency power morse, and the operKto. o.f fassod AccidentAggravationPrecention Criterian: Protection gain.,tmny action of the engireered safetyfentares whichwould accententesignifentliy the sdcorc after-effrect of, osas ofnormal oolingshall he provded. (GDC 43of 7111/67)

Criterion 44-EmergencyCore CoolingSyateensCapehbiity(Category A). At tet 6.2 1.1Emergency Core CoolingSystem Capability CoolingWater (Criterion 4t) two emesgency sr Cooing systcms, preferably of different design principles, Criterion: An emergencycore coolingsystemwiththe Cupuhilityfor ncnmmpltuhlug Criterioa: A systemIn transfar heat from atrotures. system. andcomponentsimpartan each with a capability for acormplishing abundantemer-geny core eooling,shal adequate emergencyCare coolingshallbe pprolded.This core coolingsystem ensafety roe ultimnte heat iltn shaithe preided. The syterm safetyfunction be provided. Each emergencycore coolingsysttm asdthe oareshall be designed s and shecote shellbedesigned .c preenat fi and d Cledamags that would shellhe to transfer the conbined hat load of these structure. nystems, asd prevet fuel and laddamage that would ioterfere with the emergency Core interferewith the emergeocycore coolingfunction and to limit the ctid metnalawter compneots undernaral otperatlagnod accident rondtionei cooing fonclion and Wn limit the dadmetal-water reeoat to negligible moun. reactio enacptab .cumountes for all sizesof breaks in the reactor coolant Suitable redenden.y In cmponeats end feetures andsiotahbe for all nicesof breakl in the reacorncooiant pressure beundary, including the piping up to the equol&eet of a double-endedrupture of the largest pipe: The iaccnoa*ronsm., ak detaetito, and iolationcapabilties shag beproided to douhlneodedepureofsthMeia as pip, fhrporetrmsnce of eachemergency tor poeormanreof suchemergencyrote coolingsy.te- sbhll heecaloated assure that forcs/ite electric powernysem operation (aussming offite power Coolbiogynese ehathee raln tted! Tceloelyio'aoheach e.of-rerge-nty,The coaneretvely in eacbhare of ocertainty. (GDC44) is at alah)and for offsie electric power y .tem operati.n (tsuming yosite power is not neuisnlo) thesystscesafety fooction n 1heaccomplished, systemeshall not share activecomponents and shallo hre other featret or assuming singlefailure componoata unless it ca he demountroerdthat (a) the capablitiy of the shared feature or cow-ponent et perform it required function c bereadily ascerenined Criterion 44: An Emergency Core CoolengSystem withthe capability fur accompluhing during reactoroper-tion. (b) faeinmof the shared feature or component doesnot adequ.te emegency coreoolinge hall he proidd. d This re cooling ystnm ii iitiatesns-f-nle accident, asd(c) capebtlity of the tiatredfeatore or andthe coe, shell he designed to prevent fuel and clad damge thaewu.d Componentto perform itn required function Is not impaired by the effects of loss, interfere withthe emergenycore rmling fuction aud to lmaisthe dad metalwater of-o.ooaneaccident -ad no -t lentdue-ig the entire period tis functioe It reactionto acreptblel amountsfor all sit. of breaks In the rmcsor ouiant piping required following the accidenL up to the equivleet ofa deubluouded rapture of the Iergestpipe. The performae of tch merency D cooling systemshallbe enlunatod ronenevaticyin each arm ofun-ecrutbty.

Criterion 45-InstpectionnfEmergentcyCore CoolingSystems(Category A).1eseig 0.1.2 tospectient of Eraergnec Cure CoulintSyftme Inapein of Emergency Core CoolingSystem preieions shall he made to fariliete physical inspectionof allcritical partsof the cterion; Deasign peovisonsnahuit, C here praetical,bemadet tatoinane huaetlmocf Criterion 45: Desimer prroviions shahtwhere practical,he made en tuitate inspectionof all emer-genty core coolingsystems.includingremctorceasl interoulhend wat phy*,talpartsnotha ernoecrneevascooeing syns*w, indcudngmactm uwisel physidi perts of the Emergency Core Cooling System,inerodingrmeatr verd

infectine enIoe. hesnelatand wmereinJ*eon nnn (GDC451 interneet and water Injectionsouke Criterion40-TestingofEmergencyCoreCoolingSystemsaComposenb(Cen teotY &2.1.3T-rng at Enargeme,Con Coo~rg%ntemCOMPow Testingof CoolingWater System(Criterion 46)

A. Benignptiono ehuil hemude sothat not/cccaoyoncn ccfcitee Cesrien: Deesein, Aln shal hemade rethet Ctirte; semeee ohslil thating nI r ware a m Criterion: The water system he dsined to permit appropriste periodic c.rccool uc

.rgetccech cd p.ocup, Io.ce enan s he tested periedically fur elsngessetemn an beted sndlogcadftroperiit and functional p .adrene and l to sesr()

tfionaltesting hstrcturai andiaktight the uperahblity and requiorerfuectieaui porfurmance. netenaseen*.llC 4E integrityof Its sempenets.(2) theoperability and the perfrmmnre of the activeronpone ts of the system, and (3)the operability of the system*es wholeand, under ronditnm es aclo to design as pescticl, the performance of the fulloperational equence that briung the system nt operatiottfor rectortshutdowna nd for sccideat.,

.o..of-ouitetincludingoperation of applicable portions of the protectionsytem andthe transfer here.-enormal and emergencypower muret, Criterion 47-Testing of EmergencyCore Coi ngSystems (Category A). A ,2.A.47teuingotEmetrOncy Cure coolingsintew Testingof Emergeecy Cor CoolingSystem cpabpictyshell beparvidedto test periodicallythe c/r/rca oapcuhciit ofthe Critaerin:Capahbilty shellhe penovlded toeat periodicallytfo perobithylllthnarsecgiare Criterion 47:Ctpabtlity shallhe peided to tnt periodicaly the poprability ofthe Emergency emergn&cy ces ooling sy atema eta iocatiot encinento the ore asis practicel cas coolingceem up to a incationated to thace enis proatice].(GDC47) Core CoolingSystem up

aioade nCletose , enthe core aenispractical.

Criterion 4&0Teting ofOpeetionai Sequntr of Emergency Core Cooling LZA.SsshtC a OpelerationlSelquencenoEntergancyCot CoolingSyetem Testing of Operational Sequenceof Emergency Core CoolingSytem ystems (Catgory A). Acapahiiityshallhbe prodedto tentnunderoditioeas C-terlioe:Cupabhllrshalihe peniodad sent oCa tialo, undor meddiocresdat ueactlni Cotterion 45: Capabiity shell he provided to test initially, under conditioo as clos enpracticli closeto design aspradical thefulloperational sequencethet would bring the eodeaign, the teu1 peartontoui taseence that innuldbhingthe emergency amen e design,the fulloperoden.i aequenethat would bring the metrcgency Cor emergency co re coolingsystems into action, Includingthe transfer sualternate coolingaystarnInto action,Inludingthae n ert uo darmeate pun eouseas. CoulingSystem lore action, includingthe tmasfer to alternate power sources.

Power mure- -_-_ - _--

Criterion 49-Cootsinment Disign Onsis(Categoay Aý.Thc routainmnt etnecturs, $Ltut e Reacts, conem n Dnm sntigBaeds Reantor ContuirmenoDetign Basis includingaccest openings atd penetrationt. and anY ecresyac conteinment best Creltton: The moset sotIcems snnaburo,ltiding aupelne;endpranareinsus.and any Criterion: The rmctur roauiarent erectors includingopeninAgand penetrations, and my removI 'ystems beall he designeds thnt the conteinmet structure rem amemynt cu inmenstbeant Canoal IVh-,

sva ms. l be demiged thetat nethry etuinmet heat rreeal cyatems, shall be designeden that the irnksge accommodate/thecu occdc tic h doe/o Iýacgc, -o th pme pr.s.ute a d leaageso ld radntotneut metaliaibfromtihe ontuinment esutmure t rmnditions of radioactee ma tiae frorthsee.tuimentstrocuen under eonditions of pressure tmpeetretresultingfrom t he largestcredibi zeneo retracfolinwingaioe-s- of preesesmandtam iu lt the tatrgetrrdih earrat lae*n and temperure raulting from the largest credihleneerey reieus followinga Lfse of-coolat ccidet, Including i ngc:n,i/dorchW--cMa for effeots from metul-water or followinga, oss-t-onolemeecident Includingts eaktamad noorlotfrom metalmaser Cooltt Accidens includingthe Caleclated energyffromwest-wateror other otherchemicalreactione thaCtculd occur me consequenceof fainuree f emergency ce ethr chmicul rneoonnChatcoulid cee aen. tsmueq-tm ofCafllum on chlemicai remctionn that couldacers a rnsequene of failureof ay singleectice any sleglatic eae enpoert in thesmarerenvnme egesam, will et oding compoaentin the emerge.ny cyre coolingsystemwill not reult in und e sisk tn the Curecoling systems.

eulti/ cdoe risk to tce health and safey ot the public.(GuDC49) heaith andsafetyof the public. (GDC49 of 7/11/67)

Text ics red illutnttrv votce of the differeroes between publisbed criteria (32 FR 10213) and restated criterion from LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion SO-SDTRequirenet for Cootflnmsst Material (CotegosyA) N- tloT Tqusromand Rt.LO7 for Ctneaenmstr Malatial Criterion: Theacleotion sd ate - ot ontaionestmaterials shali he is ccordasc. with p o lod i o "7 n. fri" i o,'h tl- Cretion: Tho*a onan. s od ont. ent m sh beI ac can ith spplisbkine.gem.ing cod- (GDCS o71117)

,olironmnc~tthall he o.Ier-td c..t thatr undpioerolno od -pr.tlurri oCord-ing n n o Jh GDCSO). ....... .

.o Iivt ooon.d i ci oWI-i th on301drcrr-1 F ahbt,vI I it111ti irt"rcitioo INDTt t)oamper. 1.3.5Rsaor Costalnmene(Crltera 50 Sn 57)

Containment Denitg Basis (Criterion tO)

Criterion: The reactorcontatnme structure. isouding lt accessopenings, penetetlnoo, andthe containment hoostremoval systet hall be desigotedso that the oontalmentstrtucture andits lotern.i comport.ena ens acconcmodte wjbito eoootcio tote designleakagerate a.d with utncient morgis the calculated pressn. asd tenperoture ccnditioon o*lting ftr. say Its-f r.lant0 ciden This margeno shall retlect considerationof(l) the effectsof potential energy soores. that bave st hes inluded Is the determination of the peak esoditinos,such as energy I. stan grertomr. ad,as reqtisred by 5t.44, ooergy ft.onetol., wtter sad other chemical reetinoa that may remalt ft.o dgradadtds butot oc tonal Wllren femetgtnsc v coling functioning; (2) the limtted experiencesad erperimental daft oallahblefor defining accident phenotmena and containmentresposzse; and (3) the cnoervatitm of the eaciolatinnal nodet and snpat psesnetees A,). If psers Criterion f toe reactorceoolant 51-Reactor peessuree CoolantPsvsceo heoudary Boundary h. notaide Omttoide the Containment (Category Corn (Csnlthegos pliance not add ressed Pracsore.eoeol of Cosolnset~u ....ne nouaday (Crierison I)

A).to . p . s 1 l n b dyC n a r sCriterion: The reactor contaltment boundary aballbe dosignedwithsfiens margin to appro-pri.te featue s. .-ecessay ahallhe previded to pestelt the health aed esere that under opersting, maintenance, teting sadpostulated accident asfety of toe publicin ea.eof - accidental roptao is that pit Determination of conditions (1) its ferritic materiala hehoveIn . non-bhelt mouner and (2)the the appespeistessof fea-soressuch as sedationoslresand additiosal probability of rapidly propgating fractou is minimized.The designshall reflect coo'taloesest shotl inclnde coesideration of toeenvironmental and popttlation consideratisonof servlrtemperosresssd othcr conditione of he costainment conditlo aseroundiag the sit, boundarymaterial during operation, .ealnteonce. teating, and postulated neldeot Conditions, ondthe uncertainties in determining (1) material properties, (2) etiduat and trasient stesate, and(3) so, of nteady-stnte, Criterion S2-C4otaitmeot Hant Removal Systems (Category A). Where active sttConlualmsoot Hoat RatmosslSysezsa Criterion Wihereso ctiv hat esmrs yste is adno accident eaditidno to heatremoval s -sto, . re needed easderaccident conditons to p-e1ent e.ceeding m.aA j: nt ae clso tt rhasovat smteoma,t*dad und.,dordslormsdliamo prevetseding cosalment designpe anre, thia syaten shall perfore it momtaismeat ,

design pssasure, t Ilral I-t o, e., preerably of different presss seadleg metemabont dsalgapeassume, s lt eafoet-m this stam sl Its required function,auanming fal.o.. of anysingle active Component (GDC 52of prtsripte, each with fall capacity,hall hepaesded-. rvqdradfunctin,ass. mi-gtWhilo.. ae v-lost- eta*usts*ompoot.(GEC52) 7111/67)

Capabilityfar Containmeat LeakageRateTesting (Criterion 52)

Criterion: The reator contoodnent and other equlpment whichmay he subjectedto cortaiement test essditioo ahallbe designed ancht periodic integrated eakage rate stting cembe conducted at antatinment deaigpresssro.

Criterions53-Contalnment lestio Valvhs(Category A) Penetrations thas Provissonsfor onstasmoent Testingand Inpectlon (Criterios 53) requtr clour for the containment function hall be pestetod by rdunat Compliance not addressed Criteeion: The rnsctor conasimmeatsall he desigaed to permit (1) apptopriate periodic ro nd .nsoealed oppourtvi aing Ihspectionof all important areas, such as penetrations, (2) an appropriate ur hoil leeprogrsm, e and (3) periodic testein as oontolnmnt defign pressure of thi eatktigheniss ofpenesfrouiooswhich We nrrslient se..s oadespansion Criterion 54-Contoinment LeakageRate Tetoing (CategoryA) Containment shall s,1,9t Initici Cnoroinesrt LeakagetoatefTsttng OnisialCostalomest LeakageOntoTesting Criterion:Containmet hatl he deagned so tha integratedleakage rate satag con he Critrion: Containment shoathe designed so toot intsgrtos tekagge rate testing can he he deigned sothat as integrated leskage cote taetig ancbe onducted at &,v-,,

pr-- urfter eampletios and ltasl]lasinn of all poetnrsionso sd the leakage raete coridccasdIt the pcOLpr,1,ur cttuIlatcd tort,,ctt frot (h, derigo 1,20o condoctsd as toe ,Cakprsore calculatedr d treocmltform the design bais accident mnnssatrd v.rsttficuent period ot time n verify in contfomace with reqnird occidentafteer ompletion ad instolltion ofs peontradoto ad the leakagerate aftercompletion sndihnallt ot

. .ll penetrationsand theleakhg. rteahal be porformasc hatheneusourd over, suMcint period tfutim tovrify i Conformancerwith mean red o-,a sultient period oftime to eify itsconfoemance withrequired requiredperformanoe. (GDC 54) perfo.razzncs(GDC 54of 7/11/67)

Piping tystnam, Peactradeg Containment (Criterion 5,)

C literion: Piping systemspenetrating primary mactr contaiment shal he provided with leak detection, isolation, and containment cpahbilltea havirg n*hondsacy, r.tlability. and performsaceaapablitiesmhich reflect the importance to safety of isolatingthes piping systems.Such piping nystems -shlt be designed nith a Capabilityto test periodicallythe operability of the inolt*tonvalves snedstacisl apparatos and to determine if vIoe leakage ti withint cceptable lmti.

Teot in red illustrattes vsoe of the differenlces belween published criteria (32 FR 10213) and restated criterion froe LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32.FR 10213) submitted with LRA Cilerion 55-C*, anco eriodc L-okac. R-te Tino (CursoryA), The 5L..9.2ein t containment eakseh RateTstinog Conoa*aein-t shall bedetsined .o that integrated leakage rie testing -h b, cerion The Ochetocet he hesigned an the an i dloohe mnto er porindial t dc,,On p*--odr d d plcos Ifetim, plang isooodiccllbdetemi-nedbytt durin6gphlat Masse. (GOC 5S) Ccirede:

st Etch ac that a prt ofthe reacto coltanetp hoondery*oo4that pe5ete)tet pccresr (tCerie retcctreet shcil he preoldedwith cocaicment isolationecivaca fol.ow, oulestit -ecbedeonotrted tha, be containment itoltdio. provltions for .

specifilcds- of 1e1-Ich i.lst nttoen.Iin., am acceptable oan .e other defined basis:

1)Onelooksed doted bio nc1.a- inside td e. locked closedisolation valve outside containment; or

2) One automatic note ,le inside atdott locked closedinteonllvet outside contanment; or

3) MceIoked closedInolatinovive inside cadonetoctomati lso*lWO.Vlo.1 outside ofuostaitaen A simplecheck veloe nay not be used as the automatic solation valve outside contain~ment;or

4) One aztoaidc hontib alv, ieside and one tomatic -- Ihtatocn valve outsidecontainment A Mitplecheek vechosey ttt heused ., the

.anoti binda Vuive usde containment isolation valve outside ctonmfeneat shall be located s, closeto containment sa practical andupon loss of actuatiogpower, automatic lablooc valvems sell bedesigned to take the positi. th1bpeoodcs greotersclety.

Other appropnrte requiremeots to minimizethe prbobhittyor coosequooes of an scrikertal ruptoreofthe Se- connectedtc then.

shol he petolddl ccncessory tocustur cduaeeotefeey. Dot of the cppropciateoeas inotcieo* of tese*requicmeects, scth eshigher qualityin desi*e. fubrieation, andtesting addiion.l proo isotsfor In-scrVi.oispectiioc, protection agtainst emcsevere oetrttdlphe-omeos, and additioal isolationvsaes and PoriodicConltiet ak-I.e e Stg R c owting o ithe s -ierons.

Criterion: The containm t shallbe dealgnedso that so inongeneedeakagoOtteca be peridioally determined by test darmgplantlifotime.(GDC55 of 7111/67)

Criterion 56ProViion, fer Testing of Peceteetios.(CtngocryA). FPovoict-shell 5.1.9.3PeVishinsforTestia gof Penetrttin-s P.roisios forTe g0 of Pecetroo be mtde for testing pectnetratonswhich have retiliet teats or expansion bellowes to Criterie: Provisioto sheallbe wadeto, thicotent practical for periodiclly testing C r iteioo: Prooions sheldbe made to the exteet practicli for periodlcaly testingpetebtdrtions permiteskaktifhto tohbedewout ted doecn p-'u rpzta .mtiom whichhh veaerclle.nteh

- or eipnsion bell,,, to permit leak which halt M11sereslets0 r expasoion bellow topormit leak tightness to be tghtnest.to bedemonstrated tit he peakprm,-Utcoloolatedto -e.Idtfrom d-omtotrtted at the pock pmso- calculated to retslt from o-c-mrnc-c Pfthe decigo oooeoeociofthe 6lc-in ha-i, -coi&.t. (GI)C56) t-i, scidnL- (GCIC 56 of7/11/67)

Primary Containment Isoltion (Criterion 56)

Criteriao: Etch line that 000e00 directly tothe conttinment atmospheresod penctrates primary recor ottanelm tat sho be provided withcettasimeot isolation

,l.Ve.a follows.unles it can bedemonstrated that the containment isoletio provieim for a ptcif cleann of line, such as instrument tin", Oreacceptable

o. same other defined hbas:

2) 0c. looked olaoed islcit volvoInsideand ooe lookedclosed isolation ablceotside contoinwent;or

2) Ote sotonaticIlclalot eou vloeiside cod cooe lookedclosed icointtoncalveoutside cootaincesc; or

3) Onc lookedclosed ibolon Vech insldeand .. a etom Wtichlation eVlc o-tbide ocontoiteot. A simplecheck -Wtenay not beuted as the automatic zlaltion valW, aoulud cactoinweat;or

') Oto sutomatio iointulo echo insideand one automatic Beoltln calveoutside cotolinole. A simple cheek sVee may not beused as the autoneticioltedo- Velo outside otaolomendt.

Criterion 57T.ProViosoa for Testingof WlindtloValves(CategoryA). Capability 5.19.4Pecelicam for Teting of lcointion Vtldve Ccind Systwe iboint1o Valve. (Criterioc 57) thedJ heproelded for te600in funcactinl operahility of echested aseciatod Crttorion: Capbhllitysh all he provided to1, 000001cn praceioolfortesllo0 foodlctiol Critoerio: Seth ha thct peoretatet priwac soyrector'ontai~nmet cnd is neither ptrt of the appcameessential to the containment funcolonfor etstib-hhing that no failure operability ofoalv cod n citociatedapparat.s .ttectislto the contaoi. att restor cool-1t pressureboundarytor cmoeted directlyto the coctaonmi hsa coccuredcodfor deterthin ng that alve leakagedoes ot exceed cmptable functioefor netsbllhingthat no failureha. occurredand for deotoiamgtd- atmoaphere bahllhcoe tlt on contaietteolation ,IVe, hichshsllbe Hiweat. valve leakage does not exceed ccetptaime limits. (GDC 57) either ataozzais,or luckedclosed,or capable of remotemanuel opertion Thisvathe ehld becotoide,toitlament acd locatedas clos to the onttainment aspractical. A simple check eulta may not be ucd s the automatic isolation val'e.

P-ovizin- for Testingof Isol.t.on Valves Criterion: Capability shall beprovided to the ectentpractical for testcig functional operability of Vedva acd aso*autdapparatus essentitito the containment function for eathabltMagthat no failure hat occurred and for determining that Valveleakagedoet an, exceedacceptoble lnmit. (GDC57 f /l 11/67)

Critesinn 59 topectic of Containment Pr-s-Redcting Systems(Category A) i.4.1.2 icspeon of Cottinoeeot Prew-s Reducindo e Systemr Crietron: Deign prvei-aoishll be made to theeteot peacticaltofcilitate the periodic D elsgn p r svitions shil bhe ad. t facift ateth.epoelooedd Phytic l iape cioo ec dic )Cdtedeo Detig

pr ovisio ns n shallrhe 0:tc prhcyicaltofo eiitoto t0 the pe rin physicl i nap teedof .1 iwporta a ocpcnettoofiheo ntoin meot p re ur f thecatolnpeot fed-cctg prese1to repdoroig tbytoma.

se ch so imlpr pumps, f les od scomps.pGrsC a, sprayonts suo oopoteets of the qmportant t pre tdueg systons, tuch m i, alaleopysical hospectio of all Imoporsontonpelotat od pumps. valves,spray oazzlot.Io0,, aod .. mp.. y..yto.s,such as pumpa, Wovet, spray eohe,toct and .- wp.. 7111/67 Critorioa S-Testiog o1C.o-matnmt PresueReducing Syste. s Component. 6..1.3 Tostingof the Containment -Pressre-ReduciegISysteasConponeot Testingof Containment PressureReducing SystemtComponents

)CategoryA). The otttalanmt p resue reducingcystems ahollhe designed a coteerinc: The cotolnott posc eedoctngsystena thoSho desigaed, oh eolcnl Critoricon The ottinosnti pressueerduciet systemsshcll he desigoed,to the eoteot 0

theeactie toopooteots, such as pomps and Yalve, canbe tested periodicallyfor pococl sothat active components,such as putmpsand Valves,can betested practticaso that .ctive conpooes, scuh atspump, tod ecIo- cas be toEted perabilityand rquired fouctional performance, periodically for operabilityand required funtctionad prf mseo (GDC 59) periodicallyfor operability and requiredfNc .Ionalp erfobace, (GDC 59of7/11/67)

Tetf in red illtIraes so-. of 0he differencrs between pooblished criteria (32 FR 10213) andi restated criterion fromi LRA

Comparision of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Crlte0ioon6-TesdngofoContaImnto Spray Syotem (CoateoryA). AraOpab0lty 6.3.t.4Tltin~gof ContathnentSproy Synten Co60rotf~legofttto~oottdinootloeMatorntol ottheC noaronmen(Critoroo601 bhaolbepmro edto te periodicollythedelivery capebilit ofthe ontinomnt Criton: Aoapobiltysll beproded , tt pr o tetrtodlltythe Crtion Tho ulearpoenitdonigoho tinctudens to Otroltsitabtythe

,ptroysystemat a podltino doo thelbspry enuotl osi prootlcni too operabitity of Otte contaonoeto sopy Jyltemt oto ptositi on os

¢o5to the spray release ofradinatlveoto rinit i10~w0t00o .nd liquid efflunot ondto handie

.. o.t. O is practic.l, (GDC60) nodioctte wnild wastes produced during nornal rmcmtoroperation,including anticipatedoperatlonal ocrenermcem Suffident hotdup capacity hall be pvidd tforogte.noion of g-oo andliquid Mfo ts roetaininogrodlootin natmrinb.pordtlooroy where unlfoorable siteeivtr* entni monditioas 000be expneted o impue unusualoporotiomallimitationsupon noeMlan, of such oefluents to tbe ennrl nmot.

Critorto. 6t.ToTot.nof porotloolsotjuruen eof CootninoototPresure-Reducig 6.31.5 ToUng fOpnr~lo~io.Suqornc o f Coataionentt Preosou.Rrducing Systnms Tote a~o fo~rsttio.IrSuquooo.olConotainmnotPrnsuro.RednudngSysnmo System, (Category A) Aoopobdltythnilbnprooidod

$hall totatunderoondioton oo oapobilty Criteon:AAapbbitiyyl beprovided to test iundelly dcritdtoon bl So CrCrteion:nA be proided totetnitils underconditoutns or rt

,oeb. the dcsivna, poreici the fullopoerationaloq-.o that .ould bring the proeticauls , thedesiga ad befull operational quen. chat ould bring the Cterion: capndhe f ll beratiolsu e that w d condition ailoent containment preuro-roduing systems into ation includingthe transferto contanion ettpoosuoredu1ing th, tnnbigr Ay.feulloutnotionshcieltdiag tooultermatpotte nioote .opa..oow r oo altar.ot poaeroourot.. (GDC 61) (oCrco.GDC 61ofIt 1/7)

FaotStorage tandlnod and RadioactivityComatun (Criterion 61)

Criterion: The fall sto ge andh.adlig, rdioctli e waste,andother sytemswhich mayantuat r.odloocldvy .hall be designedto .tuer adequ.1t -afaty untder nor-al andpostoloted accident .o.diteon. TI.-s systems shall be designed (1)with, capability t permitappropriate periodic inspectinn modtestingof componentsImportant to safety;(2) with suitable shiettldn fo raditdion proteveino;(3) with Opp r'priate oontionnt onflonoemk and tlltering

.yt..s; (4) with. reidual beat -1o.1l capabldity hviongnnliability and teatmbifty thareflectsthe importance to.. sfey of decayheat andother ridjdbelt10. rovnoi; and (5)1o preenot nignifioot reduction10fuel stor0ge coolantinoetoy andr aaide4at cooditon.

Criterio*o62-Inpoetion of Air Cleanup System, (CategoryA). teoignprition. 6.,41.5lrpectimo ofAur CleanupSystem. Pmenlono fCrifctllyt in Furl Storage and0 tindlilg (Criterlon 62) shall 6. maode to fodlteotitphytioai iuspectionof o1 edt~lolpart. of c~ontainmnt C nmnritro: Ienoignproolelo.e sh1ll bnomde to thc 0n,0nprsctical to facitoate phycll Criterion: Criticality inthe fuel stoengenadhan dling syutoe shall be prnventedby

.ir cleanup tyoteot. such am.duun., fiters fas., .0d daopenr. Inspection of Oltcriticalports of containment air toiouup.yunst, such s, duct, filters, physical systems or processes,preferably by use of geometrically%af, faoo, aoddampen. (CDC 62) onfigutraoro .

Critrioo 63.Ttiuag of Air Clnuoup Systes Co~mpoonoet (Ctrgony A). Design 6.4.1.6 Tetintg of Air Clanemp Syotora Compoaneto MoontornigFuel.ad Waste Storage(Criterion63) proiiont hallbe made n that ldtive o mpoonrt of the .1rclenup systems, Crilteron: IsDigtprerieon, hall be ode 0 thh ent, practical so that meanti Criterion: Appropriote yotes bhibe proided to the fallotorg.e adrodiuot much., faooaod danper; ou .6 00stedpoeriodically for opobility aod required onpo.n oftb. air cleanup tyt-%o. muchas faon aodd-mprro. 00 be wte systeno and associnted handling rreas (1) ,todete condition, that may functional porformans- tes0edperiodicallyforopermbiity .od required functionalperforeauces_ (GDC twolt in the ho. of rosidu.l beatrem-ovl capability and eoensive radiadion

63) teoch 6-d (2)w toidnte opproprint remofy setin..

Criterion 64.Tetinl of Air Cleanup Systemo(CotogoeyA). A capabiltly ohalbe p..r.dod fur t0it. pnriodlethaing ... -Uhim.n of tbe air cleanupsyo......

s0are (a) flr bypa pat le- nordevelopedand(b) filter ad trapping Com pliance not addressed Moommugludin..oltyR.om.en Critrion,4)

Crinerion:Mmnohall be prolidd for monitoring the -,o-tor cosiwoo-- aatnophere.

nutot ) .. p

.Ideteriorated ound accep bel, Ron 4table r opo n 00tainingcomponents for redrutelion of LOCA accident fluid.,

wote-rialo haoe not drtrio roted beyond acceptatblelimtito. rlemurt dilschagepath., andthe plntenirons for ( tdioti0. y hat n.m0y releasedfrom .- no eopralotros, Including ntidpated opnrotio..I oogurenoo, ad from pootototed.. oidenta Teting Air CleanupSystems Criterion: A cipobllftyohll 60 pnroided t,, the e0tent prortical for linotoporiodictlatsig a.d surveillonceof th air cleanup syotemlto ensuoe (a) filter byps.. path. have not droiopnd 4d(b) Mbal aodnrapping material, horn notdeteriorated beyond acceptablelilmi. (GDC64 of 7111/67)

Crio~tioo65',-TnotUg of porationai Sequenceof Air CloonupSyotems(Cotogory t.3.7 EngineeredS.Wy Featurs (GISC37 - GDC65) TetthgofOpetonioo Seq.hce ofAr Cleanup System, A). A rapobiliro 6 1ni1 ppt oeidod 00000040 0004touo 0 c0o6e todeig Th deign, fabriiono teotIngondiopootltonof trn one, eoo rooroooantpressure Ctiterion: A oopablitysholl bo provided 0. test initially under condltlium I0. anog0 designas practical the fall operational squence that would bring the Arcrheanu systems boun.day, andther protection system gie ar u*nu oofsafe,and rrelobleoperotion under prorticni, the gfalop.r.tlo.. Isquencethat aoutdbring the ir cleanupsystems wto 100a00in0, Includingthe transfer to alternate power tugeanand the design air nilanticipated transint, and accident 000di4000.

enoral, floweer, enginered safety clioet,includingthe transfer o alter.te power s ourcesnd the design air flot flowdonintiy p*cpbility. f0 ma a.. proided lo blefacilityto back up the safety provided by themen compoarion dMiseryoupobility.(*DC 65 of 7111167)

Toor mougumered safetyfeoturesh-o bee, designedto cape with maysi0e r-sotor -innt pipobroak up tomodincludingthe elrcmferenrtil rapture of maypipenothat boundary I smohing 0006b010001d discbhrge fromboth 0d0 4s dslcutsed in Section143,3.3. They On,

.1.o deigned sooop. withtay otneoo r fodwteor baobreakup to a.d includingtbe nao st.am-or feedw-tarbhedentoadiocussed in Sctiot 14.2.5.Tbe totalloss of oil otfoitopower tassumnod 0courgenotwtihthon ocoldenno.

Cot. .6t*po eenotlonofFuelStorte Critiaityl(C.tngoty B). Cridoclityi.

0ew odp.o.tfuo toraes.hall6b0prentelrdhbyphyel.calytto orpro - - - -.... . .. . .. .. Prention of FuelStorage Crilticaity Such mea..as gnotrically tfe conflgurations hall beemphsiued 0ver 9...1 P5rvetion of FuenStorageCritioaiy Criterion: Critdiclity in the new and opoetfuel storage pit, shallbe prevnted by physical systemsy procedurol ontrols. Criterion: Criticality in the new and spot fuel storage pinshall be pr entodby physical or p Soeoeok-ou .. aoonitni-ly cofnfguration. shallbe 0ya1tems or procesoemSuchme0 00s geometricnally- oofigul*dflroto a11he emphaoized raphanicedoer pronedurral c00ls (GCIC66of 7111/67) proocedurasl cntaLs., (GISC04)

Taro in red illutstrtres sour of th. differeoncs betwee. published crteria (32 FR 10213) and restoted rrirron frrom I.RA

Comparosion of Published (32 FR 10213) General Design Criteria with stated criteria contained within the Indian Point UFSARs Draft General Design Criteria 1967 Scanned Indian Point Unit 2 Stated Compliance from the USFAR Indian Point Unit 3 Stated Compliance from the USFAR submitted with LRA from GDC's as published in 1967 (32 FR 10213) submitted with LRA Criterion 67-Foel and Waste Storage Deny Real (Category a. Reliabledenay 9.5.1.2 F~ l tad Waste Storage Decay H., C s R insst sonsovlsys-e-y s hall be designed to prevent dam.g, to the fuel I. s.or.g. Criteri.o: Rtriable deny best eresoovas ry s shall be designed .o provent damageto the Crsterion:Rflitbie deity ht removl syaiewso shathodesig uld topinet diaage to the facilities tsht could r-1l 1 rasdioactivityrolorss o t Ion petingfen-. a "1 Or ini rge fuifideii ald to astewinoag,thnk thatoold result radioactivity di foleisa sreg fIcolds mad So usnte sktorethkshealt could safetyin rtdisoativity Poblic -n isno. release, hich rould result In urdoI risk to the health and Wsfasy of r67 oao7s1lwhhsosslds7) ittudserssktothehealth sd ssfosyotShrpubU(IDC 67 7

.thepublic. (GDC67) ot 1111&")

Criteria. 6841M and Wste Sting. Radiation Shielding (CategoryB). Shielding 1.2..3 Fuel andWaste StorageRadiation Shielding frodiasion pooeoios-shill be provide

he desigt ot spenfuel and wast Criterioo: Atoqi thioldisl for raditdio protcsisos shall he provided is the daligs of FFolsd Waste StorageRadiation Shielding storage facilities .s required t, -e1ht h r 0 Io5CFR 211. sper fuel and wastesorag failiies. (GDC6() Criter eionAdshlddistfradi potectionshall beprvided in the designofspent foel aud

- sL, storgs, fdcilifie (GDC 606/1/167)

Criterion 69-Protection Agantst RadioactivityRals**fmrm SpentFuel ad 9.5.1.4 protection Agists Radioacvity Reioase from SpentFuool ad Was Storage WasteStoroge(CegorylB Cro i 01s '.h h Crite0 on: ;a h.11 IIo-rid, Pro, ifioh din td&0, nofN O and11-, tl, ti sh 1h. . .. .. . - . . .

V,*nid'd if -it'nI, clds ad n 0 -It n*do 0 , S jiolSo) t ' o1 o,uue rihkto0h hIlh l and ý,etof lh pIblic -o.1d rl1 fro, I. PrinoSe ou against Radioacivity Rels- from SpentpFue andWs. Storage publio - lIo,. ,cideol olio W. rof fodooti*-s (GDC69) Criterion: P- oionk holI ho .sdv in 1h, dign 0ofo fub 001 ad] . lo ri, to

"- ililSo, -h that In.udue rink1. ih r1h *nsad elt, -let f he- ipuhficcould -. 111i f-m an uooid.c(iolrol*oasotdi*olhit, (GDC 69of0711167) .

Criterion 70-C*snnI of Relae.s efRadioactisityto e Environment (Cateory K The facility design shall th icldethod means srsary Somaintain control os Contra]oolofRcita of Radish..ivily to the Enviroment CostroltofRe e offdio... to abe vicy Enironent 00r0 she plnt rsdioaoiovee euu., whethergaseus, liquid or olid. Appopriate Criterion: The raoiiy dfsigc shall losiudo those osuanecessarry Sostsisto seooary Wmaintain to l oer C torloo Tho facilitydesignshslt include thote no.si to ootrol o0erthe holdupcapacity shall be provided for rattntion of gaseous,liquid, or woild the plast radioactive e'ffluentswhether oous,liquid, or olid. Appropriate holdup dopacityiosoloe omooss, whethergtaooss liqui, or solid. Appropriste holdup s at.. p arti clarly wohoro

ef unfsror blo ensironmetalsco ndito nss co ho shsil ho providodfor rooonds o of ossous,liquid,orsolid om U setflu pa lrticuiselywhbe capacity shall be provided for retention of taeUS. liquid. or wolidefluenta, eupreled soCoqoico o~erotioosl Imlintsion, oponthe reio~ssrofrsldiosctino osfsooeahtioo ensooion

-9r ooditiooaIsOho eopoost so toi co ,opors'ossi sol siosot psotseooorlywshr ssfsor o sb seirososesul uosdltios canho expected roqnirl expected tso requireoperational limitationsupo t hdesi re ofsradioactives upon she raltro of radioactlveefluenta sothe environment In tn oilw the design for operational litatons upon the rM- of rdioactive M...uts 50tse eiriasneol effluespsto the eavintrsente, In all case*s,the design for radioactivity control shall radi ctivity control aU,.beJustified (a) on the bastisof 10 CFR 20 requiremventsfor 1. all cam the design(6, radioactivity control .u.t beJustified(a) an the basisof 10 bejn j~led (I) on the basis of 10 ClIk 20 requirementsfor nor'maloperahit' an~d o onormalropendtony f.s.l n h yr.1 ledsia- s that mightionsathably be asdcif0tqdsto o ClR 20 quire1est, fs r nortid operations and t olr any tlnsient situotios that might for soy trasient sltation that might rosssnAhlybe anticipated to occur sod (Is) osr sad(b)o the bhaul of 10CFR t0odos levelo guidelinesfor potential -rosolr ... restasosoldtybeanticipsed tso so.r sad (b) an the bas isof 10 CFIRIt dosagelevel 0 nhebsitoflCFR100 doaglevelguidelinesftpo, tialrrsetoraccidenta of exceedingly1- probability of-ocurea, (GDC 70t) guidantso forposenthd rectrs accidents of exceedinglylowprobability of ofa exoeedigly tos psohbbhity of o.--.erco. Iof th, tholrodocti, ac--r-oor (GDC 70sf7IE1567) roeIomnded do,-,v is lo.. Sc o0ro.iol ir Met h.0,1 pNllodj 0o .51ko Wer d1o*e -iti0 he f5tat'-otSh SIl'hrit' clioe effluent,.

(Se- 161,68 Seat 949; 42 USC. 2201) Dated as Wahington, DC.. this 205hdsy of ,Ose 1967. For the AtomicEnergy Cossissio. W.1 MCCOO, Secretary.

Text in red illustrates sone of the difference .s between published criteria (32 FR 10213) asd restated vriterion from LRA

Paul M. Blanch Overview A 35+ year professional presently consulting to the top management of Northeast Utilities Millstone Nuclear Power Station, Indian Point and Maine Yankee and with a distinguished career as an engineer, engineering manager and project coordinator for the construction of nuclear power plants.

Experience EMPLOYEE CONCERNS AND SAFETY CONClOUS WORK ENVIRONMENT CONSULTANT -

- February 2001 to Present Consultant reporting to the Chief Nuclear Officer at Indian Point Unit 2 assisting in the evaluation of the plant's Employee Concerns Program and an assessment of the Safety Conscious Work Environment.

(SCWE) Work also includes assisting investigations of allegations related to e'mployee discrimination and other technical and safety issues. Developed and implemented training programs for ECP and other site personnel.

EMPLOYEE CONCERNS AND SAFETY CONClOUS WORK ENVIRONMENT CONSULT ANT -

- September 2001 to Present Consultant reporting t6 the President of Maine Yankee Atomic Po\ver Company. Primary responsibilities include the re-establishment of a Safety Conscious Work Environment (SCWE) and to act as an independent facilitator to resolve differences between employees and management. Evaluated the Employee Concerns Program making recommendations for improvement to the President. Conducted independent investigations of allegations received internally and referral allegations from the NRC.

EMPLOYEE CONCERNS AND SAFETY CONClOUS WORK ENVIRONMENT CONSULT AJ"JT-

- February J 997 to 200 J Consultant reporting to the President of Northeast Nuclear Energy Company assisting in the 'recovery of the three Millstone Units previously on the NRC's "Watch List." Primary responsibilities include the re-establishment of a Safety Conscious WorkI Environment (SCWE) and to act as an independent facilitator to' J

resolve differences between employees and management. Coordinate many different groups at Millstone including executive management, legal, human resources and the Employee Concerns organization.

Resolve differences at the lowest possible management level. Coordinate with ECP to investigate safety, technical and HIRD issues and review outcomes 10 assure the iiwestigalion was conducted in an unbiased, fair and equitable manner. Coordinate corrective action with the appropriate management, legal and technical organizations.

Work closely ~th t?P management and corporate conununicalions 10 coordinate efforts to regain public confidence with the operation and'management of the Millstone site. Provide assistance with regulatory compliance issues and interface with various public interest groups in the Millstone area including State oversight and groups critical of the Millstone operations. Provide both formal and informal feedhack to the NRC aboul the reCOVel)' of Millstone and lhe esrabJi,c;hmenl of a Safety Conscious Work Environment,

Conduct training and make presentations to top nuclear executives about the need to maintain a Safety Conscious Work Environment when requested by the Nuclear Energy Institute and the Nuclear Regulatory Comrmssion.

Made regular presentations to public interest groups, State of Connecticut oversight organizations and the Nuclear Regulatory Commission as to my personal assessment of the work environment at Millstone and the status of corrective actions.

Worked as a team member with other Millstone management providing overall strategic direction to the President to assist in the recovery of Millstone with specific emphasis on public confidence and the establishment of a SCWE.

Provide routine advice to outside legal organizations and other nuclear utility management with respect to dealing with employees raising safety concerns.

Conducted presentations (September 1999 and September 2000) to the Employee Concerns Program Forum providing a perspective on "whistleblower" issues and what management needs to do to properly address these issues.

Conducted presentation in September 2000, along with NRC Chairman Meserve, to the NRC and the NRC's Inspector General's staff on a proposal to resolve "High profile whistleblower" situations. I am continuing to work with the Nuclear Energy Institute to further refine this concept.

Worked closely with the US General Accounting Office conducting its study related to the NRC's handling of whistleblower issues in the nuclear industry, ENERGY CONSULTANT - 1993 to 1997 Provided expert witness testimony and worked with the NRC to change Federal Regulations for the protection of individuals identifying safety issues at nuclear licensed facilities.

Worked with the Office of the Inspector General of the NRC to provide major input to a revision of the recently passed federal "Energy Bill" providing additional protection to Nuclear Whistleblowers. This has been referred to as "the Blanch Amendment" by some personnel within the NRC.

Provided advice to both attorneys and their clients to gain an understanding of the NRC and Department of Labor regulations governing the protection of whistleblowers under the Energy Reorganization Act NORTHEAST UTILITIES - 1972 to 1993 Supervisor of Electrical Engineering (Instrument and Control Engineering Branch)

Responsible for programs to assure plant reliability and compliance with NRC regulations. Conducted periodic training of employees and contractors to maintain continued cognizance of all corporate and station procedures and regulations. Worked as both a supervisor of an engineering organization and directed the efforts of Stone and Webster and Bechtel to assure safety and complianceduring the design and construction of Millstone Units 2 & 3. Primary interface between NU.,Westinghouse and Stone and Webster for the conceptual design of electrical and process instrumentation systems during construction of Millstone Unit 3. Assured compliance with all NRC electrical standards and design criteria. Member of the Millstone Nuclear Review Board responsible to the president to assure compliance with all applicable regulations.

Accomplishments Directed the dev elopment of the first real time instrumentation monitoring system for practical use in commercial nuclear plants to asses the overall safety status of the plant and to provide information to

remote facilities during emergency events. This effort resulted in the identification of many instrumentation problems not previously recognized or considered "undetectable failures." As a result of my efforts, and in face of strong opposition from the vendors and the industry, the NRC issued a Bulletin (90-01) requiring all utilities to monitor Rosemount transmitters used in safety applications. A supplement to the Bulletin was issued at the end of 1992.

Recognized the inability of condensate pots to function under de-pressurization events as a direct result of NU's computerized instrument monitoring system. This is one of the most significant safety issues identified in the nuclear industry. Developed a water injection system into the reference legs that precluded the absorption of these gases. This solution was adopted by the entire nuclear industry.

Developed a program to reduce or eliminate the need for periodic calibration of analog instrumentation and the elimination of the need for pressure transmitter response time testing. The formation of an ISA Standard activity (ISA 67.06) for the development of a standard for Performance Monitoring of Safety Related Instruments in Nuclear Power Plants was a direct result of these efforts.

Received a "First Use" award from Electric Power Research Institute (EPRI) for the application of Signal Validation for the identification of failed sensors during accident, as a direct result of developing and implementing signal validation for emergency computer systems.

Nuclear Operations Engineer (1979 - 1981)

Provide coordination between the Millstone plants and headquarters engineering, design and regulatory affairs department. Appointed as NU's representative to coordinate the NRC's backfit requirements following the TMI accident. Many of these new requirements involved the addition of effluent and area radiation monitors.

Senior I & C Engineer (1974 - 1979)

Specified and directed the design, procurement and installation of instrumentation systems for use in Millstone Units #2 and #3. This included all process instrumentation along with all effluent monitoring systems including process and area radiation monitoring systems.

UNITED STATES NAVY - 1963 to 1971 Electrical plant and Reactor operator and Leading Petty Officer aboard the Nuclear Powered Submarine USS Patrick Henry (SSBN-599). Qualified electrical plant and reactor operator and instructor at Navy prototype reactor (SIC). US Navy Submarine School 1968. US Navy Nuclear Power School 1965. US Navy Electronics Technician School 1964.

Special Qualifications Actively participated and contributed to two recent studies conducted by the NRC and NU addressing the cultural problems at Northeast Utilities. Collaborated with the Fundamental Cause Assessment Team and the NRC's Millstone Independent Review Group and provided insights as to the root causes of the problems effecting the NU nuclear organization.

Named Utility Engineer of the Year (1993) by Westinghouse Electric and Control Magazine for advancing the safety of nuclear power.

Publicly recognized in October 1992 by the Chairman of the NRC (Ivan Selin) for significant contributions to nuclear safety, related to the identification of the condensate pot problems on Boiling and Pressurized Water Reactors.

Testified before the US Senate Subcommittee about the failure of the NRC's regulatory practices and the NRC's mistreatment of Nuclear Whistleblowers. Instrumental in developing Connecticut's Nuclear Whistleblower Law effective October 1, 1992 which is the strongest Whistleblower Protection Law in the country. Discussed in Time Magazine (March 4, 1996) as a contributor to nuclear safety.

Registered Professional Controls Engineer.

Education BS Electrical Engineering, Magna Cum Laude, 1972, University of Hartford Graduate courses in Mechanical and Thermodynamic Engineering US Navy Submarine School, 1968 US Navy Nuclear Power School, 1965 US Navy Electronics Technician School, 1964 Professional Associations Member of the ANS Standards Committee (ANS 6.8.1 and 6.8.2) responsible for developing and specifying the requirements for process, effluent and area radiation monitors for commercial nuclear power plants.

Vice Chairman, Institute of Nuclear Power Operations (INPO) Two Standards Activities in response to Three Mile Island including Post Accident Monitoring requirements.

Member of the ANS Standards Committee responsible for developing the requirements for seismic monitoring systems for nuclear power plants.

Chairman of Two Committees for the Institute for Nuclear Power Operations (INPO) related to Three Mile Island post accident monitoring requirements and emergency response facilities.

Member of ISA 67.04 for the development of Instrument Setpoints for Nuclear Power Plants Registered Professional Engineer - California

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION In re:

Docket Nos. 50-247-LR, 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64 Entergy Nuclear Operations, Inc.

]*x DECLARATION OF DAVID A. SCHLISSEL David A. Schlissel, hereby declares under penalty of perjury that the following is true and correct:

1. I am a senior consultant at Synapse Energy Economics, Inc. (Synapse),

an energy and economic consulting firm located in Cambridge, Massachusetts.

2. Synapse has been retained by the New York State Office of the Attorney General to provide expert services to the State of New York concerning the proposed relicensing of the two operating reactors located at the Indian Point Nuclear Power Station in the Village of Buchanan in Westchester County (Indian Point Unit 2 and Indian Point Unit 3).

Declarationof DavidA. Schlissel

3. When it is in service, Indian Point Unit 2 can produce up to 1,028 MW, per year; Indian Point Unit 3 can produce up to 1,041 MW when it is in service.

The Indian Point nuclear reactors, however, cannot run indefinitely. Approximately every 24 months, each reactor is taken off line for refueling and maintenance work.,"

According to the Entergy's recent investor report, over the last two years, planned.

outages for maintenance and refueling at Indian Point Unit 2 and Unit 3 have, lasted approximately three to four weeks (24 to 31 days). See Entergy Statistical Report and Investor Guide 20.06, p..52. In addition, from time to time, each unit-may experience unplanned outages..

4. Attached hereto and made a part of this sworn statement is a report prepared. by me concerning readily-available means to replace the power generated by Indian Point Unit 2 and/orIndian Point Unit 3. This report examines the availability of: (1) energy conservation and efficiency measures; (2) repowering of existing power plants; (3) renewable energy resources; (4) certain transmission.

system upgrades and enhancements; and (5) the potential for the addition of new generating facilities. See Synapse Energy Economics, Inc, Report on the Availability of Replacement Capacity. and Energy for Indian Point Units 2. and 3" (November 28, 2007).

5. To prepare the attached report, my staff and I have examined various publicly-available information, including, but not limited to, reports prepared by the Declar-ationof DavidA. Schlissel

New York State Energy Research and Development Authority, the NewYork Independent System Operator, the New York State Department of Public Service,

-the U.S. Department of Energy, the U.S. Nuclear Regulatory Commission, Levitan

& Associates for the County of Westchester, the New York. State Reliability Council, and the National Academy of Sciences. I also examined the April 30, 2007 License Renewal Application filed by Entergy, the accompanying Environmental Report,

'and--the Entergy Statistical Report and Investor Guide 2006.

6. The report that I prepared concludes that the capacity and energy provided by Indian Point Units 2 and 3 can be replaced if the Units are not relicensed. In particular, energy efficiency, renewable resources, the repowering of older generating. facilities, transmission upgrades and new natural gas-fired generating facilities represent viable alternatives to the relicensing of Indian Point.

Substantial reductions in peak demand and energy requirements will be achieved by 2013 under the state's newly announced "15 by 15" Clean Energy Plan.

Significant amounts of new renewable resources will be available as a result of the state's renewable energy portfolio standard and other initiatives. In addition, thousands of megawatts ("MW") of new generating capacity can be provided by the repowering (i.e., rebuilding) of older generating facilities both along the Hudson River and in the downstate area of the state in New York City and on Long Island.

At the same time, transmission system upgrades also can increase the amounts of Declarationof DavidA. Schlissel

power that can provided to the downstate region of the State. Finally, there is the potential for the addition of several thousand megawatts of new generating capacity in the Hudson River Valley and in downstate New York.

7. Also attached hereto is a copy of my current Curriculum Vitae (CV).,

8. The report and CV are true and correct to the best of my personal knowledge.

9. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury, that the foregoing is true and correct.

Dated:

Novembero, 2007 Cambridge, Massachusetts David A. Schlissel Declarationof David A. Schlissel

David A. Schlissel Senior Consultant Synapse Energy Economics 22 Pearl Street, Cambridge, MA 02139

'(617) 661-3248 ext. 224

Fax: (617) 661-0599 www.synapse-energy.com dschlissel@synapse-energy.com

SUMMARY

- I have worked for thirty years as a consultant and attorney on complex management, engineering, and economic issues, primarily in the field of energy. This work has involved conducting

..technical 'investigations, preparing economic analyses, presenting expert testimony, providing support during all phases of regulatory proceedings and litigation, and advising clients during settlement negotiations. I received undergraduate and advanced engineering degrees from the Massachusetts Institute of Technology and Stanford University, respectively, and a law degree from Stanford Law School PROFESSIONAL EXPERIENCE Electric System Reliability - Evaluated whether new transmission lines and generation facilities were needed to ensure adequate levels of system reliability. Investigated the causes of distribution system outages and inadequate service reliability. Examined the reasonableness of utility system reliability expenditures.

Transmission Line Siting - Examined the need for proposed transmission lines. Analyzed whether proposed transmission lines could be installed underground. Worked with clients to develop alternate routings for proposed lines that would have reduced impacts on the environment and communities.

Power Plant Operations and Economics - Investigated the causes of more than one hundred power plant and system outages, equipment failures, and component degradation, determined whether these problems could have been anticipated and avoided, and assessed liability for repair and replacement costs. Examined power plant operating, maintenance, and capital costs.

Analyzed power plant operating data from the NERC Generating Availability Data System (GADS). Evaluated utility plans for and management of the replacement of major power plant components. Assessed the adequacy of power plant quality assurance and maintenance programs.

Examined theselection and supervision of contractors and subcontractors.

Power Plant Repowering - Evaluated the environmental, economic and reliability impacts of rebuilding older, inefficient generating facilities with new combined cycle technology.

Power Plant Air Emissions - Investigated whether proposed generating facilities would provide environmental benefits in terms of reduced emissions of NO,, SO 2 and CO 2 . Examined whether new state 'emission standards would lead to the retirement of existing power plants or otherwise have an adverse impact onelectric system reliability.

1 Synapse Energy Economics, Inc.

IDavid Scblissel David Schlissel . Page Page I Sypapse Energy Economics, Inc.

Power Plant Water Use - Examined power plant repowering as a strategy for reducing water.

consumption at existing electric generating facilities. Analyzed the impact of converting power plants from once-through to closed-loop systems with cooling towers on plant revenues and..;,-'-,

electric system reliability. Evaluated the potential impact of the EPA's Proosed Clean Water Act Section 316(b) Rule for Cooling Water Intake Structures at existing power plants.

Nuclear Power - Examined the impact of the nuclear power plant life extensions and power..

uprates on decommissioning costs and collections policies. Evaluated utility decommissioning cost estimates and cost collection plans. Examined the reasonableness of utility decisions to sell nuclear power assets and evaluated the value received as a result of the auctioning of those.

plants. Investigated-the significance of the increasing ownership of nuclear power plants by multiple tiered holding companies with limited liability company. subsidiaries. Investigated the potential safety consequences of nuclear power plant structure, system, and component failures.

Electric Industry Regulation and Markets - Investigated whether new generating facilities that were built for a deregulated subsidiary should be included in the rate base of a regulated utility.

Evaluated the reasonableness of proposed utility power purchase agreements with deregulated affiliates. Investigated the prudence of utility power purchases in deregulated markets.: Examined whether generating facilities experienced more outages following the transition to a deregulated wholesale market in New England. Evaluated the reasonableness of nuclear and fossil plant sales, auctions, and power purchase agreements. Analyzed the impact of proposed utility mergers on market power. Assessed the reasonableness of contract provisions and terms in proposed power supply agreements.

Economic Analysis - Analyzed the costs and benefits of energy supply options. Examined the economic and system reliability consequences of the early retirement of major electric generating facilities. Evaluated whether new electric generating facilities are used and useful. Quantified replacement power costs and the increased capital and operating costs due to identified instances of mismanagement.

Expert Testimony - Presented the results of management, technical and economic analyses as testimony in more than ninety proceedings before regulatory boards and commissions in twenty three states, before two federal regulatory agencies, and in state and federal court proceedings.

Litigation and Regulatory Support - Participated in all aspects of the development and preparation of case presentations on complex management, technical, and economic issues.

Assistedin the preparation and conduct of pre-trial discovery and depositions. Helped identify and prepare expert witnesses. Aided the preparation of pre-hearing petitions and motions and post-hearing briefs and appeals. Assisted counsel in preparing for hearings and oral arguments.

Advised counsel during settlement negotiations.

David Schlissel Page 2 Synapse Energy Economics, Inc.

TESTIMONY, AFFIDAVITS, DEPOSITIONS AND COMMENTS WestVirginia Public Service Commission (Case No. 06-0033-E-CN) - November 2007 Appalachian Power Company's application for a Certificate of Public Convenience and Necessity for a 600 MW integrated gasification combined cycle generating facility.

Iowa Utility Board (Docket No. GCU-07-01) - October 2007 Whether, Interstate Power & Light Company's adequately considered the risks associated with building a new coal-fired power plant and whether that Company's'participation in the proposed Marshallt wn plant is prudent.

Virginia State Corporation Commission (Case No. PUE-2007-00066) - November 2007 Whether Dominion Virginia Power's adequately .considered the risks associated with building the proposed Wise Courity coal-fired power plant and whether that Commission should grant a certificate, of public convenience and necessity for the plant.

Louisiana Public Service Commission (Docket No. U-30192) - September 2007 The reasonableness of Entergy Louisiana's proposal to repower the Little Gypsy Unit 3 generating facility as a coal-fired power plant.

Arkansas Public Service Commission (Docket No. 06-154-U) - July 2007 The probable economic impact of the Southwestern Electric Power Company's proposed Hempstead coal-fired power plant project.

North Dakota Public Service Commission (Case Nos. PU-06-481 and 482) - May 2007 Whether the participation of Otter Tail Power Company and Montana-Dakota Utilities in the Big Stone II Generating Project is prudent.

Indiana Utility Regulatory Commission (Cause No. 43114) - May 2007 The appropriate carbon dioxide ("C0 2") emissions prices that should be used to analyze the relative economic costs and benefits of Duke Energy Indiana and Vectren Energy Delivery of Indiana's proposed Integrated Gasification Combined Cycle Facility and whether Duke and Vectren have appropriately reflected the capital cost of the proposed facility in their modeling analyses.'

Public Service Commission of Wisconsin (Docket No. 6630-EI-113) - March 2007, Whether the proposed sale of the Point Beach Nuclear Plant to FPL Energy Point Beach, LLC, is in the interest of the ratepayers of Wisconsin Electric Power Company.

Florida Public Service Commission (Docket No. 070098-EI) - March 2007 Florida Light & Power Company's need for and the economics of the proposed Glades Power

Park, David Schlissel. Page 3 Synapse Energy Economics, Inc.

Michigan Public Service Commission (Case No. 14992-U) - December 2006 The reasonableness of the proposed sale of the Palisades Nuclear Power Plant.

Minnesota Public Utilities Commission (Docket No. CN-05-619) - November 2006 Whether the co-owners of the proposed Big Stone II coal-fired generating plant have appropriately reflected the potential for the regulation of greenhouse gases in their analyses of:-

the facility; and whether the proposed project is a lower cost alternative than renewable options, conservation and load management.

North Carolina Utilities Commission (Docket No. E-7, Sub 790) - September 2006 and,-

January 2007 Duke's need for two new 800 MW coal-fired generating units and the relative economics of.

adding these facilities as compared to other available options including energy efficiency, and renewable technologies.

New Mexico Public Regulatory Commission (Case No. 05-00275-UT) - September 2006-,

Report to the New Mexico Commission on whether the settlement value of the adjustment for moving the 141 MW Afton combustion turbine merchant plant into rate base is reasonable.

Arizona Corporation Commission (Docket No. E-01345A-0816) - August and September 2006 Whether APS's acquisition of the Sundance Generating Station was prudent and the-.

reasonableness of the amounts that APS requested for fossil plant O&M.

U.S. District Court for the District of Montana (Billings Generation, Inc. vs. Electrical Controls, Inc, et al., CV-04-123-BLG-RFC) - August 2006 Quantification of plaintiff s business losses during an extended power plant outage and..

plaintiff's business earnings due to the shortening and delay of future plant outages.

[Confidential Expert Report]

Deposition in South Dakota Public Utility Commission Case No. EL05-022 - June 14,20,06 South Dakota Public Utility Commission (Case No. EL05-022) - May and June 201' 06 Whether the co-owners of the proposed Big Stone II coal-fired generating plant have.-

appropriately reflected the potential for the regulation of greenhouse gases in their analyses of the alternatives to the proposed facility; the need and timing for new supply options inthe co-owners' service territories; and whether there are alternatives to the proposed facility that are technically feasible and. economically cost-effective.

Georgia Public Service Commission (Docket No. 22449-U) - May 2006 Georgia Power Company's request for an accounting order to record early site permitting and construction operating license costs for new nuclear power plants.

David Schlissel Page 4 Synapse Energy Economics, Inc.

California Public Utilities Commission (Dockets Nos. A.05-11-008 and A.05-11-009) - April 2006" The estimated costs for decommissioning the Diablo Canyon, SONGS 2&3 and Palo Verde nuclear power plants and the annual contributions that are needed from ratepayers to assure that adequate funds will be available to decommission these plants at the projected ends of their service lives'.

New Jersey Board of Public Utilities (Docket No. EM05020106) - November and December 2005 and March 2006.

Joint Testimony with Bob Fagan and Bruce Biewald on the market power implications of the proposed merger between Exelon Corp. and Public. Service Enterprise Group.

Virginia State Corporation Commission (Case No. PUE-2005-00018)- November 2005 The siting of a proposed 230 kV transmission line.

Iowa Utility Board (Docket No. SPU-05-15) - September and October 2005 The reasonableness of IPL's proposed sale of the Duane Arnold Energy Center nuclear plant.

New York State Department of Environmental Conservation (DEC #3-3346-00011/00002) -

October 2005 The likely profits that Dynegy will earn from the sale of the energy and capacity of the Danskamme.r Generating Facility if the plant is converted from once-through to closed-cycle cooling with wet towers or to dry cooling.

Arkansas Public Service Commission (Docket 05-042-U) - July and August 2005 Arkansas Electric Cooperative Corporation's proposed purchase of the Wrightsville Power Facility.

Maine.Public Utilities Commission (Docket No..2005-17) - July2005 Joint testimony with Peter Lanzalotta and Bob Fagan evaluating Eastern Maine Electric Cooperative's request for a CPCN to purchase 15 MW of transmission capacity from New Brunswick Power.

Federal Energy Regulatory Commission (Docket No. EC05-43-0000) - April and May 2005 Joint Affidavit and Supplemental Affidavit with Bruce Biewald on the market power aspects of

the proposed merger of Exelon Corporation and Public Service Enterprise Group, Inc.

Maine Public Utilities Commission (Docket No. 2004-538 Phase II) - April 2005 Joint testimony with Peter Lanzalotta and Bob Fagan evaluating Maine Public Service Company's request for a CPCN to purchase 35 MW of transmission capacity from New Brunswick Power.

Maine Public Utilities Commission (Docket No. 2004-771) - March 2005 Analysis of Bangor Hydro-Electric's Petition for a Certificate of Public Convenience and Necessity to construct a 345 kV transmission line David Schlissel Page 5 Synapse Energy Economics, Inc.

United States District Court for the Southern District of Ohio, Eastern Division (Consolidated Civil Actions Nos. C2-99-1182 and C2-99-1250)

Whether the public release of company documents more than three years old would cause competitive harm to the American Electric Power Company. [Confidential Expert Report]

New Jersey Board of Public Utilities (Docket No. E003121014) - February 2005.

Whether the Board of Public Utilities canhalt further collections from Jersey Central Power-&

Light Company's ratepayers because there already are adequate funds in the company's decommissioning trusts for the Three Mile Island Unit No. 2 Nuclear Plant to allowfor the.'

decommissioning of that unit without endangered the public health and safety.

Maine Public Utilities Commission (Docket No. 2004-538) - January and March 2005" .

Analysis of Maine Public Service Company's request to construct a 138 kV transmission line from Limestone, Maine to the Canadian Border.

California Public Utilities Commission (Application No. A04-02-026) - December 2004 and January 2005 Southern California Edison's proposed replacement of the steam generators at tlhe San Onofre Unit 2 and Unit 3 nuclear power plants and whether the utility was imprudent for failing to initiate litigation against Combustion Engineering due to defects in the design of and materials used in those steam generators.

United States District Court for the Southern District of Indiana, Indianapolis Division (Civil Action No. 1P99-1693) - December 2004 Whether the public release of company documents more than three years old would cause competitive harm to the Cinergy Corporation. [Confidential Expert Report]

California Public Utilities Commission (Application No. A04-01-009) - August 2004 Pacific Gas & Electric's proposed replacement of the steam generators at the Diablo Canyon nuclear power plant and whether the utility was imprudent for failing to initiate litigation against Westinghouse due to defects in the design of and materials used in those steam generators.

Public Service Commission of Wisconsin (Docket No. 6690-CE-187)- June, July and August 2004 Whether Wisconsin Public Service Corporation's request for approval to build a proposed 515 MW coal-burning generating facility should be granted.

Public Service Commission of Wisconsin (Docket No. 05-EI-136) - May and June 2004 Whether the proposed sale of the Kewaunee Nuclear Power Plant to a subsidiary of an out-of-state holding company is in the public interest.

David Schlissel Page 6 Synapse Energy Economics, Inc.

" Connecticut Siting Council (Docket No..272) May 2004 Whether there aretechnically viable alternatives to the proposed 345-kV transmission line between Middletown and Norwalk Connecticut and the length of the line that can be installed underground.

.. Arizona Corporation Commission (Docket No. E-01345A-03-0437- February 2004 Whether Arizona Public Service Company should be allowed to acquire and include in rate base five generating units that were built by a deregulated affiliate..

State of Rhode Island Energy Facilities Siting Board (Docket No. SB-2003-1) - February 2004 Whether the cost of undergrounding a relocated I I5kV transmission line would be eligible for

- regional cost socialization.

State of Maine Department of Environmental Protection (Docket No. A-82-75-0-X) -

Decembere2003 The storage of irradiated nuclear fuel in an Independent Spent Fuel Storage Installation (ISFSI) and whether such an installation represents an air pollution control facility.

Rhode Island Public Utility Commission (Docket No. 3564) - December 2003 and January 2004 WhetherNarragansett Electric Company should be required to install a relocated 115kV

-transmission line underground.

New York State Board on Electric Generation Siting and the Environment (Case No. 01-F-1276) - September, October and November 2003 The environmental, economic and system reliability benefits that can reasonably be expected from the proposed 1,100 MW TransGas Energy generating facility in.Brooklyn, New York.

Wisconsin Public Service Commission (Case 6690-UR-115209) - September and October 2003 The reasonableness of Wisconsin Public Service Corporation's decommissioning cost collections for the Kewaunee Nuclear Plant.

Oklahoma Corporation Commission (Cause No. 2003-121) - July 2003 Whether Empire District Electric Company properly reduced its capital costs to reflect the write-off of a portion of the cost of building a new electric generating facility.

Arkansas Public Service Commission (Docket 02-248-U) - May 2003 Entergy's proposed replacement of the steam generators and the reactor vessel head at the ANO Unit I Steam Generating Station.

Appellate Tax Board, State of Massachusetts (Docket No C258405-406) - May 2003 The physical nature of electricityand whether electricity is a tangible product or a service.

Synapse Energy Economics, Inc.

David Schlissel Schlissel Page 7 Page 7 Synapse Energy Economics, Inc.

Maine Public Utilities Commission (Docket 2002-665-U) - April 2003 Analysis of Central Maine Power Company's proposed transmission line for Southern York, County and recommendation of alternatives.

Massachusetts Legislature, Joint Committees on Government Regulations and Energy-.

March 2003 Whether PG&E can decide to permanently retire, one or more of the generating units at its Salem Harbor Station if it is not granted an extension beyond October 2004 to reduce the emissions from the Station's three coal-fired units and one oil-fired unit.

New Jersey Board of Public Utilities (Docket No. ER02080614) - January 2003' The prudence of Rockland Electric Company's power purchases during the~period August 1, 1999 through July 31, 2002.

New York State Board on Electric Generation Siting and the Environment (Case No. 00-.F-r 1356) - September and October 2002 and January 2003 The need for and the environmental benefits from the proposed 300 MW Kings Park Energy-:

generating facility.

Arizona Corporation Commission (Docket No. E-01345A-01-0822) - March 2002.

The reasonableness of Arizona.Public Service Company's proposed long-term power purchase-agreement with an affiliated company.

New York State Board on Electric Generation Siting and the Environment (Case No. 99-F-1627) - March 2002 Repowering NYPA's existing Poletti Station in Queens, New York.

Connecticut Siting Council (Docket No. 217) - March 2002, November 2002, and January 2003 Whether the proposed 345-kV transmission line between Plumtree and Norwalk substations in Southwestern Connecticut is needed and will produce public benefits..

Vermont Public Service Board (Case No. 6545) - January 2002 Whether the proposed sale of the Vermont Yankee Nuclear Plant to Entergy is in the public interest of the State of Vermont and Vermont ratepayers.

Connecticut Department of Public Utility Control (Docket 99-09-12RE02) - December 2001 The reasonableness of adjustments that Connecticut Light and Power Company seeks to make to.

the proceeds that it received from the sale of Millstone Nuclear Power Station.

Connecticut Siting Council (Docket No. 208) - October 2001 Whether the proposed cross-sound cable between Connecticut and Long Island is needed and will produce public benefits for Connecticut consumers.

Page 8 Synapse Energy Economics, Inc.

Schlissel David Schlissel Page 8 Synapse Energy Economics, Inc.

New, Jersey Board of Public Utilities (Docket No. EM01050308) - September 2001 The market power implications of the proposed merger between Conectiv and Pepco.

Illinois Commerce Commission Docket No. 01-0423 - August, September, and October 2001 Commonwealth Edison Company's management of its distribution and transmission systems.

New York State Board on Electric Generation Siting and the Environment (Case No. 99-F-1627),- August and September 2001 The environmental benefits from the proposed 500 MW NYPA Astoria generating facility.

New York State Board on Electric Generation Siting and the Environment (Case No. 99-F-1191)-June 2001 The environmental benefits from the proposed 1,000 MW Astoria Energy generating facility..

New Jersey Board of Public Utilities (Docket No. EM00110870) - May 2001 The market power implications of the proposed merger between FirstEnergy and GPU Energy.

Connecticut Department of Public Utility Control (Docket 99-09-12RE01) - November 2000 The proposed sale of Millstone Nuclear Station to Dominion Nuclear, Inc.

Illinois Commerce Commission (Docket 00-0361) - August 2000 The impact of nuclear power plant life extensions on CommonwealthEdison Company's decommissioning costs and collections from ratepayers.

Vermont Public Service Board' (Docket 6300) - April 2000 Whether the proposed sale of the Vermont Yankee nuclear plant to AmerGen Vermont is in the public interest.

Massachusetts Department of Telecommunications and Energy (Docket 99-107, Phase II) -

April and June 2000 The causes of the May 18, 1999, main transformer fire at the Pilgrim generating station.

Connecticut Department of Public Utility Control (Docket 00-01-11) - March and April 2000 The impact of the proposed merger between Northeast Utilities and Con Edison, Inc. on the reliability of the electric service being provided to Connecticut ratepayers.

Connecticut Department of Public Utility Control (Docket 99-09-12) - January 2000 The reasonableness of Northeast Utilities plan for auctioning the Millstone Nuclear Station.

Connecticut Department of Public Utility Control (Docket 99-08-01) - November 1999 Generation, Transmission, and Distributionsystem reliability.

Page 9 Synapse Energy Economics, Inc.

Schlissel David Schlissel Page 9 Synapse Energy Economics, Inc.

Illinois Commerce Commission (Docket 99-0115) - September 1999 Commonwealth Edison Company's decommissioning cost estimate for the Zion Nuclear Station.

Connecticut Department of Public Utility Control (Docket 99-03-36) - July 1999 Standard offer rates for Connecticut Light & Power Company.

Connecticut Department of Public Utility Control (Docket 99-03-35) - July 1999 Standard offer rates for United Illuminating Company.

Connecticut Department of Public Utility Control (Docket 99-02-05) - April 1999.

Connecticut Light & Power Company stranded costs.

Connecticut Department of Public Utility Control (Docket 99-03-04) - April 1999,,

United Illuminating Company stranded costs.

Maryland Public Service Commission (Docket 8795) - December 1998 Future operating performance of Delmarva Power Company's nuclear units.

Maryland Public Service Commission (Dockets 8794/8804) - December 1998 Baltimore Gas and Electric Company's proposed replacement of the steam generators at the Calvert Cliffs Nuclear Power Plant. Future performance of nuclear units.

Indiana Utility Regulatory Commission (Docket 38702-FAC-40-Sl) - November 1998 Whether the ongoing outages of the two units at the D.C. Cook Nuclear Plant were caused or extended by mismanagement.

Arkansas Public Service Commission (Docket 98-065-U) - October 1998 Entergy's proposed replacement of the steam generators at the ANO Unit 2 Steam Generating Station.

Massachusetts Department of Telecommunications and Energy (Docket 97-120) - October 1998 Western Massachusetts Electric Company's Transition Charge. Whether the extended 1996-1998 outages of the three units at the Millstone Nuclear Station were caused or extended by mismanagement.

Connecticut Department of Public Utility Control (Docket 98-01-02) - September 1998 Nuclear plant operations, operating and capital costs, and system reliability improvement costs.

Illinois Commerce Commission (Docket 97-0015) - May 1998 Whether any of the outages of Commonwealth Edison Company's twelve nuclear units during 1996 were caused or extended by mismanagement. Whether equipment problems, personnel performance weaknesses, and program deficiencies could have been avoided or addressed prior to plant outages. Outage-related fuel and replacement power costs.

David Schlissel Page 10 Synapse Energy Economics, Inc.

Public Service Commission of West Virginia (Case 97-1329-E-CN) - March 1998 The need for a proposed 765 kV transmissionline from Wyoming, West Virginia, to Cloverdate, Virginia.

-Illinois Commerce Commission (Docket 97-0018) - March 1998 Whether any of the outages of the Clinton Power Station during 1996 were caused or extended by mismanagement.

Connecticut Department of Public Utility Control (Docket 97-05-12) - October 1997 The increased costs resulting from the ongoing outages of the three units at the Millstone Nuclear Station.

New Jersey Board of Public Utilities (Docket ER96030257) - August 1996 Replacement power costs during plant outages.

Illinois Commerce Commission (Docket 95-0119) - February 1996 Whether any of the outages of Commonwealth Edison Company's twelve nuclear units during 1994 Were caused or extended by mismanagement. Whether equipment problems, personnel performance weaknesses, and program deficiencies could have been avoided or addressed prior to plant outages. Outage-related fuel and replacement power costs..

Public Utility Commission of Texas (Docket 13170) - December 1994 Whether any of the outages of the River Bend Nuclear Station during the period October 1, 1991, through December 31, 1993, were caused or extended by mismanagement.

Public Utility Commission of Texas (Docket 12820) - October 1994 Operations and maintenance expenses during outages of the South Texas Nuclear Generating Station.

Wisconsin Public Service Commission (Cases 6630-CE-197 and 6630-CE-209) - September and October 1994 The reasonableness of the projected cost and schedule for the replacement of the steam generators at the Point Beach Nuclear Power Plant. The potential impact of plant aging on future operating costs and, performance.

Public Utility Commission of Texas (Docket 12700) - June 1994 Whether El Paso Electric Company's share of Palo Verde Unit 3 was needed to ensure adequate levels of system reliability. Whether the Company's investment in Unit 3 could be expected to generate cost savings for ratepayers within a reasonable number of years.

Arizona Corporation Commission (Docket U-1551-93-272) - May and June 1994 Southwest Gas Corporation's plastic and steel pipe repair and replacement programs.

Connecticut Department of Public Utility Control (Docket 92-04-15) - March 1994 Northeast Utilities management of the 1992/1993 replacement of the steam generators at Millstone Unit 2.

David Schlissel Pagell1 Synapse Energy Economics, Inc.

Connecticut Department of Public Utility Control (Docket 92-10-03) - August 1993 Whether the 1991 outage of Millstone Unit 3 as a result of the corrosion of safety-related plant piping systems was due to mismanagement.

Public Utility Commission of Texas (Docket 11735) - April and July 1993 Whether any of the outages of the Comanche Peak Unit I Nuclear Station during the period'-',

August 13, 1990, through June 30, 1992, were caused or extended by mismanagement.".

Connecticut Department of Public Utility Control (Docket 91-12-07) - January'1993 and August 1995 Whether the November 6, 1991, pipe rupture at Millstone Unit 2 and the related outages of the

-Connecticut-Yankee and Millstone units were caused or extended by mismanagement. The impact of environmental requirements on power plant design and operation.

Connecticut Department of Public Utility Control (Docket 92-06-05) - September 1992 United Illuminating Company off-system capacity sales. [Confidential Testimony]

Public Utility Commission of Texas (Docket 10894) - August 1992 Whether any of the outages of the River Bend Nuclear Station during the period October 1, 1988, through September 30, 1991, were caused or extended by mismanagement.

Connecticut Department of Public Utility Control (Docket 92-01-05) - August 1992' Whether the July 1991 outage of Millstone Unit 3 due to the fouling of important plant systems by blue mussels was the result of mismanagement.

California Public Utilities Commission (Docket 90-12-018) - November 1991, April 1992, June and July 1993 Whether any of the outages of the three units at the Palo Verde Nuclear Generating Station during 1989 and 1990 were caused or extended by mismanagement. Whether equipment problems, personnel performance weaknesses and program deficiencies could have been ayoided or addressed prior to outages. Whether specific plant operating cost and capital expenditures, were necessary and prudent.

Public Utility Commission of Texas (Docket 9945) - June 1991 Whether El Paso Electric Company's share of Palo Verde Unit 3 was needed to ensure adequate.

levels of system reliability. Whether the Company's investment in the unit could be expected to generate cost savings for ratepayers within a reasonable number of years. El Paso Electric

Company's management of the planning and licensing of the Arizona Interconnection Project.

transmission line.

Arizona Corporation Commission (Docket U-1345-90-007) - December 1990 and April 1991 Arizona Public Service Company's management of the planning, construction and operation of the Palo Verde Nuclear Generating Station. The costs resulting from identified instances of mismanagement.

David Schlissel Page 12 Synapse Energy Economics, Inc.

New Jersey Board of Public Utilities (Docket ER89110912J) - July and October 1990 The economic costs and benefits of the early retirement of the.Oyster Creek Nuclear Plant. The potential impact of the unit's early retirement on system reliability. The cost and schedule for siting and constructing a replacement natural gas-fired generating plant.

Public Utility Commission of Texas (Docket 9300) - June and July 1990 Texas: Utilities management of the design and construction of the Comanche Peak Nuclear Plant.

Whether the Company was prudent in repurchasing minority owners' shares of Comanche Peak without examining the costs and benefits of the repurchasefor its ratepayers.

Federal Energy Regulatory Commission (Docket EL-88-5-000) - November 1989 Boston Edison's corporate management of the Pilgrim Nuclear Station.

Connecticut Department of Public Utility Control (Docket 89-08-11) - November 1989 S .,,United Illuminating Company's off-system capacity sales.

Kansas State Corporation Commission (Case 164,211-U) - April 1989 Whether any of the 127 days of outages of the Wolf Creek generating plant during 1987 and:

. . 1988 were the result of mismanagement.

Public Utility Commission of Texas (Docket 8425) - March 1989 Whether Houston. Lighting & Power Company's new Limestone Unit 2 generating facility was needed to provide adequate levels of system reliability. Whether the Company's investment in Limestone Unit 2 would provide a net economic benefit for ratepayers.

Illinois Commerce Commission (Dockets 83-0537 and 84-0555) - July 1985 and January

1989. .

Commonwealth Edison Company's management of quality assurance and quality control activities and the actions of project contractors during construction of the Byron Nuclear Station.

New Mexico Public Service Commission (Case 2146, Part II) - October 1988 The rate consequences of Public Service Company of New Mexico's ownership of Palo Verde Units 1 and 2.

United States District Court for the Eastern District of New York (Case 87-646-JBW) -

October 1988 Whether the Long Island Lighting Company withheld important information from the New York State Public Service Commission, the-New York State Board on Electric Generating Siting and the Environment, and the U.S. Nuclear Regulatory. Commission.

Public Utility Commission of Texas (Docket 6668) - August 1988 and June 1989 Houston Light & Power Company's management of the design and construction.of the South Texas Nuclear Project.. The impact of safety-related and environmental requirements on plant construction costs and schedule.

David Schlissel Page 13 Synapse Energy Economics, Inc.

Federal Energy Regulatory Commission (Docket ER88-202-000) - June 1988 ,

Whether the turbine generator vibration problems that extended the 1987 outage of the Maine',

Yankee nuclear plant were caused by mismanagement.

Illinois Commerce Commission (Docket 87-0695) - April 1988 Illinois Power Company's planning for the Clinton Nuclear Station.

North Carolina Utilities Commission (Docket E-2, Sub 537) - February 1988 Carolina Power & Light Company's management of the design and construction of the Harris Nuclear Project. The Company's management of quality assurance and quality control activities..,

The impact of safety-related and environmental requirements on construction costs and schedule.

The cost and schedule consequences of identified instances of mismanagement.

Ohio Public Utilities Commission (Case 87-689-EL-AIR) - October 1987 Whether any of Ohio Edison's share of the Perry Unit 2 generating facility was needed, to ensure adequate levels of system reliability. Whether the Company's investment in Perry. Unit I would produce a net economic benefit for ratepayers.

North Carolina Utilities Commission (Docket E-2, Sub 526) - May 1987 Fuel factor calculations.

New York State Public Service Commission (Case 29484) - May 1987 The planned startup and power ascension testing program for the Nine Mile Point Unit 2:

generating facility.

Illinois Commerce Commission (Dockets 86-0043 and 86-0096) - April 1987 The reasonableness of certain terms in a proposed Power Supply Agreement.

Illinois Commerce Commission (Docket 86-0405) - March 1987 The in-service criteria to be used to determine when a new generating facility was capable of providing safe, adequate, reliable and efficient service.

Indiana Public Service Commission (Case 38045) - November 1986 Northern Indiana Public Service Company's planning for the Schaefer Unit 18 generating facility. Whether the capacity from Unit 18 was needed to ensure adequate system reliability.

The rate consequences of excess capacity on the Company's system.

.Superior Court in Rockingham County, New Hampshire (Case 86E328) - July 1986 The radiation effects of low power testing on the structures, equipment and components in a new nuclear power plant.

New York State Public Service Commission (Case 28124) - April 1986 and May 1987 The terms and provisions in a utility's contract with an equipment supplier. The prudence of the utility's planning for a new generating facility. Expenditures on a canceled generating facility.

David Schlissel Page 14 Synapse Energy Economics, Inc.

Arizona Corporation Commission (Docket U-1345-85)*- February 1986 The construction schedule for Palo Verde Unit No. 1. Regulatory and technical factors that would likely affect future plant operating costs.

New York State Public Service Commission (Case 29124) - December 1985 and January 1986 Niagara Mohawk Power Corporation's management of construction of the Nine Mile Point Unit No. 2 nuclear power plant.

New York State Public Service Commission (Case 28252) - October 1985 A performance standard for the Shoreham nuclear power plant.

New York State Public Service Commission (Case 29069) - August 1985 A performance standard for the Nine Mile Point Unit No. 2 nuclear power plant.

Missouri Public Service Commission (Cases ER-85-128 and EO-85-185) - July 1985 The impact of safety-related regulatory requirements and plant aging on power plant operating costs and performance. Regulatory factors and plant-specific design features that will likely, affect the future operating costs and performance of the Wolf Creek Nuclear Plant.

Massachusetts Department of Public Utilities (Case 84-152) - January 1985 The impact of safety-related regulatory requirements and plant aging on power plant operating costs and performance. Regulatory factors and plant-specific design features thatwill likely affect the future operating costs and performance of the Seabrook Nuclear Plant.

Maine Public Utilities Commission (Docket 84-113) - September 1984 The impact of safety-related regulatory requirements and plant aging on power plant operating costs and performance. Regulatory factors and plant-specific design features that will likely affect-the future operating costsand performance of the Seabrook NuclearPlant.

South Carolina Public Service Commission (Case 84-122-E) - August 1984 The repair and replacement strategy adopted by Carolina Power & Light Company in response to pipe cracking atthe Brunswick Nuclear Station. Quantification of replacement power costs attributable to identified instances of mismanagement.

Vermont Public Service Board (Case 4865) - May 1984 The repair and replacement strategy adopted by management in response to pipe cracking at the Vermont Yankee nuclear plant.

New York State Public Service Commission (Case 28347) -January 1984 The information that was available to Niagara Mohawk Power Corporation prior to 1982 concerning the potential for cracking in safety-related piping systems at the Nine Mile Point Unit No. I nuclear plant.

David Schlissel Page 15 Synapse Energy Economics, Inc.

New York State Public Service Commission (Case 28166) - February 1983 and February 1984 Whether the January 25, 1982, steam generator tube rupture at the Ginna Nuclear Plant was caused by mismanagement.

U.S. Nuclear Regulatory Commission (Case 50-247SP) - May 1983.

The economic costs and benefits of the early retirement of the Indian Point nuclear plants.,

REPORTS, ARTICLES, AND PRESENTATIONS The Risks of Building New Nuclear Power Plants, Presentation to the Utah State Legislature Public Utilities and Technology Committee, September 19, 2007.

The Risks of BuildingNew Nuclear PowerPlants, Presentation to Moody's and Standard &

Poor's rating agencies, May 17, 2007.

The Risks of Building New Nuclear Power Plants, U.S. Senate and House of Representative.

Briefings, April 20, 2007.

CarbonDioxide Emissions Costs andElectricity Resource Planning,New Mexico Public,-

Regulation Commission, Case 06-00448-UT, March 28, 2007, with Anna Sommer.

The Risks of Building New NuclearPower Plants,Presentation to the New York Society of Securities Analysts, June 8, 2006.

Conservation and Renewable Energy Should be the Cornerstonefor Meeting FutureNatural Gas Needs. Presentation to the Global LNG Summit, June 1, 2004. Presentation given byCliff Chen..

Comments on naturalgas utilities' Phase]Proposalsfor pre-approvedfull cost recovery of contracts with liquidnaturalgas (LNG) suppliers and the costs of interconnectingtheir systems with LNGfacilities. Comments in California Public Utilities Commission Rulemaking 04 025. March 23, 2004.

The 2003 Blackout: Solutions that Won't Cost a Fortune,The Electricity Journal, November 2003, with David White, Amy Roschelle, Paul Peterson, Bruce Biewald, and William Steinhurst.

The Impact of Converting the Cooling Systems at Indian Point Units 2 and 3 on Electric System Reliability. An Analysis for Riverkeeper, Inc. November 3, 2003.

The Impact of Converting IndianPoint Units 2 and 3 to Closed-Cycle CoolingSystems with Cooling Towers on Energy'sLikely Future Earnings.An Analysis for.Riverkeeper, Inc.

November 3, 2003.

Entergy's Lost Revenues During Outages of Indian Point Units 2 and 3 to Convert to Closed-Cycle CoolingSystems. An Analysis for Riverkeeper, Inc. November 3, 2003.

Power PlantRepowering as a Strategyfor Reducing Water Consumption at Existing Electric GeneratingFacilities. A presentation at the May 2003 Symposium on Cooling Water Intake Technologies to Protect Aquatic Organisms. May 6, 2003.

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Schlissel David Schlissel Page 16 Synapse Energy Ec6nomics, Inc.

"FinancialInsecurity. The IncreasingUse ofLimited Liability Companies and Multi-tiered Holding Companies to Own Electric GeneratingPlants.A presentation-at the 2002 NASUCA Annual Meeting. November.12, 2002.

Determining the Need for ProposedOverheadTransmission Facilities.A Presentation by David Schlissel'and Paul Peterson to the Task Force and Working Group for Connecticut Public Act 02-95.October 17, 2002.

Future PG&ENet Revenues From The Sale of Electricity Generatedat its Brayton Point Station.

"An Analysis for the Attorney General of the State of Rhode Island. October 2, 2002.

PG&E's Net Revenues From The Sale of Electricity.Generatedat its Brayton Point Station Duringthe Years 1999-2002. An Analysis for the Attorney General of the State of Rhode Island.

October 2, 2002.

FinancialInsecurity: The Increasing Use of Limited Liability Companies and Multi-Tiered Holding Companies to Own Nuclear Power Plants. A Synapse report for the STAR Foundation

.,and Riverkeeper, Inc., by David Schlissel, Paul Peterson, and Bruce Biewald, August 7, 2002.

Comments on EPA 's ProposedClean Water Act Section 316(b) for Cooling Water Intake Structures.at Phase11 Existing Facilities,on behalf of Riverkeeper, Inc., by David Schlissel and.

Geoffrey Keith, August 2002.

..The Impact of Retiring the Indian PointNuclear Power Station on Electric System Reliability. A Synapse Report for Riverkeeper, Inc. and Pace Law School Energy Project. May 7, 2002.

PreliminaryAssessment of the Needfor the ProposedPlumtree-Norwalk345-kV Transmission Line.. A Synapse Reportfor the Towns of Bethel, Redding, Weston, and Wilton Connecticut.

October 15, 2001.

ISO New England's Generating Unit Availability Study: Where s the BeeJf? A Presentation at the June 29,,2001 Restructuring Roundtable.

Clean Air and Reliable Power: ConnecticutLegislative House Bill HB6365 will not Jeopardize Electric System Reliability. A Synapse Report for the Clean Air Task Force. May 2001.

Room to Breathe:. Why the Massachusetts Departmentof EnvironmentalProtection'sProposed Air Regulations are Compatible with Reliability. A Synapse Report for MASSPIRG and the Clean Water Fund. March 2001.

GeneratorOutage Increases:A PreliminaryAnalysis of Outage Trends in the New England Electricity Market, a Synapse Report for the Union of Concerned Scientists, January 7, 2001.

Cost; GridReliability Concerns on the Rise Amid Restructuring,with Charlie Harak, Boston Business Journal, August 18-24, 2000.

Report on Indian Point 2 Steam GeneratorIssues, Schlissel Technical Consulting, Inc., March 10, 2000. d PreliminaryExpert Report in Case 96-016613, Cities of Wharton, Pasadena, et al v. Houston Lighting & Power Company, October 28, 1999.

Schlissel Page 17 Synapse Energy Economics, Inc.

David Schlissel Page 17 Synapse Energy Economics, Inc.

Comments of Schlissel Technical Consulting,Inc. on the Nuclear Regulatory Commission'sDraft Policy Statement on ElectricIndustry Economic Deregulation,February 1997.

Report to the MunicipalElectric Utility Association of New York State on the Cost of .

Decommissioning the FitzpatrickNuclear Plant, August 1996.

Report to the Staff of the Arizona CorporationCommission on US. West Corporation's-.:

telephone cable repairand replacementprograms,May, 1996.

Nuclear Power in the Competitive Environment, NRRI Quarterly Bulletin, Vol. 16, No. 3, Fall.....

1995.*

Nuclear Power in the Competitive Environment, presentation at the 18th National Conference of Regulatory Attorneys, Scottsdale, Arizona, May 17, 1995.

The PotentialSafety Consequences of Steam GeneratorTube Crackingat the Byron and BraidwoodNuclear Stations, a report for the Environmental Law and Policy Center of the Midwest, 1995.

Report to the Public Policy Group Concerning Future Trojan Nuclear Plant Operating, Performanceand Costs, July 15, 1992.

Report to the New York State ConsumerProtectionBoard on the Costs of the 1991 Refueling.

Outage of Indian Point 2, December 1991.

PreliminaryReport on Excess Capacity Issues to the Public Utility Regulation Boardofthe City of El Paso,Texas, April 1991.

Nuclear Power Plant ConstructionCosts, presentation at the November, 1987, Conference of the National Association of State Utility Consumer Advocates.

Comments on the FinalReport of the NationalElectric Reliability Study, a report for the New York State Consumer Protection Board, February 27, 1981.

OTHER SIGNIFICANT INVESTIGATIONS AND LITIGATION SUPPORT WORK Reviewed the salt deposition mitigation strategy proposed for Reliant Energy's repowering of its Astoria Generating Station. October 2002 through February 2003.

Assisted the Connecticut Office of Consumer Counsel in reviewing the auction of Connecticut Light & Power Company's power purchase agreements. August and September, 2000..

Assisted the New Jersey Division of the Ratepayer Advocate in evaluating the reasonableness of Atlantic City Electric Company's proposed sale of its fossil generating facilities. June and July, 2000.

Investigated whether the 1996-1998 outages of the three Millstone Nuclear Units were caused or extended by mismanagement. 1997 and 1998. Clients were the Connecticut Office of Consumer Counsel and the Office of the Attorney General of theCommonwealth of Massachusetts.

Page 18 Synapse Energy Economics, inc.

Schlissei David Schlissel Page 18 Synapse Energy Economics, Inc.

Investigated whether the 1995-1997 outages of the two units at the Salem Nuclear Station were caused or extended by mismanagement. 1996-1997. Client was the New Jersey Division of the Ratepayer Advocate.

Assisted the Associated Industries of Massachusetts in quantifying the stranded costs associated with utility generating plants in the New England states. May through July, 1996 S.. Investigated whether the December 25, 1993, turbine generator failure and fire at the Fermi 2 generating plant was caused by Detroit Edison Company's mismanagement of fabrication, operation or maintenance. 1995. Client was the Attorney General of the State of Michigan.

Investigated whether the outages of the two units at the South Texas Nuclear Generating Station

. during the years 1990 through 1994 were caused or extended by mismanagement. Client was the

. Texas Office of Public Utility Counsel.

Assisted the City Public Service Board of San Antonio, Texas in litigation over Houston Lighting & Power Company's management of operations of the South Texas Nuclear Generating Station.

Investigated whether outages of the Millstone nuclear units during the years 1991 through 1994 were caused or extended by mismanagement. Client was the Office of the Attorney General of the Commonwealth of Massachusetts.

Evaluated the 1994 Decommissioning Cost Estimate for the Maine Yankee Nuclear Plant. Client was the Public Advocate of the State of Maine.

Evaluated the 1994 Decommissioning Cost Estimate for the Seabrook Nuclear Plant. Clients were investment firms that were evaluating whether to purchase the Great Bay Power Company, one of Seabrook's minority owners.

Investigated whether a proposed natural-gas fired generating facility was need to ensure adequate levels of system reliability. Examined the potential impacts of environmental regulations on the unit's expected, construction cost and schedule. 1992. Client Was the New Jersey Rate Counsel.

Investigated whether Public Service Company of New Mexico management had adequately disclosed to potential investors the risk that it would be unable to market its excess generating capacity. Clients were individual shareholders of Public Service Company of New Mexico.

Investigated whether the Seabrook Nuclear Plant was prudently designed and constructed. 1989.

Clients were the Connecticut Office of Consumer Counsel and the Attorney General of the State of Connecticut.

Investigated whether Carolina Power & Light Company had prudently managed the design and construction of the Harris nuclear plant. 1988-1989. Clients were the North Carolina Electric Municipal Power Agency and the City of Fayetteville, North Carolina.

Investigated whether the Grand Gulf nuclear plant had been prudently designed and constructed.

1988. Client was the Arkansas PUblic Service Commission.

David Schlissel Page 19 Synapse Energy Economics, Inc.

Reviewed the financial .incentive program proposed by the New York State Public Service Commission to improve nuclear power plant safety. 1987. Client was the New York State.

Consumer Protection Board.

Reviewed the construction cost and schedule of the Hope Creek Nuclear Generating Station.

1986-1987. Client was the New Jersey Rate Counsel.

Reviewed the operating performance of the Fort St. Vrain Nuclear Plant. 1985. Client was the Colorado Office of Consumer Counsel.

WORK HISTORY 2000 - Present: Senior Consultant, Synapse Energy Economics, Inc.:

1994 - 2000: President, Schlissel Technical Consulting, Inc.,

1983 - 1994: .Director, Schlissel Engineering Associates 1979 - 1983: Private Legal and Consulting Practice 1975 - 1979: Attorney, New York State Consumer Protection Board 1973 - 1975: Staff Attorney, Georgia Power Project.

EDUCATION 1983-1985: Massachusetts Institute of Technology Special Graduate Student in Nuclear Engineering and Project Management, 1973: Stanford Law School, Juris Doctor 1969: Stanford University Master of Science in Astronautical Engineering, 1968: Massachusetts Institute of Technology Bachelor of Science in Astronautical Engineering, PROFESSIONAL MEMBERSHIPS

New York State Bar since 1981

American Nuclear Society

National Association of Corrosion Engineers Synapse Energy Economics, Inc.

David Schlissel Schlissel Page 20 Page 20 Synapse Energy Economics, Inc.

Synapse

'Energy Economics, Inc.

Report on the Availability of Replacement Capacity and Energy for Indian Point Units 2 & 3 November 28, 2007 AUTHOR David Schlissel

Entergy Nuclear Operations has applied to the Nuclear Regulatory Commission for a renewal the two operating licenses for Indian Point Unit 2 and Unit 3 for an:."

additional 20 years. This report examines the availability of: (1) renewable energy resources, (2) energy conservation and efficiency measures, (3) repowering of existing power plants, (4) transmission system upgrades and enhancements and (5) new power plants. The report concludes that the capacity and energy provided by Indian Point Units 2 and 3 can be replaced if the Units are not relicensed*..In, .

particular, energy efficiency, renewable resources, the repowering of older.

generating facilities, transmission upgrades and new natural gas-fired generating, ,

facilities represent viable alternatives to the relicensing of Indian Point. Substantial reductions in peak demand and energy requirements will be achieved by 2013 :under the state's newly announced "15 by 15" Clean Energy Plan. Significant amounts of

-new renewable resources will be available as a result of the state's renewable:.,

energy portfolio standard and other initiatives. In addition, thousands of megawatts

("MW") of new generating capacity can be provided by the repowering (i.e.,

rebuilding) of older generating facilities both along the Hudson River and in the downstate area of the state in New York City and on Long Island. At the same time, transmission system upgrades also can increase the amounts of power that can .

provided to the downstate region of the State. Finally, there is the potential for the addition of several thousand megawatts of new generating facilities in the Hudson River Valley and in downstate New York.

This report was prepared by David A. Schlissel. Mr. Schlissel is a Senior Consultant at Synapse Energy Economics. Since 1973, he has served as a consultant, expert witness, and attorney on complex management, engineering, and economic issues, primarily in the fields of energy and the environment. Prior to joining Synapse, Mr. Schlissel was the president of Schlissel Technical Consulting, Inc. and its predecessor,. Schlissel Engineering Associates.

Mr. Schlissel has been retained by regulatory commissions, consumer advocates, publicly-owned utilities, non-utility generators, governmental agencies, and private organizations in 23 states to prepare expert analyses on issues related to electric, natural gas, and telephone utilities. He has presented testimony in more than 100 cases before regulatory boards and commissions in 28 states, two federal regulatory agencies, and in state and federal court proceedings..

Recent work has involved the evaluation of electric transmission and distribution system reliability, power plant operations and outages, industry restructuring including quantification of stranded costs, proposed nuclear and fossil power plant sales, and proposed utility mergers. Mr. Schlissel has also examined the impact of nuclear power plant life extension on plant decommissioning costs.

Mr. Schlissel holds BS and MS degrees in Astronautical Engineering from the Massachusetts Institute of Technology (MIT) and Stanford University. He also received a Juris Doctor degree from Stanford University School of Law. He has also studied Nuclear Engineering and Project Management at MIT. He is a member E Synapse Energy Economics, Inc. 2

of the New York State Bar, the National Association of Corrosion Engineers, and the American Nuclear Society.

ENERGY EFFICIENCY New York Governor Eliot Spitzer has announced a "15 by 15" Clean Energy Plan to reduce energy consumption in 2015 by 15 percent to be achieved by energy efficiency alone., The energy efficiency that would be achieved under this Plan would more than replace the capacity and energy provided by both Indian Point Units.

As explained by the Governor, the plan would include taking actions to provide incentives to utilities to conserve energy, strengthening efficiency standards for energy intensive appliances and buildings, and by making the State Government's use of energy more efficient.

The "15 by 15" plan would reduce statewide electricity consumption by approximately 27,000 GWh by 2015. Figure 1 below illustrates the energy savings that would be achieved under the program assuming a linear implementation.

Figure 1.- Impact of New York State's "15 by 15" Policy 200,000 U. }£15%

...... --- 3...... ..... 15 150,000 3 100,000 50,000 4 Cumulative Assumed Reductio, 2% 4% 6% 8% 10% 12% 14% 15%

0I I I I 2007 2008 2009 2010 2011 2012 2013 2014 2015 Years

~ Forecasted Statew ide Energy Consumption a.... Forecasted Statewide Energy Consumption - Adjusting for 15% Reduction by 2015 The reasonably expected annual generation from both Indian Point Units after 2013 would be approximately 15,600 GWh. This reflects a capacity rating of 979MW for Remarks by Governor Eliot Spitzer. "15 by 15": A Clean Energy Strategy for New York. 19 Apr 2007.

Found at: http://www.state.ny.us/govemor/keydocs/0419071_speech.html M Synapse Energy Economics, Inc. 3

Indian Point Unit 2, a 1,000 MW capacity rating for Indian Point Unit 3, and 90 percent average annual capacity factors for both units. The capacity ratings for.

each unit reflect approximately 4 percent reductions in net plant output due to the potential addition of cooling towers.

To determine the potential of this policy to offset the Indian Point units, we-.

evaluated the potential energy and summer peak capacity savings that can be, expected from the "15 by 15" policy using both statewide2 and zonal3 forecasts of.:

energy consumption in GWh by the New York Independent System Operator (NY.

ISO). We used zonal forecasts from Zones H, I, J and K to represent the region that the Indian Point units directly serve. However, it is also relevant to look at the.,

potential for summer peak capacity savings statewide as the region does import power from other regions.

-The ramp-in required to achieve the target of 15% energy reduction by 2015 had not been determined. Therefore, we assumed a linear ramp-in of 2% per year',

starting in 2008 and ending in 2014, with 1% remaining required in 2015 to reach the goal of 15%. We calculated the statewide and regional energy reductions that would be required to achieve this goal by multiplying the total forecasted.energy consumption by state and region by the cumulative percentage reduction required for the given year.

We assumed that only 15% reductions would be achieved in the regions of New:

York State directly served by Indian Points (i.e., Zones H, I, J and K). This is-a conservative assumption because it is likely that urban areas such as New York City.

and Long Island would be able to achieve greater energy reductions than more rural areas which would have fewer energy savings opportunities.

We then converted the energy reductions to summer peak capacity savings in order to assess the ability for these reduction goals to offset the need for the two Indian Point units after 2013. We calculated a ratio between summer peak capacity and energy based on achievable potential estimates from the most recent study of-energy efficiency potential in New York State. This study was conducted for NYSERDA in 2003 by Optimal Energy Inc.4 Statewide We used the following methodology to develop ratios to be applied to estimated statewide energy reductions. As zones in the state have a range of avoided costs, I calculated a range of summer peak capacity savings using low and high avoided cost scenarios.

2 New York Independent System Operator (NY ISO). 2007 Load and Capacity Data. Table I-

1. NYISO 2007 Long Term Forecast -2007 to 2017: Energy (GWh). Pg. 4.

New York Independent System Operator (NY ISO). 2007 Load and Capacity Data. Table I-2a. Forecast of Annual Energy by Zone - GWh. Pg. 5.

4 Optimal Energy, Inc. Energy Efficiency and Renewable Energy Resource Development Potential in New York State. Final Report. Volume One: Summary Report. August 2003. Found at:

http://www.nyserda.org/sep/EE&ERpotentialVolumel .pdf U Synapse Energy Economics, Inc. 4

Low Avoided Cost Scenario: A ratio between the statewide economic potential summer peak capacity savings and energy reductions in 2007 using low avoided costs (0.196) was applied to energy reductions from 2007-2011. A ratio between the statewide economic potential summer peak capacity savings and energy reductions in 2012 using high avoided costs

(0.216) was applied to energy reductions from 2012-2015.5 High Avoided Cost Scenario: A ratio between the statewide economic potential summer peak capacity savings and energy reductions in 2007 using high avoided costs (0.212) was applied to energy reductions from 2007-2011. A ratio between the statewide economic potential summer peak

capacity'savings and energy reductions in 2012 using high avoided costs .

(0.229) was applied to energy reductions from 2012-2015..

The energy reductions were multiplied by these ratios to arrive at summer peak capacity savings. A summary of the statewide results are shown in Table 1 below.

Table 1 - Statewide Summer Peak Capacity Savings Under "15 by 15" Cumulative Cumulative Summer Peak Indian Point -

Energy Capacity Savings -

Reduction Range from Low to High Cumulative.

(GWh) Avoided Costs (MW) 2008 3,349 656-710 2009 6,779- 1,328 -1,436 2010 10,305 2,019- 2183 2011 13,923 2,728 - 2,950 2012 17,662 3,817 - 4,049 2013 21,451 4,636 -. 4,918 979 2014 25,358 5,480 - 5,813 2015 27,532 5,950 - 6,311 2016 1,979 It is clear from this analysis that a statewide 15% energy reduction by 2015 would more than offset the power that would be provided by the two Indian Point units if they were relicensed.

5 Optimal Energy, Inc. Energy Efficiency and Renewable Energy Resource Development Potential in New York State. Final Report. Volume One: Summary Report. August 2003. Table 1.5 New York Statewide Economic Potential - Low Avoided Costs. Pg. 3-4. Found at:

http://www.nyserda.org/sep/EE&ERpotentialVolumel .pdf 6 Optimal Energy, Inc. Energy Efficiency and Renewable Energy Resource Development Potential in New York State. Final Report. Volume One: Summary Report. August 2003. Table 1.6 New York Statewide Economic Potential - High Avoided Costs. Pg. 3-4. Found at:

http://www.nyserda.org/sep/EE&ERpotentialVolumel .pdf U Synapse Energy Economics, Inc. 5

.The Need for Indian Point in Downstate New York (Zones H. I. J and K)

We used a similar methodology to develop ratios to be applied to estimated regional energy reductions (including Zones H, I, J and K). The only difference was that we used higher avoided costs rather than the range of avoided costs to represent these zones because these zones typically have the highest avoided costs in the state.

Table 2 - Regional Summer Peak Capacity Savings Under "15 by 15"7-1 Cumulative Cumulative Summer Peak Indian Point -

Energy Capacity Savings,- Cumulativ Reduction Cumulative, (GWh) High Avoided Costs (MW) Capacity (MW) 2008 1,748 370 2009 3,541 750 2010 5,394. 1,143 2011 7,301 1,547 2012 9,288 2,129, 2013 11,282 2,586 979 2014 13,340 3,058 2015 14,487 3,321 2016 1,979 Again, a 15% energy reduction. in 2015 statewide would more than offset both the energy and capacity from both Indian Point units and would eliminate any need to extend the license of the two units in 201*3 and 2016.. -

Significantly, the 15 percent reduction in statewide energy consumption anticipated under the "15 by 15" plan 'vould not represent all of the economical potential energy efficiency that has been identified in New York State. A recent presentation by Philip Mosenthal of Optimal Energy, Inc., has projected that there is 61,506 GWh of economically potential energy efficiency in the State..

7 Electric.& Natural Gas Efficiency Potential in New York, presentation by Philip Mosenthal, Optimal Energy, Inc., at the New York State Public Service Commission Energy Efficiency Portfolio Standard Overview Forum, July 19, 2007, slide no. 9.

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RENEWABLE ENERGY RESOURCES According to NYSERDA's August 2007 New York State Renewable Portfolio StandardPerformanceReportfor the ProgramPeriodending March 2007, new renewable capacity installed since the onset of the Renewable Portfolio Standard (RPS) program could exceed 1,206.MW by the end of 2008, of which 1,184 MW would be located in New York State (p.2). The 1,206 MW of new installed capacity is expected to produce approximately 3.6 million MWh of electricity per year..

This same Performance Report also noted that the September 24, 2004 New York PSC Order set forth annual energy targets representing how much renewable energy should be used by New York ratepayers to satisfy the 2013 goal of having 25% of the power consumed in New York come from renewable energy. The RPS energy targets set by the PSC in its September 24, 2004 Order are shown in Table 3 below.

Table 3- RPS Energy Targets Set by New York Public Service Commission Main Tier Customer EO 111 Voluntary Combined Targets Sited Tier Targets Market Targets Target

__Targets Targets-ages Target..

2006 11121,247 25,259 282,812 228,584 1,657,902 2007 2.326.171 50,488 314,579 457,167 3,148,405 2008 .3,549,026 75,685 346,366 685,751 4,656,828 2009 41767,994 100,855 378,174 914,335 6,161,358 2010 6.012.179 125,988 410,002 1,142,919 7,691.088 2011 7,297.746 151,081 391,857 1,371,502 9,212,186 2012 8.556,710 176,123 373,712 1,600,086 10,706,631 2013 9.854.038 201,130 355,568 1,828,670 12,239.406 Note: Not shows are energy targets assocAated v6-&vohmtaty compliance by the Long Island .%wex Author"v (LIPA) and the New York Power Aurdors" (NYPA) ."

To meet these targets, New York will require the addition of the following MW of renewable resources:

Table 4 - Estimated Renewable Energy Capacity for NY through 2013 Type Capacity (MW Co-fire biomass 296 Hydro 1,100 LFG 121 Off-shore wind 579 Wind 2,450 Solar 16 Small wind 1 Fuel cell 28 Grand Total 4,590 8 At page 1.

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There are an increasing number of analyses of the potential for renewable resources in New York State. It is reasonable to expect that the retirement of either or both Indian Point units at the end of their current NRC licenses would provide a substantial impetus to the development of additional renewable resources.

Wind Powering America: New York, a website sponsored by the US DOE, -

estimates that the in-state wind energy potential for New York State is 8,400 MW.

of capacity after land use and environmental exclusions. (available at, http:llwww.nrel..qovldocslfvOOosti/28090.pidf).

NYISO's September 2007 Comprehensive Reliability Plan 2007, noted the -

following concerning wind capacity:

The NYISO interconnection queue includes proposals for wind.,

generation that now total in excess of 5,000 MW. Wind generators are intermittent resources and have unique electrical characteristics that pose challenges for planning and operations of the interconnected system. The NYISO has completed a study conducted, with GE Energy which evaluated the reliability and operating implications of the large scale integration of wind generation. The study concluded that if state-of-the-art wind technology is utilized, wind generation can reliably interconnect with only minor adjustments to existing planning, operating, and reliability practices.9 The study cited in this NYISO report is titled The Effects of Integrating Wind Power on TransmissionSystem Planning,Reliability, and Operations,Report on Phase 1, PreliminaryOverallReliabilityAssessment, prepared for NYSERDA by GE Energy Consulting, 2004. A Phase 2 Report, System PerformanceEvaluation, also was completed in March 2005.

When combined with other energy resources, wind can produce energy in patterns comparable to a baseload generation facility. At the same time, the effects of short term wind variability can be mitigated by building a larger number of wind turbines and by siting the wind turbines in different geographic locations. There is no evidence that any replacement capacity for Indian Point would need to be a fully dispatchable facility. Indeed, the electric grid in New York State will already have a large number of fully dispatchable facilities.,

Entergy merely rehashes the same tired old arguments against reliance on wind power. As a detailed 2004 Wind Integration Study - Final Report prepared for Xcel Energy and the Minnesota Department of Commerce has noted:

New York Independent System Operator, The Comprehensive ReliabilityPlan 2007, A Long-Term ReliabilityAssessment of New York's Bulk Power System, Final Report, September 2007, Appendices, at page 75.

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Many of the earlier concerns and issues related to the possible impacts of large wind generation facilities on the transmission grid have been shown to be exaggerated or unfounded by a growing body of research studies and empirical understanding gained from the installation and operation of over 6000 MW of wind generation in the United States.1" Contrary to what Entergy has claimed, wind power can reduce the need for the capacity from Indian Point Units 2 and 3 and can provide low cost energy.

An August 2003 study prepared for NYSERDA, Energy Efficiency and Renewable Energy Resource Development Potentialin New York State, by Optimal Energy, Inc., American Council for an Energy Efficient Economy, the Vermont Energy Investment Corporation and Christine T. Donovan Associates, has provided the following estimates of the potential for renewable resources and energy efficiency in New York State:

Table 5 - New York Statewide Economic Potential - Low Avoided Costs 2007 2012 2022 Annual Summer Annual Summer Annual Summer GWh Peak MW GWh Peak MW GWh Peak MW Energy Efficiency Savings Residential 10,124 1,475 12,205 1,981 15,610 2,646 Commercial 27,490 6,173 32,124 8,009 32,994 9,266 Industrial 5,718 840 6,045 .896 4,999 752 Total Efficiency 43,332 8,489 50,374 10,886 53,603 12,664 Renewable Supply Biomass 5,141 833. 5,325 861 6,344 1,022.

Fuel Cells - . - -

Hydropower 1,512 109 41336 375 9,123 816 Landfill Gas *- - -

Municipal Solid Waste - - 682 91 1,421 190 Photovoltaics - - - -

Solar Thermal 175 181 - 189 -

Windpower - 1,245 100 41,818 3,255 Total Renewable 6,828 942 11,769 1,427 58,894 5,283 Total Efficiency Savings &

Renewable Supply 50,159 9,431 62,143 12,313 112,497 17,947 10 Wind Integration Study-FinalReport, prepared for Xcel Energy and the Minnesota Department of Commerce by EnerNex Corporation and Wind Logics, Inc., dated September 28, 2004, the Project Summary portion of which is included as Exhibit JI-4-A, at page 19.

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Table 6 - New York Statewide Economic Potential - High Avoided Costs 2007 [ 2012 2022 Annual Summer Annual Summer Annual Summei GWh Peak MW GWh Peak MW GWh Peak M" Energy Efficiency Savings I .

Residential 12,593 2,433. 15,982 3,267 .19,660 4,480 Commercial 30,273 7,021 35,340 8,988 36,847 10,225 Industrial 5,718 840. 6,045 896. 4,,999 .752 Total Efficiency 48,584 10,294 57,367 13,151 61,506 15,457 Renewable Supply Biomass 5,141 833 5,325 861 6,344 1,022 Fuel Cells Hydropower.- 2,115 257 5,038 555 10131.1.;' 1,095 Landfill Gas 439 59 407 54 419.ý' 56 Municipal Solid Waste - 682 91 -1,421: 190 Photovoltaics Solar Thermal 175 - 181 - 189.: " -

Windpower 893 70 3,744 293 41,818 3,255 Total Renewable 8,762 1.219 15,376 1,855 60,501 5,618 Total Efficiency Savings&&

Renewable Supply 57,347 11,513 72,744 15,006 122,007 21,074 Based on the results of this study, renewable resources have the technical and economic potential to provide between 1427 MW and 1855 MW of new capacity in New York State by 2012 and between 5283 MW and 5618 MW of new capacity by.

2022. Energy Efficiency and renewable resources together have the technical and:.

economic potential to provide between 12,313 MW and 15,006 MW in 2012 and between 17947 MW and 21074 MW in 2022. Clearly, this is far more than would be rec-uired to replace the approximately 2000 MW of capacity from Indian Point Units 2 and 3.11 The same conclusion is true for the energy that would be supplied by Indian Point Units 2 and 3 if their licenses are renewed. The same tables presented above show that renewable resources, alone have the potential to provide between 1.1769 and 15376 GWh of energy in 2012 and between 58894 and 60501 GWh of energy in 2022. Similarly, energy efficiency and renewable resources combined could provide between 62,143 GWh and 72,744 GWh in 2012 and between 112,497 GWh and 122,007 GWh in 2022.12 The 2003 study for NYSERDA also showed that a significant portion of the energy that could be provided by energy efficiency and renewable resources would be in downstate New York.13 For example, the study found that by 2012, energy efficiency and renewable resources have a technical and economic potential of 11 At Volume One, page 3-4.

12 Id.

13 id, Figure 1.8, at page 3-7.

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approximately 30,000 GWh just in Zones J and K, which represent New York City and Long Island. It similarly found that by 2022, energy efficiency and renewable resources have a technical and economic potential of more than 50,000 GWh just in these same areas of the state. Again, this would easily replace the energy that would be provided by Indian Point Units 2 and 3.

The May 2007 study, New York's Solar Roadmap, A Planfor Energy Reliability, Security, Environmental Responsibility and Economic Development in New York State1", has noted that a private-sector initiative launched in 2007 R&D, manufacturing, and industry leaders in New York State, has developed the strategic goal of increasing solar power deployment in the State from the current level of about 12 MW of grid-connected electricity as of January 2007 to over 2,000 MW by 2017.15 This would provide about 5 percent of the peak electric capacity of the state.,.16 An October 2002 study by NYSERDA on CombinedHeat and Power, Market Potentialfor New York State, has concluded that by 2012 there could be between 763.6 MW and 2,169.1 MW of combined heat and power in the state. 7 Between 525.4 MW and 1,319.7 MW of this combined heat and power could be in the Downstate area of the State.1i8 The new administration in New York State already is taking significant actions to increase the amount of energy efficiency and renewable resources:*

New York State has announced the following major initiatives as part of their Clean Energy Agenda:

Reduce energy consumption. Governor Spitzer has announced that New York will reduce energy consumption by 15 percent below the forecasted level in 2015 - this is the most aggressive target in the country. New York businesses can raise their profits and New York's families can reduce their utility bills by conserving energy.

At the state level, government will lead by example and cut its own use of energy.

Invest in and develop renewable energy such as wind, solar, hydropower, and fuel cells. The Spitzer-Paterson administration will ensure New York will meet the current goal of obtaining 25 percent of our energy from renewable resources by 2013, and the Task Force will evaluate whether to expand this goal. In addition, 14 This study is available at http://www.neny.org/download.cfm/NENY Membership Application.pdf?AssetlD=225 15 Executive Summary, at page 1.*-

16 Id, at page 2.

17 Combined Heat and Power, Market Potentialfor New York State, NYSERDA, Final Report 02-12, October 2002, Table ES-4, at page ES-9..

.18 Id.

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we must continue to support research and development in this area, and encourage renewable energy businesses to locate in New York.

Clean Energy Siting Bill. Streamlining the state approval process for renewable and clean energy sources is an essential part of our effort. Governor Spitzer proposed a new power plant siting law.

("Article X") that would provide a streamlined and expedited review process for wind projects and other clean energy sources. 19 The State also has convened a Renewable Energy Task Force to evaluate, among other issues, whether the state's Renewable Portfolio Standard should be increased-.

to 30 percent as a result of the Governor's announced "15 by 15" energy efficiency program.

POWER PLANT REPOWERING Entergy did not consider the potential repowering of older existing power plants as.

an alternative to the relicensing of Indian Point Units 2 and 3.

Repowering a generation facility means replacing a plant's old, inefficient and "

polluting equipment with newer, more efficient equipment. Today, virtually all.,

repowering projects replace old equipment with combined-cycle combustion' turbines (CCCTs). CCCTs generate electricity in two stages. In the first stagei fuel.

is burned to operate a gas turbine generator, and in the second stage, excess heat from the gas turbine is used to drive a steam turbine and generate additional electricity. This two-stage process can turn 50 percent or more of the fuel energy into electricity. Repowering has become commonplace in the electric industry, since the early 1990s. One repowering project in the Hudson River Valley was PSEG's Bethlehem Energy Center outside Albany. Completed in 2005, this project now consists of 793 MW of combined-cycle generating capacity, which includes a net increase of 400 MW relative to the old Albany Steam Plant that was replaced.

In practice, repowering can be'done in at least two ways, either by rebuilding and replacing part or all of an existing plant or by closing down an existing power plant, building a new unit next to it and reusing the existing transmission and fuel.

facilities.

Repowering older power plants provides a number of important environmental and electric system reliability benefits: improved plant availability, lower plant operating and maintenance costs; increased plant capacity and generation; reduced facility heat rates which lead to significantly more efficient fuel use; reuse of industrial sites; up to 99 percent reductions in water intake and related fish impacts; and large reductions in air emissions, both overall and in terms of emissions per.

MWh of electricity.

19 Available from http://www.ny.gov/govemor/press/It-conservation.html.

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A recent study on repowering KeySpan's generating facilities on Long Island by the Center for Management Analysis at Long Island University concluded that repowering these facilities would provide cost effective generating capacity to carry Long Island at least into the next 20 to 40 years and beyond, and would provide "compelling" environmental benefits:

Improvements in efficiency from about 35 percent to close to 60 percent in the conversion of fuel to electricity can be achieved. The resulting reduction in fuel burned for a given amount of generation will be significantly less nitrogen oxides and carbon monoxide emitted. Modem combined cycle units have state of the art emission control systems in contrast to the older steam electric units with no such controls. The re-powered units achieve emission reductions immediately since they replace higher emitting, older units that would 20 likely continue to operate in an expansion program of new greenfield projects.

The study by the Center for Management Analysis concluded that converting the major plants on the KeySpan system to combined cycle could increase Long Island's electric supply by about 2,000 MW. 21 Clearly, the repowering of these existing power plants on Long Island could replace the approximate 2,000 MW of capacity provided by Indian Point Units 2 and 3.

Reliant Energy also received an Article X certificate to repower its aging Astoria Generating facility. This repowering would add another 1,816 MW of combined cycle capacity to the electric system in New York City. This would represent an increase of approximately 650 MW over the capacity of the existing Astoria facility. The retirement of Indian Point Units 2. and 3 would create an incentive for the completion of this repowering project.

Detailed engineering and economic analyses must be performed to determine the optimum size of the repowered unit and the extent to which existing facilities can be refurbished and reused. The types of existing facilities that can be refurbished and reused include boilers, turbine generators, condensers, transmission switchyards, and other auxiliary plant equipment. The reuse of this equipment can lower the cost of building the repowered facility as compared to the cost of constructing a new unit at a new site.

There are a number of older fossil-fueled power plants situated on the river between Albany and New York City: Bowline Point, Roseton, and Danskammer. As noted earlier, one older plant along the river, the old Albany Station, has been replaced with modem power generation equipment. However, the units at the Bowline,.

Roseton and Danskammer fossil-fueled plants utilize older power generating technology, which is less efficient and has far greater environmental impacts than new generating systems. Most of the boilers and generating units in these four plants are over 25 years old -- three of them are over 45 years old - and none of them has been retrofitted with post-combustion emission controls or modem 20 The Feasibilityof Re-Powering KeySpan's Long IslandElectric GeneratingPlants to Meet Future Energy Needs, Long Island University, Center for Management Analysis, August 6, 2002, at page 8.

21 Id, at page 78.

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cooling systems that minimize water use from the river. Repowering these plants with new combined cycle technology could add additional generating capacity to replace Indian Point at the same time that it would provide significant economic and environmental benefits.

TRANSMISSION SYSTEM ENHANCEMENTS AND UPGRADES, .

Entergy has failed to adequately consider transmission system enhancements and upgrades as part of the portfolio of options for replacing the capacity and energy from Indian Point Units 2 and 3. Such enhancements and upgrades could increase the capability to import power into the Hudson River Valley and Downstate New-York from New England, PJM or upstate New York.

For example, at least two new transmission links between New York and New Jersey have been proposed. Both of these are in the interconnection queue at the62'.

New York ISO. One of these is the Hudson Transmission Project that would provide a new controllable line into New York City rated at 600 MW.23 A second project, the 550 MW Harbor Cable Project and Generating Portfolio,vwould provide a full controllable transmission pathway from generating sources in New Jersey to New York City.24 At the same time, the 2005 Levitan & Associates study identified three possible transmission alternatives to the retirement of Indian Point Units 2 and 3., The first would include retirement with the construction of two physically separate 500 kV circuits between the Capitol District around Albany to the downstate grid in New' York City. Each of the circuits would be controllable and would be able to transmission 1,000 MW of power for a total of 2,000 MW.2 . A third proposed project would be the 300 MW Linden Variable Frequency Transformers that would be physically located adjacent to the Linden Cogen plant in northern New Jersey. It would result in a variable 300 MW tie between PJM and New York City.26 The second transmission alternative identified by Levitan & Associates would be to upgrade the existing 345 kV New Scotland-Leeds circuit and the 345 kV Leeds-Pleasant Valley circuit, and construct a new 345 kV line from New Scotland to I Pleasant Valley. This would2 increase the UPNY-SENY interface transfer capability .

by approximately 600 MW.

PJM is the interconnected regional electric system in 13 states and the District of Columbia. New Jersey and Pennsylvania are two of the state's within PJM.

23 NwYr needn 3

New York Independent System Operator, The Comprehensive ReliabilityPlan 2007, A Long-Term ReliabilityAssessment of New York's Bulk PowerSystem, Final Report, September 2007, at page 27.

24" Id. *"

25 Indian Point Retirement Options, Replacement Generation,Decommissioning/SpentFuel Issues, and Local Economic/Rate Impacts, prepared for the County of Westchester and the County of Westchester Public Utility Service Agency, by Levitan & Associates, Inc., June 9, 2005, at pages 35 and 36.

26 Id.

27 Id, at pages 36 and 37.

U Synapse Energy Economics, Inc. 14

Finally, the third transmission alternative would be to convert the existing 345 kV Marcy-New Scotland circuit to a double circuit and to rebuild the New Scotland station to a breaker-and-a-half design. This would increase the Central-East transfer capability by approximately 650 MW and increase the transmission capability into New York City by approximately 450 MW. 28 Levitan & Associates also identified a fourth transmission alternative that would upgrade the interconnections between New York and the PJM system by re-conductoring the existing transmission paths from Ramapo to Buchanan and/or constructing a new dedicated (overhead or underground) transmission line from Ramapo to Buchanan. However, Levitan & Associates were unsure of the amount by which this alternative would increase the Total East transfer capability into New York State.

NEW GENERATING FACILITIES A number of proposed power plant projects received certificates under New York's now-expired Article X statutes. However, some of these projects have not been built because they were unable to secure the needed financing. The Governor of New York has proposed requiring utilities to enter into long-term contracts with prospective suppliers. This would enable plant developers to limit risks, gain the confidence of investors and obtain the financing to build their projects.

The following is list of the approved projects in the Hudson River Valley and downstate New York that have not been built:

Besicorp - Empire State Newsprint Project - 505 MW - Rensselaer County

- Bowline Unit 3 - 750 MW - Rockland County Reliant Energy Astoria Repowering Project - 1816 MW total (net addition 652 MW) - Queens County

- Spagnoli Road Energy Center - 250 MW - Suffolk County The addition of these units would add over 2,100 MW of new generating capacity.

Other new generating facilities, totaling 1400 MW of new capacity, have been proposed for downstate New York including:

-7 A second Astoria Repowering Project, submitted by NRG Power Marketing, would add 500 MW (375 MW net) of new combustion turbine power in Queens by 2011.29 A 600 MW combined cycle unit at Arthur Kill on Long Island by 2012.30 28 Id, at page 37.

29 New York Independent System Operator, The Comprehensive Reliability Plan 2007, A Long-Term ReliabilityAssessment of New York's Bulk PowerSystem, Final Report, September 2007, at page 27.

30 Id r Synapse Energy Economics, Inc. 15

A 300 MW Peaking Facility at Indian Point, proposed by Entergy Nuclear..

Power Marketing. This project would be in service by mid-201 I.

As explained in the 2005 Indian Point Options study by Levitan & Associates, it is reasonable to expect that the retirement of Indian Point would encourage developers to complete the approved but not yet built projects:

Project developers are keenly tuned to market dynamics in New York. They would realize that retiring IP would cause market energy and capacity values to increase across the downstate region. These-price signals would be important, given IP's size and location, to encourage the development of new generation and/or transmission projects that would replace the lost capacity. These new generation:.-

projects Could include decentralized and renewable resource options.

.If the retirement of Ip-were-announced in advance, developers would-,

be able to calculate the economic feasibility of their projects and, pursue those that make financial sense in time to maintain the state's.

reliability requirement. In addition, utilities in the downstate regions, might offer long-term PPAs for new replacement generation. PPAs

.offer generators market certainty and reduce price risk, improving the opportunity for owners to obtain debt and equity financing in' today's skittish financial markets.

The developers' ability to respond to market price signals and the utilities' interest in contracting for new generation are central to our analysis. We believe that developers would require a minimum of three-to-four years to plan, permit, and construct a gas-fired.

combined cycle project. Perhaps six months to a year could be shaved off the time for a simple cycle project. The early project development work can often be accomplished at minimal cost, even if a formal retirement plan was not announced, in order for the developer to get a "head start" on competitors. Such tasks' encompass conceptual design, site control, preliminary fuel supply, and power offtake arrangements, and initial permit applications. The remaining project development and construction time would be approximately three years for a combined cycle plant and less for simply cycle. Thus we would recommend that any voluntary retirement be announced at least three-to-four years in advance, to give the market enough time to develop replacement capacity....

The existing NRC license expiration dates of 2013/15 define our Base Case scenario against which we evaluate other options. If Entergy announced an agreement to retire IP2&3 on those dates at least three, and preferably four years in advance, there would be U Synapse Energy Economics, Inc. 16

more than enough time for project developers and downstate utilities to respond.31 It is important to realize that gas supply will not be a critical factor in closing Indian Point. According to the 2006 National Academy of Sciences study, " Committee on Alternatives to Indian Pointfor Meeting Energy Needs, at page 5, replacing both Indian Point units would ultimately require an additional 1300-1400 MW of new gas-fired generating capacity. Conservatively assuming a heat rate of 8000 btu/KWh, under peak conditions providing 1400 MW would require a gas supply of 0.26 bcf per day, or about 16% of the combined capacity of the new LNG facilities being developed in Eastern Canada and Massachusetts. There will be more than enough slack in the system to supply the gas needed for additional generating facilities to replace Indian Point from existing and new sources outside New York State.

New gas supplies will be available in the northeastern United States and eastern Canada from new LNG facilities that are expected to be on-line within the next few years. (The Canaport LNG terminal is expected to begin receiving deliveries and transporting gas to the northeast United States through the upgraded Maritimes and Northeast pipeline as soon as 2008) The combined capacity of these LNG terminals would be approximately 1.73 billion cubic feet (bcf) per day, of which 0.73 bcf would be delivered from the Canaport facility (Nova Scotia) and 1.0 bcf from two offshore facilities in Massachusetts. These facilities are well advanced in the permitting process (Canaport is under construction), and they rely on known and proven LNG transfer and regassification technologies.,

Note that the two proposed LNG import terminals, located in Massachusetts, to serve the northeast market have been approved by the Governor of Massachusetts.32 In addition, the Repsol Energy North America Corporation, developer of the Canaport LNG facility in Saint John, New Brunswick, has filed a notice with FERC clarifying that33they intend and expect to deliver 0.73 bcf of gas into the northeastern United States.

The addition of these new LNG facilities in the northeastern United States and eastern Canada will free-up additional pipeline capacity into the New York area from the south so that more gas could be delivered to the Westchester Area. Today, New England gets much of its gas supply from the Algonquin Pipeline which passes through Connecticut from the southeast comer of the state to the northwest comer. This transport-through function accounts for about 90% of the activity on Algonquin in this region. Once additional LNG-based supplies are available in New England, much of that existing pipeline capacity would be available for delivering gas supplies from domestic sources (i.e., the Gulf of Mexico) to the New York area.

In addition, decreased competition for this pipeline capacity means that

.31 Indian PointRetirement Options, Replacement Generation,Decommissioning/SpentFuel Issues, and Local Economic/Rate Impacts, prepared for the County of Westchester and the County of Westchester Public Utility Service Agency, by Levitan & Associates, Inc., June 9, 2005, at pages 30 and 31.

32 http://www.boston.comlnewsllocal/articles/2006/12/20/governor approves 2 Inq ports/

http://elibrary.FERC.gov/idmws/file list.asp?accession num=20070111-0066 U Synapse Energy Economics, Inc. 17

transportation costs to the New York area are likely to decrease. Thus the availability of new LNG terminals in New England and eastern Canada will provide a benefit to New York and Connecticut in terms of availability of supply, and likely.'

in terms of price, even if the physical molecules of gas are not delivered to the.';

region from those new LNG facilities.

In conclusion, the LNG terminals in Canada and Massachusetts will all add to the:.

available gas supplies for New York and Connecticut. They can do this either directly, by transporting gas to the region through the interstate pipeline system, or indirectly, by releasing pipeline capacity that would otherwise be reserved for.

moving supplies through the region and northward.' .

CONCLUSION -

In conclusion, the capacity and energy provided by Indian Point Units 2 and 3 can be replaced if the Units are not relicensed. In particular, energy efficiency,.-

renewable resources, the repowering of older generating facilities, transmission upgrades and new natural gas-fired generating facilities represent viable alternatives to the relicensing of Indian Point. Substantial reductions in peak demand and energy requirements will be achieved by 2013 under the state's newly announced "15 by 15" Clean Energy Plan. Significant amounts of new renewable resources will be available as a result of the state's renewable energy portfolio standard and other initiatives. In addition, thousands of megawatts ("MW') of new generating capacity can be provided by the repowering (i.e., rebuilding) of older generating facilities both along the Hudson River and in the downstate area of the state in New.

York City and on Long Island. At the same time, transmission system upgrades also can increase the amounts of power that can provided to the downstate region of the State. Finally, there is the potential for the addition of several thousand megawatts of new generating capacity in the Hudson River Valley and in downstate New York.

See The ProposedBroadwaterLNG Import Terminal:An Analysis and Assessment of Alternatives, March 2006 and The ProposedBroadwaterLNG Import Terminal Update of Synapse Analysis, January 19, 2007, both are available at www.synapse-energy.com.

U Synapse Energy Economics, Inc. 18

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION

x In re:

Docket Nos. 50-247-LR and 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC Entergy Nuclear Indian Point 3, LLC and DPR-26, DPR-64 Entergy Nuclear Operations, Inc.

----------- X Declaration of Rudolf H. Hausler I, Rudolf H. Hausler, Ph.D., declare that the foregoing is true and correct.

1. As the President of Corro-Consulta, Inc., I am employed as an expert to the office of the Attorney General of the State of New York.

2. Corro-Consulta is a sole proprietorship. It has supported the oil industry in both the up-stream and refining areas since 1996 and has at times supported the Nuclear Information and Resource Services (NIRS) and the Union of Concerned Scientists (UCS) with failure analysis and advice. I have also worked with the Electric Power Research Institute (EPRI) on corrosion issues.

3. My educational and professional experience is detailed in the attached curriculum vitae (CV); also attached is a list of my publications, patents, awards, and other professional activities. I received a Master's Degree from the Swiss Federal Institute of Technology in Chemical Engineering in 1958 and a Doctoral Degree from the same institution in Technical Services in 1961.

Page1 I of 24 Hausler Declaration

4. I am making these assessments on the basis of my education and experience as a corrosion engineer with proven expertise (see attached CV for experience and extensive publications) in chemistry, physical chemistry, electrochemistry, corrosion-chemistry, -processes, -mechanisms, and -

phenomenology, failure analysis, corrosion modeling and management (inhibitors and other chemical additives), and system analysis for corrosion management.

5. Following catastrophic failures during the early chemical cleaning of the Indian Point 1 steam generator, I worked extensively with the nuclear industry and EPRI in developing and field-testing the only corrosion inhibitor, qualified for the cleaning process for the past 25+ years (see EPRI publication 3030, Project S 148-1, final report, 303+ pages).

6. Additionally, I have rendered opinions regarding Davis-Besse reactor vessel cover boric acid corrosion as well as assessments of specific spent fuel dry storage caskets.1

7. I am a National Association of Corrosion Engineers (NACE) Certified Corrosion Specialist (life membership 44227-00), have been awarded the NACE Technical Achievement Award,.have been elected a NACE Fellow, and am a Professional Engineer - Corrosion Branch (certified in California, certificate No.

258).

'In April of 2002, I supported NIRS in preparing a Petition Pursuant 10 C.F.R. 2.206 regarding safety at Davis-Besse Nuclear Power Plant. I similarly rendered an opinion to The Huntsville Times, Huntsville, AL, regarding cracking of control rod drive mechanism (DRDM) nozzles (Letter to Mr. Brian Lawson, May 29, 2002). These activities required extensive review of the pertinent literature.

Page 2 of 214 HauslerDeclaration

8. This declaration represents my current opinion on the topics it covers.

9. I believe that the currently proposed monitoring process for buried pipes at Indian Point 2 and Indian Point 3 as specified in the License Renewal Application is inadequate.

10. I believe that the safety-related piping system at Indian Point 2 and Indian Point 3 is far more deteriorated than is reflected in the License Renewal Application (LRA) and the accompanying Updated Final Safety Analysis Report (UFSAR).

11. I also believe that the proposed monitoring schedule, which envisages an examination cycle of the infrastructure covered by the scope of this declaration of ten years, is inadequate in view of the current age of the structures and their advanced state of deterioration.

12. I further believe that the "preventive measures consisting of maintaining external coatings and wrapping" as stated in the "Aging Management Programs and Activities"' is inadequate because it does not address deterioration of the pipes from the inside.

13. I will further demonstrate in this declaration that the proposed "Aging Management Programs" fall far short of standard industry practice, and hence Entergy is unable to demonstrate that its Aging Management Plan provides reasonable assurance of adequate protection of the public health and safety.

2Entergy, License Renewal Application for Indian Point Energy Center, Appendix B, p. B-27, B-42.

Page 3 of 24 Hausler Declaration

14. I believe that my broad experience in corrosion theory, crude oil refineries, oil and gas production, as well as pipeline corrosion, corrosion monitoring, failure analysis and corrosion direct assessment both internally and externally, coupled with a thorough understanding of the theory and application of cathodic protection, make me qualified to render judgment on the subject matter at hand.

Discussion of Internal and External Corrosion Protection, Monitoring, and Maintenance of Buried Pipes at Indian Point Nuclear Generating Units 2 and 3 in Connection with the License Renewal Application I. Background

15. Entergy Corporation through Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and Entergy Nuclear Operations, Inc.

(collectively, "Entergy" or "Licensee"), operator of the Indian Point Energy Center, is endeavoring to obtain from the Nuclear Regulatory Commission (NRC) a license to continue operating the power plants Indian Point 2 and Indian Point 3 for another 20 years. The renewed license would .in effect extend the operating life of both plants from 40 to 60 years.3

16. It is widely understood by Entergy as well as the NRC that structures age, or deteriorate, over time for a variety of reasons and that such aging needs to be managed, particularly in the case of safety-related structures. Specifically, Entergy has submitted an Aging Management Process plan for buried piping as it 3However, it is my understanding that the piping system was put in place at Indian Point Units 1, 2 and 3, at least in part, prior to the issuance of the operating licenses for Unit 1, Unit 2 and Unit 3, and that the piping systems have been in the ground for longer than the time period for which the facilities have been in operation.

Page 4 of 24 Hausler Declaration

pertains among others to the Service Water System and Emergency Cooling System. This system is safety-related.

17. The common standard followed by the NRC in issuing an operating license is guided by the following considerations: "that the processes to be performed, the operating procedures, the facility and equipment, the use of the facility, and other technical specifications, or the proposals, in regard to any of the foregoing collectively, provide reasonable assurance the applicant will comply with the regulations in the chapter, including the regulations in part 20 of this chapter, and that the health and safety of the public will not be endangered."5

18. It is furthermore a requirement that for those structures and components subject to an aging management review the licensee shall "demonstrate that the effects of aging will be adequately managed so that the intended function(s) will be maintained consistent with the CLB [current licensing basis] for the period of extended operation."'

19. The intended function of pipes is not only to carry fluids, but to separate those fluids from the environment, particularly if these same fluids contain radioactive constituents. Similarly, the intended function of tanks is not only to store fluids, but to separate those fluids from the environment, which latter notion is intrinsically imbedded in the notion or meaning of storage.

'See LRA, p. A-19, § A.2.1.5, p. B-27, § B.1.6, p. B-42-43, § B.1.11.

510 C.F.R., Chapter 1, pt 50.40 (Standards for Licenses, Certification and Regulatory Approvals).

610 C.F.R., Chapter 1. Pt. 54.213.

Page 5 of 24 Hausler Declaration

II. Evidence of Deterioration of Buried Pipes

20. There have been reports of radioactivelycontaminated groundwater reaching drinking water wells in the vicinity of nuclear plants. Such occurrences have recently been documented for the Braidwood and Dresden facilities in Illinois.'

21. At Indian Point, where wells have been drilled to monitor ground water for radioactive contamination in some cases very high levels of tritium, 250,000 to 300,000 pCi/L have been observed,' along with cesium, cobalt, strontium, and nickel.'

22. The scarcity of available information concerning buried pipe failures at Indian Point makes assessment of the existing deterioration nearly impossible. By comparison, however, in 2006, Entergy identified 30+ potential leak sources of radioactive material that were readily visible and identifiable from above-ground sources.'l Of equal or larger concern are those that cannot be detected visually, i.e.,

those occurring from buried pipes and which are responsible for the massive 7Braidwood Power Reactor Event Number 42184, Offsite Notification -

Elevated Levels of Tritium Found in Groundwater (PNO-RIII-05-016A, Dec. 7, 2005), see also Associated Press Wire Service, Tritium Levels Around Braidwood Plant Worry Nuclear Watchdog, Jan. 25, 2006; Union of Concerned Scientists Fact Sheet: Pipe Leak at Dresden (Oct. 13, 2004); NRC, Preliminary Notification of Event or Unusual Occurrence (PNO-RIII-06-004., Feb. 15, 2006).

'E-mail from Donald Croulet, Entergy to Pat Conroy, Entergy, (Jan. 16, 2006): "Executive Summary Sheets for 1/16/06."

9 Id.; Jim Fitzgerald, High Levels of Strontiumn-90 Found in Indian Point Groundwater,Associated Press, Mar. 21, 2006.

'0E-mail from Donald Croulet of Entergy to James Noggle of USNRC, "regarding H-3 sources IPEC-RL-Comments-l" (attachment, table) (Dec. 12, 2005),

ML061000598; see also E-mail from T.R. Jones of Entergy to Jim Noggle of USNRC, "FW: Definition of Underground liquid services" (Oct. 25, 2005), ML060930102.

Page 6 of 24 Hausler Declaration

contamination of the soil and water table.

III. A History of Failures

23. Aging of pipes by corrosion has been recognized and identified as a serious problem."1 Corroded pipes recently failed at the Byron Nuclear Plant in Rockford, Illinois.12 Figure 1, attached, shows the nature and location of the leak."

The pipe is specified to have a wall thickness of 0.375 inches and apparently had measured 0.047 inches before the rust was removed, which took the remaining wall thickness to zero. It is not clear at this point in time whethercorrosion occurred from the inside or outside of the pipe. In view of the large amount of rust, which was scraped off, one might suspect that corrosion occurred from the outside due to a leaking flange.

24. Local failures at Indian Point have occurred as well, and were described in Entergy's Relief Request regarding a Temporary Repair to a Service Water Pipe. 4 Apparently an essential (safety-related) 18-inch service water line had sprung a leak just downstream of a flange leading into an elbow. This failure "Risk-Informed Assessment of Degraded Buried Piping Systems in Nuclear Power Plants; Brookhaven National Laboratory; US Nuclear Regulatory Commission, NUREG-6876, June 2005, ML051650146 (hereinafter the "Brookhaven Report").

12NRC Preliminary Notification of Event or Unusual Occurrence, PNO-III-07-012, "Both Units at Byron Shut Down Due to a Leak in Pipe," (October 23, 2007) ML072960.109. Union of Concerned Scientists, Issue Brief, Help Wanted:

Dutch Boy at Byron (Oct. 25, 2007).

131d.

'4 Entergy Northeast, Indian Point Energy Center, Response to Request for Additional Information Regarding Relief Request 3-43 for Temporary Repair of Service Water Pipe (Oct. 3, 2007), ML072890132.

Page 7 of 24 HauslerDeclaration

occurred internally and hence this type of failure could have occurred anywhere in a buried piping system. The area was ultrasonically tested in order to assess the extent of the damage. Figure 3, attached, shows the percentage of residual wall thickness in both the horizontal and vertical direction.1" Clearly there is a large area where the residual wall thickness is between 30 and 20 percent of original and somewhat smaller areas with only 10 percent or less of the original wall remaining.1 6 (I statistically evaluated these measurements as well, see Figure 14, attached.1 7 ) This failure is typical for flow-induced localized corrosion (also some times erroneously called "erosion corrosion") downstream of a flow upset. No visual representation (photograph) of this failure was available, however Figure 4 (attached) shows for illustration purposes a similar failure observed in the oil field.

IV. Factors Critical to Development of an Aging Management Plan for Buried Pipes

25. Assessment of the potential for corrosion-related failures, and the appropriate aging-management measures that must be taken to address them, must begin with an assessment of current and historical environmental and facility conditions and the history of corrosion. Nowhere in the LRA is there information demonstrating that Entergy has first determined these factors before it reached conclusion stated in the LRA as to corrosion rate or inspection rate. Therefore, discussion of broader types of failure mechanisms, corrosion rate, and consideration of the factors we know to be at play is in order.

,5 To create this diagram I entered the data points given in Entergy's Oct. 3, 2007 Request for Additional Infbrmation into Statistical Analysis Software (JMP program).

6 Entergy, Response to Request for Additional Information, above note 14.

17 Above note 15.

Page 8 of 24 Hausler Declaration

A. The Failure Mechanism

26. There are clearly two types of failures: corrosionTrom the inside and corrosion from the outside. A partial generic list of degradation mechanisms for both internal and external corrosion is detailed below:

a) General Corrosion is prevalent on bare metal surfaces in aerated, chloride-containing water at relatively high velocities and near neutral or slightly acidic pH.

b) Pitting Corrosion is a localized corrosion phenomenon primarily based on random variation in the many parameters that~control the oxidation of the metal to begin with, including defective coating, degraded pipe wrappings, variations in metallurgy, etc.

c) Crevice Corrosion is a much misunderstood corrosion phenomenon. Typical crevice corrosion is shown in Figure 11 *

(attached) and is characterized by a crevice formed by two metal parts such that the environment inside the crevice is starved of oxygen. A subcategory of crevice corrosion is "under-deposit corrosion" where the "crevice" is formed by a non-conducting (or only partially conducting) material. Deposits can be formed by marine life and /microbes (bacteria).

d) Galvanic Corrosion is characterized by two dissimilar metals, in intimate contact, and exposed in an electrolyte-forming environment. A weld consists of dissimilar metals. The weld metal is usually dissimilar in composition from the base metal which the heat-affected zone is dissimilar from both in microstructure. It is very difficult to predict which one is going to corrode preferentially to the other. Figures 12 and 13"9 (attached) are typical examples of these phenomena: Figure 12 represents a flow restriction. The resulting turbulence upstream of the weld caused a portion of the heat-affected zone

'(HAZ) or corrode all the way through. In addition to the weld metal being cathodic (i.e., negative) to the HAZ, the example 18 Photograph by R.H. Hausler, circa 1984.

Photographs by R.H. Hausler, circa 1986, St. Louis, Missouri.

Page 9 of 24 Hausler Declaration

also demonstrates that in turbulent situations it is impossible at this stage to predict exactly where corrosion would occur.

Figure 13 shows corrosion at the bottom of a pipeline: Here only the base metal corroded while weld metal and HAZ remained unblemished. (Note the corrosion actually "jumped" the weld).

Galvanic corrosion is relevant to Indian Point, as discussed below.

e) Microbiologically Influenced Corrosion (MIC) and deposits are important to consider as well, and are detailed in the Brookhaven report 20 but not addressed in the LRA.

B. Factors Affecting Internal Corrosion

1. Corrosion Rates

27. In the absence of detailed failure analyses and root cause identification for the failures observed at Indian Point 21 , a few remarks are in order to delineate what can be expected in the future, to estimate the rate of corrosion likely to persist in these lines and discuss the necessary monitoring procedures and the required frequency thereof.

28. At Indian Point Units 2 and 3, most of the buried pipes are internally cement-coated. 2 The type of water carried in the service water system is to a large extent brackish, i.e. it originates from the river at a depth of about 10 feet. This level can vary from about 4.feet to as much as 15 feet." As a consequence, the oxygen content in the feed water to the service water system may vary from fully 20 The Brookhaven Report, above note 11, at 26-28.

21 See Entergy, Response to Request for Additional Information, above note 14.

22 Id. at Attachment 2, p. 1 23 IP3 FSAR Update, 9.6.1 Service Water Systems, p. 108 of 176.

Page 10 of 24 HauslerDeclaration

aerated (about 8 ppm depending on temperature) to partially aerated (about 4 ppm depending on temperature). The level of the oxygen concentration is crucial in estimating the prevailing or future corrosion rates.

29. In view of the fact that the water is brackish, hence contains chlorides, the intake water is very corrosive, to possibly destructive, depending on conditions.

Entergy reports for the resistivity of the intake water a range of from 59 ohm-cm to 10,000 ohm-cm. 24 These values, according to Figure 5 (attached), would correspond to a chloride content of the intake water of from 7,000 ppm to as little as 30 ppm.2 5 (Corrosion rates are most often related to chloride concentration rather than conductivity or the inverse, resistivity.) The average resistivity of the intake water is reported as 300 ohm-cm or about 1,000 ppm chlorides. It is not clear whether this is a time-weighted average or a straight mean (if it were time-weighted, the" chloride content would likely be different than estimated). It is difficult to determine the precise chloride level of the intake water - most of the time it is of the order of between 5,000 to 10,000 ppm, but it can be as low as 2,000 to 5,000 ppm (see Figure 5-A, attached) depending on river flow (sea water is 19,000 ppm), with the water being near fully oxygenated. The temperature is ambient most of the time (50 to 750 F). Estimation of corrosion rates under these condition is not straightforward and must take into account different sources in order to arrive at some bracketed ranges. For instance, the damage shown in Figure 4 (attached) for a 6-inch internal diameter cast iron elbow occurred in about 4 months with fully aerated salt water at room temperature, but also at high velocities (30 to 14IP2 FSAR Update, 5.1.3.12 (Chapter 5, p. 38 of 89, Revision 20 (2006)).

25 See for instance A.G. Ostroff, Introduction to Oilfield Water Technology, NACE, 1979, p. 381. The chart at Figure 5 was created by referencing the table within this document that correlates chloride to resistivity.

Page I I of 24 HauslerDeclaration

40/ft/sec). 26 The estimated maximum local corrosion rate, which led to perforation in 4 months, was of the order of 500 to 1,000 mils per year (mpy) or 0.5 to 1 inch per year (ipy).

30. On the other hand, as shown in Figure 6 (attached), the corrosion rate in mildly stirred tap water (-100 pm chloride) at ambient temperature was measured at between 70 and 100 mpy. 27 But this result applies to a short-term measurement when no protective corrosion product layer (rust) has had time to form yet, as it likely has by now on pipes at Indian Point Units 2 and 3. However, it is precisely these corrosion rates that apply to high velocity situations where corrosion product layers are washed away due to high turbulence and high shear stresses. The corrosion literature often reports smaller corrosion rates for steel in aerated low TDS (total dissolved solids) water, between 10 and 20 mpy. 28 Entergy quotes a "typical" corrosion rate of 12 mpy, but does not indicate the range of what it considers "typical." 29 According to LaQue, velocities of the order of 15 to 20 ft/sec will increase these corrosion rates in sea water to about 40 mpy.3 0 The point of this discussion is to demonstrate that ("general") corrosion rates 31 can vary within large limits (as also pointed out by the Brookhaven Report, pg. 33). It is possible that 26 Photograph by R.H. Hausler, circa late 1970s.

27 R.H. Hausler, laboratory results, electronic resistance probe, Mobile Bay, Alabama (2003).

2 1See Figure 7, attached (excerpt from H.H. UHLIG, CORROSION AND CORROSION CONTROL, p. 84, 1963, John Wiley and Sons, New York).

29 Entergy, Response to Request for Additional Information, above note 14, , p. 1 of 2.

3, H.H. Uhlig, above note 28, at 96.

As opposed to pitting and localized corrosion affected by metallurgical effects.

Page 12 of 24 Hausler Declaration

corrosion is more aggressive in certain locations at higher corrosion rates than the 12 mpy contemplated by the LRA. To the best of my knowledge, Entergy has provided no calculations or analyses, based on the relevant factors at this site, to support the corrosion rate it considered "typical."

2. Metallurgy

31. One can also observe many localized corrosion phenomena which are based on metallurgical effects. Typical examples which also relate to Indian Point are shown in Figures 8 and 9 (attached)." Here one observes selective removal of weld metal from pipeline junctures. Where pipe joints are welded together one can observe, depending on conditions and the prevailing metallurgy that either the weld metal, the heat affected zone (HAZ), or the base metal can corrode preferentially.

Many such examples have been observed in studies related to the chemical cleaning of nuclear steam generators. 33 It is therefore dangerous to assert, as Entergy implicitly does, that it has taken ample preventative measures to reasonably assure continued integrity of the pipes even after nearly 40 years of service life when no specific measures are outlined.

32. The failure reported by Entergy in September of 2007 is likely of this nature, involving a weld.34 "On September 18, 2007 a Nuclear Plant Operator [at Indian Point] conducting a routine plant walkdown noted a minor leakage of approximately 5 drops per minute in one of the two cement-lined 18: diameter 0.375 inch nominal thickness service water supply lines for the containment fan cooler 32 Photographs by R. H. Hausler, circa 1984.

33 R.H. Hausler, Non-proprietary Corrosion Inhibitors for Solvents to Clean Steam Generators, EPRI NP-3030 (June 1983).

3' Entergy, Response to Request for Additional Information, above note 14.

Page 13 of 24 Hausler Declaration

units."35 This would indicate to me that the corrosion, which is topographically shown in Figure 3 (attached) occurred either in the weld metal or the HAZ.

Importantly, however, it occurred where the cement-coated surface was joined by welding to the bare metal flange. Stated differently, this joinder involved dissimilar materials and a possible crevice (underneath the cement coating) coupled with high velocity aerated saline water. It is somewhat surprising that in light of the above analysis regarding corrosion rates under these condition a penetration rate of only 12 mpy was assessed (or estimated) by Entergy."6 However, Entergy described this estimate corrosion rate as "typical," meaning the value could have been higher.

There are many places at Indian Point where cement lined pipe sections have been joined by welding. Typically the resulting configuration can be represented as is shown in Figure 10 (attached). Where there are welded joints between two sections of pipe there is a breakdown in the cement coating which exposes the weld metal, but also creates a location where flow is upset and becomes highly turbulent, thereby accelerating the corrosion.

33. In view of the fact that Entergy has itself estimated the corrosion rate at 12 mpy (0.012 inches per year) 38 and considering that the plants' age is in excess of 30 years it is now highly likely that every weld in the cement coated service water piping system has reached the end of its useful life span. Therefore, before a license renewal, every weld must be inspected from the inside and the damage assessed to establish a "baseline" analysis for any future Aging Management Plan.

35 Id. at Attachment 2(D).

36 Entergy, Response to Request for Additional Information, above note 14.

3' Diagram based on my understanding of weldments of cement-coated pipes.

Other configurations are possible and may have been used, but the corrosion problems would be very much the same.

38 Entergy, Response to Request for Additional Information, above note 14.

Page 14 of 24 Hausler Declaration

Since it will be virtually impossible to assess the extent of the damage visually from the outside (as the pipes are buried), ultrasonic testing (UT) measurements must be made over the full periphery of each weld from the inside. Special attention must be given to those welds that are located upstream or downstream of a flow disturbance. It will not be possible to assess possible damage below the coating in the pipe body. Therefore, additionally, all piping needs to be pressure tested to at least twice the operating pressure. Inability to perform pressure tests for any reason should not be cause for relief.

34. Because the conditions for corrosion are present at this facility, and because there is evidence that corrosion has already occurred to the point where leaks have been discovered, Indian Point's aging management plan must frequently inspect the welds. Such inspection must in my opinion be based on at least a two-year cycle. Depending on the extent of the damage one may find and the corrosion rates that may result for certain locations from trending on the basis of repeated inspection this inspection cycle may have to be shortened.

C. Factors Affecting External Corrosion

35. While all of these mechanisms listed above (general, pitting, crevice, galvanic, and microbiologically-induced corrosion) apply in some measure to external as well as internal corrosion, deterioration from the outside is also caused by additional phenomena.

36. First, it is basic that water and moisture are needed for external corrosion to occur. Second, safety-related buried pipe (like the service water system) is almost always coated on the outside of the pipe by various means and methods in use at the time of construction, so if corrosion is observed, then by necessity the coating has deteriorated. For this to happen, one again needs water Paae 15 of 24 Hausler Declaration

in most instances, or at least a moist, conductive environment.3 9

37. If moisture is present and the coating has deteriorated one needs additionally a cathodic depolarizer, i.e. a substance which furthers the cathodic reaction, in order for corrosion to occur. This may be oxygen as occurs in soil at shallow depth. It could also be certain bacteria or it could be a low pH generated by acid rain. Additionally, underground corrosion is always amplified by stray currents which, in my professional experience, are also always present in one form or another at power generating stations.

38. The UFSAR informs that the circulating water lines are protected by concrete encasement in areas of high corrosion and do not require cathodic protection. 40 However, if a corrosion leak were to occur from the inside of the pipe, then the concrete encasement, or chase, would become wet, which would exacerbate external corrosion. The LRA does not address specific measures taken to guard against the occurrence of this phenomena.

39. The soil was inspected by A.V. Smith Engineering Company some time prior to 1968, and this inspection was apparently detailed in a report which does not appear to be available. 4 ' Absent-this information, there is no way to examine the veracity of the methodology used, or the assumptions or factors considered during the inspection. A decision was made on the basis of this inspection, in the 1960s, not to cathodically protect the reactor building liner, nor the buried pipes.

3 By "conductive," as applied to soil or the environment around a buried pipe, one understands electrolytic conductivity (as opposed to electrical conductivity as is inherent in metals).

40 UFSAR, Indian Point Unit 3, p. 5 9 .

" Final Facility Description and Safety Analysis Report, Consolidated Edison Company of New York, Indian Point Nuclear Generating Unit No. 2 (Oct. 15, 1968).

Page 16 of 24 HauslerDeclaration

Nevertheless, protective coating was recommended to eliminate random localized corrosion attack.4 2 It does not appear that cathodic protection was installed, but that there was enough random variation in the soil survey to suggest that external corrosion of carbon steel pipe was a real possibility and hence an external coating was required.

40. Sandy clay, such as surrounds Indian Point Units 2 and 3,4" will retain humidity/moisture for at least some time. It is therefore likely that the soil resistivity numbers quoted by Entergy in the UFSAR as being mostly above 10,000 ohm-cm are too high. It is therefore entirely reasonable to expect that many of the assumptions made 35 years ago with respect to the need for cathodic protection (i.e.,

those based on soil conditions and moisture levels which may be different today than a the time of the A.V. Smith analysis) are no longer adequate.

41. If in fact some of the pipe had been coated to prevent random corrosion, as had apparently been anticipated by A.V. Smith, it is entirely possible that some of the coating may have deteriorated. The GALL report states that "corrosion pits from the outside diameter have been discovered in buried coating piping in far less than 60 years of operation."4 4

42. According to the National Association of Corrosion Engineers (NACE),

which establishes industry standards applicable to the all buried piping systems including these, the assessment of the condition of the coating and cathodic 42 USFAR, Indian Point Unit 3, § 16.4.4 (Cathodic Protection).

43 UFSAR, Indian Point Unit 2, § 5.1.3.12; USFAR, Indian Point Unit 3,

§16.4.4.

14 United States Nuclear Regulatory Commission, Generic Aging Lessons Learned (GALL) Report, NUREG 1801 (July 2001)(hereinafter the "GALL Report").

Page 17 of 24 Hausler Declaration

protection system (if any) is to be conducted on an annual basis and compared to predetermined values.' 5 Entergy has scheduled, as best as I can tell, similar inspections on the 10-year cycle. Because of the uncertainty of the current condition of these coated (but non-cathodically-protected pipes), Entergy's Aging Management Plan should follow the NACE standards for coated pipe inspections.

V. Requirements for Preventative Maintenance and Predictive Monitoring

43. According to the LRA Technical Information Appendix B "Aging Management Programs and Activities" (AMP) section, B.2.6 "Buried Piping and Tanks Inspection," the AMP is a new program that includes a) preventive measures to mitigate corrosion and b) inspections to manage the effects of corrosion on the pressure retaining capabilities of buried carbon steel, gray cast iron and stainless steel components. Preventive measures are in accordance with standard industry practice for maintaining external coatings and wrappings. Buried components are inspected when excavated during maintenance. If trending within the corrective action program identifies susceptible locations, the areas with a history of corrosion problems are evaluated for the need for additional inspection, alternate coating, or replacement. This program applies to among other systems, to the Service Water System.

44. Section B.1.6 which deals with buried pipe and is the only program I found to deal with these structures, is limited to external corrosion damage.

Second, the program references preventative measures; however, as much as I focused to find such mitigation measures in the LRA or Appendix B, I cannot find any preventative measures in the LRA which would mitigate external corrosion.

One therefore must conclude that the program is essentially credited only with post

'* See National Association of Corrosion Engineers (NACE) Standards RP-0285-95 and RP-0169-96 and their updated versions (SP-0285-2002 and SP-0169-2002).

Page 18 of 24 HaauslerDeclaration

facto excavation and maintenance, once damage has been detected by leaking fluids to the surface. If no such leaksare detected at the surface the failure may continue to spill radioactive water into the ground until such time that inventory imbalance becomes too obvious.

45. NRC and the industry as a whole have recognized that preventive measures are important and that leaks should not be tolerated (see the report prepared on Aging of Buried Pipes prepared by the Brookhaven National Laboratory and published by NRC,4 6 and the GALL report4 7 ). These reports discuss in detail virtually all the possible mechanisms for the degradation of the integrity of piping, and in particular buried piping systems. The GALL report also references recommended practices by the National Association of Corrosion Engineers (NACE) 48 for the prevention of external degradation.

46. The "new program" mentioned in the LRA, Appendix B (pg B-27) appears to be limited to post-accident maintenance, meaning that whenever a pipe has to be excavated because of the detection of a leak, it will be repaired "in accordance with standard industry practice for maintaining external coatings and wrappings." It is not clear whether this inspection extends to possible internal damage as well.

47. The Brookhaven report states that the degradation of buried pipe is a concern that needs to be addressed on an ongoing basis. 49 The NRC has established

" The Brookhaven Report, above note 11.

The GALL Report, above note 44.

48 Id.

4' The Brookhaven Report, above note 1 1, at 29.

Page 19 of 24 Hausler Declaration

in this context the basic maintenance rule which "requires the licensee to monitor the performance or conditions of structures, systems and components (SSCs) against licensee-established goals in a manner sufficient to provide reasonable assurance that the SSCs will be capable of performing their intended functions."5 0 The LRA is deficient inits approach to meet the requirements of this basic NRC rule because of the reasons addressed above. I therefore think a minimal surveillance and monitoring scheme as outlined below must be adopted by the Licensee of Indian Point 2 and Indian Point 3.

A) Monitoring and Inspection of Buried Pipes for Internal Corrosion

48. Since there .is at this time no consistent history compiled on the state of deterioration of the buried pipes at Indian Point 2 and Indian Point 3 (as well as Indian Point 1), the Licensee needs to begin to establish, prior to the license renewal, the true state of integrity of the infrastructure of the two plants. The methodologies by means of which this can be done have been listed and discussed exhaustively in the Brookhaven report.5 Some minimal inspection is listed below:

a) All safety-related piping, and all radioactive water carrying piping must be pressured tested to at least twice the operating pressure. A reasonable acceptance criterion (such as rate of loss of pressure, Ap/hr) must be established for all pipes and accepted by the NRC and must become the basis for the new licensing basis. Leaks must be repaired.

b) Since pressure testing can only be identify corrosion failures, but cannot give information about ongoing deterioration, which has not yet reached the failure stage, alternate means must be applied to determine the extent of wall thinning, weld corrosion, and coating defects. Many such means have been described 50 10 C.F.R. § 50.65 (Maintenance Rule).

ý' The Brookhaven Report, above note 11, at 41-44.

Page 20 of 24 HauslerDeclaration

exhaustively in the Brookhaven report. They include visual inspection (remotely operated optical recorder), ultrasonic testing (UT) surveys, intelligent pigs, etc. The choice of method will depend on circumstances but must be such as to furnish a complete assessment of the integrity of the pipe.

c) Evaluation of the results must occur on the basis of statistical methodologies and result in reasonable prediction of failure. For instance, I evaluated the data presented in Entergy's October 3, 2007 Response to request for Relief (see footnote 11, above, attachment 4, p.4), by extreme value methodology and the result appears in Figure 14. It can be seen that there is a reasonably high probability that the remaining wall thickness is less that 20% of the original. At a corrosion rate of 12 mpy, total penetration at this location would occur in 6 years. Therefore, re-inspection must be scheduled for at least three years after the observation had been made (9/19/2007).

d) Wherever possible, intelligent pigs must be used and the results statistically evaluated.

e) Instead of straight UT methodology perpendicular to the pipe wall, the guided wave technique should/must be applied in order to determine wall thickness loss remote from the spots where the coating has been removed.

f) The inspection frequency should be half the anticipated time of expected failure (as is, in my profession experience, a standard measure).

g) Additional methodologies have been described in the Brookhaven report.

Page 21 of 24 Ha.tsler Declaration

B) Monitoring and Inspection of Buried Pipes for External Corrosion

49. Since direct assessment of the degree of deterioration of the external surfaces of buried pipes is not practical, except where leaks have occurred and excavation is unavoidable (because these buried pipes are coated but not protected),

indirect methods must be used. These should include:

a) Establishment of the degree of water/moisture in contact with every buried pipe.

b) Potential surveys must be conducted to establish that each and every buried pipe is free from so-called "hot spots", i.e.

where the potential is substantially above -0.85 V vs. CuSO 4 (copper sulfate). 2 c) Additionally, it must be established that there are no stray currents flowing through any of the buried pipes.

d) Flexible internal probes, known as "intelligent pigs" (for example, magnetic flux leakage and guided wave technology) have the capability of distinguishing between internal or external corrosion damage.

e) As discussed about in section IV, external inspections should take place every year in accordance with NACE standards.

VI) Summary

50. Deterioration of buried pipes in nuclear power plants is now well established. It is axiomatic that failure rate increases over time..5 ' As nuclear power plants continue to operate beyond 40 years it becomes essential to assess the effects 52 See also NACE Standards RP-0169-2002 6.2.2.1.1, Criteria and Other Considerations for Cathodic Protection, at 13.

W. KENT MUHLBAUER, PIPELINE PROTECTION MANAGEMENT MANUAL, 1-6, fig. 1.1 (Common Failure Rate Curve)(3d Ed. 2004).

Page 22 of 24 Hausler Declaration

of age-related degradation of their plant structures, systems, and components (SSCs)."4 I reviewed the License Renewal Applications for Indian Point 2 and Indian Point 3 with a focus on the maintenance/deterioration of buried pipes of essential safety systems.

51. I found that, as specified in LRA documents with their pertinent Appendices, precious little emphasis is put on the state of integrity, continued monitoring, and the concomitant maintenance programs involving buried SSCs.

52. It is therefore in my opinion imperative that the NRC require the Licensee of Indian Point 2 and Indian Point 3, as part of the Aging Management Plan, to begin to establish systematically, prior to a new license being issued, the sate of integrity of the buried SSCs and develop a consistent plan and commitments for monitoring, maintaining, and/or replacing defective structures, because without knowing existing conditions Entergy cannot know the frequency or type of inspections required to adequately address aging management. To the extent the facilities rely on the piping of Indian Point 1, my opinion would extend to that facility.

53. It has been established that weld corrosion has taken place. All welds need to be inspected. Re-inspection on a 10-year cycle, as proposed by the Licensee, at this stage, is totally inadequate. Re-inspection has to be based on the degree of corrosion that has already taken place and the estimated extreme (from extreme value statistics, Figure 14, attached) corrosion rate. The Licensee has estimated a typical corrosion rate of 12 mpy.5 5 The Brookhaven report lists a. survey of the 54 The Brookhaven Report, above note 11, at 1.

Entergy, Response to Request for Additional Information, above note 14 at , p. 1 of 2.

Page 23 of 24 Hausler Declaration

various corrosion rates one can expect and cities corrosion rate of from 1 mpy to 100 mpy. This should indicate a 10 year cycle is by no means adequate where no one could assume that on average perhaps as much as 50% of wall thickness (150 mils) has been lost locally, and in extreme cases in excess of 80%. Inspection frequency should not be based on end of life expectation, but should occur at a minimum at half of the time it would take to the occurrence of a failure.

54. Wherever possible, intelligent pigs should be used because with their methodology corrosion both from the inside and outside can be detected. Alternate methodologies such as guided wave technology have been listed above and can be found in the Brookhaven report, and should be used.

55. It is my judgment, after having reviewed a large number of documents relating to the license renewal and isolated failure reports that the NRC should not accept the Licensee's proposed aging management process because of the many shortcomings spelled out above.

56. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Rudolf H. usledr Executed this" day of November, 2007 Page 24 of 24 HauslerDeclaration

Figures Attached to the Declaration of Rudolf H.

Hausler

Figure 1 Emergency Service Water Pipe Emerging from Underground Figure 2 Same as above illustrating the large amount of rust on the Outside of the pipe.

Figure 3 Contour Plot for Corrosion Damage on 18" Service Water Line No. 408 Area in excess of Measurements dated 3/24/07 (Contours in Percent Residual Wall Thickness 0 - I Closest to

_ I Weld(Flange)

Direction 3-of Flow 2-Approx. 6 inches 1 2 3 5 6 8 9 10 11 From Flange Weld Into Elbow.

Circumferential Position (inches)

Pewrcent Wall remaining = < 10.0 M 20.0 <= 30.0 <= 40.0 9 - 50.0 M <= 60,0 ME= 70 .0 M* e.0 80

<= 90.0 o > 90.0 Figure 4 Flow induced Localized Corrosion due to Aerated Brackish Water

Figure 5 Chlorides vs Resistivity 10000 -

y 204881x" 205 t R28= 0.9999 100 9999 ' '>99 109 9 10 100 1000 10000 100000 Chlorides ppm

1 m II HUDSON RIVER MEAN SALINITY INTRUSION II DATA SOURCE HUDSON RIVER MODEL 12,000 CFS -STEADY STATE 28,000CFS -STEADY STATE

'HUDSON RIVER PROTOTYPE 08,000 CFS- FINNEGAN, 1929 MEAN SECTIONAL SALINITY

. 8,700 CFS-NYCDH 8 NYS, 11 1959 MEAN SALINITY

---. *4,100CFS- QL 8 M , 1964 z MEAN SECTIONAL SALINITY 0

-J FLOWS ARE FOR LOWER HUDSON Li C-U)

I-r-

z Z

1*-

-_J U) 0 40 50 60 70 80 I1-28 MILES ABOVE BATTERY

LaboratoryEvaluation of ER Probes Nov. 11 - Nov 12 170 6

150 o 140 130 y .77 193x +116.

O. 1901l 0.00 2.00 4.00 6.00 8.00 10.00 12.00 14.00 16.00 18.00 Time (hrs)

Figure 6

Figure 7 0.02 ... - . .

0 001 Open system -

0 I i 0 20 40 60 80 100 120 140 160 180 Temperature, °C Fig. 3. Effc t of temperatnre on corrosion of iron in water containing dissolved oxygen (Corrosion. Causes and Preveniion, 1. Speller, p. 168, McGraw-Ilill, 11951)

(with permiision).

Figure 8 Typical Localized Weld Metal Corrosion

Figure 9 Typical Selective Weld Metal Corrosion Figure 10 Typical Weld on Internally Cement Coated Pipe With External Coating Wrap Internal Cement Coating Pive body Externalcoatin2

Figure 11 Typical Crevice Corrosion

. Figure 12 Example of Flow Induced Localized Corrosion (Damage occurred selectively and locally in the HAZ)

DirctionIFof

Figure 13 Corrosion on Bottom of Pipeline (Only Base Metal is Corroded)

Figure 14 Extreme Value Statistics for Remaining Wall Thickness and Percent of Original Wall Remaining (according to Ref. 20 pg. 4, 18 inch line No. 408, UT measurements) 350 80.0 70.0 300 y -12.106x + 54.025 60.0 1

" 250 I-- G 50.0 -

(0) 200 y E I- 4.397x + 202,59 [++++*++,t R' 0.9754 .. + * ++++; '+*+++ :*+ +*+:+: + , ,q ,, -401.0 .*_

150 30.0 0 100 20.0 .

50 10.0 I1 ^

, U.U

-2.000 -1.000 0.000 1.000 2.000 3.000 4.000 5.000 reduced varlate (plotting number)

RudolfH. Hausler

SUMMARY

Over 30+ years planned, conducted, and directed advanced chemical research focused on oil production and processing additives. Acquired expertise in corrosion prevention, chemical inhibition, and materials selection, failure analysis, trouble shooting and economic analysis. Proficient in German,. French, and Italian.

EXPERIENCE:

1996 - Present CORRO-CONSUL T A (Dallas TX, and Kaufman TX)

President private Consulting Company Consulted with major Oil Companies on selection. testing and application of Oil Field Chemicals, primarily corrosion inhibitors.

Worked on Global Sourcing Team for Mobil Oil Company (major fulltime 6+

months study)

Consulted for Mobil Oil Company on production chemical usage at Mobile Bay sour gas production field and prepared for changeover to alternate chemical supplier (two year project).

Consulted for Arco Oil company

on sour production in Middle East

reviewed North Slope corrosion data (statistical evaluation)

Consulted for Mobil Oil Company at major CO2 flood in Oklahoma (extensive laboratory and field testing - two major publications)

Consulted with Teikoku Oil Company (Japanese National Oil Company) on various subjects of

drill string corrosion

amine unit corrosion of 304 stainless steel

corrosion of I3%-Cr in sweet production and the chemical inhibition thereof

identifying qualified corrosion testing laboratories in the US and the world

application limits for 3% Cr-steels in oil and gas production

Consulted for Exxon Mobil on new sourcing study for combined Mobile Bay operations. (Developed novel approach for bid procedure and evaluation of bids on purely technical "basis. Developed long-range approach fo streamlining operations with potentially large savings.)

Consulting for Oxy Permian Ltd. on major gas gathering system (changing from dry gas gathering to wet gas gathering)

Prepared several major publications (see list of publications)

Major consulting contract for ExxonMobil in Indonesia

Consulting with various smaller Producers in the US (ind Anadarko Petroleum Corp and Swift Energy Company)

RHH

Consulting with various engineering companies (e.g. Stress Engineering Services Inc.)

Consultant on call for Blade Energy Partners

Consulted with various organization concerned with nuclear safety, including the safety of spent fuel storage casks.

1991 - 1995 MOBIL Oil Company (Dallas Research Center), Dallas, Texas Senior Engineering Advisor Developed corrosion testing facilities for basic research and to meet specific oil field requirements.

- Planned and developed H2 S corrosion test facility

- Planned safety and wrote safety manual

- Developed unique continuous flow-through corrosion test facility ($$ 1.5MM)

Developed test protocols and supervised operations of the FTTF

Extensive consultation with Affiliates on problem solving and chemical usage

Established supplier relationships and consulted with Affiliates on establishing Enhanced Supplier Relationships

Developed theory and practice of novel approach to autoclave testing 1979- 1991 PETROLITE CORPORATION St. Louis, Missouri Research Associate 1986 - 1991 Directed and conducted the development of novel corrosion inhibitors for extreme operating conditions

- New corrosion inhibitor to combat erosion corrosion of carbon steel in gas condensate wells

- Extensive studies on CO 2 corrosion aimed at establishing predictive corrosion model

Developed the only qualified corrosion inhibitor for nuclear steam generator cleaning (EPRI publication NP-3030 June 1983)

Special Assistant to Executive Vice President 1985 - 1987 Special Assignments focused at support of International Sales

Extensive travel to secure major accounts in Europe, Russia and East Asia

- Monitored out-sourced R&D in Germany and England Senior Research Scientist 1979- 1985

Developed novel chemical composition under contract with EPRI for corrosion inhibition of cleaning fluids used in nuclear steam generators and methodology of application (only effective formulation still used today) 2 RHHF

Developed unique corrosion model for CO 2 corrosion in oil and gas wells

" Conducted numerous detailed field studies to establish case histories of chemical performance and applications technology 1976 - 1979 Gordon Lab, Inc., Great Bend, Kansas Technical Director Responsible for all technical issues involving formulation, application and sales of sucker well production chemicals (corrosion, emulsion, scale, bacteria)

- Conducted failure analysis for customers and developed pertinent reports

, Supervised service laboratory

- Established technical training of sales and support personnel

- Developed technical sales literature and company brochure 1963 - 1976 UOP (a division of SIGNAL COMPANIES) Des Plaines, Illinois Research Associate 1972 - 1976 Associate Research Coordinator 1967 - 1972 Research Chemist 1963 - 1967 To conduct research in electrochemistry, analytical methods development, heat exchanger fouling processes and refinery process additives

" Developed novel organic electrochemical synthesis procedure

" Developed unique (patented) test apparatus fbr measuring anti-foulant activity

" Introduced statistical design and evaluation of experiments to R&D department and Developed 20 hr course on statistics.

Developed full 3 credit hour corrosion course to be taught at liT and DeSoto Chemical Company EDUCATION - Ph.D. Chemical Engineering; Swiss Federal Institute of Technology, Zurich Switzerland

" BS, MS Chemical Process Technology, same as above PROFESSIONAL ASSOCIATION

- American Chemical Society

- The Electrochemical Society

- Society of Petroleum Engineers

- NACE International (Corrosion Engineers)

American Society fro Metals (ASM)

- Active in NACE on local, regional and national level RECOGNITION

NACE Technical Achievement Award (1990) 3 RHH

NACE Fellow Award 2003 ACHIEVEMENTS ° 17 patents, 58 publications and more than 100 technical presentations

" Registered Professional Engineer (Corrosion Branch, California)

" NACE certified Corrosion Specialist 4 RHH

CORRO-CONSULTA Rudolf H. Hausler 8081 Diane Drive Kaufman TX

Publications

Books.

Awards and Recognition

Patents

Papers Presented before Technical Meetings

Educational Lectures

Continued Professional Education

& Professional Activities

PUBLICATIONS

1. ELECTROCHEMICAL PRINCIPLES IN CORROSION R. H. Hausler, Heating, Piping, Air Conditioning, 41. (#9) 11(1969)

2. THE USE OF STATISTICAL DESIGN AND ANALYSIS IN THE DEVELOPMENT OF A CORROSION INHIBITOR TEST R. H. Hausler, L. A. Goeller, R. H. Rosenwald, Proceedings of the National Association of Corrosion Engineers 26th National Conference, March 2-6, 1970, paper #63.

3. CONTRIBUTION TO THE FILMING AMINE THEORY R. H. Hausler, L. A. Goeller, R. P. Zimmermann, R. H. Rosenwald, Corrosion, 28. (#1) 7 (1972).

4. CONTRIBUTION TO THE MECHANISM OF HYDROGENSULFIDE CORROSION INHIBITION.

R. H. Hausler, L. A. Goeller, R. H. Rosenwald, Proceedings of the 3rd European Symposium on Corrosion Inhibition, Ferrara, Italy, 1971, p.

399.

5. CORROSION CONTROL IN CRUDE UNIT OVERHEAD SYSTEMS R. H. Hausler, N. Coble, Proceedings of the API'Division of Refining, New York, May 8-1 1, 1972. Also published in: Oil and Gas Journal, 70,

(#29) 92, 1972; Hydrocarbon Processing, May 1972, p. 108; Petroliere D'Italia, 19, (#8) 21, 1972; Petroleum Times, June 2, 1972, p. 10.

6. RUST INHIBITION AND INHIBITOR TESTING, A CRITICAL DISCUSSION R. H. Hausler, R. C. Kunzelman, Materials Protection and Performance, 11, (# 11) 27 (1972).

7. PROCESS CORROSION AND CORROSION INHIBITORS IN THE PETROLEUM INDUSTRY R. H. Hausler, C. Stanski, A. Nevins, Proceedings of the National Meeting of the National Association of Corrosion Engineers, March 1974, Paper

123. Materials Performance, 13, 9 (1974).

8. FOULING STUDIES IN HYDROCARBON STREAMS IN THE PETROLEUM INDUSTRY R. H. Hausler, Oil and Gas Journal, 71, (#23) 56, (1973 ).

2

9. FREE ENERGY AND ENERGY FUNCTIONS R. Ft. Hausler, Encyclopedia of Chemistry, (Hampil-Hawley, Editors) 3rd Edition, p. 467 (1973).

10. SYSTEMS APPROACH TO CORROSION ENGINEERING IN THE CHEMICAL INDUSTRY R. H. Hausler, Invited paper presented at the AIChE Meeting, Chemical Engineering/Corrosion Interface, Washington, Dec. 1974.

11. FOULING AND CORROSION IN FEED EFFLUENT EXCHANGER R. H. Hausler, C. E. Thalmayer, Discussion of a new Test Method; Proceedings of the API Division of Refining 40th Midyear Meeting, May 13, 1975, Chicago, Ill.

12. SOME CONSIDERATIONS REGARDING THE USE OF ELECTROCHEMICAL CORROSION MEASUREMENTS IN THE PRESENCE OF CORROSION PRODUCT LAYERS R. H. Hausler, Presented at the NACE 1975 North Central Regional Conference, October 21-23, 1975.

13. INSTRUMENT MEASURES PROCESS FOULING, ETC.

R. H. Hausler, Oil & Gas Journal, Feb. 14, 1975, p. 92.

14. CONTRIBUTION TO THE UNDERSTANDING OF FOULING PHENOMENA IN THE PETROLEUM INDUSTRY 16TH NATIONAL HEAT TRANSFER CONFERENCE R. Braun, R. H. Hausler, St. Louis, August 11, 1976, Paper #76-CSME/CSChE - 23.

15. PRACTICAL EXPERIENCES WITH LINEAR POLARIZATION MEASUREMENTS R. H. Hausler, Corrosion., 33. (No. 4) 117-1977

16. CORROSION INHIBITION AND INHIBITORS R. H. Hausler, Published in ACS Symposium Series Vol. 89, "Corrosion Chemistry"; p. 262-320, 1977, Jan. 1979.

17. ECONOMICS OF CORROSION CONTROL R. H. Hausler, Materials Performance 17, (#6) 9, 1978

18. OIL TREATING CHEMICALS - EMULSIONS R. H. Hausler, Oil & Gas Journal, September 4, 1978.

19. SCALING AND SCALE CONTROL IN OILFIELD BRINES R. H. Hausler, Oil & Gas Journal, Sept. 18, 1978.

20. CORROSION INHIBITION AND GALVANIC COUPLES IN THE OILFIELD R. H. Hausler, Paper presented NACE: CORROSION/79, Atlanta, Georgia, 1979, paper # 17

21. PREVENTING SCALE AND EMULSION PROBLEMS IN OIL PRODUCTION

- R. H. Hausler, Invited paper presented before the International Petroleum Exhibition, Tulsa, Oklahoma, Sept. 1979

22. CORROSION MONITORING IN CHEMICAL CLEANING SOLUTIONS R. H. Hausler, J. M. Jevec, W. S. Leedy; NACE: Corrosion/83 1983 Paper No. 227 p. 13.

23. LABORATORY INVESTIGATIONS OF THE CORROSION MECHANISM AS APPLIED TO HOT DEEP GAS WELLS R. H. Hausler; NACE: Corrosion/83 1983 paper No. 47, 16 p; Advances in CO 2 Corrosion, Vol. 1, p. 72, (1984).

24. THE COPRA CORRELATION - A QUANTITATIVE ASSESSMENT OF DEEP HOT GAS WELL CORROSION AND ITS CONTROL R. H. Hausler; NACE: Corrosion/83 1983 Paper No. 48 37 p; Advances in CO 2 Corrosion, Vol. 1. P. 87 (1984).

25. THE ROLE OF HYDRAZINE IN EDTA CONTAINING CHEMICAL CLEANING SOLVENTS R. H. Hausler; NACE: Corrosion/82 1982 Paper No. 30, 12 p.

26. CORROSIVENESS OF EDTA CHEMICAL CLEANING SOLUTION R. H. Hausler, A. L. Savage; NACE: Corrosion/82 1982 Paper No. 31, 15 p.

27. INHIBITION OF CORROSION REACTION BY CORROSION PRODUCT LAYERS OF TYPE METAL ION CHELATING AGENTS R. H. Hausler; NACE: Corrosion/81, 1981 Paper No. 252, 17 p.

28. CORROSION INHIBITION AND GALVANIC COUPLES IN THE OILFIELD R. H. Hausler, NACE: Corrosion/79 1979 Paper No. 17

29. NONPROPRIETARY CORROSION INHIBITORS FOR SOLVENTS TO CLEAN STEAM GENERATORS R. H. Hausler, EPRI Final Report (346 pp) #NP-3030), Project S-148, June 1983.

4

30. THE IMPORTANCE OF THE INTERPHASE IN THE CONTROL OF CORROSION IN EDTA SOLUTIONS R. H. Hausler, Presented before the International Conference on Corrosion nhibition, NACE May 1983, published in CORROSION INHIBITION, NACE-7, p.132(1988).

31. ASSESSMENT OF CO 2 CORROSION IN THE COTTON VALLEY LIMESTONE TREND P. A. Burke, R. H. Hausler, presented at NACE Corrosion/84, 1984, paper

288 published in Materials Performance 24 (Aug.) p. 26 (1985).

32. CORROSION AND CORROSION INHIBITION IN THE COTTON VALLEY PRODUCTION-FIELD EXPERIENCES WITH IRON-COUNTS, COUPONS AND CALIPERS R. H. Hausler, P. A. Burke, presented at NACE Corrosion/85, 1985 paper

26 (published in Advances of CO 2 Corrosion Vol. 2, p. 161, 1985).

33. CORROSION INHIBITION IN THE PRESENCE OF CORROSION PRODUCT LAYERS R. H. Hausler, invited paper presented before the 6th European Conference on Corrosion Inhibition, Ferrara, Italy, September 1985, Proceedings p. 41, 1985.

34. LOW-VOLUME CONTINUOUS INHIBITION TECHNIQUE, AT NOMINAL EXPENSE, FOR HIGH WELLBORE TEMPERATURE, CO 2 AND MILDLY SOUR GAS PROCEDURES S. G. Weeks, R. H. Hausler, SPE, Las Vegas, Sept. 1985 paper #14404.

35. LOW COST, LOW VOLUME, CONTINUOUS INHIBITION OF GAS PRODUCTION TUBULARS R. H. Hausler, S. G. Weeks, Materials Performance, June 1986, p. 28 (1986), NACE.

36. ON THE USE OF LINEAR POLARIZATION MEASUREMENT FOR THE EVALUATION OF CORROSION INHIBITORS IN CONCENTRATED HCL AT 200 0 F (93°C)

R. H. Hausler, CORROSION, 42, No. 12, 729 (1986).

37. CO 2 CORROSION AND ITS PREVENTION BY CHEMICAL INHIBITION IN OIL AND GAS PRODUCTION R. H. Hausler, D. W. Stegmann, NACE CORROSION/88, St. Louis, NACE 1988, paper #363.

38. THE METHODOLOGY OF CORROSION INHIBITOR DEVELOPMENT FOR CO 2 SYSTEMS R. H. Hausler, D. W. Stegmann, R. F. Stevens, NACE CORROSION/88 St. Louis, 1988, paper #360, published in Werkstoffe und Korrosion, Febr.

1989, and Corrosion, 45 (10) (1989).

39. STUDIES RELATING TO THE PREDICTIVENESS OF CORROSION INHIBITOR EVALUATIONS IN LABORATORY AND FIELD ENVIRONMENTS R. H. Hausler, D. W. Stegmann, EUROPEC/88, London, SPE paper

18369, 1988, accepted for publication in Petroleum Production Engineering, 1990.

40. LABORATORY STUDIES ON FLOW INDUCED LOCALIZED CORROSION IN C0 2/H 2S ENVIRONMENTS, I. DEVELOPMENT OF TEST METHODOLOGY ,

D. W. Stegmann, R. Hausler, C. 1. Cruz, H. Sutanto, presented at 6th Asian Pacific Corrosion Control Conference, Singapore, September 1989; also accepted for CORROSION/90, NACE 1990, paper #90005.

41. LABORATORY STUDIES ON FLOW INDUCED LOCALIZED CORROSION IN C0 2H 2S ENVIRONMENTS, II. PARAMETRIC STUDIES ON THE EFFECTS OF H2S, CONDENSATE, METALLURGY AND FLOWRATE.

R. H. Hausler, D. W. Stegmann, C. 1. Cruz, D. Tjandroso, ibid.

42. LABORATORY STUDIES ON FLOW INDUCED LOCALIZED CORROSION IN C0 2/H 2S ENVIRONMENTS, III. CHEMICAL CORROSION INHIBITION R. H. Hausler, D. W. Stegmann, C. 1. Cruz, D. Tjandroso, ibid.

43. THE COPRA CORRELATION REVISITED R. H. Hausler, T. D. Garber, accepted for presentation at CORROSION/90, NACE 1990, paper #90045.

44. CO2 CORROSION AND ITS INHIBITION UNDER EXTREME SHEAR STRESS G. Schmitt, T. Simon, R. H. Hausler, accepted for presentation at CORROSION/90, NACE 1990 paper #90022.

45. CHEMICAL INHIBITION OF FLOW INDUCED LOCALIZED CORROSION IN CO 2 CONTAINING MEDIA R. H. Hausler, D. W. Stegmann, Proceedings of the 7th European Symposium on Corrosion Inhibitors, p. 1247, 1990, Ferrara, Italy, Sept.

1990.

6

46. INTERPRETATION OF LINEAR POLARIZATION MEASUREMENTS (Discussion Contribution) - DECHEMA Monograph, Vol. 101, Electrochemical Corrosion Testing, p. 109-114, 1986.

47. LABORATORY STUDIES ON FLOW INDUCED LOCALIZED CORROSION IN C0 2/H 2S ENVIRONMENTS IV: ASSESSMENT OF KINETICS OF CORROSION INHIBITION BY CONTINUOUS HYDROGEN EVOLUTION MEASUREMENTS.

R.H. Hausler, D.W. Stegman, paper No. 474 NACE CORROSION/91, (also published in Corrosion Magazine in 1992)

48. METHODOLOGY FOR CHARGING AUTOCLAVES AT HIGH PRESSURES AND TEMPERATURES WITH ACID GASES R.H. Hausler, CORROSION, Vol. 54, No. 8, pg. 641, 1998

49. CO 2 EROSION CORROSION AND ITS INHIBITION UNDER EXTREME SHEAR STRESS, II. PERFORMANCE OF INHIBITORS G. Schmitt, T. Simon. R.H. Hausler, CORROSION/93, PAPER No. 86, (1993)

50. DEVELOPMENT OF A CORROSION INHIBITION MODEL:

I. LABORATORY STUDIES R.H. Hausler, T.G. Martin, D.W. Stegmann, M.B. Ward, CORROSION/99, paper No. 2, NACE 1999

51. DEVELOPMENT OF A CORROSION INHIBITION MODEL: II.

VERIFICATION OF MODEL BY CONTINUOUS CORROSION RATE MEASUREMENTS WITH NOVEL DOWNHOLE TOOL T.G. Martin, M.T. Cox, R.H. Hausler, R.J. Dartez, P. Pratt, J.C. Roberts, CORROSION/99, paper No. 3, NACE 1999.

52. EVALUATION OF COMMERCIAL CORROSION INHIBITOR FOR CO 2 CORROSION OF API-13CR TUBING Y. Tomoe, M. Shimizu, R.H. Hausler, CORROSION/2000, PAPER No.

16, NACE 2000.

53. SOLVING IRON SULFIDE PROBLEMS IN AN OFFSHORE GAS GATHERING SYSTEM J.K. Brownlee, J.A. Dougherty, T. Salma, R.H. Hausler, CORROSION/2000, PAPER No. 104, CORROSION/2000, NACE 2000

54. CORROSION MANAGEMENT IN THE ARUN FIELD L.M. Riekels, R.V. Seetharam, R.M. Krishnamurthy, C.F. Kroen, J.L.

Pacheco, R.H. Hausler, V.A.M. Semerad, CORROSION/96, paper No. 24, NACE, 1996 7

55. DEVELOPMENT OF A CORROSION INHIBITION MODEL FOR OIL AND GAS PRODUCTION BASED ON LABORATORY AND FIELD MEASUREMENETS R.H. Hausler, T.G. Martin, Proceedings of the 9th European Symposium on Corrosion Inhibitors, Ferrara, Italy, page 941, 2000.

56. HYDRODYNAMIC AND FLOW EFFECTS ON CORROSION INHIBITION R. H. Hausler, G. Schmitt, CORROSION/2004, paper 04402, NACE 2004

57. CONTRIBUTION TO THE UNDERSTANDING OF H 2S CORROSION R. H. Hausler, CORROSION/2004, paper 04732, NACE 2004.

58. CORROSION INHIBITOR TESTING AND EVALUATION R. H, Hausler, Accepted for Publication in' Corrosion Tests and Standards: ASTM Series: MNL 20, 2 ncd Edition, in preparation, Robert Baboian, Editor.

BOOKS

1. CORROSION IN OIL AND GAS PRODUCTION L. E. Newton, R. H. Hausler, NACE, Houston, TX. 1983.

2. ADVANCES IN CO 2 CORROSION VOL. 1 R. H. Hausler, H. L. Godard, NACE, July 1985.

3. CORROSION INHIBITION R. H. Hausler, NACE-7, 1988.

,4. FLOW. INDUCED CORROSION: FUNDAMENTAL STUDIES AND INDUSTRY EXPERIENCE K. J. Kennelley, R. H. Hausler, D. C. Silverman, NACE 1991 AWARDS AND RECOGNITION I. NACE Technical Achievement Award, May, 1990.

2. Plenary Lecture, 6th Asian Pacific Corrosion Control Conference, Singapore, Sept. 1989.

3. Plenary Lecture, 7th European Symposium on Corrosion Inhibitors, Ferrara Italy, Sept. 1990.

4. Plenary Lecture, 5th Middle East Corrosion Conference, Bahrain, Jan. 1991.

8

5. Invited to present Plenary Lecture 8h European Symposium on Corrosion Inhibitors, Ferrara, Italy, 1995

6. Elected NACE Fellow, May 2003, PATENTS USP 3 790 496 R. H. Hausler; Alkylene Polyamine Polymeric Reaction Product Corrosion Inhibitor USP 3 609 549 R. H. Hausler, Corrosion Measuring Device R.W. Sampson; USP 3 810 009 R. H. Hausler, R.W. Apparatus for Measuring Fouling of a Test Sampson; Specimen USP3 731 187 R. H. Hausler, Temperature Compensated Fouling R.W.Sampson; Measuring Method and Apparatus USP3 705 109 R. H. Hausler, Corrosion Inhibiting Composition and Use L.A. Goeller; Thereof USP 3 622 503 R. H. Hausler; Hydrogen Transfer Agent for Slurry Processing of Hydrocarbonaceous Black Oil USP 3 562 138 R. H. Hausler; Structural Element for Use in an Electrolytic Cell Swiss Patent 4393/62 V. Spreter, Electrode pour Element Galvanique R. H. Hausler; USP 3 696 049 R. H. Hausler, Corrosion Inhibiting Composition and use L.A. Goeller; Thereof USP 3 696 048 R. H. Hausler, Corrosion Inhibiting Composition and L. A. Goeller; use Thereof USP 3881 957 R. H. Hausler; Electrochemical Cell Comprising a Catalytic Electrode of a Refractory Oxide and a Carbonaceous Pyropolymer 9

USP 3 913 378 R. H. Hausler; Apparatus for Measuring Fouling on Metal Surfaces USP 3 923 606 R. H. Hausler; Prevention of Corrosion USP 3 972 732 R. H. Hausler; Electrochemical Cell USP 4 454 006 R. H. Hausler, Method and apparatus for Measuring Total L. Savage, Corrosion Rate J. B. Harrell; USP 4 495 336 R. H. Hausler, Mercapto-Polycarboxylic Acids N.E.S. Thompson; EP 027 5651 R. H. Hausler, Carbondioxide Corrosion Inhibiting B.A. Alink, Composition and Method of Use Thereof.

M. E. Johns, D. W. Stegmann; EP 927 5646 R. H. Hausler, Carbon Dioxide Corrosion Inhibiting Composition and Method of Use Thereof.

10

PAPERS PRESENTED BEFORE TECHNICAL MEETINGS by R. H. Hausler

1. Corrosion in HS Containing Media, before the NACE, T8-2 Committee, January, 1970.

2. Corrosion and Corrosion Inhibition in H9 S and Cl- Containing Media, before the Montreal, Canada, Section of the NACE, December 8, 1970.

3. Time Effects on Polarization Measurements, before the Chicago Section of the NACE, May 18, 1971.

4, Rust Inhibition and Inhibitor Testing, before the North Central-Northeast NACE Regional Conference, October 16-18, 1972.

5. Process Side Fouling of Heat Exchangers, before the NACE T8-2 Committee, Chicago, March 8, 1973.

6. On the Mechanism of Hydrochloric Acid Inhibition by Organic Molecules; Presented at the Gordon Research Conference on Corrosion, July 1974.

7, On the Mechanism of Corrosion Inhibition by Organic Chemicals before the Chicago Section of the Electrochemical Society, January 9, 1975.

8. Seminar on Corrosion and Fouling in the Petroleum Industry. Full day seminar given before the engineers of the Peruvian Petroleum Company (Petroperu) upon invitation, June 22, 1975, Lima, Peru.

9. Linear Polarization Technique, Paper presented before NACE-Corrosion/76, Houston, Texas, March 22-26, 1976.

10. Corrosion Inhibition. Presented as ACS/NACE/ECS sponsored short course on Chemistry in Corrosion, Chicago, February 24, 1976.

11. Corrosion Inhibitors and Sulfide Corrosion, presented before the NACE Western Kansas Section, Great Bend, KS., May 7, 1976.

12. Cooling Water Treatment, Presented before the first annual Corrosion Control Seminar Sponsored by the Kansas Section of the NACE, November 9, 1977, Great Bend, KS.

13. Economics of Corrosion Control, Dinner Talk before the first annual Corrosion Control Seminar sponsored by the NACE Great Bend, KS. Section.

I1

14. Corrosion Inhibition and Galvanic Couples in the Oilfield, NACE North Central Regional Meeting, October 19-21, (1981).

15. Mechanism of Corrosion Inhibition with Reference to Automotive Coolants, NACE North Central Regional Meeting, October 19-21 (1981).

16. CO, Corrosion in the Oil and Gas Production, and Overview, NACE South Central Regional Meeting, Oklahoma City, October, 1983.

17. CO- Corrosion in Oil and Gas Production, An Overview, presented before the Corrosion Center of the University of Manchester Institute of Technology, July 4, 1985.

18. New Mechanism for Pitting of Carbon Steel in Inhibited Hydrochloric Acid, presented before the faculty of the Materials Engineering Department of the University of Ferrara, June 24, 1985.

19. Metallurgical Effects on Corrosion Inhibition, presented before the faculty of the Corrosion Center of the Institute for Technical Chemistry and Petroleum Chemistry at the University of Aachen, June 28 (1985).

20. CO, Corrosion and Prevention. Formal seminar presentation at NAM-Assen (Holland) June 20 (1985).

21. Systems Approach to Corrosion Engineering as Applied to Oil and Gas Production, presented before the ALL-Union Union Oil Institute, Krasnodar, Russia, June 1985.

22. The Effect of Ohmic Resistance on Linear Polarization Measurements for Corrosion Rate Determination, presented before the NACE Chicago Section, October, 1973.

23. Corrosion Monitoring in Sweet Production, NACE, Canadian Region Western Conference, Calgary, Febr. 25 (1986).

24. Overview of the CO, Corrosion Mechanism and Inhibition of Erosion Corrosion, NACE South Central Region Committee, Lafayette, Nov. 16-18, 1987.

25. Novel Approach Toward Assessing Inhibitor Cost for CO2 Corrosion: Example of a CO 2 Flood, ibid.

26. Systems Approach to Corrosion Inhibition of Gas and Gas Condensate Producing Facilities, Gulf Coast Corrosion Seminar Febr. 1987.

12

27. Predicting Corrosion Inhibitor Performance - Laboratory Evaluations vs. Field Performance, New Orleans NACE Section Meeting, Jan. 22, 1990.

28. Corrosion Inhibitors in the Oil Field: What do we really put in the Hole? New Orleans Offshore Corrosion Conference, New Orleans, 1996.

29. Corrosion Inhibitors in the Oil Field: What do we really put in the Hole? New Orleans Offshore Corrosion Conference, New Orleans, 1997.

30. Current Status of Corrosion Prediction and Assessment: A Review of Corrosion Modeling. Paper presented before the Midland, TX NACE Section, September, 1996

31. Industrial Corrosion Inhibitors, Lecture presented at Texas A&M on invitation by Professor J. M'O. Bockris, September, 1994

32. Corrosion Inhibition: Quo Vadis: Invited paper presented in German before the Jubilee Symposium for Professor Dr. Gunter Schmitt, Technical University Iserlohn, Germany, September 2002.

33. Failure Prediction and Failure Inhibition in Sour Systems: Discussion Presented before TEG 282X NACE technical committee, April 2003 during Corrosion/2003, San Diego, CA.

34. Pitting Model for H 2 5 Corrosion; Discussion Contribution presented before the.

TEG 282X NACE technical corrmittee, March 2004, during CORROSION/2004, New Orleans, LA.

EDUCATIONAL LECTURES by R. H. Hausler

1. Electrochemistry - a Modern Challenge: presented December 1966 to Science Seminar at Taylor University, Marion, Indiana. February 1970, to' Science Seminar of the ACS Student Affiliate Chapter at University of Illinois, Circle Campus, Chicago.

2. Corrosion-5 Billion Dollar Business, presented to an advanced Science Class as Hillcrest High School, Country Club Hills, Illinois, December 13, 1972.

3. Discussion on Cathodic Protection, together with Harry E. Kroon of Illinois Bell Telephone, presented at an Educational Seminar of the Chicago Section, NACE, May 1970.

13

4. Application of Potentiostatic Techniques in Corrosion Research, presented at an Educational Seminar of the Chicago Section, NACE, October 24, 1970.

5. Electrical Methods for Determining Corrosion Rates, at the 4th Annual Seminar on Fundamentals of Corrosion, Milwaukee School of Engineering, November 23, 1971.

6. Corrosion Prevention in the Chemical Process Industry, both presented at the Summer Engineering Conference on Corrosion Engineering, University of Michigan, Ann Arbor Michigan, June 19-23, 1972, published in the Proceedings.

7. Chemistry of Corrosion, course taught at the Illinois Institute of Technology, Evening Division (Chem 544), 3 credit hours, Jan-May, 1975.

8. Chemistry of Corrosion, course taught for DeSoto, Inc. Research Centre, started Nov. 1975, 15 2-hour lectures.

9. Statistical Design and Evaluation of Experiment, 20 2-hour lectures with examples and applications presented in-house at UOP.

10. Corrosion Engineering, (Course based on MIT Video Tapes), organized 20 seminars at Petrolite and 1/2 hour discussion sessions following review of tapes.

14

CONTINUED PROFESSIONAL EDUCATION

1. Short Course on Corrosion, University of California Extension, Los Angeles, June 26-30, 1967,.

2. Short Course on Statistical Design and Evaluation of Experiments, University of Detroit, Summer 1966.

3. Engineering Summer Short Course on Statistical Experimental Design, University of Wisconsin Extension, Madison Wisc. June 24-28, 1968.

4. Evolutionary Operations and Non-Linear Estimating, Short Course, Chicago, 1967.

5. R&D and New Venture Management, University of Wisconsin Extension, Madison, Wisconsin, May 15-16, 1969.

6. Industrial Research Institute, Mid-Management Groups Seminar, New York, October 28-30, 1973.

7. Gordon Research Conferences: Electrochemistry 1965, 1966, 1967, 1968; Corrosion 1969, 1971, 1973.

8. Two Phase Gas-Liquid Flow, University of Houston, February 22-26, (1982).

15

PROFESSIONAL ACTIVITIES THE ELECTROCHEMICAL SOCIETY Member since 1964 Chicago Section Secretary 1964-1965 Treasurer 1966-1967 Vice-Chairman 1966-1967 Chairman 1967-1968 Councilor 1972-1976 National Meeting 1968 Co-Treasurer National Meeting 1973 Hospitality Chairman THE NATIONAL ASSOCIATION OF CORROSION ENGINEERS Member since 1968 Chicago Section Treasurer 1971-1973 Vice-Chairman 1973-1974 Chairman 1974-1976 National Meeting 1974 General Chairman North Central Region Program Chairman 1972 Regional Meeting Education Chairman 1982-1985 Unit Committee T-3A Chairman 1973-1975 Research Committee Member 1975-1978 Vice-Chairman 1983-1984 Liaison Education Committee 1982-1984 Liaison TPC 1981-1983 Education Committee Member 1983-1985 Awards Committee Member 1984-1986 16

Group Committee T- I Member 1976-Vice Chairman T-13 1981-1984 Various T-I Unit Committees and Task Groups Organized numerous conferences, among others:

International Conference on Corrosion Inhibition, Dallas, 1983

International Symposium on CO 2 Corrosion, Los Angeles, 1983 Co-Editor Advances in Corrosion Inhibition (in preparation).

THE CHICAGO TECHNICAL SOCIETIES COUNCIL Member 1968 Treasurer 1970-1972 Vice-Chairman 1972-1974 Chairman 1974-1975 Awards Jury 1976 17

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION OFFICE OF THE SECRETARY ATOMIC SAFETY AND LICENSING BOARD In the Matter of ENTERGY NUCLEAR INDIAN POINT 2, LLC

ENTERGY NUCLEAR INDIAN POINT 3, LLC ENTERGY NUCLEAR OPERATIONS, INC. NRC Docket Nos.

50-247 & 50-286 INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 & 3 ASLB No.

Regarding the Renewal of Facility Operating Licenses 07-858-03-LR-BDOI

. No. DPR-26 and No. DPR-64 for an Additional 20-year Period DECLARATION OF TIMOTHY B. RICE Timothy B. Rice, hereby declares under penalty of perjury thatthe following is true and correct:

1 -.I am an Environmental Radiation Specialist II in the Bureau of Hazardous Waste and Radiation Management, Division of Solid and Hazardous Materials, of the New York State Department of Environmental Conservation (DEC). I currently serve as the New York State Project Lead for the State's participation in the ongoing investigation into radiological contamination of ground water under the Indian Point Generating Facility in Buchanan, New York, and the release of that contaminated water into the Hudson River. I submit this declaration to provide factual support to the contentions submitted by the State of New York.

Background

2. The Indian Point Nuclear Power Station consists of three nuclear reactors and spent fuel pools along with associated support systems, structures, and components. Between 1956

and 1969, the Atomic Energy Commission authorized Consolidated Edison Co. (ConEd) to construct the reactors, Units 1, 2, and 3. Unit 1 received a provisional operating permit in 1962, Unit 2 received its operating permit in 1973, and Unit 3 received its operating permit in 1975.

ConEd operated Units I and 2, and the New York Power Authority operated Unit 3.,. "

3. In 1974, the AEC ordered Unit I to cease generating power. Although Unit I no°..

longer generates power, it "contains extensive common facilities that are required for. the continued operation of Units 2 and 3." See October 1980 Decommissioning Plan for Indian Point Unit 1, p. 4 (included in the April 30, 2007 License Renewal Application).

4. In 2000 and 2001, Entergy Nuclear Operations, Inc. and its corporate affiliates-'.

(collectively Entergy) purchased Indian Point from NYPA and ConEd.

Spent Fuel Storage Pools

5. When the uranium can no longer be efficiently used to maintain the energy-generating' fission process, it becomes spent fuel. To maintain efficient reactor performance, about one-third of the fuel is removed as spent fuel every twenty-four months, to be replaced with fresh fuel.

The replacement occurs during planned outages.

6. After it is used in nuclear reactors to generate energy, spent nuclear fuel remains extremely. hot and radioactive. The rods are therefore stored in specially designed water-filled spent fuel storage pools. The rods are placed in at least thirty feet of water which serves the dual purpose of acting as a radiation shield and dispersing the heat from the spent fuel. Spent fuel is moved from the reactor core via a transfer tube, which runs between the containment building and the fuel storage building, and into the transfer canal, which is part of the spent fuel pool.

Attached as Figure 1 to this declaration is a diagram depicting the relative locations - for Unit 2 or Unit 3 - of the Hudson River, the cooling water intake structures, the turbine building, the containment building, the transfer tube, and the spent fuel storage building, which houses the spent fuel pool.

7. Because no final disposal site has yet been developed, Indian Point's spent fuel has remained for decades in the facility's three temporary storage pools. In addition, the Nuclear Regulatory Commission has authorized IP2 and IP3 to increase the density of the spent fuel assemblies stored in their spent fuel pools.

Dr&Cask Storage

8. When the spent fuel pools are full, the next step is to remove some of the spent fuel from:the pools and move it to a permanent disposal site, such as the proposed Yucca Mountain site, or into dry cask storage. A specialized, heavy-duty crane assists in this transfer process.

9. Dry cask storage involves removing the spent fuel from the spent fuel pools and placing it in large above-ground cylinders. At present, spent fuel stored in the dry casks must be kept on-site at Indian Point because the federal government has yet to approve a permanent disposal facility at Yucca Mountain in Nevada, nor has an independent interim spent fuel storage facility been created, which is the only possible alternative.

Tritium and Strontium

10. Tritium and strontium are radionuclides. Tritium is radioactive hydrogen and is denoted as H-3. As with all ionizing radiation, tritium exposure increases the risk of developing cancer. Strontium-90, denoted as Sr-90, is chemically similar to calcium, and like calcium, it concentrates in bone. Exposure to strontium-90 has been linked to bone cancer, cancer in tissue near contaminated bone, and leukemia.

11. The EPA's current tritium drinking water concentration limit is 20,000 pCi/l; the drinking water standard for Sr-90 is 8 pCi/l.

12. At Indian Point, these radionuclides are one of the by-products of the fission process that takes place within the nuclear reactors. These radionuclides are present in the water that, surrounds the fuel assemblies within the reactor, the transfer canal, and the spent fuel pools.

Tritium is also present in Various other plant systems at varying concentrations, including for example the reactor water storage tank and secondary steam lines.

Radioactive Materials Are Leaking from Indian Point's Spent Fuel Pools

13. Radioactive material is currently leaking from both the IP2 and IPI spent fuel pools at Indian Point and is flowing in groundwater into the Hudson River. Plumes of strontium'and :

tritium had been mapped under the facility.

14. In 2005, Entergy was excavating adjacent to the IP2 spent fuel pool to prepare for the installation of a new crane to support the dry-cask storage facility at Indian Point. In August 2005, Entergy discovered water leaking from a crack in the exterior of the IP2 concrete spent fuel pool.

15. In September 2005, Entergy determined that the leak from the IP2 spent fuel pool was contaminated with radioactive materials, including tritium. When the leak first occurred is not known. A review of records from the previous site operator, ConEd, has shown that a leak occurred in the stainless steel liner of the IP2 pool from 1990, when it was damaged by in-pool.

maintenance activities, until 1992, when the leak was discovered and was repaired. A subsequent Entergy inspection (2007) of the stainless steel pool liner in the Unit 2 transfer canal identified a small (1/8 to 1/4 inch) hole through the liner. Both the 1990 leak and the current hole in the liner are likely contributors to a groundwater. plume currently flowing from IP2:

16. Concentrations of tritium from the IP2 spent fuel pool leak were detected early in the investigation of the ground water in the monitoring wells closest to the IP2 spent fuel pool at

.levels'as high as 600,000 pCi/1, thirty times the drinking water standard of 20,000 pCi/l. At this time, the maximum concentrations of tritium detected in the monitoring wells closest to the Hudson River have not exceeded twenty-five percent of the drinking water standard. However, this does not guarantee that the concentrations reaching the river will not increase over the 20-year extension of IP2 if additional leaks occur in the spent fuel pools or other contaminated systems.-

17. As part of the investigation prompted by the IP2 spent fuel pool leak, Entergy also determined that radioactive strontium-90 is leaking from the IP I spent fuel pool. The investigation also has revealed that other radioactive constituents, including a range of fission and activation products including cesium, cobalt, and nickel, are being released from the IP I spentfuel pool. Strontium-90 has been detected migrating in groundwater. The other constituents remain in the soil and rock in the vicinity ofIP1.,

18. The IPI leak has existed since some time before 1994 when the leak was initially discovered. Though a lack of data makes it difficult to determine exactly how long it has existed, it is likely that it has been ongoing throughout much of the life of the plant. ConEd, which owned the site in 1994, took corrective actions at that time to minimize and contain the leaks and it believed those actions were effective. However, the groundwater sampling performed over the past two years has demonstrated that not all of the ongoing IP I spent fuel pool leakage is being contained. In fact, some of the contaminated groundwater has been, and continues to be, bypassing the IP I drain systems that ConEd had stated were containing the contamination.

19. Concentrations of strontium from the IP I spent fuel pool leak have been detected at almost fourteen times the drinking water standard of 8 pCi/l at the monitoring well closest to the IPI spent fuel pool. Concentrations of Sr-90 at a monitoring well close to the Hudson River have been detected at approximately 3.4 times the drinking water standard.

20. As noted above, in addition to tritium and strontium, other radiological. contaminants, including cesium, cobalt, and nickel, have been detected in groundwater as a resultof leaks from the IPI spent pool.

21. As has been demonstrated at other facilities having radionuclide-contaminated soil.

and bedrock, the presence of these radioactive contaminants beneath and around Indian Point site structures will likely increase the cost and extent of the eventual decommissioning of the reactor facilities, particularly IP 1., A nearby example of this impact was the decommissioning of the.-.

Cintichem medical-radioisotope production reactor and hotlab in Tuxedo, NY.' There,, the, presence of radioactive contaminants.in the underlying bedrock resulted in major extensions of the decommissioning schedule and a significant increase in costs due the significant efforts.

needed to remove this contamination.

Additional Systems Contain or Convey Radioactive Nuclides

22. In addition to the spent fuel pools, transfer canals, and reactor, other syStems,ii :

structures, and components at Indian Point contain or convey radionuclides. As the NRC .

recognized in 2006: "Any system containing liquids which originated or have a connection with reactor coolant have the potential to contain tritium. Examples are the spent fuel pool, liquid radwaste storage tanks, refueling water storage tanks, condensate storage tank, turbine sumps, and steam generator blowdown lines." See March 2006 NRC Talking Point slide entitled "

"Tritium at Nuclear Power Plants, in the United States; Slide 3: Background" (attached to this declaration as Figure 2).

23. On April 24, 2007, during a routine twice weekly conference call update to the NRC and DEC in which I participated, Entergy disclosed that on or about April .7, a secondary steam

pipe buried approximately four feet underground and running between IP2 and IP3 began leaking. This line contains steam that, when condensed to water, would measure between 2,000

" and 3,000 pCi/l of tritium. It was detected by the presence of steam venting upwards through the soil and pavement near the unit 3-'turbine building. Entergy also presented this information to local state, and federal stakeholders during a special conference call (to report an unrelated

incident) held on April 25..

Future Environmental Impacts

24. The groundwater investigation that has been under way since late 2005 has shown that any contamination entering the groundwater in the vicinity of the. IP I and IP2 spent fuel pools and reactor containment buildings will, dependant upon a particular contaminant's ability to bind to soil and rock surfaces; eventually end up in the Hudson River. This occurs because groundwater flow in the areas occupied by IP I, IP2, and IP3 is from the east, north, and south, and to the west towards the river. This water flow towards the river takes place in all underlying materials saturated with groundwater, including soils, construction fill, and fracture flow in the underlying bedrock.

25. Entergy inspected accessible portions of the stainless steel liner in the Unit 2 spent fuel pool and the liner of the Unit 2 transfer canal. The full extent of the leaks in the IP2 spent fuel pool is not known. Unless all of the spent fuel stored in the IP2 spent fuel pool can be removed, it is unlikely that the balance of the liner can be adequately inspected. As long as the IP2 reactor continues to operate, it will not be possible to remove the fuel to allow a complete inspection of the IP2 spent fuel pool liner. The inability to inspect a large portion of the liner will prevent Entergy from definitively concluding that no other leaks in the IP2 spent fuel pool exist.

26. While removal of the spentfuel from the IP I spent fuel pool will remove the active source of contaminants from that structure, significant amounts of previously-released and accumulated radionuclides will remain within the fractures in the concrete structures, and in the underlying soil, fill, and bedrock, and will continue to act as a source of groundwater contamination for many years into the future.

Conclusion

27. In sum, Indian Point is leaking radioactive material from two of its spent fuel pools, into groundwater on-site, which is in turn discharging into the Hudson River. When most of these leaks began is unknown. Although Entergy is planning to remove all of the spent fuel from the IP I spent fuel pool and place itiinto dry cask storage, that is not true for the IP2 spent fuel, pool, which will need to continue to accept new spent fuel in order for the Unit 2 reactor to.

continue operating. Eyen if Entergy's attempts to stop future leaks in IP I and IP2 are :completely successful, this cumulative historical contamination in the structures themselves and in underlying soil, fill, and bedrock will act as a reservoir that will continue to release contaminants*

into the groundwater for, the foreseeable future.

Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Dated: Albany, New York November 26, 2007

- TIMOTHY . E Rice Declaration Attachment 1 CONTAINMENT BUtLWDG MEATIM MAV AN TIURO 000i 0

Figure 1.2-4 Cron Section of Plant

Rice Declaration Attachment 2 Tritium at Nuclear Power Plants in the United States Slide 3: Background Indian Point Unit 1 has been shutdown since 1974, but the spent fuel pool still contains fuel and radioactive water. Tritium, nickel-63, cesium-137, strontium-90, and cobalt-60 have been detected onsite at Indian Point. It is suspected that these are the result of-leakage from the unlined Unit 1 spent fuel pool. Indian Point is operating a filter/demineralizer in the Unit 1 spent fuel pool to reduce the concentration of radioactive material that may continue to leak.

Unit 2 spent fuel pool leakage was discovered in August 2005 during excavation work near the fuel storage building loading bay. Two cracks were discovered along the wall of the spent fuel pool with leakage. Analysis indicated that the material had the same radiological and chemical properties as spent fuel pool water. In September 2005, an onsite monitoring well was sampled and returned positive results for tritium.-

Braidwood In March 2005, the Illinois Environmental Protection Agency notified the licensee of

,reports of tritium in wells in the nearby community. In November 2005, the NRC was notified that elevated levels of tritium had been measured in groundwater monitoring wells at Braidwood at levels up to.58,000 pCi/L. This was attributed to contamination from historical leakage of vacuum breaker valves along the circulating water blowdown line. The line is routinely used for radioactive liquid releases to the Kankakee River. At Braidwood, the line is about 5 miles long and contains 11 vacuum breaker valves,.

spaced along the length of the line.

Braidwood investigation found that significant unplanned radioactive releases from three of the 11 vacuum breaker valves occurred during 1996, 1998, and 2000. Each releases from the vacuum breaker valve occurred during a period coincident with ongoing, liquid radioactive releases through the blowdown line, resulting in tritium..

entering the groundwater system in the vicinity of the leaking vacuum breaker valve.

Groundwater samples were taken onsite and offsite and tritium levels were detected as high as 225,000 to 250,000 pCi/L.

1996 event - 250,000 gallons 1998 and 2000 events - 3,000,000 gallons each Between March 2005 and March 2006, Exelon sampled the water in drinking water wells of nearby homeowners. Tritium levels between 1,400 and 1,600 pCi/L were' identified in one residential drinking water well.

Sources of Tritium at Nuclear Power Plants Any system containing liquids which originated or have a connection with reactor coolant have the potential to contain tritium. Examples are the spent fuel pool, liquid radwaste storage tanks, refueling water storage tanks,! condensate storage tank, turbine sumps, and steam generator blowdown lines.

Congressional Reaction New York Senator Hillary Clinton and Illinois Senator Barack Obama have been highly interested in the status of groundwater contamination at Indian Point and Braidwood, as well as other nuclear power plants in the state they represent.

Senator Obama introduced legislation requiring nuclear power plants to quickly inform state and local officials of accidental or unintentional leaks of radioactive substances.

The bill passed the Senate Environmental and Public Works Committee on September 13, 2006.:

j :..-

Public outrage and news coverage Public meetings have been held at both Indian Point and Braidwood.

Due to intense public interest from local officials and resident, Exelon held three public information forums: a public information meeting was sponsored by the village of S:Godley, IL; a public meeting was sponsored by U.S. Senator Richard Durbin; and a meeting with local officials was organized by U.S. Representative Jerry Weller.

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION In re:

Docket Nos. 50-247-LR, 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64 Eatergy Nuclear Operations, Inc.

x DECLARATION OF PETER A. BRADFORD Peter A. Bradford, hereby declares under penalty of perjury that the following is true and correct:

1. My name is Peter Amory Bradford. I live in Peru, Vermont. My resume is attached to this declaration.

2. I am President of Bradford Brook Associates, a firm advising on utility regulation and energy policy. I teach a course entitled "Nuclear Power and Public Policy" at Vermont Law School. I have been a member of the Keystone Center "Nuclear Power Joint Fact Finding" (June, 2007) and the National Research Council of the National Academy of Sciences' Committee on "Alternatives to the Indian Point Energy Center for Meeting New York Electric Power Needs" (June, 2006). I was also a member of the International Expert Panel advising the European Bank for Reconstruction and Development assessing the economic case for completing Khmelnitsky 2 and Rovno 4 (K2/R4) - two partly built, Russian designed 1,000 MW VVER nuclear units in Ukraine - to replace the two operational 1,000 MW units at Chernobyl (February, 1997).

3. I have chaired the New York Public Service Commission (1987-95). In that capacity, I was an ex officio member of the New York State Energy Planning Board.

4. I served on the Maine Public Utilities Commission (1971-1977 and 1982-

87) and was Chairman in 1974-1975 as well as 1982-87.

1 BradfordDeclaration

5. I served as a member of the U.S. Nuclear Regulatory Commission (1977-82).

6. The Nuclear Regulatory Commission's approach to assessing alternatives to the construction and operation of nuclear power plants has been deficient since the agency was created in 1975. In particular, the NRC has been ineffective in assessing the role that energy efficiency can play (and has played) in displacing nuclear power plants.

7. Nearly half of all of the more than 200 plants licensed for construction by the NRC in its history have been cancelled, often after expenditures of millions and sometimes billions of dollars. Many others were delayed long past their scheduled completion dates, dates by which the NRC (orits predecessor, the Atomic Energy Commission) found that they would be needed to meet demand for electricity.

Another dozen plants have been prematurely closed, some on short notice. In most "

cases, the licensee cited absence of need as a primary reason for the cancellation or deferral. In very few cases was a central generating facility of equivalent capacity constructed to replace the cancelled capacity. No significant power shortage has resulted from these cancellations, deferrals, or closings.

8. A study done for me when I was an NRC Commissioner in 1979 concluded, inter alia:

The Commission has consistently failed to perform full cost-benefit analyses for reasonable alternatives as required by NEPA. Alternatives other than coal are routinely dismissed with boilerplate language in environmental impact statements. Commission estimates always favor nuclear over coal and a NFP (need for power) determination is always made affirmatively. NRC environmental statements display a clear bias in favor central station facilities, and a mix of potentially more cost-effective (and environmentally benign) technologies is never adequately assessed.

Gerald Warburg, "A Study of NRC Procedures for Assessing Need for Power and Alternative Energy Sources in Fulfillment of the NEPA Requirements for Environmental Impact Statements" (1979).

9. The Environmental Report in this proceeding reflects the flaws in the NRC's historic approach to assessing alternatives to the operation of a nuclear plant. In so doing, the applicant seems to be relying on the NRC to accept its flawed analysis despite the NRC's own GEIS requirements to analyze combinations of efficiency and renewables. Not only does the applicant confine the alternatives Bradford Declaration

analysis to central generating facilities but - by assuming the operation of the two Indian Point units - it assumes away the urgency that has demonstrably been the most effective spur to large scale energy efficiency programs. See Entergy Environmental Report, § 7.0 to 7.5, pp7-1 to 7-5.

10. The National Academy of Sciences panel on alternatives to the continued operation of one or both Indian Point units - while taking no position as to whether Indian Point should continue to operate - concluded:

A wide and varied range of replacement options exists, and if a decision were definitely made to close all or some part of Indian Point by a date certain, the committee anticipates that a technically feasible replacement strategy for Indian Point would be achievable .... [F]rom the committee's analysis, no "right" or clearly preferable supply alternative to Indian Point emerged. A replacement strategy for Indian Point would most likely consist of a portfolio of the approaches discussed in this report, including investments in energy efficiency, transmission, and new generation.

"Alternatives to the Indian Point Energy Center for Meeting New York Electric Power Needs," the National Research Council, June, 2006, p. 3 (emphasis added).

11. The recent history of the electric power industry in the United States demonstrates beyond dispute the ability of a large power system such as New York effectively to create portfolios of replacement energy resources once a decision has clearly been made to close a particular unit or once unexpected circumstances produce the same result. Consider the following examples:

A. The 820MW Shoreham nuclear power plant on Long Island was - until 1988 - included in the Long Island Lighting Company's plans for meeting its load from mid-1989 onward. Late in 1988, LILCO and the State of New York agreed that the plant should not operate, and the settlement was affirmed by state regulators and the utility's board of directors by June 1989.

Like the downstate New York region today, Long Island's ability to import power faced substantial transmission constraints. Shoreham's percentage of the LILCO system peak was greater than that of the two Indian Point units in the Lower Hudson River Valley, New York City and Long Island. Many in the electric industry, in the federal government, and in the media forecast serious power shortages on,

-3 BradfordDeclaration

Long Island in the years following the agreement not to operate the plant.

Once the question of Shoreham's future was clear, LILCO and the State moved rapidly to put together a replacement power program consisting of demand side management, load management, targeted maintenance to assure high availability of other plants at peak times, transmission upgrades, peaking units, and independent power production, some of it renewable.

Though LILCO operated below its reserve requirement for two or three summers after the Shoreham settlement, power supply was at all times adequate.

Through load management programs alone, LILCO gained control of 130MW of its potential load before the 1989 summer peak.

B. In 1986, the State of Maine and its utilities reached an agreement to end Maine's involvement in the Seabrook nuclear power plant. At the time of this agreement, Seabrook was expected online within two years, which would have meant about 110 megawatts for the three Maine companies. In the years preceding the agreement, Maine had pioneered in the use of competitive bidding for new power resources and had come to realize that the amount of renewable resources -

specifically biomass - to be had was far greater than had been forecast in the early 1980s.

The Seabrook power was replaced almost entirely by biomass energy from Maine's forests, with substantial economic advantages to Maine electric customers, taxpayers, wood owners, and workers. These biomass plants would not have been built had Maine remained in Seabrook. They were built to meet the market opportunity created by Maine's decision to get out of Seabrook. A subsequent study showed substantial economic benefit to Maine from the decision to disengage from Seabrook.1 C. In June 1989, the voters of Sacramento, California voted to close the Rancho Seco nuclear power plant, which supplied 913 of the Sacramento Municipal Utility District' s (SMUD) 2,100 MW load.

Using purchased power to bridge the gap, SMUD embarked on a "Energy Choices Revisited: An Examination of the Costs and Benefits of Maine's Energy Policy", a study for Mainewatch Institute by Economic Research Associates, the American Council for an Energy Efficient Economy and the Tellus Institute, 1994.

BradfordDeclaration

program of extensive energy efficiency coupled with cogeneration, renewable energy and purchased power. In hindsight, this program -

which clearly would not have happened had the nuclear plant remained in operation - has worked out to the advantage of the 2

Sacramento community.

D. Between mid-2000 and mid-2001, the state of California was repeatedly threatened with power shortages and did indeed experience blackouts. However, by the summer of 2001, load management and demand side management programs of various sorts had produced several thousand megawatts in savings above and beyond what had been expected from the California efficiency programs that had been in place a year earlier. 3 These rapidly assembled efficiency resources, many of which remain in place, were largely responsible for bringing the California energy crisis to an end and for keeping the lights on until power purchases, new power plant construction and an end to market manipulation restored the state to a more lasting equilibrium.

12. In each of the foregoing cases, the amount of energy efficiency and other resources put into place vastly exceeded the forecasted availability of a few years earlier. It is the realization that generating capacity will not be available that creates the climate in which alternative resources will be developed and put into place. For sound economic and political reasons, the planning and investment necessary to add large blocks of replacement energy efficiency, purchased power, transmission or new generation to a system will not occur without a clear indication that the investments are needed and have a reasonable likelihood of earning a competitive return.

13. Any claim that a decision to extend the license of the two Indian Point units is merely a decision to keep the Indian Point option and need therefore not be regarded as an either/or decision between the nuclear plants and a decision to 2 SMUD's history states, "To replace nuclear power, the SMUD Board moved away from the concept of a large central plant toward diverse power sources, such as cogeneration plants, wind power, low-cost purchased power from the Pacific Northwest and Canada, and research and development of renewable resources and advanced technologies like solar, fuel cells, gas turbines and biomass." SMUD's history: 1990s: Moving Into Leadership on Green Energy, Conservation, availableat http://ixww.smud.oru/about/history-1990s.html (last visited Nov. 27, 2007).

3 "In the summer of 2001, California's energy efficiency programs and energy conservation-related efforts saved between 3,200 and 5,600 MW and reduced peak demand by an average of 8 percent, which helped the state avert 50 to 160 hours0.00185 days 0.0444 hours 2.645503e-4 weeks 6.088e-5 months of rolling black outs." Goldman, C., J. Eto, and G. Barbose, "California customer load reductions during the electricity crisis: did they help to keep the lights on?" LBNL-49733. (2002) (available at http://cetd.lbl. tov/ea/EMS/reports/49733.pdf), cited in "Energy Efficiency: California's Highest Priority Resource",

California Public Utilities Commission and California Energy Commission, June 2006, at 4).

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replace them with other resources ignores the realities of power supply planning and procurement. In order to comply with its NEPA obligations the NRC needs an analysis that reveals whether other options are environmentally preferable to extending the Indian Point license. The agency and the licensee cannot discharge this responsibility just by putting the Indian Point units forth as options and trusting to other jurisdictions that the optimal course will be chosen. As the above examples show, it isthe realization that the expected generation source will not be available or ought not to be used that brings about the conditions under which the demand side management and renewable alternatives are able to replace them.

Only an analysis fully consistent with power supply procurement realities -

including the abundance of available energy efficiency and the conditions necessary to bring it into being - will enable the NRC to assess the environmentalimpacts of its decision on relicensing the Indian Point units.

14. Pursuant to 28 U.S.C. § 1746, 1 declare under penalty of perjury that the foregoing is true and correct.

Dated: November 28, 2007 Peru, Vermont .

Peter A. Bradford I Bradford Declaration

RESUME OF PETER A. BRADFORD Peter Bradford advises and teaches on utility regulation, restructuring, nuclear power and energy policy in the U.S. and abroad. He has been a visiting lecturer in energy policy and environmental protection at Yale University and has taught courses entitled "Nuclear Power and Public Policy" and "The Law of Electric Utility Restructuring" at the Vermont Law School. He has recently served on a Keystone Center-fact finding collaboration on nuclear power and a National Academy of Sciences panel evaluating the alternatives to continued operation of the Indian Point Nuclear Power Plants in New York. He is also affiliated with the Regulatory Assistance Project, which provides assistance to state and federal energy regulatory commissions regarding economic regulatory policy and environmental protection. He is vice-chair of the Board of the Union of Concerned Scientists.

He served on a panel advising the European Bank for Reconstruction and Development on how best to replace the remaining Chernobyl nuclear plants in Ukraine and also on an expert panel advising the Austrian Institute for Risk Reduction on regulatory issues associated with the opening of the Mochovce nuclear power plant in Slovakia. He advised the Vermont Legislature on issues relating to spent fuel storage at Vermont Yankee and the Town of Wiscasset, Maine, on issues related to the storage of spent nuclear fuel at the site of the former Maine Yankee nuclear power plant.

He has advised on restructuring issues in many states and has testified on aspects of electricity and telecommunications restructuring in many U.S. states.

He has advised on energy, telecommunications and water utility restructuring issues in China, Armenia, Azerbaijan, Georgia, India, Indonesia, Mongolia, Canada, Russia, South Africa, and Trinidad and Tobago. He is a member of the Policy Advisory Committee of the China Sustainable Energy Program, a joint project of the David and Lucille Packard Foundation and the Energy Foundation.

He chaired the New York State Public Service Commission from 1987 until 1995 and the Maine Public Utilities Commission from 1982 until 1987. During these years, New York resolved its stalemate over the Shoreham nuclear power plant and Maine resolved its similarly controversial involvement in Seabrook, both on favorable economic terms. He was Maine's Public Advocate in 1982 and was President of the National Association of Regulatory Utility Commissioners during 1987.

He served on the U.S. Nuclear Regulatory Commission from 1977 until 1982. During his term, the NRC undertook major upgradings of its regulatory and enforcement processes in the wake of the Three Mile Island accident.

Prior to becoming a member of the NRC, he had served on the Maine Public Utilities Commission (1971-1977) and was Chairman in 1974-1975.

Mr. Bradford was an advisor to Maine Governor Kenneth Curtis from 1968 to 1971, with responsibilities for oil, power, and environmental matters. He assisted in preparing landmark Maine laws relating to oil pollution and industrial site selection and was Staff Director of the Governor's Task Force on Energy, Heavy Industry and the Coast of Maine.

Mr. Bradford is the author of Fragile Structures: A Story of Oil Refineries, National Security and the Coast of Maine, a book published by Harper's Magazine Press in 1975. His articles on utility regulation and nuclear power have appeared in many publications, including The New York Times, The Washington Post, The Los Angeles Times, The Boston Globe, Newsda , and The Electricity Journal.

He is a 1964 graduate of Yale University and received his law degree from the Yale Law School in 1968.

1 BradfordResume

PUBLICATIONS Books FragileStructures: A Story of Oil Refineries, NationalSecurity and the Coast of Maine. 1975, Harpers Magazine Press.

Law Review Maine's Oil Spill Legislation, Texas International Law Journal, Vol.7, No. 1, Summer, 1971, pp. 29-43.

Articles Contribution to New York Times Forum "Choking on Growth: China and the Environment," New York Times Online, November 20, 2007, http://china.blogs.nytimes.com/2007/11/20/answers-from-peter-bradford/#more-24.

Contributions to the Bulletin of the Atomic Scientists online forum on NuclearPower and Climate Change, (with Amory Lovins and Stephen Berry), http://www.thebulletin.org/roundtable/nuclear-power-climate-change/, March-August, 2007.

The Economics of Nuclear Power (with Steven Thomas, Antony Froggatt, and David Millbrow) for Greenpeace International, May, 2007.

Nuclear Power's Prospects in the Power Markets of the 2P1 Century, for the Nonproliferation Education Center, February, 2005.

China'sNational Energy Plan: Some Energy Strategy Considerations,(with Thomas Johansson) The Sinosphere Journal, Spring, 2004.

Some EnvironmentalLessonsfrom Electric Restructuring,IUCN Colloquium on Energy Law for Sustainable Development, Winter, 2004.

Where Have All the Safeguards Gone? Foreword to "Financial Insecurity: The Increasing Use of Limited Liability Companies and Multi-Tiered Holding Companies to Own Nuclear Power Plants," The Star Foundation August 7, 2002.

Nuclear Power after September 11, OnEarth, December, 2001.

The Unfulfilled Promises of ElectricRestructuring,Nor'easter, Summer, 2001.

ConsiderationsRegardingRecovery of StrandableInvestment, PUR Utility Quarterly, December, 1997.

Ships at a Distance: Energy Choice and Economic Challenge,The National Regulatory Research Institute Quarterly Bulletin, Volume 18, Number 3, Fall, 1997, p. 287 (Originally the 1997 George Aiken Lecture at the University of Vermont).

Bradford Resume

Book Review: The British Electricity Experiment - Privatization:the Record, the Issues, the Lessons, Amicus Journal, June, 1997.

Gorillas in the Mist: Electric Utility Mergers in Light of State RestructuringGoals, The National Regulatory Research Institute Quarterly Bulletin, Spring, 1997.

Til Death Do Us Part or the Emperor's New Suit: Does a Regulatory Compact Compel Strandable Investment Recovery?, PUR Utility Quarterly, October, 1996.

Electric Bargain'sCost Is Dirty Air, Newsday, L.A. Times Features Syndicate, April 18, 1996.

A Regulatory Compact Worthy of the Name, The Electricity Journal, November, 1995, pp. 12-15.

Paved with Good Intentions. Reflections on FERC's Decisions Reversing State PowerProcurement Processes,(with David Moskovitz), The Electricity Journal, August/September, 1995, pp. 62-68.

That Memorial Needs Some Soldiers and Other Governmental Approaches to IncreasedElectric Utility Competition, The Electric Industry in Transition, Public Utility Reports & NYSERDA, 1994, pp. 7-13.

Market-Based Speech, The Electricity Journal, September, 1994, p. 85.

In Search of an Energy Strategy, Public Utilities Fortnightly, January 15, 1992.

Parablesof Modern Regulation, The Electricity Journal, November, 1992, p. 73.

Foreword to: Regulatory Incentivesfor Demand Side Management,Nickel, Reid, David Woolcott, American Council for Energy-Efficient Economy, 1992, pp. ix-xi.

Boats Against the Current: Energy Strategy in Theory andPractice,The Electricity Journal, October, 1991, p. 6 4 .

The Shoreham War Has Got to End Now, Newsday, May 9, 1989.

Parallelto the Nuclear Age, Yale University 25th Reunion book, 1989.

Book Review: Safety Second, A CriticalEvaluation of the Nuclear Regulatory Commission's First Decade IEEE Spectrum, February, 1988, p. 14.

Somewhere Between Ecstasy, Euphoria and the Shredder: Reflections on the Term 'Pronuclear',Journal of the Washington Academy of Sciences, Vol.78, no.2, June, 1988, pp. 139-142.

Book Review: Power Struggle: The Hundred Year War Over Electricity, Amicus Journal, Winter, 1987, pp. 46-47.

Wall Street's Flawed Evaluation of State Utility Regulation, Bangor Daily News, September 3, 1984.

Reflections on the Indian PointHearings,New York Times, January, 1983.

Paradoxand Farce: Trends in FederalNuclear Energy Policy Los Angeles Times, June 6, 1982.

Keeping Faith with the Public, Nuclear Safety, March-April, 1981.

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Regulation or Reassurance,Washington Post, August 16, 1979.

Report of the Governor's Task Force on Energy, Heavy Industry and the Maine Coast, 1972.

A Measured Response to Oil PortProposals,Maine Times, July, 1971.

PRESENTATIONS CONCERNING NUCLEAR ENERGY Nuclear Power and Climate Change, Chicago Humanities Festival; November 10, 2007.

Risks, Rewards, Resources, Reality, Briefing on the Loan Guarantee Provisions of the 2007 Energy Legislation; Environmental and Energy Study Institute; Washington, D.C., October 30, 2007 FoolMe Twice? Rules for an Unruly Renaissance,Carnegie International Nonproliferation Conference, Washington D.C., June 26, 2007 Regulation, Reality and the Rule of Law: Issuesfor a Nuclear Renaissance, Washington and Lee University, June 23, 2007.

The Future of Nuclear Energy, Bulletin of the Atomic Scientists Conference; University of Chicago, November 1, 2006 Nuclear Power and Climate Change, Society of Environmental Journalists, Burlington, Vermont, October 27, 2006 NuclearPower, Climate Change and Public Policy, National Conference of State Legislatures, April, 2006.

Electric Restructuringafter Ten Years: Surprises, Shocks and Lessons, State Legislative Leaders' Foundation, November, 2005.

Nuclear Power's American Prospects, Presentation to the California Energy Commission Nuclear Issues Workshop, August, 2005.

DecommissioningFinancing:Alternatives and Policies, Conference on the Future of the Medzamor Nuclear Power Plant, Yerevan, Armenia, June, 2005 The Value of Sites Capable of Extended Storage of High Level Nuclear Waste, report for the Town of Wiscasset, Maine, December, 2004.

Nuclear Power's Prospects,NPEC/FRS/CAP/CEA Workshop, Paris; October, 2004.

Did the Butler Really Do It? The Role ofNuclear Regulation in Raisingthe Cost of Nuclear Power,Cato Institute, Washington D.C. March, 2004.

China'sEnergy Regulatory Framework,China Development Forum, Beijing, November 17, 2003.

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China'sNational Energy Plan (with Thomas Johansson), Background Reports to "China's National Energy Strategy and Reform," Development Research Center of the State Council, China Development Forum, November, 2003.

Repeating History: Nuclear Power'sProspects in a Carbon-ConsciousWorld, Yale School of Forestry and Environmental Studies, Leadership Council Meeting, October 24, 2003.

What Nuclear Power Can Learnfrom Electric Restructuring,and Vice Versa, Aspen Institute, July 5, 2003.

Renewal of the PriceAnderson Act, Testimony before the United States Senate Committee on Environment and Public Works Subcommittee on Transportation, Infrastructure and Nuclear Safety, January 23, 2002.

Events Now Long Past: The 20-Year Road from Three Mile Island to Electric Utility Restructuring,TMI 20th Anniversary Commemoration, National Press Club, Washington D.C., March 22, 1999.

PreparingNuclear Powerfor Competition, NARUC Conference on "Nuclear Power in a Competitive Era: Asset or Liability?" January 23, 1997.

Call Me Ishmael: Reflections on the Role of Obsession in Nuclear Energy Policy,NARUC annual meeting, November 13, 1989.

Nuclear Power and Climate Change, Harvard Energy and Environmental Policy Center, January 13, 1989.

Somewhere between Ecstasy, Euphoria and the Shredder: Reflections on the Term Pro-Nuclear, Symposium on Nuclear Radiation and Public Health Practices and Policies in the Post-Chernobyl World, Georgetown University, September 18, 1987.

Searching the ForeseeablePast: Nuclear Power,Investor Confidence and Reality, Public Utilities Institute, East Lansing, Michigan, July 30, 1987.

Where Ignorant Armies Clash by Night: RelationshipsAmong Nuclear Regulatorsand Regulated, NARUC/INPO Seminar on Nuclear Power Plant Safety and Reliability, January 22, 1987.

Why Do We Have a Nuclear Waste Problem, Conference on Nuclear Waste, Naples, Maine, March 22, 1986.

With FriendsLike These: Reflections on the Implications of Nuclear Regulation, Institute of Public Utilities, Williamsburg, Virginia, December 13, 1982.

A Frameworkfor Consideringthe Economic Regulatory Implications of the Accident at Three Mile Island, Iowa State Regulatory Conference, May 20, 1982.

The Man/MachineInterface, Public Citizen Forum, March 8, 1982.

A Perspective on Nuclear Power, The Groton School, January 15, 1982.

ReasonableAssurance, Regulation and Reality, ALI-ABA Course of Study on Atomic Energy Licensing and Regulation, September 24, 1980.

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Misdefining the National Security'in Energy Policyfrom Machiasportto Three Mile Island, Environmental Law Institute, University of Maine, May 1, 1980.

Condemned to Repeat It? Haste, Distraction,Rasmussen and Rogovin, Risks of Generating Electricity, Seventh Annual National Engineers' Week Energy Conference, February 21, 1980.

Lightening the Nuclear Sled; Some Uses and Misuses of the Accident at Three Mile Island, Seminar on the Problems of Energy Policy, New York University, November 21, 1979.,

The Nuclear Option: Did It Jump or Was It Pushed?, NARUC Regulatory Studies Program, August 2, 1979.

How a Regulatory View of Nuclear Waste Management is Like a Horse'sEye View of the Cart, 90th NARUC Annual Convention, November 15, 1978.

Sentence First: Verdict Later. Some Thoughts on the Level ofAcclaim Thus FarAfforded the Nuclear Siting and Licensing Act of 1978, ALI-ABA Course of Study, September 28, 1978.

Some Observations on Recent and ProposedChanges in Nuclear Regulatory Commission Jurisdiction, Atomic Industrial Forum Workshop on Reactor Licensing and Safety, April 5, 1978.

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.J UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION x

In re:

Docket Nos. 50-247-LR, 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BDO1 Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64; Entergy Nuclear Operations, Inc.

x DECLARATION OF LYNN R. SYKEs Lynn R. Sykes, Ph.D. hereby declares under penalty of perjury that the following is true and correct:

1. I am currently the Higgins Professor Emeritus, Earth &

Environmental Sciences at the Lamont-Doherty Earth Observatory of Columbia University.

2. During the course of my career, I have studied seismic issues in the throughout the United States and the world. Among the areas I have studied is New York City Seismic Zone (which includes portions of New York State, New Jersey, Pennsylvania, and Connecticut). My CV is attached to this declaration.

3. I have prepared a report concerning earthquake activity in intraplate continental regions such as eastern North America, with emphasis on issues directly relevant to earthquake hazard in the greater tri-state New York City

-I- Sykes Declaration

Seismic Zone and the area in and around the site for the Indian Point Nuclear Power Station. Among other things, the report concludes that: (1) the application for license renewals for IP2 andoIP3 contains very dated information on earthquake hazards; (2) the application for license renewals for IP2 and IP3 underestimates earthquake hazard; (3) updated information on instrumentally-recorded earthquakes is vital to assessments of earthquake hazards to Indian Point; and (4)

earthquake risk as well as hazard need to be considered in safety analyses for

...Indian Point.

4. The report and CV are:true and correct to the best of my personal knowledge.

5. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Dated:

November __, 2007 Palisades, New York Lynn R. Sykes s Sykes Declaration

Statement in Support of New York State Contentions and in Response to the April 30, 2007 License Renewal Application Submitted by Entergy for Indian Point Units 2 and 3 by Lynn. R. Sykes, Ph.D.

Higgins Professor Emeritus, Earth & Environmental Sciences Lamont-Doherty Earth Observatory of Columbia University, Palisades NY 10964 November 29, 2007.

Lynn R. Sykes, Higgins Professor Emeritus, Earth & Environmental Sciences at the Lamont-Doherty Earth Observatory of Columbia submits the following statement in support of the contentions submitted by the State of New York in response to the April 30, 2007 license renewal application filed by Entergy Nuclear Operations, Inc., and its corporate affiliates for the Indian Point Power Station located in the Village of Buchanan in Westchester County.

I. The Application for License Renewals for IP2 and IP3 Contains Very Dated Information on Earthquake Hazards' IP3 FSAR Update (2007) Ch. 2.8 lists a table from an unpublished final report on the Indian Point seismic network for the period 1975-1990, but information on earthquakes since 1982, especially that for the Ardsley NY shock of 1985, is not included in either it or IP2 FSAR Update (2007). Table 2.8-1 in that IP3 FSAR Update does not list any earthquakes more recent than 1979. That document also repeats a quote in section 2.8.1 from.J. Lynch, who made a study for Indian Point 1 more than 45 years ago, ".. that the probability of a serious shock occurring in this area for the next several hundred years is practically nill [sic]. The area therefore would certainly seem to be as safe as any area at present known." It also quotes him as saying, "estimated maximum ground acceleration of 0.03 g is reasonably conservative for the area." It is not clear from the FSAR Update (2007) for IPI what design acceleration was used for IP1.

None of the references on earthquakes in Ch. 2 pp. 115-116 of that IP2 FSAR Update are more recent than 1982; only one in IP3 FSAR Update (2007) in Chl. 2.8 (the above unpublished final report) is more recent than 1986. All of these are marked in green as historical information.. That Update lists the use of four sets of strong motion data from 1934 to 1952 and on pp. 14 and 15 of Ch. 16 states "no strong motion records were-available for the Eastern United States. " That statement is very outdated since strong-motion data have existed for the eastern and central United States and Canada for many years as well as for other similar intra-plate regions. Such statement would also appear to be inconsistent with the NRC's recently-initiated analysis of Generic Issue 199 relating to seismic hazards in the central and eastern United States.

I

II. The Application for License Renewals for IP2 and IP3 Underestimates Earthquake Hazard A. Can Future Damaging Earthquakes at Indian Point be Excluded?

IP2 FSAR Update (2007) states in both Ch. 1, p. 3 and Ch. 2, p. 1, "Seisiic activity in the Indian Point area is limitedto low-level microseismicity." The IP2 FSAR Update (2007, Ch.

2, pp. 104-119) includes reference to the Woodward-Clyde Consultants report of 1982 that, in turn, states on p. 113, "Earthquakes occurring near Indian Point have been characterized as shallow focus (<10 km) and low magnitude (1.0-3.0).. ." While these statements are correct if they refer to the earthquakes during the short period of observations only, they are misleading about the potential for damaging earthquakes at Indian Point according to a broad consensus on how to interpret available data.

Figure 1 is the eastern half of one of several earthquake hazard maps for the United.-States published and updated periodically by the U. S. Geological Survey (USGS). These maps are, derived from the observed earthquake distribution. Figure 1 shows contours of calculated horizontal ground acceleration that would be exceeded with 2% probability in 50 years at a frequency of 5 cycles per second (5 Hz.) for 5% of critical damping. Probabilistic maps of this:

type are used widely and for building codes and setting insurance rates. Some may argue that critical structures such as bridges, hospitals, and nuclear power reactors should be designed for even higher accelerations and/or less likely exceedance in 50 years. The earthquake hazard map prepared by the USGS (Figure 1) shows, that southeastern New York State and northern New Jersey are characterized by a. concentration of higher values compared to those of many other areas of the eastern and central United States. Lynch's very old depiction of the Indian Point site as being "as safe as any area at present known" and the repeat of that statement in the IP3 FSAR Update of 2007 clearly are not consistent with the "bulls eye" of higher accelerations in Figure 1, the current USGS earthquake hazard map. Lower values can be seen for central New York State, Michigan, Florida and much of Pennsylvania. Higher values are shown near Charleston, South Carolina, New Madrid, Missouri,.and northern New York State and comparable values in southern New Hampshire. Nevertheless, those four areas have much smaller populations and assets at risk than the greater New York City region.'

In his discussion of seismic regionalization in the contiguous United States, Richter 2

.(1959) places southeastern New York in a broad region of intensity VIII. He goes on to state "New York City should be studied in great detail from the point of view of microregionalization.

It is within the range of probable VIII on average ground from a great St. Lawrence earthquake and the shock of 1884 confirms the presence of a local source, probably offshore, also capable of producing VIII." For southeastern New York the USGS probabilistic seismic hazard maps (e.g.

Frankel and others, 2005), unlike NRC seismic requirements from the 1970s, contain a contribution to hazard at Indian Point from large earthquakes in the St. Lawrence Valley.

While higher accelerations are calculated by USGS for nearly all of California, nuclear power reactors and other critical structures there are designed for higher accelerations than those at Indian Point. Seismic hazard estimates for some of the first nuclear power reactors in the eastern and central United States, such as that by Lynch, seem to have had in mind a comparison with some oftheworld's most active earthquake areas, such as those along plate boundaries in Japan, Alaska, Chile, and Peru. By contrast, the eastern two-thirds of United States is an intraplate region of lower, but not negligible, earthquake hazard. The design safe-shutdown acceleration for Indian Points 2 and 3 is 0.15 g. The Diablo Canyon reactors in California were designed for higher accelerations. Seven adjacent nuclear power plants in Niigata prefecture, Japan, were subjected to high accelerations during the earthquake of July 16, 2007 of magnitude 6.6, which occurred nearly beneath them (EERI, 2007). The Niigata reactors were -designed for accelerations of only about 0.17 to 0. 2 7g. Four of the observed horizontal accelerations exceeded design values by factors of 2.0 to 3.6. The same plate boundary was the site of the damaging and large Niigata earthquake of 1964 of magnitude, M, 7.5. Even higher accelerations could have occurred if the 2007. earthquake had been as large as that of 1964.

B. Significant Historic Earthquakes and their Relationship to Geologic Terranes The term microseismicity, as quoted above from the updated FSAR, often is used by seismologists to refer to earthquakes of magnitude smaller than 3.0 (Mogi, 1985, pp. 67-69),

which are rarely felt in California and Japan. Many earthquake as small as magnitude 2, however, are routinely felt in the lower Hudson Valley and in northern New Jersey. Shaking of intensities either V or VI has been reported for many earthquakes smaller than M 3.0 (Sykes and others, 2007). Richter (1958, p. 16) states, "Microseismic effects are small-scale, observable

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only with instruments."

Figure 2 indicates that 28 earthquakes of M 3 or greater are known to have occurred in.

the greater New York City-Philadelphia area. The record for events of M 3.0 is complete since about 1928, that for M 3.5 since about 1840, and that for M 5 and larger since 1737 (Sykes and others, 2007). Several earthquakes larger than M 4.7 in the area of Figure 2 and in nearby Pennsylvania have caused damage. These events are not microearthquakes...Their occurrence is, in fact, the basis for the region of higher accelerations in Figure 1 and on other USGS maps. of earthquake hazard.

A number of the events in Figure 2 occurred within older hard rocks of the Manhattan Prong, the geologic province in which Indian Point is located. Included are the earthquakes of 1848 of M 4.35, 1985 of 4.1, 1845 of 3.75, 1874 of 3.5, and perhaps the poorly located shock of 1737 of M 5.1. The Reading Prong-western Hudson Highland geologic province is located, within a few kilometers of Indian Point and includes earthquakes in 1951 of M 3.85, 2003 of 3.5, 1957 of 3.25 and perhaps two poorly located shocks of 1783 of M 5.1 and 4.65. Most of the other earthquakes in Figure 2 occurred beneath the thin coastal plain sediments of New Jersey and just offshore of New. York City in what are inferred to be older hard rocks (Sykes and others, 2007). The Manhattan Prong and the Reading Prong-western Hudson Highland geologic provinces and their associated past earthquake activity are in contact near Indian Point. Farther southwest they are separated by the region of lower activity in Figure 2 beneath the younger and mostly weaker rocks of the Newark basin.

III. Updated Information on Instrumentally-Recorded Earthquakes is Vital to Assessments of Earthquake Hazards to Indian Point Lamont-Doherty Earth Observatory of Columbia University in conjunction with several local institutions has operated a network of three or more seismograph stations in the greater New York City area since 1962. Coverage by a more extensive network, which has evolved with time, extends from 1974 to the present. Instrumentally-recorded earthquakes from. 1974 through 2006 are shown in Figure 3 (for the same area as in Figures 2). Events since' 1974 are located more precisely than nearly all of those based solely on intensities (i.e. felt reports of shaking and damage). Furthermore, since 1974 instruments have detected many smaller events, i.e., about 71% of the total known earthquakes from 1677 to 2004 in Figure 4. Consequently, more anid 4

better data are available now than approximately 30 years ago when earthquake hazards in the greater'New York City region and the earthquake safety of the Indian Point nuclear power plants were first debated.

Instrumental locations are relevant to a finer definition of the distribution of earthquakes than either those shown in Figure 2 or data used to calculate accelerations in Figure 1. Events in Figure 3 are purposely shown free of other geologic information so as to portray the detailed spatial distribution of earthquakes more clearly. For several decades the location capability of the local seismic network was strongest for events in northern New Jersey and southeastern New York State. Coverage south and southwest of New York City in Figure 3 has not been as good.

We find that earthquakes in Figure 3 originate from many. faults rather than a few single major faults. Nevertheless, earthquake activity is not distributed uniformly throughout that area, but is concentrated in prominent zones, such as the Ramapo seismic zone (RSZ) in the, eastern part of the Reading Prong.where station coverage has been strongest since 1974. The southeastern boundary of that 12-kin wide zone, which is nearly vertical, extends from near the surface trace of the Mesozoic Ramapo fault to depths of 12 to 15 km. Earthquakes in that zone are occurring within older rocks: Ratcliffe (1980) states that current seismic activity along the Ramapo zone may be more strongly controlled by the presence of through-going crustal structures than it is by more superficial Mesozoic' faults. Which faults within the Ramapo seismic zone are active is not clear and remains controversial. Earthquake activity in the Manhattan Prong also extends to depths of 12 to 15 km (Sykes and others, 2007).

A new result based on 34 years of instrumental data is that activity in the Manhattan Prong cuts off abruptly along a nearly vertical, northwest-striking boundary between B and B' in Figure 3 that extends from Stamford Connecticut to Peekskill New York (locations in Figure 4).

Activity in Figure 3 is absent to the northeast of that line in the eastern Hudson Highlands. This boundary is sub-parallel to the youngest brittle faults in the Manhattan Prong. One of them, the Dobbs Ferry fault was the site of the 1985 shock of M 4.1. The Peekskill- Stamford seismic boundary is inferred-to be a similar and perhaps 'a more through-going fault or fault zone.

An abrupt bend in the Hudson River to a northwesterly trend is situated near line B-B' (Figure 3), which is close to. Indian Point. Fisher et al. (1976) and Ratcliffe (1976) indicate a northwesterly-striking fault on the north side of that segment of the River. An 'extension of that trend to the northwest 'follows a major lineament that crosses the Hudson Highlands on the 5

Preliminary Brittle Structures Map of New York (Isachsen and McKendree, 1977).. Most-of the seismic activity along the Ramapo seismic zone and the Peekskill-Stamford line appeais to end at or near their intersection.

Two well-located events at depths of i 5 km are situated at the intersection of the Ramapo seismic zone and the Peekskill-Stamford line just to the northwest of Peekskill near Annsville.

Seborowski et al. (1982) conclude that epicenters of a shallow earthquake sequences near, Annsville from 1977 to 1980 are aligned northwesterly. That trend indicates that they were situated along a fault or faults at or near the Peekskill-Stamford boundary. Seborowskiet al.

(1982) and Quittmeyer et al. (1985) of the Woodward-Clyde consulting firm obtained focal mechanism solutions for two small events and composite solutions for two earthquake sequences that occurred within the Indian Point seismic network near Peekskill. The solutions involve a predominance of thrust faulting along nodal planes striking NW to NNW. The strikes of nodal planes of three of those mechanisms are compatible with slip along the Peekskill-Stamford line.

These Woodward Clyde studies, however, which appear to have been narrowly focused on the.

Mesozoic Ramapo fault, were based on a limited data set, and were mostly restricted to the immediate vicinity of Indian Point. They neither reported the Peekskill-Stamford seismic boundary nor considered hazards related to the totality of earthquake. activity either near Indian Point or within the Manhattan Prong and. the Reading Prong-western Hudson Highlands.

Indian Point is situated at the intersection of the two most striking linear features marking.

earthquake activity in Figure 3 and also in the midst of a large population that is at risk in case of an accident to the nuclear plants. This is clearly one of the least favorable sites in Figure 3 from an earthquake hazard perspective. .

Present knowledge about the state of stress in southeastern New York and northern New Jersey (Sykes and others, 2007) indicates that maximum compression in the crust of the earth is nearly horizontal and is oriented about N640 E (Fig. 2). That orientation can facilitate the occurrence of earthquakes of mainly strike-slip type along brittle faults trending northwesterly, as in the 1985 Ardsley earthquake (Seeber and Dawers, 1989) and along brittle faults oriented about NW to NNW that involving a combination of reverse and strike-slip motion. The mechanisms of Seborowski et al. (1982) and Quittmeyer et al. (1985) for earthquakes near Indian Point are of that type. Ratcliffe (1975, 1976) reported a number of brittle faults in the vicinity of

'Indian Point, including one "small fault with slickensided surfaces found adjacent (immediately

/- .

6

' north of) the foundation of reactor 3" that are suitably oriented such that they could be activated in the present stress field..

IV. NRC Staff Responses to Riverkeeper Letter of 2004 The letter from Holden (2004) contains several replies by NRC staff to seismic issues raised earlier in 2004 by Alex Matthiessen, Executive Director, Riverkeeper, Inc. Several of those replies contain much more current information, especially about probabilistic seismic hazard analyses. They state "In response to GL 88-20, Indian Point completed a comprehensive IPEEE review in 1995." That information, however, is not included in the two updated FSARs for Indian Point.

""Moreover, several of the responses by the NRC staff to Matthiessen are incorrect. For

"example, they state "In the area around the Indian Point plant site, there is no evidence to indicate that earthquakes nucleate at unusually shallower depth." To the contrary, depths for several earthquakes near the plants as recorded by the Indian Point network from 1976 to 1983 ranged from as shallow as 1 km to as deep as 12 km (Seborowski et al., 1982; Thurber and Caruso, 1985). Seeber and Dawers (1989) report depths of 4.5 to 5.5 km for aftershocks of the 1985 Ardsley NY earthquake. NRC staff report calculations for a.shock of magnitude-5.7 and an historical earthquake of magnitude of 5.2, each at an epicentral distance of 14 km and assumed depth of 10 km. Earthquakes near Indian Point have occurred both closer and shallower than those values.

Another staff response states "It is not possible to determine the rupture lengths of the 1737 and i 884 earthquakes since there are no records to indicate any surface rupture at the time these earthquakes took place." This statement is not correct. It is possible to estimate rupture length from the magnitudes of those events as well as those for the earthquakes of 1783 and 1848 (Fig. 2). This is done routinely by seismologists and earthquake engineers. Few moderate to large earthquakes in the eastern and central North America have involved surface rupture.

V. Earthquake Risk as well as Hazard, Need to be Considered in'Safety Analyses Discussions of earthquakes in the updated FSARs consider earthquake hazardbut not earthquake risk to the surrounding regions of high population and assets that could result.from 7

damage to one or more of the reactors. Risk as used here (and by USGS and FEMA) is'the product of hazard times people or assets affected times their vulnerability. The area of Figures 2 has a lower earthquake hazard compared to those of say California and Nevada, but high seismic risk that results from the high vulnerability of its built environment and its very high population (Tantala et al. 2003). New York City, Newark, Trenton, and Philadelphia as well as their surrounding highly-populated surrounding areas are situated in Figure 2. The population of that area was 21.4 million in 2005. FEMA (2001) calculated annualized earthquake losses for 40 large U. S. cities, using their program HAZUS. They rank New York City 11th in the nation by that measure of risk even though it ranks lower in terms of earthquake hazard. It is earthquake risk that has increased enormously since Henry Hudson sailed up the Hudson River in 1609.

Risk is likely to continue .to increase if critical facilities such as Indian Point are not better.

shielded from earthquake hazards in the greater New York City area.,

The shock of 1884 of M 5.25 is the largest known event in Figure 2. The front pages of several New York newspapers for the next day were devoted to that earthquake and the damage it caused. Tantala et al. (2003) used HAZUS with a modified building stock for the Metropolitan New York area to estimate losses for earthquakes of magnitude (Mw) 5, 6 and 7 at the site of the 1884-shock as well as probabilistic calculations for average return periods of 100, 500 and 2500 years. For Mw 6 and 7 events at the site of the 1884 shock they calculate losses from buildings and income of $39 billion and $197 billion respectively. Inclusion of infra-structural losses would about double those figures (K. Jacob, personal communication, 2007)., Extrapolated repeat-times for the area of Figure 2 for events of M 6 and 7 are about 670 and 3400 years (Sykes and others, 2007). The corresponding probabilities of occurrence in a 50-year period are about 7% and 1.5% respectively. The probability of an earthquake the same size as the 1884.event during a 50-year period is about 22%. Probabilistic hazard assessments; such that in Figure 1, rely on extrapolating rates of earthquake occurrence to time periods longer than historic records.

Probabilistic calculations for Indian: Point reactors 2 and 3, such as those used by USGS for their national earthquake hazard maps and those now required by NRC for newer nuclear power reactors, need to be debated and evaluated by wide scientific and policy communities.

That approach necessitates the inclusion of rates of earthquake activity for periods longer than the historic record, which was not required under the regulations that existed when the Indian:

Point reactors wereoriginally licensed. If 20-year license extensions are granted, 60 years of 8

operation of the two reactors is a sizable fraction of the 270-year historic record of earthquakes.

. The chanice that the reactors could be shaken by intensities greater than VII and/or subjected to accelerations'larger than 0.15 g can be calculated and is not negligible.,

References Earthquake Engineering Research Institute (August 8, 2007). Preliminary observations on the Niigata-Chuetsu Oki, Japan earthquake of July, 16, 2007, EERI Web Report 2007-1 v.2, 1"75 ppj FEMA (2001). HAZUS 99 Estimated Annualized Earthquake Losses for the United States, FederalEmergency Management Agency publication 366.

Fisher, J. A., S. G. Khoury, B. Archer, J. Szymanski, T. M. Gates, and U. Chandra (1976).

Testimony of Dames & Moore (Panel) on behalf of licensees on issue No. 3, before the Atomic Safety and Licensing Appeal Board, U.S. Nuclear Regulatory Commission, July 2.

Frankel, A. D. and others (2005). Seismic-hazard maps for the conterminous United States, U. S.

Geological Survey, Scientific InvestigationsMap 2883.

Holden, C. F. (15 Dec.. 2004), Director, Project Directorate I, Division of Licensing Project Management, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Letter to Alex Matthiessen, Executive Director,.

Riverkeeper, Inc. in response to letter of August 12, 2004.

IPI FSAR Update (2007). A part of license renewal application of 2007, on pdf file.

iP2 FSAR Update (2007). Indian Point 2 UFSAR Revision 20 (2006). A part of license renewal application of 2007, 1698 pp. on pdf file.

IP3 FSAR Update (2007): A part of license renewal application of 2007, 2108 pp. on pdf file.

Isachsen, Y. W., and W. G. McKendree (1977). Preliminary brittle structures map of New York, NewYork State Museum and Science Service, Map Chart 31.

Mogi, K. (1985). EarthquakePrediction,Academic Press, New York.

Quittmeyer, R- C., C. T. Stratton, K. A. Mrotek, and M. Houlday (1985). Possible implications of recent microearthquakes in southern New York State, EarthquakeNotes 56, 35-42.

Ratcliffe, N. M. (1975). Preliminary report on fault systems in vicinity of Indian Point, Peekskill and Haverstraw quadrangles, N.Y. written document submitted to Consolidated Edison of 9

New York, Inc., June 30, 19 pp. plus 1 figure (map).

Ratcliffe, N. M. (1,976). Final report on major fault systems.in the vicinity of Tompkins Cove-Buchanan, New York. written document submitted to Consolidated Edison of New York, Inc., June'24, 157 pp. plus 2 plates.

Ratcliffe, N. M. (1980). Brittle faults (Ramapo fault) and phyllonitic ductile shear in the basement rocks of the Ramapo seismic zone, New York and New Jersey, and their relationship to current seismicity, in Field Studies of New Jersey Geology and Guide to field trips: 52nd Annudl Meeting New York State GeologicalAssoc., W. Manspeizer, editor, 278-312.

Richter, C. F. (1958). Elementary Seismology, W. H. Freeman and Co.

Richter, C. F. (1959). Seismic regionalization, Bull. Seismol. Soc. Amer. 49, 123-162.

Seborowski, K. D., G. Williams, J. A. Kelleher, and C. T. Statton (1982). Tectonic implications of recent earthquakes near Annsville, New York, Bull. Seismol. Soc. Amer. 72, 1601-1609.

Seeber, L., and N. Dawers (1989). Characterization of an intraplate seismogenic fault in the Manhattan prong, Westchester Co. N.Y., Seismol. Res. Lett. 60, 71-78.

Sykes, L. R., J. G. Armbruster, W.-Y. Kim and L. Seeber (2007). Catalog and Tectonic Setting of Historic and Instrumentally Located Earthquakes in the Greater New York City-Philadelphia Area, submitted to Bulletin SeismologicalSociety of America.

Tantala, M., G. and others (2003) Earthquake Risks and Mitigation in the New York / New Jersey / Connecticut Region, NYCEM, The New York City Area Consortium for Earthquake Loss Mitigation, FinalSummary Report, MCEER-03-SP02, Multidisciplinary Center for Earthquake Engineering Research, University at Buffalo, 50 pp.

Thurber, C. H., and T. C. Caruso (1985). Crustal structure along the Ramapo fault zone, New York State, EarthquakeNotes 56, 145-152.

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Figure 1 Eastern portion of earthquake hazard map for the conterminous United States (Frankel and others, 2005) prepared by the United States Geologic Service (USGS),showing 2% probability of exceedance in 50 years for horizontal spectral acceleration with period of 0.2 seconds (frequency of 5 cycles per second=5 Hz.). Acceleration is expressed as percent of gravitational acceleration at surface of earth. Note the "bull's eye" of higher values in NewYork City, northern New Jersey, and Westchester County, New York, which includes the 3 units at the Indian Point Nuclear Power Station.

r FIG El1, SYKES DE LARATIO)

EXPLANATION

40 30

=7 It 4

Figure 2 Known earthquakes of magnitude > 3.0 in the greater New. York City-Philadelphia area from 1677 through 2006 (Sykes et al., 2007).

Large "'X"denotes Indian Point Nuclear Power Station. Pink denotes Pre-Cambrian rocks; yellow denotes Mesozoic rocks of Newark basin.

Place names: K= Kingston NY, NYC = New York City, PHIL Philadelphia, N =

Newburgh NY, P = Poughkeepsie NY, SI = Staten Island NY, T = Trenton NJ, Wf=

Wappinger-Falls NY.

Geological features: BV= Buckingham Valley, CL Cameron's Line, FF = Flemington-Furlong fault, GPS = Green Pond syncline, HF = Hopewell fault, Hud High. = Hudson Highlands, HVF = Huntingdon Valley fault, Man. Prong = Manhattan Prong, NBB =

New York Bight basin, SHB = Sandy Hook basin.

Many additional faults in the Reading Prong and short brittle faults in the Manhattan Prong are not shown. Epicenters of large events of 1737 and 1783 may be uncertain by 100.km and are shown as open circles. No events occurred behind legend. Horizontal projections of P axes of better-determined focal mechanisms of earthquakes and directions of maximum horizontal compressive stress from two sets of hydrofracture and one set of borehole breakout experiments are indicated by inward-pointing arrows. The 1957 and 2003 shocks likely occurred at depth in older rocks of the Reading Prong.

FIGURE- 2, SYKES DELCARATION 42 N

41 40 75 74 W

Figure 3 Instrumental locations of earthquakes from 1974. to 2007 (Sykes et al., 2007).

Large "X" denotes Indian Point Nuclear Power Station..

Arrows'denote approximate southeastern boundary of Ramapo seismic zone (RSZ) and northwesterly-striking seismic boundary between Stamford CT and Peekskill NY. Pink numerals denote distance along Ramapo zone. Most of the instrumentally-located earthquakes beneath the Newark basin occurred near its northeastern end where its basement shoals.

FIGURE .3, SYKES DECLARATION 42 I

1974-2007.0: M >= 3.

02.24<M<3 0

.0' o M < 2.25o

_ __,_... :___ ,_:: Is d .n 0 ,

0°oo 00

~ oto d*' 0 o 0o 0 0 I,' 0' 6 0' 0 l0 0 40~~ 0 75W

Figure 4 Entire catalog of known earthquakes in greater New York City- Philadelphia area from 1677 through 2004 (Sykes et al., 2007).

Large "X" denotes Indian Point Nuclear Power Station. No events occurred behind legend.

Most of the smaller earthquakes in the Newark basin occurred prior to 1974; many were felt at only a'single locality. The population of the basin has long been much higher than that of the Reading Prong-Hudson Highlands. Hence, the record of historic activity in the Newark basin likely over-portrays its rate of microearthquakes activity relative tothat of sparsely populated regions. Rock units, faults, magnitudes, open circles and place names same as in Fig. 2.: CF =

Canopus fault, Wf-= Wappinger Falls NY, Pe = Peekskill NY, St = Stamford CT.

FIGURE 4, SYKES DECLARATION 42 N *M>5.0O

@490 < M < 5.00, New York State.

03"5<M <4.0 8

. @3.0 < M < 3.5 x 1881

2.24<M<3.10 xM< 2.25 . N 0 '"M 50" PA x 417x xN!t*

XX 4Ox 75 74W 75 74 W

'.CURRICULUM VITAE" LYNN R. SYKES April 2007

..... Present Position '.

. Higgins Professor Emeritus of Earth and Environmental Sciences

.... "ColumbiaUniver~ity

~ '. ~_~ I'

':, Business Address ....

Lamont-Doherty Earth Observatory of Columbia University Palisades, New York 10964 Telephone: 845-359-7428,. Fax: 845-365-8150 e-mail: sykes@ldeo.columbia.edu .

Education

'. Ph.p., Columbia University in Geology, 1965 Worked' under Professor Jack Oliver at Lamont-Doherty Geological O~servatory in the field of earthquake seismology ...

'Dissertation: The propagation of short-period seismic surface waves across oceanic areas.

'B.S. andM$ degrees both awarded byMassachusetts Institute of Technology, Cambridge,' MA, Department of Geology and Geophysics, with emphasis on

,geophysics ..

Otherireas of concentration: Physics, mathematics, electricai engineering .

. Scholarships, Fellowships, Awards, and Honors Proctor and Gamble Scholarship, M.LT. for four years'as an undergraduate:

Edward John Noble Leadership Award during first three years of graduate study',

Sumnier Research F~llow, 1959, Woods Hole Oceanographic Institution, Woods Hole, MA. ' ..

Fellow of American Geophysical Union, Geological 'Society of America, Royal Astronomical Society, American Association for Advancement of Science, Geological Society (London) ..

1.

H.O. Wood Award in seismology from Carnegie Institution of Washington for research in geologic aspects of seismology: $10,000, 1967-1970.

Associate Editor, Journal of Geophysical Research, 1968-1970.

Sloan Fellow, 1969-1971.

Presented Frontiers in Geophysics paper "The New Global Tectonics" before 50th Anniversary Meeting of American Geophysical Union, April 1969.

President of Geological Section, New York Academy of Sciences, 1970-1971.

Macelwane Award to outstanding young geophysicist for 1970 by American Geophysical Union.

President-of Section on Tectonophysics of American Geophysical Union, 1972-1974.

Walter H. Bucher Medal of the American Geophysical Union for "original contribution to, the basic knowledge of the earth's crust", 1975.

Elected to U.S. National Academy of Sciences, 1979.

Chosen as Higgins Professor of Geology, Columbia University, 1978.

Work on Plate Tectonics included in the exhibit, "Creativity -- The Human Resource", California Academy of Sciences, San Francisco, April-May 1979.

Elected to American Academy of Arts and Sciences, 1979.

Sherman Fairchild Distinguished Scholar, California Institute of Technology, 1981.

Visiting Fellow, Clare Hall, Cambridge University, Spring 1982.

President-Elect of Section on Seismology, American Geophysical Union, 1982-1984; President 1984-1986.

Public Service Award for 1986 from Federation of American Scientists (along*

with Jack F. Evernden and Charles Archambeau) for "leadership, effectiveness, and courage in .the application of seismology to the banning of nuclear tests, through public education and bureaucratic struggles".

Honorary Doctoral Degree by the. State University of New York at Potsdam, May 1988. .

Fellowship, John Simon Guggenheim Memorial Foundation, October 1, 1988-June 30, 1989.

2

John Wesley Powell Award by the U.S. Geological Survey for service to U.S.

earthquake program, May 1991.

Finalist, Mayor of New York City's Award for Excellence in Mathematical, Physical and Engineering Sciences, 1992.

Medal of Seismological Society of America,-March 1998.

Vetlesen Prize, for "achievement in the sciences resulting in a clearer understanding, of the earth, its history or relation to. the universe". January 24, 2000 Scientific Research Scientific research includes investigations of long-period and mantle seismic waves (1961-1962); surface wave propagation across ocean areas (1961-1964);

precise location of earthquake hypocenters and relationship of spatial distribution of earthquakes to large-scale tectonic phenomena (1962- ); seismicity of island arcs, mid-ocean ridges, and fracture zones (1963- ); field study of aftershocks of 1964 Alaskan earthquake (1964); field study of deep and shallow earthquakes in Fiji-Tonga region (1966); spatial and temporal distribution of major earthquakes and major aftershock series (1965- ); field study of microearthquakes in. Iceland (1968);. earthquake prediction (1967- )

seismology and the new global tectonics (1968-1975); field study of Denali fault, Alaska (1967); field study of microearthquakes in Nevada and in Puerto Rico -

Virgin Islands region (1969); discrimination :between earthquakes and underground explosions and implications for a nuclear test ban treaty (1962- );

seismicity and the tectonics of eastern *North America (1969-1985); state of stress in the interiors of plates and intraplate earthquakes (1969-1980, 1994- );.

seismicity, tectonics and earthquake prediction in Puerto Rico and Virgin Islands (1974-1984); spatial, and temporal. variations of seismicity in California (1981-

), nuclear-arms control (1970- ); seismic safety of nuclear power plants and' their spent fuel pools (2004- ).

Employment Present Status: Higgins Professor Emeritus of Earth and Environmental Sciences, Columbia University.

Head of Seismology Group (1973-1983)

Earth Sciences Laboratories, Environmental Science Services Administration, Department of Commerce as Research Geophysicist; Adjunct Professor of Geology, Columbia University, June 1966-August 1968. GS 14.

Lamont-Doherty Geological Observatory of Columbia University; Research Associate in Seismology, 1964-1966. Research Assistant, 1961-1964.

Woods Hole Oceanographic Institution, Woods Hole, *MA, Summers of 1959 and.

1960, research in marine geophysics, included participation in scientific cruises 3

in Atlantic and Mediterranean. Master's thesis in conjunction with M.I.T."--

"Correlation of Physical Properties of Deep-Sea Sediments with Sea-Bottom Reflections.".

U.S. Geological Survey, Geophysical Laboratory, Silver Spring, MD, summer of physical science aide. Studied consolidation of calcium carbonate muds 1956 as with E.C.. Robertson and M. Newell.

Professional Societies Seismological Society of America, American Geophysical Union, Royal Astronomical Society, Geological Society of America, New York Academy of Sciences, Geological Society, of London, U.S. National Academy of Sciences, American Academy of Arts and Sciences, Arms Control Association, Federation of American Scientists. Originated ideas of forming Southern. California Earthquake Center and Alaskan Volcano Center.

Scientific Committees and Advisory Boards Polar Geophysics Panel ofNational Academy of Science (1968).

Advisory Committee of National Academy of Sciences to ESSA. Research Laboratories on solid earth geophysics (1968-1969).

NASA Geodesy and Cartography Subcommittee of Space Science and Applications Steering Committee (1968-1970).

NAS/NRC: Committee on World-Wide Standardized Seismograph Network (1969).

Organizing Secretary: International Symposium on Mechanical Properties and Processes of the Mantle, sponsored by International Upper Mantle Committee (1970).

Member Board of Directors of Seismological Society of America (1968-1972).

Member JOIDES panel on Deep Crustal Drilling in Marine Areas (1970-197 1).

Member of U.S. Geodynamics Panel on Mid-Atlantic Ridge (197141972).

Committee on Seismology of National Academy of Sciences/National Research, Council (1972-1975).

Testified before U.S. Senate Foreign Relations Committee, Subcommittee on

-Arms Control, International Law and Organization. on Hearings on Comprehensive Test Ban Treaty, May 15, 1972.

Advisor to New York State Geological Survey and New York State.

Environmental Protection Agency on Earth Hazards Related to Fluid Injection (1970-1974).

4

Chairman of Search Committee for Director of Lamont-Doherty Geological.

Observatory, 1972.

Member of Vetlesen Award Committee, Columbia University (1972-1985).

Member of Executive Committee (1973-1977) and Advisory Board (1973-1981; 1999- ) Lamont-Doherty Geological Observatory of Columbia University.

Chairman of Advisory Board (1975-1981).

Panel on Earthquake Prediction, National Academy of Sciences/National Research Council (1973-1976).

Advisory Committee on Proposals for Earthquake Prediction, U.S. Geological Survey (1974).

Member of Working Group, U.S./U.S.S.R. Joint Program for Earthquake Prediction (1973-1978).

Member U.S. Technical Delegation for talks on treaty on Threshold Limitations of Underground Nuclear Explosions, Moscow, June-July 1974.

National Science Foundation Earth Science's Review Panel (1974-1977).

U.S. Geodynamics Committee, study groups on plate interiors and Cocos and Caribbean plates.

Member of U.S. Delegation on Earthquake Prediction during visit to U.S.S.R.,

October 1973.

Member of. U.S. Seismology Group for visit to People's Republic of. China, October - November, 1974.

Visiting Professor, Earthquake Research Institute of Tokyo University, November-December 1974.

Nominations Committee on Fellows for American Geophysical Union, 1975, and Committee on Publications 1975-1976. Committee for Bucher Medal, 1977, Committee for Bowie Medal, 1986-87, Chair, Bucher Medal, 2001 Consultant and expert witness for New York State and for Citizen's Committee for the Protection of the Environment involving seismologic and geologic safety of Indian Point Nuclear Power Reactors, New York, 1975-1976.

Review committee for U.S. Federal Government program on Earthquake Prediction and. Hazards Reduction under President's Science Advisor, Dr. H.

Guyford Stever (1976).

Planning committee for Chapman -Conference *on "State. of Stress in the Lithosphere", Aspen, Colorado, 1976.

5

U.S. Air Force -- AFTAC -- panel on seismic determination :of yield of underground nuclear explosions, 1974-1977.

Defense Science Board -- panel on yields of underground nuclear explosions, 1977.

Committee on award of Day Medal Geological Society of America, 1974-1976; Penrose Medal, 1977-1978.

Member Seismological Panel,'Office of Science & Technology Policy, Execuitive:.

Office of the President, September 1 & 2, 1977.

Member USGS Earthquake Studies Advisory Panel, 1977-1981.

Member Columbia University Commission on Academic Priorities in the. Arts and Sciences, 1978-1979.

Testified about Seismic Risk to Indian Point, NY, Nuclear Power Plants before Advisory Committee on Reactor Safety, U.S. Nuclear Regulatory Commission, June 16, 1978.

Member Search Committee for Director of New York State Geological Survey, 1978.

Chairman, Panel of Public Policy Regarding Prediction of Earthquakes, American Geophysical Union, 1979-1980.

Lecturer, NATO Summer Institute on "State of Stress in the Earth's Lithosphere",

June1979.

Convenor, Ewing Symposium on Earthquake Prediction, May 12-16, 1980.

Member Earthquake Prediction Evaluation Council, U.S. Geological Survey, 1979-1982.

Chairman of Search Committee for Director of Lamont-Doherty Geological Observatory, 1981.

Lecturer, NATO Summer School on Earthquake Risk, Guadeloupe, August.

1983.

Member Advisory Panel on Seismology; Defense Advanced Research Projects Agency, 1983-1988.

Co-organizer of symposium "Verification of Nuclear Test Ban Treaties", with Dr. Jack Evemden, American Geophysical Union, Baltimore, MD, June 1983.

Co-organizer of interdisciplinary course for undergraduates "The Nuclear Arms Race", Columbia College, 1984, 1985.

6

-Member, Columbia University Seminar on Arms Control, 1984-1996.

Chairman, National Earthquake Prediction Evaluation Council (NEPEC), U.S.

Geological Survey, Fall 1984-Summer 1988.

Participant in NOVA television program "Spacebridge to Moscow", October 2, 1984.

Member of Expert Review Committee for Evaluation of National Earthquake Hazards Reduction Program, 1987.

Member of the Advisory Panel to Natural Resources Defense. Council on Seismic SStations in the SovietUnion, 1986-1988.

Member of Seismic Verification Advisory Panel, Office of Technology Assessment, U. S. Congress, 1986-1987.

Seismology Seminar Course at Columbia University on Verification of Nuclear Test Ban Issues, -with Paul G. Richards, Fall 1987 semester.

Participant, Belmont Conference on Nuclear Test Ban Policy, Fall 1988.

Member of U.S. National Committee for the Decade for Natural Hazards Reduction, National Academy of Sciences, National Reseaarch Council, 1989-1990.

Participant in NOVA program "Earthquake", 1990.

Invited Speaker, Princeton Symposium on, Non-Proliferation and Nuclear Testing, Nov. 1992.

Co-Organizer, All Union Symposium on Verification of Treaties to Limit the Testing and PrOliferation of Nuclear Weapons, American Geophysical Union

-Spring Meeting, May 27, 1993.

Invited talk "Earthquake Prediction", regional meeting of National Academy of Sciences, at Columbia University, Fall 1996.

Invited talk "Earthquake Prediction: What is Possible and what is Unknowable",

Columbia Graduate students in science, April 9, 1997.1 Co-organizer, symposium on "Earthquake Stress, Triggers, Stress Shadows, and their Impact on Seismic Hazard", Menlo Park, CA, March 21-22, 1997.

Co-organizer, symposium on '"'Earth Systems Predictability: The Unknown and Unknowable", Santa Fe Institute Workshop, November 6-8, 1997.

Head, Natural Hazards Initiative, Lamont-Doherty Earth Observatory, 1998-99 7

Co-Organizer, All Union Symposium on Verification of Comprehensive Nuclear Test Ban Treaty, American Geophysical Union, Spring Meeting, May 31,2000.

Testified in 2000 before Arms Control Advisory Board, U. S. State Dept., Jason group, Stanford-Lawyers Alliance for World Security, National Academy of Sciences/National Research Council Committee on Comprehensive Nuclear Test Ban Treaty.

Board of Directors, Federation of American Scientists, 2000-2003; also on their-panel on CTBT.

American Geophysical Union, Chair Bucher Award, Fall 2001 PUBLICATIONS 1961 Sykes, L.R., E.C. Robertson, and .M. Newell, Experimental consolidation of calcium carbonate sediment, in Environment of Calcium Carbonate Deposition' West of Andros Island Bahamas, by P.E. Cloud, Jr.. U.S. Geol. Surv. Prof.:

Paper 350.

1962: Sykes, L.R., M. Landisman, and Y. Sato, Mantle shear wave velocities determined from oceanic Love and Rayleigh wave dispersion, J. Geophys:

Res., 67, 5257-5271.

1963 Sykes, L.R., Seismicity of the South Pacific Ocean, J. Geophys. Res 68, 6006-6999.

1964 Sykes, L.R., and J. Oliver, The propagation of short-period seismic surface.

waves across oceanic areas, Part I -- Theoretical study, Part II -- Analysis of Seismograms, Bull. Seismol. Soc. Am., 54, 1349-1415.,

1964 Sykes, L.R., and M. Landisman, The seismicity of East Africa, the Gulf of,,

Aden, and the Arabian and Red Seas, Bull. Seismol. Soc. Am., 54, 1927-1940.

1964 Sykes, L.R., Deep-focus earthquakes. in the New Hebrides region, J. Geophys.

Res., 69, 5353-5355.

1965 Sykes, L.R., The seismicity of the Arctic, Bull. Seismol. Soc. Am. 55, 536-w

.591.

1965 Sykes, L.R., and M. Ewing, The seismicity of Caribbean region, J.. Geophys.

Res., 70, 5065-5074.

1966 Tobin,'D.G., and L. R. Sykes, Relationship of hypocenters of earthquakes to the geology of Alaska, J. Geophys. Res., 71, 1659-1667.

1966 Sykes, L.R., Spatial and temporal distribution of earthquakes, in ESSA Symposium on Earthquake Prediction, pp. 38-43, U.S. Dept. of Commerce, Washington, D.C.

8

1966 Sykes, L.R., Seismicity and deep structure of island arcs, J. Geophys. Res., 71, 2981-3006.

1967 Sykes, L.R., Mechanism of earthquakes and nature of faulting on the mid-Oceanic ridge, J. Geophys. Res. , 2131-2153.

1967 Isacks, B.L., L.R. Sykes, and J. Oliver, Spatial and temporal clustering of deep and shallow earthquakes in the Fiji-Tonga-Kermadec region, Bull. Seismol.

Soc. Am., 57,935-958.

1967 Sykes, L.R., Seismicity, Trans.,AGU 48, 389-395. A portion of U.S. National Report to the 14th General Assembly of I.U.G.G.

1968 .Sykes, L.R. Seismological evidence for transform *faults, sea-floor spreading and continental drift, in History of the Earth's Crust, Princeton Univ., edited by R.A. Phinney, pp. 120-150.

1968 Tobin, D.G., and L.R. Sykes, Seismicity and tectonics in the northeast Pacific Ocean, J. Geophys. Res.,.73, 3821-3845.

1968 B.L. Isacks, J. Oliver, and L.R. Sykes, Seismology and the new global tectonics, J. Geophys. Res., 73, 5855-5899, also Tectonophysics, 7, 527-541, 1969.

1968 Sykes', L.R., Deep earthquakes and-rapidly-running phase changes, a reply to Dennis and Walker, J. Geophys. Res., 73, 1508-15 10.

.1969 Banghar, A., and L.R. Sykes, Focal mechanisms of earthquakes in the Indian Ocean and adjacent regions, J. Geophys. Res., 74, 632-649.

11969 Sykes, L.R., B.L. Isacks, and J. Oliver, Spatial distribution of deep and shallow

earthquakes of small magnitudes in the Fiji-Tonga region, Bull. Seismol. Soc.

Am.. 59, 1093-1113.

1969 Molnar, P., and L.R. Sykes, Tectonics of the Caribbean and Middle America regions from focal mechanisms and seismicity, Bull. Geol. Soc. Am., 80, 1639-1684.

1969 Molnar, P., K. Jacob, and L.R. Sykes, Microearthquake activity in eastern Nevada and Death Valley, California before and after the nuclear explosion Benham, Bull. Seismol. Soc. Am., 59, 2177-2184.

1969 Sykes, L.R., Seismicity of mid-Oceanic ridge system, in The Earth's Crust and Upper Mantle, Geophysical Monograph, 13, Am. Geophys. Union, Washington, D.C., P.J.Hart, editor, pp. 148-153.

1969 Molnar, P., J. Savino, L.R. Sykes, R.C. Liebermann, G. Hade, and P.W.

Pomeroy, Small earthquakes and explosions in western North America recorded by new high-gain,* long-period seismographs, Nature, 224, 1268-1273.

9

1969 Katsumata, M., and L.R. Sykes, Seismicity and tectonics *of the western Pacific: Izu-Mariana-Caroline and Ryukyu-Taiwan regions, J. Geophys. Res.,

74, 5923-5948.

1969 Isacks, B.L., L.R. Sykes, and J. Oliver, Focal mechanisms of deep and shallow earthquakes in the Tonga-Kermadec region and the tectonics of island arcs, Bull. Geol. Soc. Am., 80, 1443-1470.

1970 Sykes, L.R., Seismicity of the Indian Ocean and a possible -nascent island arc between Ceylon and Australia, J. Geophys. Res., -75, 5041-5055.

1970 Sykes, L.R., Focal mechanism solutions for earthquakes along the world rift system, Bull. Seismol. Soc. Am., 60, 174.9-.1752..

1970 Murphy, A., L.R. Sykes, and T.W. Donnelly, Preliminary survey of the:

microseismicity of the northeastern Caribbean, Bull. Geol. Soc. Am., 81, 2459-2464.

1970 Sykes, L.R., Earthquake swarms and sea-floor spreading, J. Geophys. Res., 75, 6598-6611.

1970 L.R. Sykes, R. Kay, and 0. Anderson, Mechanical properties and processes in the mantle: a review of upper mantle symposium in Flagstaff, Arizona, EQS Trans. Amer. Geophys. Union, 51, 874-879.

1971 L.R. Sykes, J. Oliver, and B.L. Isacks, Earthquakes and tectonics, The Sea, Vol. 4, A.E. Maxwell,- editor, John-Wiley Interscience, 354-420.

1971 Molnar, P., and L.R. Sykes, Plate tectonics and the Hispaniola area:

Discussion, Bull. Geol. Soc. Am., 82, 11234-126.

.1971 Sykes, L.R., Review of recent research at Columbia University on the, discrimination of underground explosions from earthquakes, in copies of papers presented at Woods Hole Conference on Seismic Discrimination, 20-23.

July 1970, Advanced Research Projects Agency, 19 pages.

1971 Sykes, L.R., Aftershock zones of great earthquakes, seismicity gaps, earthquake prediction for Alaska and the Aleutians, J.. Geophs. Res., 76, 8021-8041.

1971 Savino, J., L.R. Sykes, R.C. Liebermann, and P. Molnar, Excitation of seismic

'surface waves with periods of 15 to 70 sec for earthquakes and underground explosions, J. Geophys. Res., 76, 8003-8020.

1971 Evemden, J.F., W. Best, P.W. Pomeroy, T.V. McEvilly, J.M. Savino, and L.R.

Sykes, Discrimination between small magnitude earthquakes and explosions, J.

Geophys. Res., 76, 8042-8055.

10

1972 Sykes, L.R., Seismicity as a guide to global tectonics and earthquake prediction, A.R. Ritsema (editor), The Upper Mantle, Tectonophysics, 13, 1-4.

1972 Sbar, M.L., and L.R. Sykes, Contemporary compressive stress and seismicity in eastern North America: An example of intra-plate tectonics, Bull. Geol. Soc.

Am, 84, 1861-1882..

1972 Kelleher, J., L.R. Sykes, and J. Oliver, Possible criteria for earthquake locations and their application to major Pacific plate boundaries, J. Geophys.

Res., 78, 2547-2585.

1972 Savino, J., A.J. Murphy, J.M.W. Ryan, R. Tatham, L.R. Sykes, G.L. Choy, and K. McCamy, Results from the high-gain long-period seismograph experiment, Geophvs. J., 31, 179-203.

1972 Sykes, L.R., and D. Hayes, Seismicity and tectonics of South America and adjacent oceanic areas, Abst. with Programs ,67th Annual Meeting, Geol. Soc.

Am., 1971.

1972 Sykes, L.R., Testimony before U.S. Senate Foreign Relations Committee, Subcommittee on Arms Control, International Law and Organization, Hearings on Comprehensive Nuclear Test Ban Treaty, published remarks by L.R. Sykes, pp. 53-56, May 15,1972.

1973 Aggarwal, Y., L.R. Sykes, J.G. Armbruster, and M.L. Sbar, Premonitory changes in seismic velocities and prediction of earthquakes, Nature, 241, 101-104.

1973 Scholz, C.H., L.R. Sykes, and Y.P. Aggarwal, Earthquake prediction: A physical basis, Science, 181, 803-810.

1973 Sykes, L.R.; and M.L. Sbar, Intraplate earthquakes, lithospheric stresses and

-the driving mechanism of plate tectonics, Nature, 245, 298-302.

1973 Scholz, C.H., L.R. Sykes, and Y.P. Aggarwal, The physical basis for earthquake prediction, Kagaku, 43, 541-549.

1974 Sykes, L.R., and M.L. Sbar, Focal mechanism solutions of intraplate earthquakes and stresses in the lithosphere, in Geodynamics of Iceland and the North Atlantic Area, L. Kristijansson, ed., 207-224, Reidel PubI. Co., Holland.

1975 Aggarwal, Y.P., L.R. Sykes, D.W. Simpson, and P.G. Richards, Spatial and temporal variations in ts/tp and P-wave residuals at Blue Mountain Lake, New York: Application to earthquake prediction, J. Geophys. Res., 80, 718-732.

1975 Sykes, L.R. Earthquake prediction: Learning to spot the warnings, a viewpoint, in Encounter With the Earth, by Leo F. Laporte, pp. 491-494, Canfield, Press, San Francisco.

1.

1975 Sykes, L.R., Earthquake research in China, with members of the seismological delegation to the People's Republic of China, EOS, Trans. Amer. Geophys.

Union. 56, 838-881.

1976 Tatham, R., D. Forsythe, and L.R. Sykes, The occurrence of anomalous.

seismic events, in eastern Tibet, Geophys. J., 45, 451-481.

1976 The capability of the Ramapo fault, written testimony of Dr. Lynn R. Sykes before the Atomic Safety and Licensing Appeal Board of the U.S. Nuclear Regulatory Commission.

1976 Testimony of Dr. Lynn R. Sykes on Behalf of the New York State Atomic Energy Council on Issue I: Should the Cape Ann, Mass., earthquake or any other shock be used in determining the design earthquake for the Indian Point, New York nuclear power reactors?, before the Atomic Safety and Licensing Appeal Board of the U.S. Nuclear Regulatory Commission.

1976 Sykes, L.R., Earthquake prediction research outside the United States, in, Predicting Earthquakes: A Scientific and Technical Evaluation with Implications for Society, Panel on Earthquake Prediction of the Committee on Seismology, National Academy of Sciences, Washington, D.C., pp. 51-62.

1977 Fletcher, J. B., and L. R. Sykes, Earthquakes related to hydraulic mining and natural seismic activity in western New York State, J. Geophys. Res., 82, 3767-3780.

1977 Sbar, M..L., and L. R. Sykes, Seismicity and lithospheric stress in New York and adjacent areas, J. Geophys. Res., 82, 5771-5786.

1977 Sykes, L. R., Research on earthquake prediction and related areas at Columbia.

University, J. Phys. of the Earth, 25, S 13 - S29.

1978 Fletcher, J. B., M. L. Sbar, and L. R. Sykes, Seismic, trends and travel-time residuals in eastern North America and their tectonic implications,: Bull. Geol.

Soc. Am., 89, 1656-1676.

1978 Aggarwal, Y. P., and L. R.- Sykes, Earthquakes, faults and nuclear power plants in southern New York - northern New Jersey, Science, 200, 425-429.

1978 Sykes,' L. R., Intra-plate seismicity, reactivation of pre-existing zones of weakness, alkaline magnetism, and other tectonics post-dating continental separation, Rev. Geophys. Space Phys., 16, 621-688.

1978 'Sykes, L. R., Plate 'tectonic framework of Middle America and Caribbean regions and prospects 'for earthquake 'prediction, International Symposium on

'the February 4th, 1976 Guatemalan Earthquake and Reconstruction Process, Proceedings, vol. 2, 11 pps.

1979 McCann, W. R., S. Nishenko, L. R. Sykes, and J. Krause, Seismic gaps and plate tectonics: Seismic potential for major earthquakes, PAGEOPH, 117, 12

1082-1147. Also in U.S. Geol. Survey, Open File Report 78-943, pp. 441-584, 1978.

1980 Sykes, L. R., Earthquakes and other processes within lithospheric plates and the reactivation of pre-existing zones of weakness, in The Continental Crust and Its Mineral Deposits, edited by D. W. Strangeway, Geol. Soc. Canada Spec. Paper 20, 215-237.

1980 McCann, W. R., 0. J. Perez, and L. R. Sykes, Yakataga seismic gap, Alaska:

Seismic history and earthquake potential, Science, 207, 1309-1314.

1980 Sykes, L. R., Testimony presented in Hearings before the Subcommittee on Science, Technology and Space, Committee on Commerce, Science and Transportation, U.S. Senate, on Reauthorization of National Hazards Reduction Act, U.S. Govt. Printing Office, Serial 96-90, pp. 55-79, April 2, 1980.

1980 Sykes, L. R., J. Kisslinger, L. House, J.. Davies, and K. H. Jacob, Rupture zones of great earthquakes in the Alaska-Aleutian arc, 1784 to 1980, Science,

.210, 1343-1345.

1981 Sykes, L. R., Preface, in Earthquake Prediction, An International Review, Maurice Ewing Series 4, edited by D. W. Simpson and P. G. Richards, AGU, Washington, D.C.

1981 Davies, J. N., L. R. Sykes, L. House, and K. H. Jacob, Shumagin seismic gap, Alaska Peninsula: History of great earthquakes, tectonic setting, and evidence for high seismic potential, J. Geophys. Res., 86, 3821-3855.

1981 House, L., L. R. Sykes, J. N. Davies, and K. H. Jacob, Identification of a possible seismic gap near Unalaska Island, eastern Aleutians, Alaska, in Earthquake Prediction, An International Review, Maurice Ewing Series 4, edited by D. W. Simpson and P. G. Richards, AGU, 81-92, Washington, D.C.

1981 Sykes, L. R., J. Kisslinger, L. House, J. Davies, and K. H.. Jacob, Rupture zones and repeat times of great earthquakes along the Alaska-Aleutian arc, 1784-1980, in Earthquake Prediction, An International Review, Maurice Ewing Series 4, edited by D. W. Simpson and P. G. Richards, AGU, 73-80, Washington, D.C.

1981 Sykes, L. R., and R. C. Quittmeyer, Repeat times of great earthquakes along simple plate boundaries, in Earthquake Prediction,. An International Review.

Maurice Ewing Series 4, edited by D. W. Simpson and P, G. Richards, AGU, 217-247 Washington, D.C.

1982 Sykes, L. R., and J. F. Evernden, The Verification of a Comprehensive Nuclear Test Ban, Sci. Amer., 247, no. 4, 47-55.

13

1982 Sykes, L. R., W. R. McCann,* and A. L. Kafka, Motion of Caribbean plate.

during last 7 million years and implications for earlier Cenozoic movements, J.

Geophys. Res., 87, 10,656-10,676.

1982 Peseckis, L., and L. R. Sykes, P-wave residuals in the northeastern United States and their relationship to major structural features, Lamont-Doherty

.Geological Observatory Technical Report to U.S. Nuclear Regulator y' Commission.

1982 Sykes, L. R., The search for a comprehensive nuclear test ban: the 25th year,'

presented at Columbia University Symposium on Arms Race for Armistice Day, November 11, 1982.

1982 Raleigh, C.B., K. Sieh, L.R. Sykes, and D.L. Anderson, Forcasting southern:

California earthquakes, Science, 217, 1097-1104.

1983 Sykes, L.R., Predicting great earthquakes, in Earthquakes:. Observation,.

Theory and Interpretation, LXXXV Corso, Soc. Italiana di Fisica, Bologna, Italy, 398-435.

1983 Sykes, L. R., J. F. Evernden, and I. Cifuentes, Seismic methods for verifying nuclear test bans, Physics, Technology and the Nuclear Arms Race, edited by

D. W. Hafemeister and D. Schroeer, pp.85-133, Am. Inst. Physics, New York.

1983 Sykes, LR., Verification of Nuclear Test Bans, presented at Symposium for.

Staff Members of U.S. House of Representatives, January 27, 1983.

1983 Sykes, L. R., Comprehensive nuclear test ban, Testimony at Mock Hearing on Verifying Arms Control Agreements sponsored by Federation of American Scientists, Washington, D.C. Excerpts published in F.A.S., Public Interest Report 36, no. 4, pp 8-11.

.1984 McCann, W. R., and L. R. Sykes, Subduction of aseismic ridges beneath the Caribbean plate: Implications for the tectonics and seismic potential of the northeastern Caribbean: J. Geophys. Res., 89, 4493-4519.

1984 Sykes, L. R., and S. Nishenko, Probabilities of occurrence of large plate.

rupturing earthquakes for the.San Andreas, San Jacinto and Imperial faults, California, 1983-2003, J. Geophys. Res., 89, 5905-5927.

1984 Sykes, L. R., and. I. Cifuentes, Yields of Soviet underground nuclear explosions from seismic surface waves: Compliance 'with the Threshold Test-Ban Treaty, Proc.of the U.S. National Acad. Sci.. 81, 1922-1925.

1984 Evemden, J. F., and L. R. Sykes, Nuclear test yields, Science, 223, 642-644.

1984 Sykes, L. R., Verifying nuclear test ban treaties, Pugwash Conf. on Science and World Affairs, Geneva, June 3-4, 17 pp.

14

1985 Sykes, L. R., and L.Seeber, Great earthquakes and great, asperities, San Andreas fault, southern California, Geology, 13, 835-838.

1985 Sykes, L. R., Verification of a Comprehensive Test Ban Treaty, Soviet Compliance with the Threshold Test Ban Treaty and Testing of Nuclear Weapons, presented at Symposium for Staff Members, U.S. House of Representatives, March 8, 1985, 12 pp. Also in Proposals to Ban Nuclear Testing. Committee on Foreign Affairs, U.S. House of Representatives, pp.

195-205, U.S. Govt. Printing Office, Wash., D.C.

1985 Sykes, L.R. Verification of Nuclear Test .Ban Treaties, testimony before the

'Subcommittee: on Arms Control, International Security and Science, Committee on Foreign Affairs, U.S. House of Representatives, May 8, 1985, 26 pages. Published in Congressional Record. Also in Proposals to Ban Nuclear* Testing, Committee on Foreign Affairs, U.S. House of Representatives, pp.98-104, 111-136, 220-223, 357-365, U.S. Govt. Printing Office, Wash., D.C., 47-128-0-85.

1985 Sykes, L. R., Verification of a Comprehensive Nuclear Test Ban Treaty, Soviet Compliance with the Threshold Test Ban Treaty, and the Sizes of Soviet Strategic Nuclear Weapons, Testimony before Special Panel on Arms Control and Disarmament, Committee on Armed Services, U.S. House of Representatives, November 20, 1985. Published in Congressional Record, and in HA.S.C., No. 99-18, pp. 317-416, 431-437, U.S. Govt. Printing Office, Wash.,. D.C., 55-467-01, 1986, Also in Modern Geology, 10, 303-321, 1986.

1986 Sykes, L. R., and G. C. Wiggins, Yields of'Soviet underground nuclear explosions at Novaya Zemlya, 1964-1976, from seismic body and' surface waves, Proc. of the Nat. Acad. of Sci., 83 ,201-205.

1986 Nicholson, C., L. Seeber, P. Williams, and L. R. Sykes, Seismicity and fault kinematics through the eastern Transverse Ranges, California: Block rotation, strike-slip faulting and low angle thrusts, J. Geophys. Res., 91, 4891-4908.

1986 Nicholson, C., L. Seeber, P. Williams, and L. R. Sykes, Seismic evidence for conjugate slip and block rotation within the San Andreas fault system, Southern California, Tectonics, 5, 629-648.

1986 Sykes, L.R., Seismic monitoring for a nuclear test ban, Modern Geology, 10, 293-295..

1986 McCann, W.. R., and L. R. Sykes, Replyto Stein et al., J. Geophys. Res., 91,

'787-791.

1986 Sykes, L.R., Letter to Honorable Les Aspin, Chairman; House Committee on Armed Services, Further Comments on Testimony before House Committee on Armed Services and H.A.S.C., No. 99-18, 9 June, 1986.

1986 Sykes, L.R., Advancing United States National Security Interests through Verifiable Limitations on Nuclear Testing, testimony before Committee on 15

Foreign Relations, U.S. Senate, 29 pp., June 26, 1986. In Congressional.

Record.

1986 Sykes, L.R., Role of National Earthquake Prediction Evaluation Council in Development of Earthquake Predictions Scenarios and Response Plans for Parkfield Earthquake, U.S. Geological Survey Open File Report,86-365, pp..

iii-iv.

1987 Sykes, L. R., and D. M. Davis, The yields of Soviet strategic weapons, Scientific American., 256, no. 1. pp. 29-37.

1987 Sykes, L.R., Underground nuclear explosions: verifying limits on underground testing, yield. estimates, and public policy, in U.S. National Report to International Union of Geodesy and Geophysics, Reviews of Geophysics, 25, 1209-1214, 1987.

1988 Sykes, L.R., Some Notes on Comprehensive Test Ban Verification, Modern

.Geology, -13, 13-20, 1988.

1988 Byrne, D.E.,D.M. Davis and L.R. Sykes, Loci and Maximum Size of Thrust Earthquakes and the Mechanics of the Shallow Region of Subduction Zones, Tectonics, 7, 833-857, 1988.

1989 Sykes, L.R., and S. Ruggi, Soviet nuclear testing, in Soviet Nuclear Weapons, Nuclear Weapons Databook, 4, chapter 10, pp. 332-382, Harper and Row, New York. Also published by Natural Resources Defense Council as working paper NWD 86-4, November 1986.-

1989 Sykes, L.R., and Ekstr6m, G., Comparison of seismic and hydrodynamic yield determinations for the Soviet joint verification experiment of 1988, Proc.

National Acad. Sci., U.S.A., 86, 3456-3460, 1989..

1989 Hudnut, W.K., Seeber, L., Pacheco, J., Armbruster, J., Sykes, L., Bond, G., and Kominz, M., Cross faults and block rotation in southern California:

earthquake triggering and strain distribution, Lamont-Doherty Geological.

Observatory, [Yearbook], 1988, 44-49.

1989 Sykes, L.R., Testimony presented on November 2, 1989 to the Subcommittee*

on General Oversight and Investigations, Committee on Interior and Insular Affairs, U.S. House of Representatives, on the Participation of the U.S.

Geological Survey in the National Earthquake Hazards Reduction Program and its activities under the National Earthquake Hazards Reduction Act, Congressional Record.

1990 Williams, P., L.R. Sykes, C. Nicholson, and L. Seeber, Seismotectonics of the easternmost transverse ranges, California: Relevance for seismic potential of the southern San Andreas Fault, Tectonics, 9, 185-204.

16

-1990 Sykes, L.R., and S.. Jaum6, Seismic activity on neighboring faults as a long-term precursor to large earthquakes in the San Francisco Bay area, Nature 348,

.595-599.

1991 Sykes, L.R. Verification of the Threshold Test Ban and Peaceful Nuclear Explosions Treaties and their Verification Protocols in Threshold Test Ban and Peaceful Nuclear Explosions Treaties with the U.S.S.R., Hearings before the Committee on Foreign Relations, U.S. Senate, July 17- Sept. 13, 1990, pp. 116-A120, U.S. Gov. Printing Office, 32-517-91-1.,

1991 Byrne, D.E., L.R. Sykes, D.M. Davis, Great thrust earthquakes and aseismic slip along the. plate boundary of Makran subduction zone, J. Geophys. Res.,

97, Bi1, 449-478..

1991 Petersen, M.D., K. Jacob, L.R. Sykes and J. Pacheco, Regional probabilistic seismic hazard analysis for the San Francisco Bay Area, in Proceedings Fourth International Conference on Seismic Zonation. EERI, Stanford University, 3,

.707-714.

1991 Petersen, M.D., L. Seeber, L.R. Sykes, JL. Ndibelek, J.G. Armbruster, J.

Pacheco, and K.W. Hudnut, Seismicity and fault interaction, southern San Jacinto fault zone. and adjacent faults, southern California: Implications for seismic hazard, Tectonics, 10 1187-1203.

1992 Sykes, L.R., Yields of underground nuclear explosions at Azgir and Shagan River USSR, and Implications for Identifying Decoupled nuclear testing in salt,

PL-TR-92-2002.34 pp., Phillips Laboratory, Hanscom Air Force Base, Ma.

1992 Pacheco, J.F., .C.H. Scholz and L.R. Sykes, Changes in frequency-size relationship from small to large earthquakes, Nature, v. 355, 71-73.

1992 Pacheco, J.F. and L.R. Sykes, Seismic Moment Catalog of large, shallow earthquakes, 1900-1989, Bull. Seismol. Soc. Amer., 82, 1306-1349.

1992I Tuttle, M.P. and L.R. Sykes, Re-evaluation of several large historic earthquakes in the vicinity of Loma Prieta and Peninsular segments of the San Andreas Fault, California, Bull. Seismol Soc. Amer., 82, 1802-1820.

1992 Jaum6, S. and L.R. Sykes, Changes in state of stress on the southern San Andreas fault resulting from the California earthquake sequence of April-June 1992, Science, 258, 1325-1328. .

1992 Sykes, L.R. and P. Lyubomirskiy, Analysis of small seismic events near Azgir, Kazakhstan: Implication *for identifying chemical and decoupled nuclear explosions in a major salt dome province, in Papers Presented at 14th Annual PL/DARPA Seismic Research Symposium, Phillips. Laboratory,. Hanscom Air Force Base, Ma. pp. 415-421.

17

1993 Pacheco, J.F.,..L.R. Sykes and C.H. Scholz, Nature of seismic coupling -along simple plate boundaries of the subduction type, Jour. Geophys. Res., 98,14,133-14,159.

1993 Tuttle, M.P. and L.R. Sykes, Re-evaluation of the 1838, 1865, 1868 and 1890 earthquakes in the .San Francisco Bay area, in' Proc. Second Conference on Earthquake Hazards in Eastern San Francisco Bay Area, Calif., Dept.'

Conservation, Div. Mines and Geology, Spec.Pub, 113, pp. 81-89.

1993 Sykes, L.R., J.Deng, and P. Lyubomirskiy, Accurate Location of. Nuclear, Explosions at Azgir, Kazakhstan, from Satellite. Images and Seismic Data::

Implications for Monitoring Decoupled Explosions, Geophys. Res. Letters, 20, 1919-41922.

1993 Nishenko, S.P. and L.R. Sykes, Comment on Seismic Gap Hypothesis:- Ten Years After" by Y.Y Kagan and D.D. Jackson, Jour. Geophys.Res., 98,9909-9916.

1994 Estabrook, C.H., K. Jacob and L.R. Sykes, Body Wave and Surface Wave Analysis of Large and Great Earthquakes along the Eastern Aleutian Arc, 1923-1989: Implications for Future Events, Jour..Geophvs. Res., 99, 11,643-11,662.:

1994 Johnson, J.M., Y. Tanioka, L.J. Ruff, K. Satake, H. Kanamori, and L.R. Sykes, The 1957 Great Aleutian Earthquake, PAGEOPH, 142, 1-28..

1995 Deng, J. and Sykes, L.R., Determination of Euler Pole for Contemporary Relative Motion of Caribbean and North American Plates using Slip Vectors of Interplate Earthquakes, Tectonics, 14, 39-53.

1995 Abers, G., X.X. Hu, and L.R. Sykes, Source scaling of earthquakes in the Shumagin region, Alaska: Time domain inversions of regional waveforms, Geophys. J. Intern., 123,41-58.,

1996 Jaum&, S.J. and Sykes; L.R., Evolution of Moderate Seismicity in the San Francisco Bay Region, 1850 to 1993: Seismicity Changes Related to the Occurence of Large and Great Earthquakes, Jour. Geophys. Res., 101, 765-789..,

1996 Sykes, L.R., Dealing with decoupled nuclear explosions under a comprehensive test ban treaty, in Monitoring a comprehensive nuclear test ban treaty, NATO ASI series E, 303, Kluwer Academic Publishers, Dordrecht, Netherlands, edited by E.S. Husebye and A.M. Dainty, pp. 247-293.

1996 Sykes, L.R., Intermediate and Long Term Earthquake Prediction, in Earthquake' Prediction: The Scientific Challenge, Proc. Nat. Acad. Sci. USA, 93, 3732-3739.

1996 Deng, J. and Sykes, L.R., Triggering of 1812 Santa Barbara earthquake by a great San Andreas shock: implications for future seismic hazards in Southern Califomia, Geophys. Res. Lett., 23, 1155-1158.

18

1996 Triep, E. and Sykes, L.R., Catalog of shallow intracontinental earthquakes, Lamont WWW home page.

1997 Triep, E. and Sykes L.R., Frequency of occurrence of moderate to great earthquakes in intracontinental regions, J. Geophys. Res., 102, 9923-9948.

S1997 Deng, J. and Sykes, L.R., Evolution of stress field in southern California and triggering of moderate-size earthquakes: A 200-year perspective, J. Geophys.

Res., 102, 9859-9886.

1997-Deng, J. and Sykes, L.R., Stress evolution in southern California and triggering of moderate, small and mirco earthquakes, J. Geophys. Res., 102, 2.4,411-24,435.

19971 Sykes, L.R., Small Earthquake near Russian Test Site leads to U.S. Charges of Cheating on Comprehensive Nuclear Test Ban Treaty, F.A.S. Public Interest Report,. 50, no. 6, Nov.-Dec., Federation of American Scientists, Washington DC., 12 pages.

1998 Sykes, L.R., Evaluating Natural Hazards and Reducing their Risk: A Proposal and Recommendations to the Columbia Earth Institute, (unpublished document).

1999 Sykes, L. R., B. E. Shaw and C. H. Scholz, Rethinking Earthquake Prediction, Pure and Applied Geophysics, 155, 207-232, 1999.

1999 Jaum6, S. C. and Sykes, L. R., Evolving toward a critical point: a review of accelerating seismic moment/energy release prior to large and great earthquakes, Pure and Applied Geophysics 155, 279-305, 1999.

1999 Sykes, L. R., Earth Shaking Events: Seismology, Plate Tectonics and the Quest

fora Comprehensive Nuclear Test Ban Treaty, in Lamont-Doherty Earth Observatory of Columbia University: Twelve Perspectives on the First Fifty Years, 1949-1999, chapter 4, pp. 48-55, edited by L. Lippsett.

1999 Davis, Dan M. and L. R. Sykes, Geologic Constraints on Clandestine Nuclear Testing in South Asia, Proc. Natl. Acad. Sci. USA, 96, 11090-11095.

1999 Kidder, Ray, Lynn Sykes and Frank von Hippel, "False Fears About a Test Ban".

Washington Post, Op Ed column, October 10, page B7 2000 Sykes, L.R., False and Misleading Claims about Verification during the Senate Debate on the Comprehensive Nuclear Test Ban Treaty, F.A.S. Public Interest Report, 53, no. 3, May-June, Federation of American Scientists, Washington DC.,

12 pages..

2001 Papadimitriou, E. E. and L. R. Sykes, Evolution of the Stress Field in the Northern Aegean (Greece), Geophys. J. Int. 146, 747-759.

19

2001 Du, W. X. and L. R. Sykes, Changes in Frequency of Moderate-Size Earthquakes,'

and Coulomb Failure Stress before and after the Landers, California, Earthquake,.

of 1992, Bull Seismol. Soc. Amer. 91, 725-738.

2001 Kim, W. Y., L. R. Sykes, J. H. Armitage, J. K. Xie, K. H. Jacob, P. G. Richards, M. West, F. Waldhauser, J. Armbruster, L. Seeber, W. X. Du and A. Lemer-Lam, Seismic Waves Generated by Aircraft Impacts and Building Collapses at World Trade Center, New York City, EOS Trans. Amer. Geophys. Union 47, 565-57.1.

2001 Sykes, L. R., S. L. Yunga and T. G. Rautian, Intraplate Earthquakes in the Soviet' Union: a Comparison with other Intraplate Areas of Continents, unpublished Manuscript,.

2002 Sykes, L. R.,Four Decades of Progress in Seismic Identification Help Verify the' CTBT, Eos, Trans. Amer. Geophys. Union, 83, #44, pp. 497+500, 29 Oct.

2002 Sykes, L. R., Academy Report Addresses CTBT Issues: Where Do We Go From Here? FAS Pubic Interest Report, Journ. of Federation of American Scientists. 55,

4, pp. 9-11, July/August.

2003 W. X. Du, L. R. Sykes, B.E. Shaw and C.H. Scholz, Triggered aseismic fault slip from nearby Earthquakes, static or dynamic effect?, J. Geophys. Res., 108, ESE 24-1 to 24-21.

2003 W. X. Du, W. Y. Kim and L. R. Sykes, Earthquake Source Parameters and State of Stress for Northeastern United States and Southeastern Canada from Analysis of Regional Seismograms, Bull Seismol. Soc. Amer. 93, 1633-1648.

2003 Sykes, L. R., Seismology, plate tectonics and the quest for a' Comprehensive Nuclear Test Ban Treaty: a personal history of 40 years at LDEO, in International Handbook of Earthquake & Engineering and Seismology, Part B, edited by W.H.K. Lee et al., pp. 1456-1457, Academic Press.'

2004 Sykes, L. R., Indian Point: Critical Decisions Ahead, 10964 (newsletter for Palisades NY), 3 pages.

2004- Sykes, L. R., Earthquake Risks to Spent Fuel at Indian Point, written statement and oral presentation at meeting of U.S. Nuclear Regulatory Commission on Interim Storage of Spent Nuclear Fuel at Indian Point, 5 pages, July 15, 2004.

2005 Granville, J. P., P. G. Richards, W.-Y. Kim, and L. R. Sykes, Understanding the differences between three teleseismic mb scales, Bull. Seismol. Soc. Amer. 95, 1809-1824.

2005 Photo and one page description of Lynn Sykes in Faces of Science, pp. 150-151, by Mariana Cook, Norton, New York.

2006 Sykes, L. R., and W. Menke, Repeat Times of Large Earthquakes: Implications for Earthquake Mechanics and Long-Term Prediction, Bull. Seismol. Soc. Amer.,

97, 1569-1596.

20

2007 Sykes, L. R., License Renewals for Indian Point Nuclear Stations, 10964 (newsletter for Palisades NY), March, page 8.

2007 Sykes, L.R., J. Armbruster, W.-Y. Kim, and L. Seeber, Tectonic Interpretation of Historic and Instrumentally-Located Earthquakes in the Greater New York City-Philadelphia Area, Bull. Seismol. Soc. Amer., in preparation.

21

UNITED STATES OF AMERICA NUCLEAR REGULATORY COMMISSION

_x In re:

Docket Nos. 50-247-LR, 50-286-LR License Renewal Application Submitted by ASLBP No. 07-858-03-LR-BD01, Entergy Nuclear Indian Point 2, LLC, Entergy Nuclear Indian Point 3, LLC, and DPR-26, DPR-64 Entergy Nuclear Operations, Inc..

x DECLARATION OF LEONARDO SEEBER Leonardo Seeber hereby declares under penalty of perjury that the following is true and correct:

1. I am currently a senior research scientist at the Lamont-Doherty Earth Observatory of Columbia University. I have served as a research scientist at Lamont Doherty since 1972. Ireceived a B.S. in Nuclear Engineering from Columbia University in 1965.

2. During the course of my career, I have studied earthquake related issues in the New York City Seismic-Zone (which includes portions of New York State, New Jersey, Pennsylvania, and Connecticut) and throughout the United States and the world. My CV is attached to this declaration.

SeeberDeclaration

3. I have prepared a report concerning the earthquake activity in intraplate continental regions such as eastern North America, with emphasis on issues directly relevant to earthquake hazard in the greater tri-state New York City Seismic Zone and the area in and around the site for the Indian Point Nuclear Power Station.

4. The report and CV are true and correct to the best of my personal knowledge.

5. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.

Dated:

November-- 2007 Palisades, New York Leonardo Se Seeber Declaration

Leonardo Seeber presents the following report in connection with the application to renew the operating licenses for the Indian Point Nuclear Power Station for an additional 20 years.

Premise These comments summarily characterize earthquake activity in intraplate continental regions such as eastern North America, with emphasis onissues directly relevant to earthquake hazard in the greater tri-state New York City seismic zone (NYCSZ) and at the Indian Point site. The last three decades have witnessed substantial improvements in knowledge about earthquakes

-and their relation to geologic features. This progress includes generalities about intraplate areas, where earthquake activity and geologic processes are relatively subdued, as well as specifics about the NYCSZ. Particularly relevant are differences in understanding between the present and the time Indian Point 3 was licensed. Some of these differences would unambiguously increase the estimated hazard at Indian Point.

In New York City seismic zone, which includes the site for the Indian Point Nuclear Power Station, some of the earthquakes occur at mid-crustal depths, but many reliable earthquake hypocenters show that very shallow earthquakes predominate in the New York City Seismic Zone including the.

area around Indian Point.

Furthermore, many of the larger earthquakes in the NYCSZ during the last three decades have occurred on northwest-striking faults. These faults are small relative to the Ramapo and other northeast-striking faults, but form a distinct family of faults that generally cut and are therefore younger than other faults. One of these faults has been mapped 5 km north of Indian Point and maybe related to a nearby earthquake sequence that occurred during 1977-1980.

Generally, earthquake activity and tectonics along active plate-boundaries and in intraplate zones were thought to differ in rate, but otherwise to stem from the same fundamental process and thus to resemble one another qualitatively., Improved observations and understanding has revealed distinctions in both the spatiotemporal distribution of earthquakes and their source characteristics. These differences affect algorithms used to derive ground motion from earthquake parameters and thus have important implications for hazard. The scope of these comments, however, is strictly I

,.qualitative. It does not include any evaluation of the hazard, nor a sensitivity analysis to. evaluate the effects on the hazard of specific aspects of intraplate earthquake generation, as they are now understood.

Intraplate Eastern North America and The New York City Seismic Zone Eastern North America is a continental area fully contained within the North American plate. This intraplate area is one of the more thoroughly studied from geological and seismological viewpoints. During the historic period earthquakes have occurred over most of this area, although epicenters are more concentrated in specific zones. Widespread earthquake activity is consistent with stress measurements, which show that the stress in the upper crust of intraplate continental areas is generally high and near failure (e.g.,

Zoback and Zoback, 1989). Each earthquake manifests fault rupture and slip and thus contributes to deformation of the Earth's crust. Deformation events associated with earthquakes are generally coherent over eastern North America and cause shortening in an east-northeast direction (Sbar and Sykes, 1973). The rate of this deformation has been calculated from the earthquake activity (Anderson, 1986). This rate is slower than can be resolved with current geodetic measurements but is significant when applied over geologic time scales. The accumulated effects of this intraplate strain have been associated with widespread geologic structures (e.g., Sbar and Sykes, 1973), but these structures are generally subtle and rarely include geologic evidence of fault slip that could be associated with specific intraplate earthquakes, such as the surface rupture associated with 1990 earthquake in Ungava, northern Quebec (Adams et'al. 1991). Thus geologists have described eastern North America and similar intraplate areas as "stable continental regions" (SCR). The combination of widespread intraplate earthquake activity and lack of obvious geologic strain is still generally astonishing and is the subject of ongoing research (further discussed below). This geologic 'stability', however, should not mislead regarding intraplate earthquake activity, which is observed, has caused damage, and will likely continue to do so. Geologic stability was clearly a factor a few decades ago in the debate about earthquake hazard at Indian Point. The apparent geologic stability in the area around Indian Point was contrasted with the obvious geologic activity along plate boundaries such as the San Andreas fault zone in California. More useful is a comparison with other intraplate areas that display similar 'stability', yet have experienced 2

large and destructive earthquakes (e.g., Coppersmith and Joungs, 1989; Jonston,- 1989).

The greater New York City metropolitan area correlates with a seismic zone (NYCSZ), a concentration of earthquake activity that stands out in the field of epicenters over eastern North America. Geologically, the NYCSZ is'..

associated with the Newark Basin (Figure 2), a feature formed.during the.':,,,:`

opening of the Atlantic Ocean in the Mesozoic era. Earthquakes are, .

concentrated in older rocks that outcrop around the basin, from Reading, Lancaster, and Philadelphia PA, to Peakskill NY and from Westchester and New York City to the Hudson Highlands and the lower Hudson Valley. The NYCSZ is one of several zones of concentrated earthquake activity in eastern North America that have persisted through the historic period, and.

have been documented by both early felt and damage reports as well as by' current instrumental data (e.g., Hough et al., 2003). Some of these zones have experienced very large earthquakes (M>7) that caused damage, such as the 1886 Charleston SC earthquake, or would have caused much more damage had they, occurred later, such as the 1811-12 New Madrid MO' earthquakes. Other earthquake zones, such as the ones in eastern Tennessee'*

and the NYCSZ have generated intermediate-size earthquakes with relatively minor consequences during the historic period, but are thought to be capable of producing larger earthquakes. The absence from the record of the: largest possible earthquakes in these areas is accounted for by average recurrence times likely to be substantially longer than the historic period (e.g., Seeber and Armbruster. 1991).

Relation of intraplate earthquakes to observable faults In tectonically active regions, such as the San Andreas plate boundary in California, damaging earthquakes occur on faults that can be independently recognized as being active from their displacement characteristics. Slip rate can often be measured directly along the surface trace of faults or assessed indirectly by the rate of growth of fault-related folds. Thus geologic data on faults and their slip behavior can be used-to assess the earthquake potential in these areas independently of earthquake data. A fault in California that displays evidence of no geologically recent displacement, during the last tens to hundreds of thousand years, is usually insignificant for earthquake hazard. Early attempts at characterizing intraplate earthquake hazard applied this geologic approach seeking to identify key faults responsible for most of 3

the earthquakes. Past rupture behavior of these faults would then offer strong geologic constraints on future earthquake activity (e.g., Crone et al.,

1992). Many geologic studies of the source areas following intraplate earthquakes, however, have dashed these hopes (e.g., NRC Regulatory Guide 1.208, p. 6, 2007).

Most of the large intraplate earthquakes (M>6) worldwide are in the shallow part of the crust (Figure 1). Not surprisingly, these large shallow earthquakes tend to rupture the surface (Table. 1), thus unequivocally identifying the causative fault and offering opportunities for geologic studies.of these faults.

After they ruptured in M>6 earthquakes, these faults are declared active.

Had those fault been studied before the earthquakes, however, they would probably not have been considered active, because they often showed no sign of having ruptured during the previous hundred thousand years or much longer (e.g., Crone et al., 1992; Machette et al., 1993; Adams et al., 1991; Seeber et al., 1996). Accumulated displacements on some of the faults that produced significant earthquakes in the NYCSZ were remarkably small and allowed for no more than a few surface-rupturing earthquakes during prior time those faults existed in an intraplate regime (e.g., Seeber and Dawers, 1989; Dawers and Seeber, 1991; Seeber et al., 1998). Multiple prehistoric surface ruptures closely spaced in time were discovered on some of the intraplate faults (e.g., the Meers fault in Oklahoma; Crone and Wheeler, 2000). They seem to be clusters of events, which are nevertheless preceded by long periods of quiescence. Long quiescence, therefore, seems to characterize intraplate faults known to have produced damaging or potentially damaging earthquakes.

The rate at which individual "active" intraplate faults produce earthquakes is low even in comparison to the overall rate of earthquake activity in these areas. This has lead to the hypothesis that intraplate deformation and earthquakes are distributed among many faults, including minor ones (e.g.,

Seeber et al., 1986). The contribution from each fault is small, but together they account for the earthquake activity and hazard in intraplate areas. In order to produce very large earthquakes (M>7), some of these faults are large, possibly having played a major role in a previous more active geologic regime. Even these large faults however, do not seem to have accumulated much strain in the current intraplate regime. The 1811-12 New Madrid sequence in the central US and the 1819 and 2001 earthquakes near Bhuj, western India, are among the larges known intraplate earthquakes. Both sequences include reverse faulting that thickens the crust and thus tends to 4

increase topography. Yet these earthquakes have occurred in parts of the:

continents barely above sea level and with no evidence of sustained uplift.

Along plate boundaries, few master faults deliver much of the strain release' and hazard. This concentration of strain is consistent with strain-softening, which seems to control many geological phenomena, including the reactivation of pre-existing faults widely noticed for intraplate earthquakes (e.g., Sykes 1978). The partitioning of strain over many faults is counter to strain-softening behavior and may be symptomatic of widespread, application of the forces that drive intraplate deformation. In any case,.the "

important conclusion for hazard is a negative one: geologic evidence. of no rupture inrecent geologic time (e.g., >0.1 million years) and/or very slow,

-slip rates are not useful criteria to characterize the earthquake potential of an intraplate fault. The concept. of 'capable fault' was developed in active areas.

Given current understanding about intraplate earthquake and deformation:-...

regimes, geologic information needs to be applied differently in the":

evaluation of earthquake hazard in those areas. Rather than time since last rupture or slip rate, more useful criteria would be fault geometry, size, and orientation relative to current stress regime. Some of the faults shown to.

generate earthquakes in the NYCSZ are secondary, but appear to share a.

common geometry - a NW strike - and to be genetically related. Another important role of geology is therefore to identify families of faults that are likely to behave similarly in the current intraplate regime.

Given that intraplate earthquakes are distributed on many faults, should all faults be considered potential sources of earthquakes? No. Evidence often points to specific faults or families of faults and the NYCSZ offers a case in point. The NYCSZ is centered along the Appalachian thrust-fold belt. This

'compressional' belt developed during a long-standing convergence, boundary and repeated plate collisions during the Paleozoic era. During the.,

Mesozoic, the era of dinosaurs, this belt of shortening and mountain building became a rift zone of extension and developed a series of basins by. reversing motion on some of the faults active during horizontal shortening. The

-Ramapo fault offers a prominent example of this behavior (e.g., Ratcliffe et al., 1986). From this long tectonic evolution, the eastern seaboard of North America inherited a set of major NE striking faults that control the exposed lithology and thus the current morphology of the Appalachian Mountains.

The inherited structures include also secondary faults, which are generally smaller in both lateral dimensions and accumulated displacement. Prominent among the secondary faults in the NYCSZ, is a set striking NW, 5

of the Appalachians perpendicular to the northeasterly strike approximately 1991).

2; Hall, 1991; Dawers and Seeber, (Figure

..The Ramapo Fault Basin, including the Ramapo fault, borders the Newark within the

'The fault system that structural and geomorphic features is one of the most prominentplayed a critical role in both the compressional NYCSZ. This fault system and in the rifting that followed (e.g.,

Appalachians feature phase that formed:the now associated with the most prominent It is view, Ratcliffe et al., 1986). earthquakes of the NYCSZ. On a map of increase in in the spatial distribution the Hudson Highlands and along fault epicenters are concentrated a maximum below the trace of the Ramapo is density to the:SE reaching Basin southeast of the fault earthquake activity a

(Figure 2). In the Newark fault marks both a maximum and the Ramapo became low. Thus the trace of activity. This strong spatial associationabout boundary in the earthquake was discussions a central issue during early the fault. Improved decades ago and clear is very close to hazard at Indian Point, which First, these earthquake data have since raised two issues. some very and more abundant earthquake of several earthquakes in the NYCSZ, data illuminate the ruptures were on that fault, None of these ruptures fault. to the close to the Ramapo similar first-order faults parallel they on to however, nor were al., 1998). Second, the Ramapo fault dips et in a Appalachians (e.g., SeeberBasin, but the earthquake activity is clustered the the SE below the Newark surface trace of the fault rather than along the sub-vertical zone below report by Lynn Sykes). These two fault (e.g., interpretation of the subsurface part of the and straightforward from a simple damaging observations detract fault and its potential to generate current role of the Ramapo spatial correlation between this fault the obvious even if earthquakes. Nevertheless, it a central role for earthquake hazard, gives and earthquake activity a spatial correlation coupled with Furthermore, only on statistical grounds. itself characterize portions of the San on the fault between lack of earthquakes faults during interseismic periods master along Andreas fault and other The current analogous situationthis aftershocks.

major ruptures and their does not exclude future earthquakes on the Ramapo fault, therefore, fault.

6

NW-Striking Fault Set Most of theand structural secondary NW-striking faults in the NYCSZ have subtle'--

geomorphic surface expressions. Nevertheless, a number Of them have been traced over many kilometers and have been named and..

mapped (Hall, 1991, Dawers and Seeber, 1991; Seeber and Dawers, 1989; Mergurien, 1986; Baskerville, 1982). The 1 2 5 th street fault across northern Manhattan is one of the better developed and better known of these faults.

Geologic data from surface outcrops and in tunnels indicate a mixture of.

normal and strike slip faulting thought to pertain to a phase of rifting during.,

the Mesozoic. Pre-existence of at least some of these faults during Paleozoic contraction is probable. Despite the relatively minor role of these faults in accommodating strain in the previous tectonic regime, they seem to play a major role in the current intraplate regime. Seismological field investigations, of a number of recent earthquakes and aftershocks in the NYCSZ have, revealed reliable details about the geometry, size and slip orientation of their fault ruptures. In all cases these ruptures strike NW (Pomeroy et al., 1976; Seberowski t al., 1982; Armbruster and Seeber, 1987; Seeber and Dawers*

1989; Dawers and Seeber, 1991; Hough and Seeber 1991; Seeber et al, 1998). The 1985 Ardsley earthquake clearly ruptured the Dobbs Ferry fault that had been recognized as one of the NW-striking faults before the earthquake (Figure 2; Hall, 1991; preliminary map widely available before 1985). Some of the other earthquakes. have been tentatively associated with known NW-striking faults.

In 1977 to 1980, a sequence of earthquakes was centered 5km NNE of Indian Point. This sequence of earthquakes is thought to have ruptured one or more NW striking fault(s). No mapped faults have been directly associated with the sequence, but one of the two possible fault planes, determined from the seismicity would .outcrop approximately along the northwest-striking segment of the Hudson River in the Hudson Gorge, just north of Indian Point. This portion of the river is thought to be controlled by a NW-striking fault. A portion of this fault is mapped across the Hudson Highlands NW of the gorge (Figure 2; Seberowski et al., 1982). Another NW-striking fault - possibly the same fault - has been mapped on the east bank of the river 5km NNW of Indian Point (Ratcliffe, 1980). This is a small fault, but is thought to be the youngest of the mapped faults in that area. The existence of such a young fault, which may be related to a sequence of earthquakes, needs to be acknowledged and further examined especially given its proximity to Indian Point.

7

In addition, the overall pattern of earthquake activity in the NYCSZ is characterized by a sharp NW-striking boundary separating the seismic zone from an aseismic area to the NE. This boundary is well expressed across Westchester, reaching the Hudson Gorge slightly north of Indian Point. This feature in the current seismicity traverses the Manhattan Prong, a geologic

.terrane characterized by intense deformation and temperature effects interpreted to represent the core of the Appalachian belt. The boundary to the earthquake activity has not been associated with a particular geologic structure or lithologic boundary, except that it is sub-parallel to the NW-striking fault set and may coincide with one or more faults in this set yet to be mapped (Hall 1991). This correlation is comparable with the Ramapo fault serving as the SE boundary of the earthquake activity in the Hudson Highlands.. In both cases the significance of the spatial correlation between earthquake activity and these geologic structures is unclear, but it indicates a role of these structures in the current regime and, in the case of the NW-striking fault set, it reinforces the suggestion from studies of individual earthquakes that faults in this set should be considered possible sources of significant earthquakes.

Depth range of intraplate earthquakes Along the San Andreas transform in California and in many other.

tectonically active regions, most hypocenters are deeper than 5 km and large earthquakes tend to nucleate near the brittle-ductile transition at mid-crustal depths (10-15km). These large earthquakes may rupture to the surface, yet most of the seismic energy is released in the deeper part of the rupture where high confining pressure keeps the rock strong. Most intraplate areas exhibit a binomial depth-distribution of earthquake activity, markedly different from the distribution in active regions (Figure 1). Many intraplate earthquakes, including large ones, are very shallow. Most of the recent and well-studied M>6 intraplate earthquake ruptures are confinedwithin the upper -5 km of the crust and reach the surface, although the recent Very large intraplate earthquake in Bhuj (west India) 2001 ruptured the deep crust and did not reach the surface. Small intraplate earthquakes are also mostly shallow, but difficulty of distinguishing depths in the upper 10 km when stations are sparse leads to a tendency to overestimating depth in routine analyses. Some intraplate earthquakes originate in the mid to deep crust, deeper than 15-20km, a depth range where deformation occurs a-seismically along the San Andreas Fault in California.

8

The deeper intraplate earthquakes seem to occur primarily along ancient rift zones, no more active as such, but still characterized by large deep-rooted faults. Passive continental margins are in this category. These areas have also been associated with the largest of the intraplate earthquakes, such as the 1811-12 series in New Madrid MO, the 1886 Charleston event, andithe one in Bhuj in 2001. The NYCSZ is situated along a passive continental margin and includes prominent rift structures such as the Newark Basin and the Ramapo fault (Figure 2). In this seismic zone, some of the earthquakes occur at mid-crustal depths, but many reliable hypocenters show thatvery shallow earthquakes predominate. Among these, the Mw4.7 1994.

earthquake near Reading is the largest, and ruptured a fault in the upper.2.5 km (Seeber et al., 1998). This earthquake was triggered by a very small stress change caused by a quarry. Nevertheless, this depth is characteristic of natural earthquakes along the Reading Prong. Two M4 earthquakes on the southeast side of the prong, in Lancaster PA 1984 (Armbruster and Seeber, 1987) and Ardsley NY 1985 (Hough and Seeber, 1991), were 4-to-5 km deep' The Ansville sequence of earthquakes, 1977-1980, is centered only,5 km NNE of Indian Point and is centered at a depth of about 2 km (Seberowski et al., 1982).

The shallow depth of many intraplate earthquakes is now gradually being recognized. A few decades ago only small earthquakes insignificant for hazard ("microearthquakes").were thought to originate in the very. shallow.

part of the crust (depth <5km). Thesame earthquakes raised from a typical California depth range to one appropriate for an intraplate area such as the Reading Prong, would be closer to people and structures and probably cause higher intensity, even without accounting for differences in seismic attenuation. The most obvious effect is to lower the magnitude threshold for which damage can start. This can dramatically increase the number of damaging earthquakes because the number of earthquakes in a given magnitude range increases logarithmically with decreasing magnitude. Thus, if the threshold were to decrease from M5 to M4, the number of damaging earthquakes may increase nearly 10 times. At close distances, these small shallow earthquakes can be expected to produce a burst of shaking of short duration shifted toward frequencies higher than would be expected from larger and deeper events also at the damage threshold. The kind of damage would differ; acceleration would be higher from the shallow events and velocity would be higher from the deeper events. Stress-drop, which affects the source spectrum, and the depth distribution of Seismic attenuation, which 9

affects the intensity fall off with distance, are also likely to play a major role in determining the hazard from shallow intraplate earthquakes. We have recognized that an important component of intraplate earthquake activity is very shallow (Close an Seeber, 2007; Figure 1), but have so far done little to explore how it may differ in other ways from deeper intraplate earthquake activity and how these differences may affect the hazard.

Anthropogenic Earthquakes Finally, the potential of large intraplate earthquakes to nucleate at shallow depths increases the potential for engineering activities to trigger damaging earthquakes. Stress and pore pressure changes induced by a variety of operations, such as mining, quarrying, and fluid waste disposal, can be significant in the very shallow crust, but rarely at depth where large California earthquakes tend to nucleate. Thus anthropogenic earthquake activity has been a minor concern along the San Andreas plate boundary and in other tectonically active regions. Nevertheless, a portion of intraplate earthquake activity in populated areas, including the NYC SZ, seems to be" anthropogenic or suspected of being so. This earthquake activity is added onto the natural earthquake activity and is expected to be particularly shallow and close to people and thus more likely to be damaging (e.g.,

McGarr et a., 2002). It is also expected to increase as engineering operations increase in number and size. The largest instrumentally recorded earthquake in the NYCSZ, the 1994 M4.7 earthquake near Reading PA, was triggered by a quarry (Seeber et al., 1998). Available data worldwide show no evidence that the magnitude range of anthropogenic and of natural shallow intraplate earthquakes differ (e.g., Table 1). Liability issues are often of great concern and tend to interfere with the study of anthropogenic earthquake activity and its implications for hazard.

10

References Adams, J., R.J. Wetmiller, H.S. Hasegawa, and J. Drysdale, The first surface faulting from an intraplate earthquake in North America, Nature, 352, 617-619, 1991.

Anderson, J.G. (1986). Seismic strain rates in the central and eastern U.S.,-

Bull. Seism. Soc. Am., 76, 273-290.

Armbruster, J. G., and L. Seeber, The 23 April 1984 Martic Earthquake and `

the Lancaster Seismic Zone in Eastern Pennsylvania, Bull. Seismol. Soc.-

Amer., 77, 877-890, 1987.

Baskerville, C.A., 1982, The foundation geology of New York City:

Reviews in Engineering Geology, v. 5, pp.95-117.

Baumbach, M., H. Grosser, H.G. Schmidt, A. Paulat, A. Rietbrock, C.V.,,

Ramakrishna Rao, P. Solomon Raju, D. Sarkar, Indra Mohan, Study of the.,.

foreshocks and the aftershocks of the intraplate Latur earthquake of September 30, 1993, India, in Latur Earthquake, H.K. Gupta editor, Memoir of the GeologicalSociety of India, 35, 33-63, 1994.

Bollinger, G.A., and Wheeler, R.L., The Giles County, Virginia, seismic.

zone-Seismological results and geological interpretation, U.S. Geological Survey Professional Paper 1355, 85p, 1988.

Choy, G.L., and J.R. Bowman, Rupture process of a multiple main shock sequence -- Analysis of teleseismic, local and field observations ofthe Tennant Creek, Australia earthquakes of January 22, 1988, Jour. Geophys.

Res., 95, 6867-6882, 1990.

Coppersmith, K.J. and R. R. Youngs, Issues regarding earthquake source characterization and seismic hazard analysis within passive margins and stable continental interiors, in S. Gregersen and P.W. Basham (eds.),

Earthquakesat North-Atlantic PassiveMargins, Kluwer Academic Publishers, Boston, Mass, 601-631, 1989.

Crone, A.J., and Wheeler, R.L., Data for Quaternary faults, liquefaction features, and possible tectonic features in the Central and Eastern United States, east of the Rocky Mountain front: U.S. Geological Survey Open-File Report 00-260, 332 p., 2000.

Crone, A.J., M.N. Machette, and J.R. Bowman, Geologic investigations of the 1988 Tennant Creek, Australia, earthquakes -- Implications for seismicity in stable continental regions, U.S. Geological Survey Bulletin 2032-A, 51 p., 1992.

Dawers, N.H., and L. Seeber, Intraplate faults revealed in crystalline 11

bedrock in the 1983 Goodnow and 1985 Ardsley epicentral areas, New York, Tectonophysics, 186, 115-131, 1991.

-Frankel, A., A. McGarr, J. Bicknell, J. Mori, L. Seeber and E. Cranswick, Attenuation of high-frequency shear waves in the crust: Measurements from New York State, South Africa and Southern California, J. Geophys.

Res., 95, B11, 17,441-17,457, 1990.

Fredrich. J., R. McCaffrey, and D. Denham, Source parameters of seven large Australian earthquakes determined by body waveform inversion, Geophys. Journ.95,-p. 1-13, 1988.

Gordon, F.R. and J.D. Lewis, The Meckering and Calingiri earthquakes October 1968 and March 1970, Geological Survey of Western Australia Bulletin 126, 229 p., 1980.

Hall, L.M., Bedrock geologic and brittle fracture maps of the. White Plains, New York quadrangle: U.S. Geol. Survey Bull., published in cooperation with the N.Y. State Geol. Survey, 1991.

Hough, S.E. and L. Seeber, Seismological constraints on source properties of

.the mb = 4.0 1985, Ardsley, New York, Earthquake: A characteristic rupture? Jour. Geophys. Res., 96, 18,183-18,915. 1991.

Hough S.E., L. Seeber, and.J.G. Armbruster, Intraplate triggereld earthquakes: Observations and interpretations, Bull Seism. Soc. Am. 93, 2212-2221, 2003 Isachsen,, Y.W. and W.G. McKendree, Preliminary brittle structure map of New York, scale. 1:250,000, N.Y. State Museum Science Service Map Chart Series 31, 1977.

Johnston, A.C. (1989). The seismicity of Stable Continental Interiors, in Earthquakesat North-Atlanticpassive margins, edited by S. Gregersen and P.W. Basham, Kluwer Acad., Norwell,. Mass, pp. 299-327.

Klose, C. and L. Seeber, Shallow seismicity in SCR, Seismological Research Letters 76, 550-559, 2007.

Langer, C.J., M.G. Bonilla, and G.A. Bollinger, Aftershocks and surface faulting associated with the Guinea, West Africa earthquake of 22 December, 1982, Bull. Seism. Soc. Am. 77, 1579-1601, 1987.

.,Langston, C.A., Source inversion of seismic waveforms: the Koyna, India, earthquake of 13 September 1967, Bull Seism. Soc. Am. 71, pp. 1-24, 1981.

Lewis, J.D., N.A., Daetwyler, J.A. Bunting, and J.S. Moncrieff, The Cadoux earthquake, 2 June 1979, Geol. Surv. Western Australia Rep. 11, 133 pp.,

1981.

Machette, M.N., A.J. Crone, and J.R. Bowman, Geologic investigations of the 1986 Marryat Creek; Australia, earthquake -- Implications for 12

paleoseismicity in stable continental regions, U.S. GeologicalSurvey, Bulletin 2032-B, 29 p., 1993.

2002 McGarr, A., D. Simpson, L. Seeber, Histories of Induced and'.'

Triggered Seismicity, in International Handbook of Earthquake and'. .

Engineering Seismology, W. Lee, H. Kanamori, P.C. Jennings, and C.".:,

Kisslinger (eds.), Academic Press, pp. 647-661, 2002.

Merguerian, C., 1986, The bedrock geology of New York City: Symposium

to Honor the Fiftieth Anniversary of Hofstra University, Hempstead 'N.Y.,

p. 8.

Nicholson, C. and R.L. Wesson (1990). Earthquake hazard associated with deep well injection: A report to the U.S. Environmental Protection Agency, U.S. Geol. Surv. Bull. 1951, 74 pp., U.S. Geol. Surv., Reston, Va.-,

North, R.G., and eight others, Preliminary results from the November 25, 1988 Saguenay (Quebec) earthquake, Seism. Res. Lett. 60, p. 89-93, 1989 Pomeroy, P.W., D.W. Simpson, and M.L. Sbar (1976). Earthquake triggered., .

by surface quarrying, the Wappingers Falls, New York, sequence of June 1974, Bull. Seismol. Soc. Am. 66, 685-700.

Ratcliffe, N.M., W.C. Burton, R.M. D'Angelo, and J.K. Costain, Low-angle extensional faulting, reactivated milonites, and seismic reflection geometry of the Newark basin margin eastern Pennsylvania, Geology 14, 766-770, .

1986.

Ratcliffe, N.M., Brittle faults (Ramapo fault) and phyllonitic ductile shear zones in the basement rocks of the Ramapo seismic zone, New York and New Jersey, and their relationship to current seismicity, in FieldStudies of New Jersey Geology and Guide to Field Trips: 5 2nd Annual Meeting of the New York GeologicalAssociation. W. Manspizier278-312.

Sahasrabudhe, Y.S., V.V. Rane, and S.S. Deshmuckh, Geology of the Koyna.

Valley, Proceedings of Symposium on Koyna Earthquake, Indian Journal.

of Power and River Valley Development, 47-54, 1969.

Sbar, M.L., and L. R. Sykes, Contemporary compressive stress and seismicity in eastern North America: An example of intra-plate tectonics, Geol. Soc. Amer. Bull., 84, 1861-1882, 1973.

Seeber, L. and N. Dawers, Characterization of an intraplate seismogenic fault in the Manhattan Prong, Westchester County, New York, Geophys.

Res. Letters, v. 60, pp. 71-78, 1989.

Seeber, L. and J.G. Armbruster (1991). The NCEER91 Earthquake Catalog:.

Improved intensity-based magnitudes, and recurrence relations for US earthquakes east of New Madrid, National Center of Earthquake Engineering, Technical Report 91-0021, 98pp Seeber, L. and J.G. Armbruster, A study of earthquake hazard in New York 13

State, and Adjacent areas, report to the U.S. Nuclear Regulatory Commission, NUREG CR-4750, 98pp, 1986.

-Seeber, L., G. Ekstrom, S.K. Jain, C.V. Murty, N. Chandak, and J.G.

Armbruster, The 1993 Killari earthquake in central India: A new fault in Mesozoic basalt flows? J. Geophys. Res. 101, p. 8543-8560, 1996.

Seeber, L., J. G.; Armbruster, W. -Y. Kim, C. Scharnberger, and Noel Barstow, The 1994 Cacoosing earthquakes near Reading, PA: A shallow rupture triggered by quarry unloading, J. Geophys. Res. 103, 24,505-24,521, 1998.

Seborowski, K.D., Williams, G., Kelleher, J.A., and Statton, C.T., 1982, Tectonic implications of recent earthquakes near Annsville, New York:

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Sykes, L.R., Intraplate seismicity, reactivation of pre-existing zones of weakness, alkaline magmatism, and other tectonism postdating continental fragmentation, Rev. Geophys. Space Phys., 16. p. 621-688, 1978.

Vogfjord, K.S. and C.A., Langston, The Mekering earthquake of 14 October

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Zoback M.L. and M.D. Zoback, Tectonic stress field of the continental United states, in Geophysical Framework of the continental United States, L. Parkiser and W. Mooney, Geol. Soc. Am. Memoir 172, 523-539, 1989.

14

Glossary of Key Terms Anthropogenic: A byproduct of human activities. In the case of earthquakes, it refers to mechanical perturbations of the Earth's crust that could trigger fault rupture. In order to be significant,.

anthropogenic perturbations have to be larger than stress excursions associated with tides. Observations in tectonically active areas with intense earthquake activity show that static-Coulomb stress perturbation (i.e., permanent changes in the elastic field) caused by large earthquakes start or enhance earthquake activity on some faults and decrease or shut downil earthquake activity on others. These changes have been.

observed for calculated stress changes as small as O.O1MPa. A water-level change of only 1 meter generates a similar stress changes. Many types of engineering activities could thus generate significant stress perturbations. The following are.....

often reported to trigger earthquakes: reservoir impounding;..

injection of fluids in deep wells; extensive mining of fluids, typically oil or water; deep underground cavities in mines;-.

removal of surface load in quarries.

b-value: Slope of the line in log-linear plots describing the distribution of earthquakes over the magnitude range: logN = a - bin. N is.

the cumulative number of earthquakes, i.e., with magnitudes

>__m, and a and b are constants, referred to as the "a-value," and "b-value". These constants are critical for hazard evaluations.,

The a-value measures the level of earthquake activity; the b-value establishes-the expected rate of large damaging earthquakes in terms of the observed rate of much more numerous small earthquakes. Typically, there are about 10 earthquakes of magnitude m for each earthquake magnitude.

m+l, i.e., b;Z 1.

Coulomb Stress: A scalar assessment of the stress condition on a particular fault according to the Coulomb criterion for failure ¶>--G(n-p). The shear and normal stress on the fault are T and an, respectively, p is the pore-fluid pressure, and Vt is the coefficient of friction. The fault does not fail as long as the 15

Coulomb stress T-jt(oTn-p)<O. A fault can be brought closer to failure by an increase in shear stress, or by a decrease in normal stress, or by an increase in pore pressure. Earthquakes may be triggered by perturbations of any of these parameters.

Craton:. Geologically stable continental regions (SCR) that have not experienced extensional deformation since the last major pervasive compressional deformation event. This compression is typically associated with continental collision and growth by accretion. The compressional deformation is old, typically Precambrian, so that erosion has denuded the continent to near sea level and has exhumed rocks originally at mid-to-deep crustal levels. Historic data Worldwide suggest that maximum earthquake size in cratons is in the magnitude 6-7 range.

Instrumental data indicates that earthquake activity in cratons is concentrated in the upper few km of the crust.

Induced: An earthquake that results from a change of the Coulomb stress.

that is a substantial portion of the level of stress at failure. The upper SCR crust is generally close to failure, thus most significant earthquakes derived from anthropogenic perturbations are probably triggered. Small earthquakes may be induced locally near the sources of the perturbations, where the stress change may be large.

Intraplate: Within a plate, i.e., not a plate boundary. Intraplate areas include SCRs, as well as stable zones of oceanic crust as well as, continental zones with significant diffused deformation, such as.'

central Asia or western North America east of the San Andreas plate boundary.

Paleorift: Tectonically stable continental regions (SCR) that have experienced extensional deformation. Rifting precedes the current SCR regime, but postdates the last major pervasive compressional deformation event. Paleorifts are known or inferred to harbor large faults that accommodated the extension and rifting. The brittle upper crustal portion of the faults are typically preserved because little or no denudation has effected the continent after the rifting. All known SCR earthquakes in the magnitude >7 range are in these regions. Most of the 16

sources of deep crustal earthquake activity are also in these regions.

Stable continental regions (SCR) An intraplate continental area that exhibits little or no evidence of accumulated geologic deformation. SCRs incude cratons and paleorifts.

Stress Drop: The release in stress associated with slip on a fault. An earthquake transforms elastic strain energy into seismic energy, fracture energy, and heat. As a result, the stress generally.

decreases on the fault rupture and on parts of the surrounding rock. Stress drop refers to the average change of stress on the fault rupture.

Triggered: An earthquake that results from a perturbation of the Coulomb stress which is small to the pre-existing level of stress or to the drop in stress caused by the fault rupture associated with the.

earthquake. Earthquakes can be triggered by natural causes, such as other earthquakes, or by anthropogenic perturbations.

Earthquakes can only be triggered on faults that are already close to failure. Stress changes as small as 0.0 1MPa (0.1 bars) are known to trigger earthquakes. The upper SCR crust appears to be generally close to failure, thus most significant earthquakes derived from anthropogenic perturbations are probably triggered.

17

TABLE 1 Mb>6.0 or Ms-26.0 or Surface Rupture in Stable Continental Regions; PDE: .1960-1990 N DATE LAT. LON. Mb Ms. RAKE DEPTH degr. km Australia

1. 1968 10 14 -31.518 116.971 6.06.8 62 (0-6) CRA SR NT

2. 197003 10 -31.01 116.54 5.7 90? (0-?) CRA SR ET?

3 1970 03 24 -21.981 126.682 6.25.9 80+/-5 8+/-3 CRA NT

4. 1975 1003 -22.126 126.721 6.0 C CRA ET?

5. 19790602 -30.812 117.179 6.06.1 98+/-10 3+/-1 CRA SR ET?

6. 10986 03 30 -26.194 132.767 5.85.8 80+/-25 (0-3) CRA SR 7a. 198801 22 -19.798 133.910 6.16.3 90+/-10 6.5 4.5 2.0 CRA SR 7b. 198801 22 -19.847 133.803 6.16.4 120+/-10 3.5 3.0 3.0 CRA SR ET 7c. 198801 22 -19.829 133.882 6.56.7 80+/-10 4.5 4.5 4.0 CRA SR ET

India,

8. 1967 12 10 +17.700 073.900 6.0 0+/-35 4.5 CRA SR T

9. 19930929 +18.066 076.450 6.3 6.2 100 2.6 (0-6) CRA SR T?

N America

10. 1988 11 25 +48.050 288.900 5.96.0 60 (25-30)PR NT

11. 1989 12 25 +60.080 286.555 6.26.3 90 (0-3) CRA SR NT Africa

12. 1982 1222 PR? SR NT

1. 1968 Meckering Gordon and Lewis, 1980; Vogfjord and Lagston, 1987

2. 1970 Calingiri Gordon and Lewis, 1980

3. 1970 Canning Basin Fredrich et al., 1988

4. 1975 Canning Basin? PDE

5. 1979 Cadoux Lewis et al., 1981; Fredrich et al., 1988

6. 1986 Marryatt Creek Machette et al., 1993; Fredrich et al., 1988

7. 1988 Tennant Creek Choy and Bowman, 1990; Crone et al., 1992

8. 1967 Koyna Sahasrabudhe et al., 1969; Langston, 1981

9. 1993 Killari Seeber et al., 1996; Baumbach et al., 1994

10. 1988 Saguenay North et al., 1989

12. 1989 Ungava Adams et al., 1991 12 1982 Guinea 2 Langer et al., 1987 CRA: craton PR: paleorift zone DEPTH: centroid and (depth range) for rupture or subevents C: crustal depth poorly resolved SR: surface rupture 18

ET: triggered by a previous earthquake T: anthropogenic triggering NT: no known possible cause of anthropogenic triggering T? possibility of triggering is being debated triggering is not being investigated, but possible trigger is near epicenter.

Note: Events 1, 2, 5 and events 3, 4 form spatial clusters similar to events 7a b,c. They may be dependent sequences.

19

SEISMIC MOMENT DENSITY *0 0 Nm /,I1KM DEPTH TABLE I1 uLJ 0

SEISMIC MOMENT (Nm)

MOMENT MAGNITUDE Rupture Focal Relative Crustal Seismic. Dip Date extension depth depth thickness Fault moment angle

.No. SCR-earthquakes. dd/mm/yyyy [kin] [km] [%] [km] type M, [Nm] [] References Australia

.I Meckering, AU 14/10/1968 0-6 3.0 19 32.5 R . 8.20x I U 29 Vogfjord and Langston (1987), Fredrick al. (1988) 2 Lake McKay, AU 24/03/1970 0-8 8.0 25 32.5 R 1.17x 101 4S Fredrichet al. (I988) 1

3 Simpson Desert, AU 28/08/1972 .0-8 8.0 2S 32.5 R 3.16x 10 ' 60 Fredrichet al. (1988) 8 4 Cadoux,AU 02/0611979 0-6 4.0 19 32.5 R 1.49x l0o 34 Fredrich et al. (1988)

5 Marryat Creek, AU 30/03/1986 0-3 3.0 7 43.0 R 5.80x 10" 3S Fredrichet al. (1988) 6 Tennant 1, AU 22/0111988 0-6 4.5 14 43.0 R 2.90x1018 35 Choy and Bowman (1990) 7 Tennant2, AU 22/01/1988 0-7 3.0 16 43.0 R 5.20x11" 70 Choy and Bowman (1990) 8 Tennant 3, AU' 22/01/1988 . 0-7 4.5 16 .43.0 R 8.30x 101 45 Choy and Bowman (1990)

North America 9 Baffin Bay, Canada 04109/1963 0-7 7.0 19 37.5 R 1.70x 108 41 Hasegawa and Adams (1990) 10 Saguenay, Canada 25/11/1988 25-30 29 77 37.5 R 6.90x I0W 67 'North et al. (1989) 11 Miramichi, Canada 09/01/1982 3.5-7 19 37.5 N 2.20x IU0 50 Wetmiller'et al. (1984) 12 Goodnow, USA 07/10/1983 7-8 7.5 22 37.5 R .1.90x 101 60 Nabelek and Suarez (1989)

<13 UngavaCanada 25/12/1989 0-5 5.0 13 37.5 R 1.1ox IO 70 Adamset al. (1991) 14 Pyrnatuning, USA 25/09/1998 4-5' 4.5 13 37.5 R 1.00x 1O'1 65 Seeber (pers. com.)

15 Au Sable Forks, USA 20/04/2002 10-13 11.5 35 37.5 R 3,50x 106 45 Seeber et al. (2002)

Asia 16 Killari 29/09/1993 0-6 2.6 16 37.5 R . 1.70x Il0y 46 Seeber et al. (1996) 17 Bhuj .. - 26/01/2001 0-10,13-30 26.0 80 37.5 R. 3.16x 10( 41 Singhet al.(2004), Bodin and Horton (2004)

Africa 18 Ceres, RSA 29/09/1969 0-6.5 4.0 16 40.0 S S.O1x lOU 87 Green and.Bloch (1971) 19 WestGuinea " 22/12/1983 0-13 11.0 32 35.0 N 3.40xI Ol 60 Langeretal.*(1987)

Europe .

20 Schwabian Jura, D 03/09/1978 . 3-7.5 6.5 27 30.0 S 3.40x 101, 85 Haessler et al. (1980), Scherbaurret al. (1983) 21 North Wales, UK 19/07/1984 20-23 23.0 67 30.0 S 2.24x 10' 79 Ansell et al. (1986)

Figure 1.Depth range of ruptures (vertical lines),focal depth, and seismic moment (& moment magnitude), of 21 intraplate continental earthquakes, 4.5<Mw<8. Oblique lines indicate focal depth (rupture initiation) and faut dip. R=reverse, S=strike-slip, N=normal. The line bounding the shaded area shows the crustal depth distributionof.the seismic moment density (in %/per 1 km depth). From Klose and Seeber, 2007.

74030' TABL 2 740 73030, 41o' ATLANTIC OCEAN.

. .30 '

4 *Faults Cretaceous and younger; Coastal Plain deposits barbs on hangingwall of thrusts Triassic-Jurassic sediments and basic intrusives .500" Bedrock depth contours in feet Devonian sediment (Hamilton Group)

Ordovician intrusives Figure 2: Bedrock map of the New York City area and epicenters (1975-2002).The 1985 Ordovician shale and siltstone earthquake occurred on the Dobbs Ferry Ordovician-Cambrian Manhattan schist with serpentine bodies fault (DFF), which is one of a family of NW-Ordovician-Cambrian Limestone /marble striking faults that include the 125th Street fault in Manhattan (1SF)

Precambrian gneiss and granite

LEONARDO SEEBER Professional Preparation:

' Nuclear Engineering, Columbia University, BS 1965 Graduate Student in Seismology, Lamont-Doherty Geological Observatory, 1965-1969 Appointments:

Doherty Senior Research Scientist, Lamont-Doherty Earth Observatory, 2003-present Doherty Research Scientist, Lamont-Doherty Earth Observatory, 1998-2003 Associate Research Scientist, Lamont-Doherty Earth Observatory, 1983-1998 Research Associate, Lamont-Doherty Geological Observatory, 1979-1983 Research Scientist, Lamont-Doherty Geological Observatory, 1972-1979 Self-Employed Grape Farmer, Central Italy, 1969-1973 Related Publications:

2004 Seeber, L., J.G. Armbruster, and W.-Y. Kim, A fluid-injection triggered earthquake sequence in Ashtabula OH: Implications for seismogenesis in stable continental, regions, Bull. Seism. Soc. Am. 94, 76-87.

2004, Smyth, A., Altay, G., Deodatis, G., Erdik, M., Franco, G., Gfilkan, P., Kunreuther, H., Lus, H., Mete, E., Seeber, L., and Yuiziigiillu*, 0., "Probabilistic Benefit-Cost Analysis for Earthquake Damage Mitigation: Evaluating Measures for Apartment Houses in Turkey", EERI Earthquake Spectra, Vol. 20, Issue 1, pp. 1 7 1 -2 0 3 .

2002 L. Seeber, W.-Y. Kim, J. G. Armbruster, W.-X. Du, A. Lemer-Lam, and P. Friberg, The 20 April 2002 earthquake near Au Sable Forks, Adirondacks NY: A first glance at a new sequence, Seism. Res. Lett., 73, 480-489.

2002, McGarr, A., D. Simpson, L. Seeber, Histories of Induced and Triggered Seismicity, in International Handbook of Earthquake and Engineering Seismology, W. Lee, H. Kanamori, P.C. Jennings, and C. Kisslinger (eds.), Academic Press, pp.

647-661.

2003 Hough S.E., L. Seeber, and J.G. Armbruster, Intraplate triggered earthquakes:

Observations and interpretations, Bull Seism. Soc. Am. 93, 2212-2221.

2001 Wesnousky, S.G.., L. Seeber, T.K. Rockwell, V. Thakur, R. Briggs, S. Kumar, and D. Ragona, Eight days in Bhuj: Field report bearing on surface rupture and genesis of the January 26, 2001 Republic Day earthquake of India, Seis. Res. Lett., 72, 514-572.*

2001 Kim W.-Y., L.R. Sykes, J.H. Armitage, J.K. Xie, K.H.Jacob, P.G. Richards, M.

West, F. Waldhouser, J. Armbruster, L. Seeber, W.X.Du, and A.Lerner-Lam, Seimic waves generated by aircraft impacts and building collapse at World Trade Center, New York City, EOS Transactionss, AGU 82, 565570-565571.

2000 Hough, S.E., J.G. Armbruster, L. Seeber, and J.F. Hough, On the Modified Mercalli intensities and magnitudes of the 1811-1812 New Madrid earthquakes, J. Geophys.

Res. 105, 23,839-23864.

1999 Seeber, L, J.G. Armbruster, and K.H. Jacob, Probabilistic assessment of earthquake hazard for the State of Maharashtra, India, Report to the GOM, 66 pp.

1998 Seeber, L., J. G. Armbruster, W.-Y. Kim, C. Scharnberger, and Noel Barstow, The 1994 Cacoosing earthquakes near Reading, PA: A shallow rupture triggered by quarry unloading, J. Geophys. Res: 103, 24,505-24,521.

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1996 Seeber, L., G. Ekstrom, S.K. Jain, C.V.R. Murty, N. Chandak, and J.G.

Armbruster, The Killari earthquake in central India: a new fault in Mesozoic Basalt, flows? J. Geophys. Res. 101, 8543-8560. 1996.

1992 Seeber, L. and J.G. Armbruster, The NCEER-91 Earthquake Catalog: Improved Intensity-Based Magnitudes and Recurrence Relations for U.S. Earthquakes East of New Madrid, Technical Report NCEER-91-0021.

Significant Recent Publications:

2007, Seeber, L., C. Mueller, T. Fujiwara, K. Arai, W. Soh, Y. S. Djajadihardja, M.-H.

Cormier, Accretion, mass wasting, and partitioned strain over the 26 December 2004 M9.2 rupture offshore Aceh, northern Sumatra, accepted Earth & Planetary Science Letters.

2006, Seeber, L., M.-H. Cornier, C. McHugh, 0. Emre, A. Polonia, C. Sorlien. Rapid, subsidence and sedimentation from oblique slip near a bend on the North Anatolian Transform in the Marmara Sea, Turkey, Geology, 34, 933-936; doi: 10.11 30/g22520A. 1 2004 Seeber, L. O..Emre, M. Cormier, C. Sorlien, C. McHugh, and A. Polonia, and the team of the 2000 Urania cruise in the Marmara Sea, Uplift and Subsidence from oblique slip: The Ganos-Marmara bend on the North Anatolian transform, western.

Turkey, Tectonophysics, 391, 239-258..

2000, Seeber, L. and C. C. Sorlien, Listric thrusts in the western Transverse Ranges, California, Geol Soc Am. Bull. 112, 1067-1079.

2000, Seeber, L and J.G. Armbruster, Earthquakes as beacons of stress change, Nature 407, 69-72.

Seeber, L. and A. Pecher, Strain Partitioning along the Himalayan arc and the Nanga Parbat antiform, Geology. 26, 791-794, 1998.

Seeber, L. and J.G. Armbruster, The San Andreas fault system through the eastern Transverse Ranges as illuminated by earthquakes. Jour. Geoph. Res, 100, p. 8285-8310, 1995.

Synergistic Activities:

'2001-2005: Steering Committee of the Center for Hazard and Risk Research of the Columbia University Earth Institute; Application to the reduction of earthquake risk in Istanbul, Turkey.

1996-1999 Co-PI in NSF-funded project targeting High School curricula: Earth-View Explorer: An Interactive Educational Tool to Explore Topics. in Earth Science;

- 1995-1998 Member of the International Advisory Committee to the Government of India in matters of earthquake monitoring and Hazard.

1992-2002 Member Board of Directors Southern California Earthquake Center;

-1998-1999 Conceptualization and Design of exhibits for the Hall of the Earth in the American Museum of Natural History

'1990-2000 Development of a hypocenter, focal mechanism, and slip plane data base for southern California from phase data of the southern California Network (Anonymous FTP: scec.gps.caltech.edu; Directory: /pub/focal; File: focall .nano).

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. 2006 Member of Reconstruction Assistance Team of the US National Academies, following the destructive 2005 earthquake in northern Pakistan Current Collaborators:

Omer Emre (MTA, Turkey); Aral Okay (ITU Turkey); Sue Hough (USGS, Pasadena, CA); Alessandro Amato (INGV Rome); Ignazio Guerra (Universita della Calabria).

Michael Steckler (L-DEO); Milene Cormier (Univ.*of Missouri); Cecilia McHugh (Queens. College); Colin Stark (L-DEO); Thorsten Nagel, (Univ. of Bonn); Andrea Taramelli.(Univ. of Perugia); Luc Lavier, (Univ. of Texas).

Advisees: Students (* graduated) and Postdocs (**):

Patience Cowie (University of Edinburg, GB)*; Nancye Dawers (U. of Texas, Austin, TX) *, Ken Hudnut* (USGS, Pasadena); Stephen Jaum6* (University of Charleston' SC);

Craig Nicholson* (UCSB, Santa Barbara, CA); Marc Petersen*. (USGS, Golden, CO);

Jan Vermilie** (Whittier College, Whittier, CA), Patrick Williams * (Univerity of Oregon). Teresa Lawler, Christian Close**, Alessandro Sorichetta** (Universita di Camerino and Queens College); Meg Reitz (Columbia Univ.)

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ML073400205

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