ML12066A044: Difference between revisions

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{{Adams
#REDIRECT [[CY-12-008, Connecticut Yankee Atomic Power Co., Reply to Notice of Violation, EA-2011-284]]
| number = ML12066A044
| issue date = 02/23/2012
| title = Connecticut Yankee Atomic Power Co., Reply to Notice of Violation, EA-2011-284
| author name = Norton W
| author affiliation = Connecticut Yankee Atomic Power Co
| addressee name =
| addressee affiliation = NRC/Document Control Desk, NRC/NMSS
| docket = 05000213, 07200039
| license number =
| contact person =
| case reference number = CY-12-008, TAC L24565, EA-2011-284
| document type = Licensee Response to Notice of Violation
| page count = 16
}}
 
=Text=
{{#Wiki_filter:A.CONNECTICUT YANKEE ATOMIC POWER COMPANY HADDAM NECK PLANT 362 INJUN HOLLOW ROAD
* EAST HAMPTON, CT 06424-3099 February 23, 2012 CY-12-008 U.S. Nuclear Regulatory Commission Attn: Document Control Desk Washington, DC 20555-0001
 
==References:==
(a) Connecticut Yankee Atomic Power Co. (Docket No. 50-213, 72-39)Notice of Violation, EA-2011-284 (TAC No. L24565)Re: Reply to Notice of Violation; EA-2011-284 Connecticut Yankee Atomic Power Company (Connecticut Yankee) herein replies to the referenced Notice of Violation (NOV) issued by the Nuclear Regulatory Commission (NRC) on January 27, 2012. The reply is set forth in Enclosure 1.Connecticut Yankee does not agree that a violation of 10 C.F.R. 50.38 existed. In accordance with 10 C.F.R. § 2.201(a), and the instructions in the NOV, the reply includes (1) the basis for disputing the violation; (2)the steps that have been taken and the results achieved; (3) the steps that will be taken; and (4) without conceding that a violation occurred, the date when full compliance was achieved.If you have any questions or require additional information, please contact me or Joe Fay at (207) 350-0300.Sincerely, Wayne Norton CEO and President of Connecticut Yankee cc: Director, Office of Nuclear Safety and Safeguards Regional Administrator, Region 1 Director, Office of Enforcement Enclosure 1: Reply to Notice of Violation Enclosure 2: Board Resolution and Certifications Ii~5 ENCLOSURE 1 Reply to Notice of Violation (EA-2011-284)
Restatement of Violation 10 CFR 50.38 requires that "any person who is a citizen, national, or agent of a foreign country, or any corporation, or other entity which the Commission knows or has a reason to believe is owned, controlled, or dominated by an alien, a foreign corporation, or a foreign government, shall be ineligible to apply for and obtain a license." Contrary to the above, since at least April 20, 2011, [Connecticut Yankee] has been owned, controlled or dominated by a foreign corporation.
Specifically, [Connecticut Yankee] is governed by a board of directors whose members are appointed, in part, by companies that are ultimately controlled by foreign entities, as follows: New England Power Co. (19.5% -National Grid); Central Maine Power Co. (6.0% -Iberdrola S.A.).This is a Severity Level IV violation.
Connecticut Yankee Position on Violation Connecticut Yankee Atomic Power Company (Connecticut Yankee) does not agree that the cited violation of 10 C.F.R. 50.38 occurred.Basis For Position Connecticut Yankee is the licensee for the Connecticut Yankee Independent Spent Fuel Storage Installation (ISFSI). Connecticut Yankee is owned by several shareholders, or sponsor, companies.
As stated in the Notice of Violation (NOV), two of these sponsor companies (Central Maine Power, New England Power) are U.S. based companies that are each wholly-owned, through U.S. based intermediary companies, by a foreign parent company. However, neither of the foreign-owned sponsor companies holds a majority, or controlling, interest in Connecticut Yankee. The indirect foreign parent companies (Iberdrola S.A., National Grid) are from two different countries
-Spain and United Kingdom -and, even combined, do not control a majority interest in Connecticut Yankee.The transactions that resulted in the acquisition of the two sponsor companies by foreign companies did -not require NRC approval pursuant to 10 C.F.R. 50.80. The NRC has routinely concluded that transactions involving the acquisition of a minority interest in Connecticut Yankee, or other Yankee Companies, do not require prior NRC approval under Section 50.80 because the transactions do not involve, either directly or indirectly, a "transfer of control" of a license under that regulation.
In the cases of the acquisitions involving Central Maine Power and New England Power (NEP), the NRC made documented "threshold determinations" that no transfer was involved and that no NRC approval was required.1 Section 50.38, as cited in the NOV, states that "[a]ny person who is a citizen, national, or agent of a foreign country, or any corporation or other entity which the Commission knows or has reason to believe is owned, control-led, or dominated by an alien or foreign corporation, or a foreign government, shall be ineligible to apply for and obtain a license." Connecticut Yankee contests the cited violation of Section 50.38 for several reasons.First, Section 50.38 derives from Section 103.d and Section 104.d of the Atomic Energy Act (AEA). Those AEA sections apply to licenses for either a utilization or production facility as defined in the AEA.' The Connecticut Yankee ISFSI is not presently, by any reasonable interpretation, a "production" or "utilization facility" within the scope of Section 103.d/104.d.
The Connecticut Yankee ISFSI is not a power reactor. The nuclear power plant previously at the site has been shut down, dismantled, and decommissioned in accordance with NRC regulations
-and is presently no more than a Greenfield site. The Connecticut Yankee ISFSI is not subject to the statutory prohibition or to the intent of that prohibition.
Connecticut Yankee presently holds an NRC license under 10 C.F.R. Part 50, but with carefully delimited authorizations.
Connecticut Yankee is licensed only to possess the reduced scope site and the special nuclear, byproduct, and source material located at the site. Connecticut Yankee also holds a general license under 10 C.F.R. 72.210 to store spent nuclear fuel at the on-site ISFSI. The Part 50 and Part 72 general licenses do not authorize the possession or operation of a production or utilization facility within the meaning of the Atomic Energy Act. The Part 72 general license in particular governs the storage of fuel at the Connecticut Yankee ISFSI. There is no prohibition with respect to foreign ownership, control, or domination in 10 C.F.R. Part 72.Second, Section 50.38 prohibits the issuance of a license to an entity subject to foreign ownership, control, or domination (FOCD). The licensee for the Connecticut Yankee ISFSI is Connecticut Yankee, a U.S. company subject to the control of the Connecticut Yankee Board of Directors.
The Part 50 license was issued many years ago to Connecticut Yankee. As recognized by the NRC, no "transfer of control" has occurred under 10 C.F.R. 50.80 in the subsequent transactions involving the acquisitions of Connecticut Yankee sponsor companies.
Absent a transfer of control, Connecticut Yankee cannot now be subject to FOCD. In particular, no foreign entity holds a majority or controlling interest that places Connecticut Yankee under foreign control or domination.
In the case of the transactions resulting in the acquisition of NEP's apparent by National Grid, after being notified of the proposed transaction, the NRC observed in a letter to counsel for NEP, dated April 22, 1999, that "because a foreign corporation will be in a position [after the transaction]
to at least influence the Yankee companies, albeit indirectly through NEP, the issue of whether the foreign control prohibition in the Atomic Energy Act would be violated as a result of the National Grid acquisition has been raised." Therefore, the NRC reviewed the issue.Subsequently, in a letter to counsel for NEP dated February 24, 2000, documenting a Section 50.80 threshold determination for the transactions resulting in the acquisition of NEP's parent by National Grid, the NRC specifically concluded that NEP does not "control or direct[] the conduct 42 U.S.C. §§ 2133.d, 2134.d.2 of licensed activities at any of the Yankee Plants, and NEP would not acquire such control" from the transaction.
Likewise, no FOCD violations were identified in the threshold review.Third, indirect foreign ownership of minority shareholders in Connecticut Yankee does not equate to FOCD. In September 1999, the NRC issued a Standard Review Plan (SRP) on FOCD issues.2 In the SRP the NRC cited the longstanding precedent and policy of the Commission that the FOCD restriction in the AEA "should be given an orientation toward safeguarding the national defense and security." 3 The words "owned, controlled or dominated" refer to "relationships where the will of one party is subjugated to the will of another" and the statutory intent was to prohibit relationships where "an alien has the power to direct the actions of the licensee." 4 These circumstances do not exist for Connecticut Yankee.As discussed above, no foreign entity controls or dominates Connecticut Yankee. The interests in Connecticut Yankee held by the companies with foreign parents are minority, non-controlling (less than 50.0%) interests.
Thus, there can be no foreign control or domination under the AEA or NRC regulations.
The NOV cites the appointment of members of the Board of Directors by companies controlled by foreign parents. In fact, under the Connecticut Yankee bylaws, each shareholder company appoints one or more members to the Board of Directors depending upon the shareholder's percentage of ownership in the corporation.
However, the directors appointed by each owner are collectively permitted to cast only the same number of votes (combined) as the number of shares in the corporation held by the shareholder.
With this proportional voting, a minority shareholder does not have voting power on the Board of Directors, through its appointed directors, to control or dominate the licensee.
Under the bylaws, there are no issues related to actions by the Connecticut Yankee Board of Directors on operational safety or security matters that require a unanimous or super majority vote, or that involve a minority shareholder veto.5  A majority comprised of representatives of U.S.companies would always be able to compel necessary action.Fourth, the NOV does not as a factual matter identify any safety or security issue, or any other instance, in which a foreign entity exerted actual control over Connecticut Yankee with respect to a safety or security matter. At most, the NOV points to the authority under the bylaws for the appointment of certain directors of Connecticut Yankee by the foreign-controlled sponsor companies as creating a potential for FOCD, as discussed above. But, notwithstanding the 2 "Final Standard Review Plan on Foreign Ownership, Control, or Domination," 64 Fed.Reg. 52,355 (1999).3 General Electric Co. and Southwest Atomic Energy Associates, 3 AEC 99, 101 (1966).4 Id; 64 Fed. Reg. at 52,358.5 Under the bylaws, unanimous votes are required only for certain changes to the corporate bylaws related to the membership of the Board of Directors and to the voting provisions that constitute a shareholders agreement under state law. Other provisions in the bylaws related to indemnifications and transfers of shares can be amended only by a two-thirds vote.3 authority to appoint individual directors, the Board of Directors of Connecticut Yankee retains responsibility and authority for the activities of Connecticut Yankee. Each director must fulfill his or her responsibilities and exercise his or her authority in accordance with fiduciary and regulatory responsibilities.
At most, the NRC's concern would appear to relate to the merest possibility of foreign influence on directors due to their appointment; however, the regulatory standard prohibits control and domination, not the mere inchoate possibility of foreign influence.
Finally, regardless of the appointment of the directors, Connecticut Yankee has, during the time period cited in the violation, been subject to day-to-day management by a management team headed by the President and Chief Executive Officer (CEO of Connecticut Yankee. The President and CEO is a U.S. citizen and is subject to NRC and other applicable regulations.
The President and CEO, and the management team, control access to security information and access to special nuclear material.
Any individual given access authorization is subject to an appropriate*
need-to-know determination and a background check and clearance determination.
These controls assure that the facility, security information, and special nuclear materials have been maintained safely by the U.S. licensee, and are not subject to foreign control.Connecticut Yankee notes that, in connection with the prior acquisitions of Connecticut Yankee sponsor companies, those companies themselves made representations or commitments related to the lack of any potential for control or domination of Connecticut Yankee by the foreign parents. For example, in connection with acquiring Central Maine Power, in an August 7, 2007 letter to the NRC, counsel for Iberdrola described the role of Connecticut Yankee management, stating that Connecticut Yankee management (the CEO and ISFSI Manager) is responsible for day-to-day operations.
Counsel further represented that "Central Maine has no role in reviewing or approving the safety and security plans of the Yankee Companies." As noted above, the NRC itself observed in connection with the acquisition of NEP by National Grid that NEP would not control or direct licensed activities at Connecticut Yankee. The representations by the sponsor companies and findings by the NRC are at odds with any finding of the potential for foreign control of Connecticut Yankee that would be exercised to subvert the security interests of Connecticut Yankee or the United States.6 For all of these reasons, Connecticut Yankee disagrees with the conclusions in the NOV that it has been owned, controlled, or dominated by a foreign corporation, and contests the cited violation of 10 C.F.R. 50.38.Steps That Have Been Taken and Results Achieved As described in correspondence to the NRC dated December 21, 2011, Connecticut Yankee has been actively participating in an ongoing NRC rulemaking related to security 6 In correspondence dated September 9, 2011, Central Vermont Public Service Corporation (CVPS) notified the NRC of the pending acquisition of CVPS by Gaz M6tro Limited Partnership (Gaz M6tro). CVPS owns 2% of the common stock of Maine Yankee.CVPS concluded that this transaction will not involve a transfer of control of Maine Yankee. Nonetheless, CVPS committed to a Negation Action Plan at the sponsor company level.4 requirements for ISFSIs located at the sites of former power reactors.
In connection with this rulemaking process, Connecticut Yankee and the other Yankee Companies were invited by the NRC to apply for a Facility Clearance under 10 C.F.R. Part 95, to support access by individuals with personnel clearances, on a need-to-know basis, to certain classified information related to the security rulemaking.
Connecticut Yankee anticipated that, in connection with Facility Clearances issued in accordance with the National Industrial Safety Program, the NRC would require certain exclusions of foreign-controlled sponsor companies, and their directors, officers, and representatives on the Connecticut Yankee Board of Directors, from access to classified information and special nuclear material.
As required by the regulations, these measures would be taken to avoid Foreign Ownership, Control, or Influence (FOCI) related to control of classified information and special nuclear material.In order to avoid FOCI and support a Facility Clearance under 10 C.F.R. Part 95, the Board of Directors of Connecticut Yankee adopted a Negation Action Plan by board resolution on December 14, 2011. Because the negation actions address any potential for FOCI, Connecticut Yankee believes that they are fully effective to address any concerns the NRC may have regarding the potential for FOCD. Accordingly, the Negation Action Plan adopted on December 14, 2011, responds to the NOV and addresses any NRC concerns regarding compliance with 10 C.F.R. 50.38.The Negation Action Plan was fully described in the correspondence to the NRC dated December 21, 2011. To summarize the most pertinent provisions related to FOCD, the plan is comprised of several elements, including:
Access to classified and safeguards information and to special nuclear material shall be controlled by Connecticut Yankee (and not any parent company) under the direction of the President and CEO of Connecticut Yankee.Decisions related to safety and security of special nuclear material, and related to access to classified and safeguards information and to special nuclear material, are specifically delegated by the Connecticut Yankee Board of Directors to the President and CEO of Connecticut Yankee.The President and CEO shall be a U.S. citizen and shall execute a certification acknowledging his or her special duties to protect classified and safeguards information, to protect public health and safety and common defense and security relative to special nuclear material, and to report any FOCD issue to NRC.Directors and officers of foreign-controlled sponsor companies shall not have access to safeguards or classified information, and shall not have access to special nuclear material in the possession of Connecticut Yankee.5 Directors and officers of Connecticut Yankee who are appointed by foreign-controlled owners shall be excluded from access to classified information and to special nuclear material.Directors and officers of Connecticut Yankee who are appointed by foreign-controlled owners shall execute certifications acknowledging their exclusion from access to classified information and special nuclear material, and acknowledging their commitment to take no action to circumvent the protective measures established by Connecticut Yankee to negate any foreign control or influence with respect to radiological safety and security of special nuclear material.The Negation Action Plan was adopted by board resolution passed on December 14, 2011, and formally executed on January 3, 2012. No changes to the Connecticut Yankee bylaws were necessary to implement the plan. A copy of the executed resolution and co pies of executed individual certifications in accordance with the plan are included in Enclosure 2.In addition, Connecticut Yankee does not concede that 10 C.F.R. § 50.38 applies to the Connecticut Yankee ISFSI, for the reasons discussed above. However, Connecticut Yankee, by correspondence dated May 16, 2011, has requested an exemption from 10 C.F.R. 50.38 to the extent the regulation applies, based on the circumstances of the Connecticut Yankee ISFSI and site. Application of the regulation is not necessary to achieve the purpose of the rule.Connecticut Yankee has not withdrawn the request for an exemption from 10 C.F.R. 50.38, and continues to seek NRC action on that request. A grant of an exemption would be a corrective action for any Section 50.38 non-compliance.
Steps That Will Be Taken Connecticut Yankee has implemented the Negation Action Plan described in the December 21, 2011 letter. Connecticut Yankee will continue to pursue a Facility Clearance based on that plan. Connecticut Yankee will also continue to pursue an exemption for 10 C.F.R.50.38 as described above.Date of Full Compliance For the reasons discussed above, Connecticut Yankee has not been in violation of 10 C.F.R. 50.38. In any event, assuming but not conceding that a violation occurred, compliance was achieved on December 14, 2011, when the Board of Directors of Connecticut Yankee adopted resolutions implementing a Negation Action Plan that prevents any potential for foreign control over safety and security matters, including access to security information and to special nuclear material.
The Board of Directors resolution and related commitments were described in correspondence to the NRC dated December 21, 2011.These documents have been previously provided to the NRC in connection with Maine Yankee's application for a Facility Clearance under 10 C.F.R. Part 95.6 ENCLOSURE 2" Board of Directors Resolution
* Certifications DC:699649.3 RESOLUTION BY CONNECTICUT YANKE .ATOMIC POWER COMPANY I-EEKAS, regulations df the U.S. Nuclear Reg 1a to.y Comminssion
.("'NRC1-"):
provida that 1no :li.cense may be issuied under 1.0 C.F.R. Part 50, to an entity that .is subject to. Foreig Ownership, Control,, or Domination
("FOCD');;
hERtEAS, the "N.RC hias :ihdicated that. it: d:esiesthat:
the Connecticutiyankees Atornii, Power Company ("Connncticut Yankee") adopt a Negation Action. Plan:
potenfial FOCD d.uie 0to.foreign.ow,,nlership-ogf certain compianies wlo own common saires dfConnecti!utiYaiikee;, WHEREAS, this action :f the Board ofDirectors of posnectiutYankeeeis taen-forthe purpoSe of estAblishing a Negation Action Planl to .eliin .iate any iyss ite FOCD unider 50;WHERiEAS, Connecticut Yankee Se~paratel~y desireSko dbta1in:.from theN2RC -a ;FacilityClearance in accordance with .0 CF.,R. Padt 95, inh order to obtain access to certain classi:fied
?oinformation offthe U s.. govenmTent, on a need to know basis, to supoi-t particpation inii an NRC, rulemaking;
'HEREAS, the NRC has d icicated that certain exclusonss with cpcct to :access: to special, nudcear material and classified, iniifo ation .-are essentia ftor a Facility Cleaianc1 n01 -der to avoidForeign Ownership.
Con)troI, or Influence
("FOCI") ,espect to Connecticut:
Yaikee; and WHEREAS, this. actioo is 'taken for fe. -prpose of relieving
..the foreign.
owvners. of Connecticut' Yankeeefiom having to obtai.i a: Facility Clearance in conformit~
with tie Nationall............ ---_ 1 ,._ _...... ... .. ... ... ..... _ .j o. a... ...... ......... ... ........ .-fidusthi.l Security Program..it is RESOLVED.that:
: 1. Accesg to classified and §sgaf'eguaird.s-infor atoid,:aiid to specialt.nuclear related. to.the Connecticut Yaikee facility shalal be.. contriollod by Connecticut Yankeef unde tlie directo of the President and Chief Executive Officer ("CEO") of Connecticu Yankee.This officer: shall assure lhat classified iand safeguards information and special nuclear material in the custody of Connecticut Yankee is. only accessed by individuals who 1pos8egs.the apprropriate access authorization, and need. Furthermore, ConnecticutYankee!.ie 1 tshall assure that, classified
;infonnioit received:
irom i.a -i.federal agency is not.disclo-sed to any otier federal. gency unless speifi calIy authoized!
by the agency that has classiification jurisdiction.
: 2. Dedisions related to and. security of special. !c.ear-materiail.
and reliated to:access to, classified and safeguards informati.on and, to special ýnuclear material, are the::sole: !risponsibiliy-:
of Coninecicut Yankee as ai. NRC licensee.
The responsibility for these matters' is heteby specifically delegated by th e. Bgoarý o f to6: the, President:and! CEO .of Connecticut
'Yankee. This offier shall..makeq.all decisions related to: 'radiological safety and related to the security ofspecial nuclearmaterial
'including, but no.t .hmited to, decisionsxelated to- access- to classified and safeguards infrmnationwand to special .uUear matfiater) in, accordance .with all. NRC: license obligafioqs, and Wonsistet ,witlh the public..health:
and safety.an!
andcmmon defense and security of the United States.3. Central Maine Power Company, New Enggland Power Compani, and any f.turae foreign owned' :or cormpanies (the "Foreign Controlled Owners"), and their and oficers, shall not. be provided and shaill. iot liavd access :to dlassified Sif ....o.r: sadeguards' infomation related to Co.nnecticut Yankee's NRC-lcensed:
Inde enent' Spent uel .Storage lnstallati.on, .ad!shaillinot be provided and shall not Iave access to. orc ustody of special nuclear material in the:possession of "Connecticut Yankee: at the licensedfacility 4.. Directors and officers .of' Connecticut Yatkee who arex rpresentaki.ves
'of the Foreign Contr6lied Owners shall not. haveý, and: shall, 'be excluded from, acess to lassifie-d iiiformatio6i' avid :to 'special :nucl~ear:
iate~gall.5. As tof't.date.of this tesolution, ftere. are no.directors of Cohnectict Yankee who will have ahcdss The:o.offcer of C(oicttictut Yadk.e who will have.access to classified.
infornation,, uppn obtaiingi an ap pr iate: sýecurity clearance is Wayn.e Norton. Any other individuals who will have access to classified in;brmnation shall be identitied by Cornecticut Yankdee management and access: 'shafl. be subject to obtaiing.
appropriate.
clearances§.
.6. The d &ctort and officer .of any Foreign. Controled; Owýner, in saiid capacities, shall not be permitted to hold positio.ns, and shall 'be :excluded.
friom hlding positions, -at Yankee thati would enable them to contral the policies and .practice-s of Connecticut Yanef.e in. its peron, aee ofactivities licensed by the NR.' under 10. CX.RR.Part.50. or:10 C.F. Part 95.BE.IT FURTHER RESOLVED thlat: i T.he: Board ofDirectors shall take no action to :appoit as Chairman:
of the Bo.a3rd of'Connecticut:Yankee any person, .ho' is not a'U.S. citzen, and. U.S. citizenship shall be a copntin!ual
'mequirement of such office.2. The Board of Directors:
shalt take.- no action :to. appoint: as';Presid-ent and C.E-O of Connecticut.'
Yankee any person who is.not a U.S.. citizen, and 1U.S. citizenshiip shall be a continual requirement of sudh,.offite.
: 3. Te 'Board o6fDirectors hbercy directs Ite PResident and CEO of. Connectic.ut Yankee to ekectte a cetti.icatio.
acknowledging his or her b specia duties to (a) classified, and. s aieguardsf infrnation; (b)"protect"pubic health and safetyVýamd, the conm m1on defense: and security relative to specil nuclea materialin the possessipn of Connectfic!t Yankee,---a r e4P-any -G.e4h:-NR.
: 4. The. Board of Directors shall cause individual directors and officers wh6 are representatives of- the Foteign Coh0tollled Owners'. to execute: a certification acknctwledingtheir exc:lusitn tijm.ca'cess to classified inrformioafin and specal ncear imateri and ackmole!nging iflic commitment
'to: take no aeftion:o I circumvent the 2.
protective measures, established:
by Connecti-ut Yankee ton:egate.
anyI FO.D1O issue:*Witlh respect to radi6l6ogcal safety and the security of special nuclear-material,:5., The Board of Directors:
shall cause each director or off.cer.of.Connectiut Yankee will have::ac:ýeSs to 048ssitied-inforination.1b executte, a certificattloil back .owledging his or her duties witht respect to protection of cassified o.nfB.nation
ýand with-qfrec , cto the protective measures establi'shed to negate any FOCD IFOI flw respect tO Connectitut Yankee., 6;, Connecticut Yankee management is hereby directed to designate a Facility Security
.. '"" ... .. who iS .a and who Shall .obtainman, appropr~iate personal clearance firom th* -.e NR.C 'for' aets6s 1o classified infOrmation.
The Facility Security Offiýet shllI b'e responsible for,:activities under: a. Facility Clearane.
issued Under .1 CF.-R. Part 9'5, stubject to the d:ir ection! and c~ontrol ofthie: President
'and :CEO of Coirneeticut Yanikee.7'.. Through its .dly authorized officers, mjpa~ginent of Connecticut Yankee: is hereby directed to :imediiately
:notif:ythe:NRC of any changes'in; thye evcnt rndnatureof .QCD;that. would affect compliance with1..:0 C.F.R.. 50.38 .or of any .changes in. the event; and.ntatutre of FOCI that would affect the infotination in: the: submiss.on -ost :recenttly filed Iwih :thhe NRC by' CneOtiout YVankee purstiant to :F:0 C.FR Par t 95 and, tieý National.IndusfriM, Security ProgramL includin~g without limi'tation, any. changes :in: die. conol.md of'this':cororationtliat must be too-thler U.S, gvernment agen.cies.
NK:WITNESS:
WHEREOF' I have hereunto setrmylhand and affixed the seal: of ThisE ..... y (Signature'.DC.:694.51.9.2 Connecticut, Yankee Atomic Power Company Certification of Special Obligations and.ReSponsibilities I, Wayne Norton,. am .the President.
and Chief Executive Officer of Connecticut Yankee Atomic Power Company ("Connecticut Yankee").
By execution of this certificate I acknowledge the:protective measures that have been taken by Connecticut Yankee in order to .(1) protect against and negate the potential for any Foreign Ownership, Control or Domination of Connecticut Yankee within. the meaning of the Atomic Energy Act and the regulations of the United States Nuclear Regulatory Commission
("NRC"); and (2) to exclude the directors, officers, and representatives of foreign controlled sponsor companies from access to classified information and special nuclear material related to Conmecticut Yankee's NRC-licensed spent fuel storage facility, in order to exclude the. foreign controlled sponsors from the necessity of obtaining a Facility Clearance in conformity with the National Industrial Security:
Program.I further acknowledge that I. have been delegated specific responsibilities by the Board of Directors of Connecticut Yankee with respect to (1) control. over access to classified information, safeguards infonnation, and special nuclear material; and (2) decisions related to the protection of public health and safety and security related to special nuclear material at Connecticut Yankee.'s NRC-licensed facility.
I fuirther aclnowledge my special. obligation to the Board -of Directors and to the government of the United States to exercise my best efforts, as a citizen of.the United States,. to fulfill these responsibilities, consistent with. protection.
f radiological safety and. the security of special nuclear material, and with the NRC licenses for the facilities:
and applicable federal regulations. .I further acknowledge my obligation to report any issueknown to, me in the nature of foreign ownership, control,.domination or influence to the NRC.Datedt December !ll 2011 Signature:
gn DC:693716.1 Connecticut Yankee Atomic Power Company Certification of Foreign Sponsor Representative I, Gerald C. Poulin, am, a director of the Connecticut Yankee Atomic Power Company ("Connecticut Yankee"), and have been appointed to that position as a representative of Central Maine Power Company. I understand that Central Maine Power Company is an indirect subsidiary of a foreign corporation, I am aware of the obligations of Connecticut Yankee with respect to Foreign Ownership, Control, or Domination
("FOCD") under 10 C.F.R. 50.38 and Foreign Ownership, Control, or Influence
("FOCT") under 10 CYF.R, Part 95. I am also aware of the protective measures implemented by Connecticut Yankee with respect to FOCD and FOCI requirements.
I certify my understanding of the protective measures implemented by Connecticut Yankee with respect: to exclusion of foreign-controlled sponsors and their representatives from access to classified information and, special nuclear material.
I further certify my understanding of Connecticut Yaee's obligations with respect to FOCD/FOCI, and more generally with respect to compliance with the Nuclear Regulatory Commission
('NRC") license and NRC regulations.
I will rnot seek and will not obtain access to classified, information or to special nuclear m.aterial, nor will I take any action to circumvent the protective measures with respect to FOCD and FOCI implemented by Connecticut Yankee.Dated: December 4 , 2011 DC:695473.A I
Co.naeuticut Ywvkee Atomie.ower -Compny.Ce'r~jftcaton of poe1ognqSponso., Reprise tativ I, John V. Vaughno a T uadirector thetNw Conetiteld YNker AtomicPwrC~pn PEngkuad ,,Power C 'opny I'udrtn htNwEgas oe opany is iant indlvrect stibsidlary.
of.a freign crwporation A am aivare of the' obligatiwns of Coineetiout Yanikee with respect to Foreig :Ownershipv,.Contrl,.orbDomination
("OD") uqder 10 CIF.R. 50.39 and Foieign Ownersip, or Inf-uence C.FO ul") under 1-9 C.FR. Part.;.95.
I aware, protqcjve measures implemented by Coniecticut , ankee with ie~pee to FO --CD-and FOC equirements.
ceri, f my 'uderstanding of theq-protective measures implemented by Yatikee~with respect to ofQ orignwconqtrolle
'Sponsors and*their represetatives.
from accessto*:
iassifi~d.inornatit~uandspeialttu~ea~
fiatril.I$fqrifer~
crify. *itinndrstanding olf the Conncicut161 Yankee's obligations wMih respect to FOOCDFOC, t,. .and more getierally Nit rtespeUt to: ' om"l.anc'" -wi. .tl .: '-eule " Cor .iso ("NC. ..i e. n. .e ..n... NRC .rgi n. ...wl 1-pt -seek, and::: wlat :obtaih access to classified info rmation or to. nuclear material,-nor will I take any-aeion-to cirudmventAthe protective measures with respectlo FOOD FOCIO itmplerriented by Con.necticU.tYankeý.
Dated, eceme , 2011.Signature:
0)u DC95'4SOA~
:1 Connecticut Yankee.Atomic Power Company Certification of Foreign Sponsor Representative Iý, Frederic E. Greenman, am a director of the Connecticut Yankee Atomic Power Company ("Connecticut Yankee"), and have been appointed to that position as a representative of New England Power Company. I understand that New England Power Company is an indirect subsidiary ofta foreign corporation.
I :am aware- of the obligations
!of Connecticut Yankee with respect to Foreign Ownership, Control, or Domination
("FOCD") under 10 C.F.R. 50.38 and Foreign Ownership, Control, or Influence
("FOCI") under 1.0 C.F.R. Part 95. I am also aware of the protective measures implemented by Connecticut Yankee with respect to FOCD and FOCI: requirements.
I certify'my understanding.
of the protective measures implemented by Connecticut Yankee with respect to exclu~sion of foreign-controlled sponsors and their representatives from access to classified information and special nuclear material.
I further certify my understanding of the Connecticut Yankee's obligations with respect to FOCD/FOCI, and more generally with respect to compliance with the Nuclear Regulatory Commission
("NRC"') license and NRC regulations.
I will not seek and will not obtain access to classified information or. to: special nuclear material, nor will I take any action to circumvent the protective measures with respect to FOCD and FOCI implemented by Connecticut Yankee.Dated: December 1 2011 Signature:D,.DC:695470.A I
Connecticut Yankee Atomic Power Company Certification of Foreign Sponsor Representative L. Terrence P. Kain,. am. a director of' the Connecticut Yankee Atomic Power, Company ('Connecticut Yankee"), and have been appointed to that position a representative of New England Power Company. .1 understand that. New England Power Company is an. indirect subsidiary of a foreign 'corporation.
I am aware of the obligations of Connecticut.
Yankee: with respect to Foreign Ownership, Control, or Domination (TFOCD") under 10 C.F.R. 50.38 and Foreign Ownership, Control, or Influence ,c"FOCI) Under 10 ,C.F.R Part 95. I am also aware of the protective measures implemented by Connecticut Yankee: with respect to FOCD and FOCI requirements,.
I certify my understanding of the protective measures implemented by Connecticut Yankee with. respect to exclusion of foreign-controlled sponsors and their representatives from access to classified information and special nuclear, material.
I further certify my understanding of the Connecticut.
Yankee's obligations With respect to FOCD/FOCI, and more generally with -respect:
to compliance with the.Nuclear Regulatory Commission
("NRC") license and. NRC. regulations.
I will not seek and will not obtain access to classified information or to special nuclear material, nor will I take any action to circumvent the protective' measures with respect to FOCD and FOCI implemented by Connecticut Yankee.Dated: December , 201 Signature:
/DC:695475-A 1,ý}}

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