BVY 17-043, Response to Request for Additional Information Regarding the Request for Direct and Indirect License Transfers from Entergy to Northstar: Difference between revisions

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{{#Wiki_filter:Entergy Nuclear Operations, Inc.
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Vermont Yankee 320 Governor Hunt Rd.
Vernon, VT 05354 802-257-7711 A. Christopher Bakken III President and Chief Executive Officer 10 CFR 50.80 10 CFR 50.90 10 CFR 72.50 BVY 17-043 December 4, 2017 ATTN: Document Control Desk U.S. Nuclear Regulatory Commission Washington, DC 20555-0001
 
==SUBJECT:==
Response to Request for Additional Information Regarding the Request for Direct and Indirect License Transfers from Entergy to NorthStar (EPID No.
L-2017-LLM-0002)
Vermont Yankee Nuclear Power Station License No. DPR-28 Docket Nos. 50-271 and 72-59
 
==REFERENCES:==
: 1. Letter, Entergy Nuclear Operations, Inc. to USNRC, Application for Order Consenting to Direct and Indirect Transfers of Control of Licenses and Approving Conforming License Amendment and Notification of Amendment to Decommissioning Trust Agreement, BVY-17 005, dated February 9, 2017 (ML17045A140)
: 2. Letter, Entergy Nuclear Operations, Inc. to USNRC, Supplemental Information Regarding Application for Order Consenting to Direct and Indirect Transfers of Control of Licenses and Approving Conforming License Amendment and Notification of Amendment to Decommissioning Trust Agreement, BVY 17-027, dated August 22, 2017 (ML17234A141)
: 3. Letter, USNRC to Entergy Nuclear Operations, Inc., " Vermont Yankee Nuclear Power Station - Request for Additional Information Regarding the Request for Direct and Indirect License Transfers from Entergy to NorthStar (EPID No. L-2017-LLM-0002), NVY 17-024, dated November 3, 2017 (ML17313A431)
 
==Dear Sir or Madam:==
 
By letter dated February 9, 2017, Entergy Nuclear Operations, Inc. (ENOI), Entergy Nuclear Vermont Yankee, LLC (ENVY), NorthStar Vermont Yankee, LLC (NorthStar VY), and NorthStar Nuclear Decommissioning Company, LLC (NorthStar NDC) (together, Applicants) submitted an application for direct and indirect license transfers for Vermont Yankee Nuclear Power Station (VY) from ENOI and ENVY to NorthStar NDC and NorthStar VY (Reference 1).
Specifically the Applicants requested written consent to transfer the Vermont Yankee Renewed
 
BVY 17-043/ Page 2 of 3 Facility Operating License No. DPR-28 and the generally licensed Independent Spent Fuel Storage Installation to the named entities, as supplemented by Reference 2.
In Reference 3, the U.S. Nuclear Regulatory Commission (NRC) provided ENO with a request for additional information (RAI). This submittal provides the response to the request for additional information and supplements Reference 1 as described in the attachment.
This letter contains no new regulatory commitments.
In the event that the NRC has any questions about the transactions described in this letter or wishes to obtain any additional information, please contact Coley Chappell of Entergy at 802-451-3374, or contact Greg DiCarlo of NorthStar Group Services, Inc. at 203-222-0584 x3051 or GDiCarlo@ NorthStar.com.
I declare under penalty of perjury that the foregoing is true and correct. Executed on December 4, 2017.
Sincerely, ACB/ccc
 
==Attachment:==
: 1. Response to Request for Additional Information cc:      Regional Administrator, Region 1 U.S. Nuclear Regulatory Commission 2100 Renaissance Blvd, Suite 100 King of Prussia, PA 19406-2713 Mr. Jack D. Parrott, Sr. Project Manager Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission Mail Stop T -8F5 Washington, DC 20555 Ms. June Tierney, Commissioner Vermont Department of Public Service 112 State Street - Drawer 20 Montpelier, Vermont 05602-2601
 
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BVY 17-043 Docket No. 50-271 and 72-59 Attachment 1 Vermont Yankee Nuclear Power Station Response to Request for Additional Information
 
BVY 17-043 / Attachment 1 / Page 1 of 11 RESPONSE TO REQUEST FOR ADDITIONAL INFORMATION REGARDING THE DIRECT AND INDIRECT LICENSE TRANSFER REQUEST FOR VERMONT YANKEE NUCLEAR POWER STATION
 
===Background===
By letter dated February 9, 2017 (ML17045A140), the Applicants submitted a request for the direct and indirect license transfer of VY from ENOI and ENVY to NorthStar NDC and NorthStar VY. Specifically, the Applicants requested written consent to transfer the Vermont Yankee Renewed Facility Operating License No. DPR-28 and the generally licensed VY Independent Spent Fuel Storage Installation (ISFSI) in accordance with Section 184 of the Atomic Energy Act, and Title 10 of the Code of Federal Regulations (CFR), sections 10 CFR 50.80 and 10 CFR 72.50.
NRC regulations at 10 CFR 50.80 require the Commission's written consent for transfer of an operating license under Part 50 of the same chapter. Specifically, 10 CFR 50.80(c) states, in part, that "the Commission will approve an application for the transfer of a license, if the Commission determines: (1) That the proposed transferee is qualified to be the holder of the license; and (2) That the transfer of the license is otherwise consistent with applicable provisions of law, regulations, and orders issued by the Commission pursuant thereto."
The NRC has requested that the Applicants respond to the following Requests for Additional Information, and the responses that follow are provided by and submitted of behalf of NorthStar NDC and NorthStar VY.
Requests for Additional Information:
Financial RAIs The NRC staff is continuing to review the Applicants' submittal. To verify that there is adequate funding for the decommissioning of VY, spent fuel management, and ISFSI decommissioning, the NRC staff has the following requests for information:
RAI - 1:
On page 4 of the application, the Applicants stated, in part:
        ...The NDT will also provide up to $20 million in revolving funds for the spent fuel management costs necessary to maintain the ISFSI, subject to replenishment from recovery of claims under the Standard Contract, consistent with the requirements of 10 CFR 50.54(bb) and 50.82(a)(8)(vii).
The requirements of 10 CFR 50.82(a)(8)(i)(A) restrict the use of decommissioning trust funds to withdrawals for expenses for legitimate decommissioning activities consistent with the definition of decommissioning in 10 CFR 50.2. This definition does not include activities associated with spent fuel management. Therefore, an exemption from 10 CFR 50.82(a)(8)(i)(A) would be needed to use funds from the decommissioning trust fund for spent fuel management.
On June 23, 2015, the NRC issued an exemption to ENOI that, among other things, permitted ENOI to make withdrawals from the nuclear decommissioning trust (NDT) fund for spent fuel
 
BVY 17-043 / Attachment 1 / Page 2 of 11 management in accordance with ENOI's Irradiated Fuel Management Plan and Post Shutdown Decommissioning Activities Report (PSDAR) (80 FR 35992).
Please state whether the Applicants intend to apply for an exemption from 10 CFR 50.82(a)(8)(1)(A), or provide the rationale for why the Applicants believe that the exemption issued to ENOI to use decommissioning trust funds for spent fuel management in accordance with ENOI's Irradiated Fuel Management Plan and PSDAR would also apply to NorthStar VY upon transfer of the VY license, including applicability of the rationale that supports ENOI's exemption.
Also, it is unclear whether the potential recovery of claims against the U.S. Department of Energy under the Standard Contract constitutes a reliable source of funds. Please provide the rationale as to why the Applicants believe that if NorthStar VY uses the NDT fund for non-radiological decommissioning costs, such as spent fuel management, that these funds will be replenished.
 
===Response===
Exemption for Use of Funds:
NorthStar NDC and NorthStar VY do not intend to apply for an exemption from 10 CFR 50.82(a)(8)1)(A) unless the NRC staff determines that a new exemption request is required. If the NRC staff so determines, an exemption request can be submitted and reviewed separate and apart from the license transfer application.
As is typical in license transfers, upon completing the transfers, NorthStar NDC and NorthStar VY plan to assume the regulatory rights and obligations of ENOI and ENVY, including exemptions, regulatory commitments, responsibility for any pending amendments, and responsibility for any other requests pending before NRC. This is discussed in Section 7.f of the LTA. As such, NorthStar NDC and NorthStar VY believe that the exemption granted to ENOI/ENVY regarding the use of trust funds for spent fuel management will continue to apply.
Acknowledging that there will be changed circumstances or assumptions, the NRC staff will need to verify that the existing exemption remains valid in light of the expected changes.
Obviously, a material change in circumstance and assumption from the analysis upon which the original exemption was based is that NorthStar NDC and NorthStar VY intend to accelerate decommissioning using a planned prompt DECON approach, rather than planning for an extended period of SAFSTOR. In addition, another changed circumstance is that NorthStar NDC and NorthStar VY only intend to use up to a maximum of $20 million in NDT funds for spent fuel management at any one time. If necessary, this commitment can be made binding through a condition to an Order approving the proposed license transfers.
NorthStar NDC and NorthStar VY have demonstrated that if the use of NDT funds is limited to no more than $20 million at any one time, the remaining available funds are adequate (with earnings as allowed by NRCs regulation) to satisfy the prepayment method of decommissioning funding assurance for the decommissioning of both VY and, eventually, the VY ISFSI, in accordance with 10 CFR 50.75(e)(1)(i) and 72.30(e)(1). NRCs license transfer review will necessarily validate this demonstration, and as such, the validation of decommissioning funding assurance to be made in the license transfer review (setting aside $20 million that is earmarked for spent fuel management) will necessarily re-validate the exemption.
Reliance Upon Recoveries of Damages from DOE:
 
BVY 17-043 / Attachment 1 / Page 3 of 11 NorthStar believes that there is a reliable source of funds to be recovered from the United States Department of Energy (DOE) based upon ENVY/NorthStar VYs entitlement to receive monetary damages resulting from DOEs ongoing breach of the Standard Contract for Disposal of Spent Nuclear Fuel, No. DE-CR01-3NE44431, applicable to the spent fuel in the VY ISFSI.
Therefore, it is reasonable and appropriate for the NRC staff to consider the planned recovery of funds from DOE as a reliable means to replenish the $20 million in revolving funds allocated from the NDT that NorthStar has earmarked to pay the upfront costs for spent fuel management pending recovery from DOE.
At the outset, it should be emphasized that NorthStar is only proposing use of the $20 million in revolving funds from the NDT and replenishment from DOE recovery for ISFSI maintenance costs. As discussed on page 5-6 of the License Transfer Application, funding for the construction of the second ISFSI pad and transfer of the remaining fuel in the spent fuel pool to the ISFSI (collectively, the Dry Fuel Storage Project) is being provided by the Entergy credit facility. The Dry Fuel Storage Project costs will be the subject of ENVYs Round 3 claim against DOE. NorthStar VY will enter into a promissory note agreeing to repay an Entergy affiliate the amounts advanced for this work upon recovery from DOE, but if DOE recovery is not sufficient to pay off the promissory note, any balance due will be due only after completion of the decommissioning and release of all portions of the site other than the ISFSI. NorthStar is not relying on the recovery of the Round 3 Dry Fuel Storage Project costs from DOE as part of its spent fuel management funding plan; it is only relying on the recovery of the Round 4 and later DOE claims, which are expected to involve claims for only ISFSI maintenance costs.
 
===Background===
When the DOE first breached its obligations under the Standard Contract by failing to begin picking up spent fuel on January 1, 1998, the government asserted many defenses to the claims filed by utilities. A number of issues regarding the type and nature of recoverable damages were litigated and resolved upon appeal in numerous cases over the course of the following decade. As a result, key issues subject to litigation have been resolved, and in recent years, recoveries for damages have been routine.
In December 2016, the DOEs office of the Inspector General issued its Audit Report, OAI-FS-17-04, which includes an Annual Financial Report for the DOEs Nuclear Waste Fund for the fiscal years ended September 30, 2016 and 2015. (A copy of this Audit Report is provided as Appendix A.) These financial statements include an independent Auditors Report by KPMG LLP dated November 15, 2016. Note (9) (pages 21-22) in the financial statements describes the spent nuclear fuel litigation. This note indicates that as of September 30, 2016, the Judgment Fund, 31 U.S.C. 1304, had paid out $4.4 billion for damages in settlements of 38 suits by utilities representing approximately 83 percent of the nuclear-generated electricity in the United States, and another $1.7 billion in damages for judgments in 41 cases. It also indicates additional unappealable judgments for which $161.5 million in payments were planned for 2017.
Eight of forty-one cases resulted in no award for damages, but of these four were dismissed because claims were assigned to another party. See November 6, 2012 DOE Memorandum (page 14) (a copy is provided as Appendix B). As to the eleven cases that remained pending, the Financial Statements indicate: Liability is probable. In fact, the Financial Statements book a remaining liability of approximately $24.7 billion. Of the judgments against DOE to date, ENVY obtained one for approximately $46.5 million that was paid in 2013 and another for approximately $19.1 million that was paid in 2016.
 
BVY 17-043 / Attachment 1 / Page 4 of 11 The payments made by the government to the nuclear industry in 2015 and 2016 totaled approximately $833 million and approximately $796.2 million, respectively. These payments are reflected in the Statement of Changes to Net Position (page 12) under the line item Imputed Financing from Costs Absorbed by Others. This is explained under Imputed Financing Sources in Note (2) (page 16), which notes that settlements and judgments are Paid by the U.S. Treasury Judgment Fund. It is noteworthy that, once a judgment is obtained and unappealable, payments from the Judgment Fund, a permanent indefinite appropriation available to pay final money judgments and awards against the United States, are relatively prompt. See, e.g., Judgment Fund FAQs, at https://www.fiscal.treasury.gov/fsservices/gov/pmt/jdgFund/questions.htm (indicating usually four weeks in response to How long does it take to receive payment?).
The government has acknowledged the diminished uncertainty as to the outcome of litigation against DOE regarding the Standard Contract. For example, the Financial Statements explain in note (9) (page 22):
The Department previously reported several developments that made it difficult to reasonably predict the amount of the Governments likely liability. The courts have since resolved that jurisdiction for these cases is appropriate in the Court of Federal Claims and that the Government cannot assert the unavoidable delays defense, under which, if it were applicable, the Government would not be liable for any damages.
Indeed, as more and more cases have been litigated, the trial and appellate courts have now resolved nearly all of the legal issues and defenses that were at issue in the earlier spent fuel litigation. The difference in experience in recent years is perhaps illustrated by a comparison of the 2016 Audit Report with a November 6, 2012 DOE Memorandum. (A copy is provided as Appendix B.). This 2012 document indicates (page 16) that as of late 2012, the amount paid to date under [ ] settlements and as a result of final judgments was ~$2.6 billion. Thus, in the first 15 years of litigation, the government had paid out just ~$2.6 billion. In contrast, just 4 years later, at the end of 2016, the government had paid out another ~$3.5 billion for settlements and judgments.
ISFSI Maintenance Costs It is well-established that ISFSI maintenance costs, in particular, are generally very likely to be recovered as damages, whether through settlement or litigation. Damages for breach of the Standard Contract are recoverable where: (1) the damages were reasonably foreseeable by DOE at the time of contracting; (2) the breach is a substantial causal factor in the damages; and (3) the damages are shown with reasonable certainty. See Yankee Atomic Elec. Co. v. United States, 125 Fed. Cl. 641, 650 (2016) (citing Indiana Michigan Power Co. v. United States, 422 F.3d 1369, 373 (Fed.Cir. 2005)). Courts have concluded that dry storage construction and maintenance were reasonably foreseeable to DOE in the event of the governments breach.
Yankee Atomic, 125 Fed.Cl. at 653.
It is also well-established that utilities have incurred substantial mitigation costs in storing spent nuclear fuel that otherwise would have been stored by DOE under the contract. That is, there would have been no need for sites like VY to spend substantial sums for additional at-reactor storage had DOE performed under the Standard Contract. As such, courts find that [t]he actual costs at issue here are storage facility operational costs incurred by each utility during the claims period . . . . As the court has previously noted, dry storage construction and maintenance were reasonably foreseeable in the event of the governments breach . . . the
 
BVY 17-043 / Attachment 1 / Page 5 of 11 rather extreme expense of maintaining spent nuclear fuel storage is entirely logical. Yankee Atomic, 125 Fed.Cl. at 653. Accordingly, the government has agreed in settlements to reimburse utilities for those costs incurred by NextEra for managing and storing Spent Nuclear Fuel/High Level Waste which were foreseeable in the event of DOE's Delay, and that NextEra would not have incurred but for, and which are directly related to, DOE's Delay in performance of its acceptance obligations under the Contracts.1 The government also often does not contest routine ISFSI operational and maintenance costs, and these costs are generally recovered. See, e.g., Sacramento Municipal Utility District v. United States, 130 Fed. Cl. 735 (2017) (government objected to only $7 million of SMUDs $29 million claim, and the amount in dispute did not include ISFSI maintenance costs).
Attached as Appendix C are examples where permanently shutdown plants have recovered ISFSI maintenance costs from DOE, together with references in public documents (provided as Enclosures) that verify these recoveries. These examples provide concrete evidence of the routine recovery of ISFSI maintenance costs. Where settlements are obtained, damages are recovered annually. See, e.g., Amerens 2016 SEC Form 10-K (available at https://www.sec.gov/Archives/edgar/data/18654/000100291017000054/aee201610-k.htm ),
at 114 (under its settlement, Ameren received reimbursements from DOE of $24 million,
$14 million and $15 million in 2016, 2015 and 2014 respectively). In litigation, the more recent recoveries for ISFSI maintenance costs have been obtained in 2-3 years. See, e.g.,
Sacramento Mun. Util. Dist. v. United States, 130 Fed. Cl. 735, 741-742 (2017) (2017 judgment for damages through June 30, 2015).
Moreover, DOE has, through its new Standard Contracts, implicitly accepted that the government should be responsible for the long term maintenance of the spent nuclear fuel that remains at nuclear power reactor sites. In 2008, when DOE began entering into new Standard Contracts and amended terms, it provided in the amended Article I, Section 28 that DOEs performance date for beginning to pick up spent nuclear fuel would be ten years after the reactors operating term (including any license renewal). Beyond that point, the amended terms provided in Article IX.C that the plant operator would receive liquidated damages that shall be in the amount of $5 million per year (in January 1, 2008 dollars adjusted for inflation based on the Consumer Price Index), for each year until DOE completes acceptance of all [spent nuclear fuel] and/or [high level waste] from the nuclear power reactor covered by this contract.
The liquidated damages clause assumes that the governments payments would begin after the spent nuclear fuel is in dry cask storage (ten or more years after plant shutdown), so that the governments payment of these liquidated damages represents an implicit acknowledgement of its liability for ISFSI maintenance costs.
Given this implicit admission and the industrys strong record of successful damages recoveries from DOE in recent years, NorthStar believes that it is both reasonable and appropriate to conclude that the recovery of claims against the DOE for ISFSI maintenance costs constitutes a reliable source of funds for purposes of the spent fuel management plan, which includes the funding plan required by 10 CFR 50.54(bb).
RAI - 2:
On page 4 of the application, the Applicants further stated, in part:
1 Letter from K. Feintuch of NRC to C.R. Costanzo of Duane Arnold Energy Center, Enclosure at page 4 (March 29,2010) (Safety Evaluation of Spent Fuel Management Program relying upon recoveries from DOE) (ADAMS Accession No. ML100770505).
 
BVY 17-043 / Attachment 1 / Page 6 of 11
        ...NorthStar will provide a parental financial Support Agreement to NorthStar VY in the amount of $125 million to assure that it is able to meet its financial and regulatory obligations to maintain and decommission VY and comply with all NRC requirements until the Licenses are terminated.
Provide additional information on the calculations used to determine the adequacy of the $125 million parental financial Support Agreement to NorthStar VY for payment of spent fuel management until the Department of Energy is scheduled to take receipt of fuel in 2052.
Specifically, in your discussion, include the time period by which the Support Agreement is anticipated to be executed by NorthStar VY and whether a percentage growth of those monies (annually) has been considered.
 
===Response===
NorthStar has committed to provide parental financial support in the form of capital or loans to support NorthStar VY throughout the decommissioning of VY in an amount not to exceed the fixed total of $125 million. The Support Agreement would be executed at the time of license transfer, and NorthStar VY anticipates that execution of the Support Agreement will be a condition of NRCs license transfer approval.
The amount of the Support Agreement represents more than 20% of the total projected costs of decommissioning, and NorthStar currently plans to maintain this financial support throughout the period of ISFSI maintenance. As described in response to RAI-1, NorthStar VY anticipates that it will be able to enter into a settlement agreement with the DOE, which should provide for the annual recovery of ISFSI maintenance cost damages due to the governments failure to begin picking up spent nuclear fuel on January 1, 1998 as required by the Standard Contract.
There may be a period of time where a settlement is unavailable due to ongoing litigation over the costs of the Dry Fuel Storage Project. Thus, the $125 million provides an additional source of available funding to cover ongoing ISFSI maintenance costs, to the extent they exceed the
$20 million available from the NDT. This $125 million is projected to cover more than 15 years of ISFSI maintenance costs, which provides ample time for any litigation and appeals to be resolved.
Moreover, the $125 million Support Agreement provides an additional, contingent source of funding that is substantially larger than the up to $40 million in Entergy parental guarantees that would be available if necessary and if VY continued under its current ownership.2 Thus, if the proposed transfers are approved, the possibility of up to $40 million in future guarantees from Entergy would be replaced by current access to up to $125 million in funding commitments from NorthStar.
2 Entergys commitments relating to providing a parent company guarantee if needed were described in section 4.2 of its December 19, 2014 Post-Shutdown Decommissioning Activities Report for Vermont Yankee and would be replaced and extinguished at closing by NorthStars commitment to provide the
$125 million Support Agreement.
 
BVY 17-043 / Attachment 1 / Page 7 of 11 RAI - 3:
Explain the principal characteristics of the parental financial Support Agreement provided in the application as Enclosure 6, and provide the rationale for using the parental financial Support Agreement in lieu of a parent company guarantee or some other financial assurance mechanism as a means for decommissioning financial assurance, as described in 10 CFR 50.75(e)(1)(iii).
 
===Response===
The terms and conditions of the Support Agreement are substantially identical to the terms and conditions of numerous parental financial support agreements that have been offered in connection with license transfer reviews involving operating reactors.3 Such support agreements are intended to be relied upon as providing additional assurances supporting the financial qualifications of the transferee, and they are separate and apart from decommissioning funding assurance, which must involve using one of the methods set forth in 10 CFR 50.75(e),
such as a guarantee meeting the requirements of 10 CFR 50.75(e)(1)(iii).
NorthStar NDC and NorthStar VY believe that the information provided in the LTA and its enclosures establishes that they meet the requirements for providing financial assurance for decommissioning using the prepayment method as specified in 10 CFR 50.75(e)(1)(i),
provided that use of funds for spent fuel management is limited to $20 million at any one time.
Thus, the $125 million Support Agreement is intended to enhance the financial qualifications of NorthStar NDC and NorthStar VY, by establishing an additional source funds to address emerging or unexpected issues and costs that might arise during decommissioning; i.e.,
NorthStar NDC and NorthStar VY are not relying upon the Support Agreement as a means for demonstrating decommissioning financial assurance pursuant to 10 CFR 50.75. In addition, the Support Agreement is integral to the plan required pursuant to 10 CFR 50.54(bb) to provide funding for the costs of managing spent nuclear fuel until the Secretary of Energy takes title to the spent nuclear fuel. Although it is anticipated that $20 million in revolving funds should be adequate to fund spent fuel management costs pending recovery of ISFSI maintenance costs from DOE, the $125 million Support Agreement assures that there is a legally binding mechanism through which NorthStar VY can access funding for an additional 15 years of ISFSI maintenance costs, if recovery from DOE were delayed. Unlike 10 CFR 50.75(e), 10 CFR 50.54(bb) does not prescribe the methods by which spent fuel management activities must be funded.
3 See, e.g., 70 FR 70107, 70108 (Nov. 21, 2005) (Order approving transfer of licenses with condition regarding $400 million Support Agreement); 69 FR 34197, 34198 (June 18, 2004) (Order approving of license transfer with $60 million Support Agreement).
 
BVY 17-043 / Attachment 1 / Page 8 of 11 Technical RAls The NRC staff considered the following regulations and guidance for the technical qualification evaluation: 10 CFR 50.40(b), "Common Standards"; 10 CFR 50.80, "Transfer of Licenses"; the applicable section of 10 CFR 72.50, "Transfer of License" (Section 72.50(a) for the transfer of general licenses); Standard Review Plan (SRP) NUREG-0800, Section 13.1.1, "Management and Technical Support Organization," and Sections 13.1.2 - 13.1.3, "Operating Organizations";
Regulatory Guide 1.8, Revision 3, May, 2000, Qualification and Training of Personnel for Nuclear Power Plants; and American Nuclear Society/ American National Standards Institute (ANS/ANSI) 3.1-2014, Selection, Qualification and Training of Personnel for Nuclear Power Plants.
RAI - 4:
More information is needed to determine the technical qualifications of the proposed transferee, as required under 10 CFR 50.40(b), 50.80(b)(1) and 50.80 (c)(1).
Further detail on both the responsibilities and experience of the senior managers identified on the organization chart in Enclosure 3 to the application (Attachment 1) is needed to determine the qualifications of the persons who will be filling those positions.
In addition to the resumes provided for the key management personnel in the application, please provide the resumes for each named person in the management positions identified in the planned NorthStar NDC organization chart in Enclosure 3 of the application, namely the QA Manager, Health & Safety Manager, ISFSI/Plant Manager, D&D Operations Manager, Remediation Manager, Waste Manager, and Compliance Engineering Manager. For those management positions without a named individual please provide a description of the position responsibilities.
Please identify the individual on the organization chart who would be considered the "Site Manager," or the onsite person who would have the ultimate responsibility for day to day operations at the site; in addition, describe the responsibilities of the manager responsible for radiological protection and the experience of that person if one has been named.
Also, Attachment 1, Section 4b, "Strategic Partner Experience and Expertise," of the application lists four university research reactors, at the Universities of Buffalo, Arizona, Illinois and Washington, as successful NorthStar decontamination and decommissioning projects. It is mentioned that NorthStar has been, or will be, involved with decommissioning at the Hanford and Savannah River sites, at several university laboratories, and at ten reactor sites in the United Kingdom. Please provide information regarding NorthStar's management and technical role in these decommissioning projects. For each project, please describe NorthStar's role as either the principal lead contractor or subcontractor and the technical services it provided at these sites.
 
===Response===
Resumes for the managers identified on Enclosure 3 to the application are provided in Appendix D.
: i. QA Manager (Terry Krause - Burns & McDonald) ii. Health & Safety Manager (John Ryan)
 
BVY 17-043 / Attachment 1 / Page 9 of 11 iii. ISFSI/Plant Manager (Corey Daniels) iv. D&D Operations Manager (Nelson Langub)
: v. Remediation Manager (Scott LaBuy) vi. Waste Manager (Matthew LaBarge - WCS), and vii. Compliance Engineering Manager (Terry Garrett - Burns & McDonald).
viii. Director of Health Physics and Waste Operations (Daniel Jordan)
The Decommissioning Program manager, Billy Reid, will be the Site Manager and have ultimate responsibility for day to day operations at the site. Daniel Jordan will be the manager responsible for radiation protection (RP). A description of the ISFSI RP and Environmental Program Coordinator is also provided following Mr. Jordans resume.
Information regarding NorthStars role in decommissioning projects is provided in the table below:
Radiological Waste Packaging, Systems and Components                          Radiological Assessments, Principal Lead Contractor Mixed Waste Packaging, Reactor Disassembly  Decontamination                            Structural Demolition                                                                                          Clean Waste T&D  Final Status Surveys D&D Planning                                          Removal                                          Work Coverage, Monitoring  Transportation, Disposal        Transportation, Disposal                                                                        Subcontractor University at Buffalo D&D                      9 99 9 9 9                                                                                                                        9                              9                          99 9 University of Illinois TRIGA                    9 9 9 9 9 9                                                                                                                        9                              9                          99 9 University of Arizona TRIGA                    9 9 9 9                                                                                                9                          9                              9                          99 9 University of Washington D&D            9 9 9 9                                                                                                9                          9                                                          99 9 Hanford 308, 309, 340 9                                                      9 9                                                                          9                                                                                                                              9 Oak Ridge Y-12 National Security        9                                                                              9                                                  9                                                                                                  9 Complex Building 9211 and 9769 Savannah River Site Cooling Towers            9                                                                                                                                                                                              9                                                                    9 UK Magnox Sites 9                                                                                                                                                                                                                                                                  9
 
BVY 17-043 / Attachment 1 / Page 10 of 11 Further information regarding this experience is provided in Appendix E.
RAI - 5:
SRP NUREG-0800, Section 13.11, "Management and Technical Support Organization," and Sections 13.1.2 - 13.1.3, "Operating Organizations," indicate that the objective of a review of license transfers under 10 CFR 50.80 is to ensure that the corporate management is involved with, informed of, and dedicated to the safe decommissioning of the plant. In addition, the review is to ensure that sufficient technical resources will be provided to adequately accomplish this objective and that there are sufficient interface arrangements and controls between the applicant and the major support organizations that the applicant will be responsible for and Oversee.
More information is needed to evaluate any proposed changes to the current technical organization as a result of the transfer and to evaluate the supporting technical resources that will be used for the decommissioning operations.
Please describe how the current Entergy organizational chart for decommissioning the VY facility will change if the application is approved by the NRC. If a function under the current organization will not be carried to the organization proposed by the Applicants, please explain why.
NorthStar NDC identified the ability to leverage the experience of its parent, NorthStar Group Services Inc., and strategic partners AREVA, Bums & McDonnell, and Waste Control Specialists, named in the application as support for performing the decommissioning, decontamination and site restoration of the VY facility. Please identify where the parent company and strategic partners fit into the planned NorthStar NDC organization chart in  of the application. Also, please identify where in the organization these supporting organizations would provide support to operations at the site, and identify the lines of communication and authority these supporting organization would have in the overall organization.
 
===Response===
NorthStar NDC and NorthStar VY anticipate that Entergy will transition its VY organization to be aligned with managing spent nuclear fuel in an ISFSI-only configuration by the end of 2018, upon completion of the Dry Fuel Storage Project. An organization chart reflecting the SAFSTOR Phase 3 Entergy organization that is expected to be transitioned by Entergy upon completion of the fuel transfer to the ISFSI, modifications for the ISFSI Security Protected Area, and implementation of changes related to the transition to ISFSI status that require NRC approval, which are anticipated to be in place by the end of 2018, just prior to the proposed license transfer, is provided below:
 
BVY 17-043 / Attachment 1 / Page 11 of 11 NorthStar NDC plans to incorporate the Entergy organization into the decommissioning and decontamination execution organization reflected in Enclosure 3. Enclosure 3 shows the ISFSI/Plant Manager from the Entergy organization reporting to the NorthStar NDC Decommissioning Program Manager.
In addition to providing input through the Executive Committee reflected on Enclosure 3, NorthStar NDC expects that its strategic partners will act as contractors performing various functions under the oversight of the NorthStar NDC organization reflected in Enclosure 3. For example, AREVA will establish an organization to conduct the reactor pressure vessel segmentation, and this organization will report to and conduct its activities under the oversight of NorthStar NDCs D&D Operations Manager. The following chart provides each strategic partners various functions:
 
BVY 17-043 / Attachment 1 / Appendices Appendices to Attachment 1 Appendix A - Audit Report OAI-FS-17-04, December 2016 Appendix B - DOE Memorandum: Liability Estimate, November 6, 2012 Appendix C - Permanently Shutdown Plants Recovering ISFSI Operating Costs from DOE (including Enclosures 1 through 5 to Appendix C)
Appendix D - D&D Organization Resumes Appendix E - Decommissioning Experience Project Profiles (243 pages including this cover page)
 
APPENDIX A Audit Report OAI-FS-17-04 December 2016
 
OFFICE OF INSPECTOR GENERAL U.S. Department of Energy AUDIT REPORT OAI-FS-17-04 04    December 2016
 
Department of Energy Washington, DC 20585 December 14, 2016 MEMORANDUM FOR THE DIRECTOR, OFFICE OF STANDARD CONTRACT MANAGEMENT FROM:                    Rickey R. Hass Acting Inspector General
 
==SUBJECT:==
INFORMATION: Audit Report on Department of Energy Nuclear Waste Funds Fiscal Year 2016 Financial Statement Audit The attached report presents the results of the independent certified public accountants audit of the balance sheets of the Department of Energy Nuclear Waste Fund (Fund), as of September 30, 2016 and 2015, and the related statements of net cost, changes in net position, and statements of budgetary resources for the years then ended.
To fulfill Office of Inspector General (OIG) audit responsibilities, we contracted with the independent public accounting firm of KPMG LLP (KPMG) to conduct the audit, subject to our review. KPMG is responsible for expressing an opinion on the Funds financial statements and reporting on applicable internal controls and compliance with laws and regulations. The OIG monitored audit progress and reviewed the audit report and related documentation. This review disclosed no instances where KPMG did not comply, in all material respects, with generally accepted Government auditing standards. The OIG did not express an independent opinion on the Funds financial statements.
KPMG concluded that the combined financial statements present fairly, in all material respects, the respective financial position of the Fund as of September 30, 2016 and 2015, and its net costs, changes in net position, and budgetary resources for the years then ended, in conformity with United States generally accepted accounting principles.
As part of this review, auditors also considered the Funds internal controls over financial reporting and tested for compliance with certain provisions of laws, regulations, contracts, and grant agreements that could have a direct and material effect on the determination of financial statement amounts. The results of the auditors review disclosed no instances of noncompliance or other matters required to be reported under generally accepted Government auditing standards or applicable Office of Management and Budget guidance.
Attachment cc:  Chief Financial Officer, CF-1 Deputy Chief Financial Officer, CF-2
 
                                    "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Annual Financial Report As of and for the Years Ended September 30, 2016 and 2015 November 15, 2016
                      
 
                                                                                  "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Annual Financial Report September 30, 2016 and September 30, 2015 Table of Contents Page Managements Discussion and Analysis Reporting Entity and Financial Performance                                        3 Analysis of Systems, Controls and Legal Compliance                                5 Independent Auditors Report                                                          7 Financial Results Balance Sheets                                                                    10 Statements of Net Cost                                                            11 Statements of Changes in Net Position                                            12 Statements of Budgetary Resources                                                13 Notes to Financial Statements                                                    14 Other Information Schedule I - Schedule of Cumulative Net First and Second Repository Costs        26 Schedule II - Schedule of Cumulative Billings and Interest and Deferred Revenue    27
                                              
 
                                                                                          $WWDFKPHQW Managements Discussion & Analysis Reporting Entity The Nuclear Waste Policy Act of 1982 (NWPA) (Public Law 97-425) established the Office of Civilian Radioactive Waste Management (OCRWM) within the United States (U.S.) Department of Energy (Department or DOE). OCRWMs mission was to manage and dispose of the Nations spent nuclear fuel (SNF) and high-level radioactive waste (HLW). The Nuclear Waste Policy Amendments Act of 1987 (Title V, Public Law 100-203) directed the Secretary of Energy to characterize only the Yucca Mountain site in Nevada as a candidate site to determine if it was suitable for a repository for SNF and HLW.
The characterization of the Yucca Mountain site was completed and in 2008 OCRWM submitted a license application to the U.S. Nuclear Regulatory Commission (NRC or the Commission) seeking authorization to construct the Yucca Mountain repository. In fiscal year (FY) 2009, the Obama Administration decided to terminate the Yucca Mountain Project. On January 29, 2010, at the direction of the President, the Secretary announced the formation of the Blue Ribbon Commission (BRC) and on February 1, 2010, the President issued the FY 2011 Budget Request with a zero budget request for OCRWM. On March 3, 2010 the Department filed a motion to withdraw with prejudice the Yucca Mountain License Application pending before the Atomic Safety and License Board (ASLB or Board) of the NRC. On June 29, 2010, the ASLB issued an order denying the Departments motion to withdraw the License Application, which the Department appealed to the NRC, the body with final authority over NRC decision-making. On October 1, 2010 the Department shifted OCRWM program responsibilities to various Departmental Program Secretarial Offices.
On July 29, 2011, a lawsuit was filed against the NRC in the U.S. Court of Appeals for the District of Columbia Circuit requesting a writ of mandamus ordering the NRC to continue reviewing the Yucca Mountain license application.
On September 9, 2011, the NRC issued its decision in which the Commission (1) announced it was split evenly on the question whether the NRCs ASLB had properly refused to allow the Departments motion to withdraw the Yucca Mountain construction license application with prejudice, and (2) unanimously held that budgetary limitations required the ASLB to dispose of pending matters by the end of FY 2011 and to document the history of the adjudicatory process.
On September 30, 2011, the Board issued a memorandum and order suspending the adjudicatory portion of the licensing proceeding due to uncertainty regarding the availability of future appropriations from the NWF to pay for future proceeding and a lack of staff to continue the proceeding since the Presidents FY 2012 budget request for Yucca Mountain high-level waste activities did not include a request for any full-time equivalent positions. The adjudicatory portion of the licensing proceeding remains suspended.
The BRC submitted a final report in January 2012 with its recommendations for consideration by the Administration and Congress, as well as interested state, tribal and local governments, other stakeholders, and the public.
                                                  
 
                                                                                    $WWDFKPHQW On August 13, 2013, the U.S. Court of Appeals for the District of Columbia Circuit issued a writ of mandamus to the NRC to promptly continue with the legally mandated licensing proceeding unless and until Congress authoritatively says otherwise or there are no appropriated funds remaining.
On November 18, 2013 the NRC requested the Department of Energy to prepare the supplemental environmental impact statement (EIS) that the NRC staff determined was needed for purposes of the review of the application under the National Environmental Policy Act (NEPA). On February 28, 2014 the Department wrote to the NRC that it would provide to the NRC an updated version of the report it provided to the NRC on July 30, 2009, entitled, Analysis of Postclosure Groundwater Impacts for a Geologic Repository for the Disposal of Spent Nuclear Fuel and High-Level Radioactive Waste at Yucca Mountain, Nye County, Nevada. The updated report was provided by the DOE to the NRC on October 3, 2014. The analysis provides the NRC with substantially all of the technical information necessary to inform a draft EIS.
No funds for Yucca Mountain were requested in the FY 2016 or FY 2015 Budget Requests.
Funds remaining from OCRWM have been used between October 1, 2010 and September 30, 2016 to continue the management of the Nuclear Waste Fund (NWF), litigation activities, and for additional closure activities. The funds are managed by the Office of Nuclear Energy.
Fiscal Year 2016 and 2015 Financial Performance The principal financial statements have been prepared to report the financial position and results of operations of the entity, pursuant to the requirements of 31 United States Code 3515 (b). While the statements have been prepared from the books and records of the entity in accordance with Generally Accepted Accounting Principles for Federal entities and the formats prescribed by Office of Management of Budget (OMB), the statements are in addition to the financial reports used to monitor and control budgetary resources, which are prepared from the same books and records. The statements should be read with the realization that they are for a component of the U.S. Government, a sovereign entity.
The NWF consists of fees paid by the owners and generators of SNF from commercial reactors, in accordance with provisions of their contracts with the Department for disposal services. NWF assets in excess of those authorized by Congress to pay Nuclear Waste Policy Act costs are invested in U.S. Treasury securities. On November 19, 2013, the U.S. Court of Appeals for the District of Columbia Circuit found that the Department did not have a legitimate basis to evaluate the ongoing fee and directed the Department to propose to Congress a reduction of the ongoing fee to zero. The Department complied and such proposal became effective on May 16, 2014. The Nuclear Waste Policy Act originally provided that the federal government would pay the costs of defense-generated nuclear waste directly into the Nuclear Waste Fund. However, Congress in 1993 changed that requirement to instead establish a separate Defense Nuclear Waste Disposal appropriation (DNWDA). As of September 30, 2016, cumulative billings from fees and the DNWDA, totaled approximately $25.4 billion; and cumulative interest earnings and other revenue totaled approximately $24.8 billion. As of September 30, 2016, cumulative expenditures by the Department from appropriations and amounts authorized by Congress, including direct appropriations to the NRC, the now defunct Office of the Nuclear Waste Negotiator, and the Nuclear Waste Technical Review Board, totaled approximately $11.4 billion.
                                                
 
                                                                                              $WWDFKPHQW As of September 30, 2016, the U.S. Treasury securities held by the Department related to the NWF had a fair value of $46.0 billion compared to $42.4 billion at the end of fiscal year FY 2015.
Investment income and net gains from the maturity of securities totaled $1.4 billion for FY 2016 and FY 2015, respectively.
ANALYSIS OF SYSTEMS, CONTROLS, AND LEGAL COMPLIANCE Analysis of systems, controls, and legal compliance is performed, reported, and audited at the Departmental level. The results of these reviews and assessments are incorporated in the Departments Annual Financial Report. A significant issue, Used Fuel and High Level Waste Disposal, was reported by management in FY 2016 and FY 2015 and is described below.
Federal Managers Financial Integrity Act The Federal Managers Financial Integrity Act (FMFIA) of 1982 requires that agencies establish internal control and financial systems to provide reasonable assurances that the integrity of Federal programs and operations are protected. Furthermore, it requires that the head of the agency provide an annual assurance statement on whether the agency has met this requirement and whether any material weaknesses exist.
In response to the FMFIA, the Department developed an internal control program which holds managers accountable for the performance, productivity, operations, and integrity of their programs through the use of management controls. Annually, senior managers at the Department are responsible for evaluating the adequacy of the internal controls surrounding their activities and determining whether they conform to the principles and standards established by the Office of Management and Budget, and the Government Accountability Office. The results of these evaluations and other senior management information are used to determine whether there are any internal control problems to be reported as material weaknesses. The Departmental Internal Control and Audit Review Council, the organization responsible for oversight of the Management Control Program, makes the final assessment and decision for the Department.
Significant Issue - USED FUEL AND HIGH LEVEL WASTE DISPOSAL The governments acceptance of spent nuclear fuel and high-level radioactive waste, authorized under the NWPA, has been delayed by various factors.
Actions Taken and Remaining The Secretary, acting at the direction of the President, established the BRC on Americas Nuclear Future to conduct a comprehensive review of policies for managing the back end of the nuclear fuel cycle, including all alternatives for the storage, processing, and disposal of civilian and defense used nuclear fuel, high-level waste, and materials derived from nuclear activities. The BRC submitted a final report in January 2012 with their recommendations for consideration by the Administration and Congress. The Administration issued the Strategy for the Management and Disposal of Used Nuclear Fuel and High-Level Waste on January 11, 2013 (Strategy), which is primarily based on the BRCs recommendation, but no Congressional action has been taken to date to fully implement the Strategy. The key assumptions from the Strategy are: that (1) a pilot storage facility will be operational in 2021 to allow for the removal of SNF from shut down reactors; (2) an interim storage facility will be operational in 2025 to begin the removal of SNF
                                                  
 
                                                                                              $WWDFKPHQW from operating nuclear power reactors and (3) that reactors will incur costs reimbursable by the Department until the Department has fulfilled its obligations under the agreements. The Department continues to perform research and development, analytical, and planning activities that lay the groundwork for implementing the Strategy.
                                              
 
                                                                                            "UUBDINFOU KPMG LLP Suite 12000 1801 K Street, NW Washington, DC 20006 Independent Auditors Report United States Department of Energy Acting Inspector General United States Department of Energys Nuclear Waste Fund:
Report on the Financial Statements We have audited the accompanying financial statements of the United States (U.S.) Department of Energys (Department) Nuclear Waste Fund (Fund), which comprise the balance sheets as of September 30, 2016 and 2015, and the related statements of net cost, changes in net position, and budgetary resources for the years then ended, and the related notes to the financial statements.
Managements Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with U.S. generally accepted accounting principles; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error.
Auditors Responsibility Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America, in accordance with the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, and in accordance with Office of Management and Budget (OMB) Bulletin No. 15-02, Audit Requirements for Federal Financial Statements. Those standards and OMB Bulletin No. 15-02 require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement.
An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditors judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entitys preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entitys internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.
Opinion on the Financial Statements In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of the Fund as of September 30, 2016 and 2015, and its net costs, changes in net position, and budgetary resources for the years then ended in accordance with U.S. generally accepted accounting principles.
KPMG LLP is a Delaware limited liability partnership, the U.S. member firm of KPMG International Cooperative
                                                                    
(KPMG International), a Swiss entity.
 
                                                                                                      "UUBDINFOU Emphasis of Matter As discussed in Note 9 to the financial statements, the Department is involved as a defendant in several matters of litigation relating to its inability to accept waste by the January 31, 1998 date specified in the Nuclear Waste Policy Act of 1982, as amended. The Fund has recorded an estimate of its liability related to this matter of $24.7 billion, and $23.7 billion as of September 30, 2016 and 2015, respectively. Our opinion is not modified with respect to this matter.
Other Matters Required Supplementary Information U.S. generally accepted accounting principles require that the information in the Managements Discussion
& Analysis section be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Federal Accounting Standards Advisory Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with managements responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audits of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance.
Other Information Our audits were conducted for the purpose of forming an opinion on the basic financial statements as a whole. The Other Information - Schedules I and II - is presented for purposes of additional analysis and is not a required part of the basic financial statements. Such information has not been subjected to the auditing procedures applied in the audits of the basic financial statements, and accordingly, we do not express an opinion or provide any assurance on it.
Other Reporting Required by Government Auditing Standards Internal Control Over Financial Reporting In planning and performing our audit of the financial statements as of and for the year ended September 30, 2016, we considered the Funds internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the Funds internal control. Accordingly, we do not express an opinion on the effectiveness of the Funds internal control. We did not test all internal controls relevant to operating objectives as broadly defined by the Federal Managers Financial Integrity Act of 1982.
A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entitys financial statements will not be prevented, or detected and corrected, on a timely basis. A
                                                      
 
                                                                                                      "UUBDINFOU significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance.
Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified.
Compliance and Other Matters As part of obtaining reasonable assurance about whether the Funds financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests of compliance disclosed no instances of noncompliance or other matters that are required to be reported herein under Government Auditing Standards or OMB Bulletin No. 15-02.
Purpose of the Other Reporting Required by Government Auditing Standards The purpose of the communication described in the Other Reporting Required by Government Auditing Standards section is solely to describe the scope of our testing of internal control and compliance and the result of that testing, and not to provide an opinion on the effectiveness of the Funds internal control or compliance. Accordingly, this communication is not suitable for any other purpose.
Washington, DC November 15, 2016
                                                    
 
                                                                                                              "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Balance Sheets As of September 30, 2016 and 2015 (Dollars in thousands)
FY 2016          FY 2015 ASSETS Intragovernmental:
Fund Balance with Treasury (Note 3)                                                    $        15,644  $        23,038 (Note 4)
Investments and Related Interest, Net                                                      36,027,301      34,295,100 Total Intragovernmental Assets                                                    36,042,945      34,318,138 Accounts Receivable:
(Note 5)
Utilities                                                                                    2,788,593        3,084,822 Prepaid Pension Asset, Net                                                                              -              99 General Property, Plant, and Equipment, Net (Note 6)                                                  132              182 Total Assets                                                                $    38,831,670  $    37,403,241 LIABILITIES Intragovernmental: (Note 8)
Accounts Payable                                                                      $            1  $            95 Deferred Revenue (Notes 7 and 10)                                                              633,944          633,490 Other Liabilities                                                                                  197              197 Total Intragovernmental Liabilities                                                  634,142          633,782 Accounts Payable and Other Liabilities                                                                794              190 Deferred Revenue (Note 10)                                                                      38,182,583      36,752,793 (Note 9)
Commitments and Contingencies                                                                  24,689,260      23,699,690 (Note 8)
Total Liabilities                                                                63,506,779      61,086,455 NET POSITION Unexpended Appropriations - Other Funds                                                            14,151          16,476 Cumulative Results of Operations - Other Funds                                                (24,689,260)    (23,699,690)
Total Net Position                                                              (24,675,109)    (23,683,214)
Total Liabilities and Net Position                                          $    38,831,670  $    37,403,241 The accompanying notes are an integral part of these statements.
1
 
                                                                                                                "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Statements of Net Cost For the Years Ended September 30, 2016 and 2015 (Dollars in thousands)
FY 2016          FY 2015 First Repository Costs                                                                $          3,117  $          974 All Other Program Costs:
Program Support                                                                            747            1,413 (Note 7)
Transfers of Appropriations                                                              3,600            3,400 Waste Acceptance, Storage and Transportation                                              1,369            1,919 Total All Other Program Costs                                                        5,716            6,732 Total First Repository and Other Program Costs                                        8,833            7,706 (Note 10)
Less Earned Revenues                                                                    (8,833)          (7,706)
Net First Repository Costs & Other Program Costs                                          -                -
Estimated costs for waste acceptance obligations                                          1,785,763        1,898,995 Net Cost of Operations                                                            $      1,785,763  $    1,898,995 The accompanying notes are an integral part of these statements.
                                                              
 
                                                                                                            "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Statements of Changes in Net Position For the Years Ended September 30, 2016 and 2015 (Dollars in thousands)
FY 2016          FY 2015 CUMULATIVE RESULTS OF OPERATIONS Beginning Balance                                                                $    (23,699,690) $  (22,633,674)
Other Financing Sources (Non-Exchange):
Imputed Financing from Costs Absorbed by Others                                          796,193          832,979 Total Other Financing Sources                                                      796,193          832,979 Net Cost of Operations                                                                  (1,785,763)      (1,898,995)
Net Change                                                                                (989,570)      (1,066,016)
Ending Balance - Cumulative Results of Operations                                $    (24,689,260) $  (23,699,690)
UNEXPENDED APPROPRIATIONS Beginning Balance                                                                $          16,476  $        19,049 Budgetary Financing Sources Related to Appropriations:
Appropriations Used                                                                      (2,325)          (2,573)
Total Budgetary Financing Sources Related to Appropriations                          (2,325)          (2,573)
Ending Balance - Unexpended Appropriations                                                  14,151          16,476 Total Net Position                                                                $    (24,675,109) $  (23,683,214)
The accompanying notes are an integral part of these statements.
                                                          
 
                                                                                                            "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Statements of Budgetary Resources For the Years Ended September 30, 2016 and 2015 (Dollars in thousands)
FY 2016          FY 2015 BUDGETARY RESOURCES Unobligated Balance, Brought Forward, October 1                                    $          19,003  $        16,234 Recoveries of Unpaid Prior Year Obligations                                                      478            3,514 Unobligated Balance from Prior Year Budget Authority, net                                    19,481          19,748 (Note 2)
Appropriations                                                                                    -                -
Spending Authority from Offsetting Collections                                                    -              280 Total Budgetary Resources                                                      $          19,481  $        20,028 STATUS OF BUDGETARY RESOURCES (Note 12)
New Obligations and Upward Adjustments                                            $            977  $        1,025 Unobligated Balance, End of Year:
Apportioned, Unexpired Accounts                                                            5,719                -
Exempt from Apportionment, Unexpired Accounts                                              12,785          13,290 Unapportioned, Unexpired Accounts                                                              -            5,713 Unobligated Balance, End of Year                                                          18,504          19,003 Total Budgetary Resources                                                      $          19,481  $        20,028 CHANGE IN OBLIGATED BALANCE Unpaid Obligations, Brought Forward, October 1                                    $          17,599  $        24,854 New Obligations and Upward Adjustments                                                          977            1,025 Outlays (Gross)                                                                              (4,575)          (4,766)
Recoveries of Prior Year Unpaid Obligations                                                    (478)          (3,514)
Obligated Balance, End of Year                                                    $          13,523  $        17,599 BUDGET AUTHORITY AND OUTLAYS, NET Budget Authority, Gross                                                            $              -  $          280 Actual Offsetting Collections                                                                      -            (280)
Budget Authority, Net                                                              $              -  $            -
Outlays, Gross                                                                    $          4,575  $        4,766 Actual Offsetting Collections                                                                      -            (280)
Distributed Offsetting Receipts                                                          (1,734,550)      (1,429,413)
Outlays, Net                                                                      $      (1,729,975) $    (1,424,927)
The accompanying notes are an integral part of these statements.
                                                            
 
                                                                                                                      "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(1) Legislative Background The Nuclear Waste Policy Act of 1982 (NWPA) was signed into law on January 7, 1983. The NWPA establishes a framework for the financing, siting, licensing, operating and decommissioning of one or more mined geologic repositories for the Nations spent nuclear fuel (SNF) and high-level radioactive waste (HLW) which is to be carried out by the Department of Energy (Department or DOE). In addition, the NWPA contains other provisions including:
x    Assigning responsibility for the payment of disposal costs to the owners and generators of SNF and HLW and creating a special Nuclear Waste Fund (NWF) within the Department of Treasury of the United States for the collection of fees to cover such costs; x    Providing for contracts between the Department and the owners and generators of SNF and HLW pursuant to which the Department is to take title to the SNF or HLW as expeditiously as possible, following commencement of repository operations and, in return for payment of fees established by the NWPA, to begin disposal of the SNF or HLW not later than January 31, 1998; and x    Requiring evaluation of the use of civilian disposal capacity for the disposal of HLW resulting from atomic energy defense activities (Defense HLW). In April 1985, the President notified the Department of his determination that a separate defense waste repository was not necessary and directed the Department to proceed with arrangements for disposal of such waste. Fees, equivalent to those paid by commercial owners, must be paid for this service by the Federal Government. In March 2015, the President found that the development of a repository for the disposal of Defense HLW is required.
On December 22, 1987, the President signed into law the Budget Reconciliation Act, Subtitle A Title V, of which contained amendments to the NWPA. The legislation directed the Department to characterize only the Yucca Mountain site in Nevada as a candidate site for the first repository. The legislation also provided for the termination of site-specific activities at all candidate sites other than the Yucca Mountain site, within 90 days of enactment, and for phasing out, not later than six months after enactment, all research programs in existence that were designed to evaluate the suitability of crystalline rock as a potential repository host medium.
In fiscal year (FY) 2009, the President and the Department Secretary announced that a repository at Yucca Mountain was not a workable option and that the repository program would be terminated. At that time, they also announced that a Blue Ribbon Commission would be established to evaluate disposal alternatives. Accordingly, on January 29, 2010, the Department Secretary announced the formation of a Blue Ribbon Commission on America's Nuclear Future to provide recommendations for developing a safe, long-term solution to managing the Nation's used nuclear fuel and nuclear waste. The Blue Ribbon Commission submitted a final report in January 2012 with their recommendations on these issues for consideration by the Administration and Congress, as well as interested state, tribal and local governments, other stakeholders, and the public. On February 1, 2010, the President issued the FY 2011 Budget Request with a zero budget request for the Nuclear Waste Fund Appropriation and the Defense Nuclear Waste Disposal Appropriation (formerly known as and reported under the Office of Civilian Radioactive Waste Management (OCRWM) prior to FY 2011). Consequently, the Department closed OCRWM on September 30, 2010, and, on October 1, 2010, the Department reassigned prior responsibilities for the operations of OCRWM and its assets and liabilities within the Department, herein referred to as the NWF.
                                                                
 
                                                                                                                    "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(2) Significant Accounting Policies Basis of Presentation - These financial statements have been prepared to report the financial position and results of operations of the NWF and include all activity related to the Nuclear Waste Fund Appropriation and the Defense Nuclear Waste Disposal Appropriation, used for the disposal of SNF and HLW (formerly reported under the Office of Civilian Radioactive Waste Management). The financial statements have been prepared from the books and records of the Department for the NWF in accordance with accounting principles generally accepted in the United States of America as applicable to Federal entities.
Basis of Accounting - The NWFs financial statements are prepared using the accrual method of accounting.
Under the accrual method, revenues are recognized when earned, and expenses are recognized when a liability is incurred without regard to receipt or payment of cash. The NWF also uses budgetary accounting to facilitate compliance with legal constraints and to monitor its budget authority.
Revenue Recognition - Fees, related accrued interest, and investment income are recognized as exchange (earned) revenue to the extent of expenses incurred, subject to Congressional authorization as discussed below. Fees billed, related accrued interest, and investment income in excess of current expenses are deferred.
The NWPA requires the civilian owners and generators of nuclear waste to pay their share of the full cost of the NWF and, to that end, establishes a fee for electricity generated and sold by civilian nuclear power reactors which the Department must collect and annually assess to determine its adequacy. A one-time fee (see Note 5) was recorded by the NWF as of April 7, 1983, related to the disposal of SNF generated prior to that date. Fees recognized by the NWF are based upon kWh of electricity generated and sold by civilian nuclear reactors on and after April 7, 1983.
Fees associated with the disposal of the Departments SNF and HLW are also recognized as the related costs are incurred and allocated. To estimate the share of the total Program costs that should be allocated to the Department, the methodology announced by the Department in the Federal Register in August 1987 was used. Department management periodically updates the Analysis of the Total System Life Cycle Cost of the Civilian Radioactive Waste Management Program (TSLCC), which establishes the amounts to allocate. The most recent TSLCC was issued in 2008.
Appropriations - Expenditure authority for the NWF has historically been provided by two separate appropriations. For fiscal years 2016 and 2015, Congress appropriated $0 from the Defense Nuclear Waste Disposal Appropriation and the Nuclear Waste Disposal Appropriation to be used for nuclear waste disposal activities.
Fee payments and investment income are deposited into the NWF account and are made available to the Department through the annual expenditure authority provided by Congress. Investments are made in United States (U.S.)
Treasury securities from funds in excess of current needs. If, at any time, monies available in the NWF are insufficient to discharge responsibilities under the NWPA, borrowings may be made from the U.S. Treasury. The NWPA limits the NWF from incurring expenditures, entering into contracts, and obligating amounts to be expended except as provided in advance by appropriation acts. Appropriated dedicated collections such as these are excluded from appropriations received on the Statements of Changes in Net Position.
                                                              
 
                                                                                                              "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(2) Significant Accounting Policies (continued)
Imputed Financing Sources - In certain instances, costs of the NWF are paid out of funds appropriated to other federal agencies. For example, payments under the terms of settlements and judgments are paid by the U.S.
Treasury Judgment Fund (Judgment Fund). When costs directly attributable to NWFs operations are paid by other agencies, NWF recognizes these amounts in the Statements of Net Cost. In addition, these amounts are recognized as imputed financing sources in the Statements of Changes in Net Position.
Funds from Dedicated Collections - NWF follows Statement of Federal Financial Accounting Standards (SFFAS) No. 43, Funds from Dedicated Collections, which requires separate identification of funds from dedicated collections on the Balance Sheets, Statements of Changes in Net Position, and other selected footnotes.
Funds from dedicated collections are financed by specifically identified revenues, often supplemented by other financing sources, which remain available over time. These specifically identified revenues and other financing sources are required by statute to be used for designated activities, benefits or purposes, and must be accounted for separately from the Governments general revenues (see Note 11).
Investments - Investments are in U.S. Treasury securities and are stated at cost net of amortized premiums and discounts as it is the Departments intent to hold the investments to maturity. Premiums and discounts are amortized using the effective interest yield method (see Note 4).
General Property, Plant, and Equipment - Purchases of general property, plant, and equipment (PP&E) exceeding $50 are capitalized if they have a useful life greater than two years. PP&E is depreciated on a straight-line basis over the estimated useful lives of the assets. Useful lives range from 5 to 30 years. Maintenance costs are borne by NWF for equipment either on loan from or shared with other programs.
Accounts Receivable - Payment of accounts receivable will not be complete until NWF starts accepting waste.
Interest is accrued quarterly on the outstanding amount receivable including accrued interest. The interest rate used is the 13-week U.S. Treasury bill rate. An allowance for doubtful accounts related to one-time spent fuel fees has not been recorded as of September 30, 2016 or 2015.
Accrued Investment Interest Receivable - Investment interest is accrued on the outstanding investment balance using the applicable interest rate for the investments.
Liabilities - Liabilities represent the amount of monies or other resources that are likely to be paid by NWF as the result of a transaction or event that has already occurred. However, no liability can be paid by NWF absent an appropriation. Liabilities for which an appropriation has not been enacted are therefore classified in these notes as liabilities not covered by budgetary resources and there is no certainty that the appropriation will be enacted. Also, liabilities other than contracts can be abrogated by the Government acting in its sovereign capacity.
Tax Status - NWF, as a part of the Department of Energy, which is a Federal agency, is not subject to federal, state, or local income taxes.
First Repository Costs - For the fiscal years ended September 30, 2016 and 2015, first repository costs consist primarily of Yucca Mountain shutdown costs. Historically, the general goals have been that of licensing and construction of a permanent repository for nuclear waste at Yucca Mountain and to be ready for acceptance of waste at the facility.
                                                            
 
                                                                                                                      "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(2) Significant Accounting Policies (continued)
Retirement Plans - Contractor Employees - NWF follows the requirements of the Financial Accounting Standards Boards Accounting Standards Codification Topic 715, Compensation - Retirement Benefits for contractor employees. NWFs former integrated contractors maintain defined benefit pension plans under which they promise to pay employees specified benefits. NWFs cost under the contract includes reimbursement of annual employer contributions to the pension plans. NWF was historically the predominant fund for one integrated contractor and therefore recorded the net assets or liabilities of that former contractors plans as if it were the plan sponsor. In FY 2011, the NWF made additional contributions to fully fund that former contractors defined benefit pension plan and thus significantly reduce or eliminate required future contributions. The remaining net assets or liabilities of that former contractors plans have been the responsibility of the NWF and therefore were reflected in the NWF statements. On December 31, 2014, the former contractors post-retirement benefit plan was terminated. On December 31, 2015, the former contractors defined benefit pension plan was also terminated resulting in lump sum distributions or annuity purchases for participants and bringing both the projected benefit obligation and assets in the plan to zero.
Use of Estimates - The preparation of financial statements requires management to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Significant items subject to such estimates and assumptions include estimated lives of general property, plant, and equipment and commitments and contingencies.
(3) Fund Balance with Treasury Summaries of the status of fund balances with the U.S. Treasury for appropriated and special funds as of September 30, 2016 and 2015 are as follows:
Appropriated As of September 30, 2016 Funds          Special Funds            Total Unobligated budgetary resources Available                                            $        5,719  $            12,785  $          18,504 Obligated balance not yet disbursed Undelivered orders                                              8,432                4,099              12,531 Accounts payable and other liabilities                              -                  992                  992 Budgetary resources invested in Treasury securities                -              (16,383)            (16,383)
Total FY 2016 Fund Balance with Treasury                      $      14,151  $            1,493 $            15,644 As of September 30, 2015                                      Appropriated Funds          Special Funds            Total Unobligated budgetary resources Available                                            $        5,713  $            13,290  $          19,003 Obligated balance not yet disbursed Undelivered orders                                            10,763                6,371              17,134 Accounts payable and other liabilities                            94                  371                  465 Budgetary resources invested in Treasury securities                -              (13,564)            (13,564)
Total FY 2015 Fund Balance with Treasury                      $      16,570  $            6,468    $        23,038
                                                              
 
                                                                                                                    "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(4) Investments and Related Interest, Net For the fiscal years ended September 30, 2016 and 2015, the NWF received proceeds from the maturity of securities of $1,700,579 and $1,511,170, respectively.
Investments in U.S. Treasury securities held as of September 30 of each year consisted of the following:
FY 2016              FY 2015 Intragovernmental Non-Marketable Market Based:
Face Value                                                                          $          52,424,406 $      51,811,861 Unamortized discount, net                                                                      (16,485,067)      (17,595,620)
Interest receivable                                                                                87,962            78,859 Investments and related interest, net                                                          36,027,301        34,295,100 Unrealized market gains, net                                                                    9,946,860        8,109,282 Investments at fair value                                                          $          45,974,161 $      42,404,382 The federal government does not set aside assets to pay for expenditures associated with the funds for which the Department holds Treasury securities. These Treasury securities are an asset to the Department and a liability to Treasury. Because the Department and Treasury are both parts of the federal government, these assets and liabilities offset each other from the standpoint of the federal government as a whole. For this reason, they do not represent an asset or a liability in the U.S. Government-wide financial statements. Treasury securities provide the Department with authority to draw upon the U.S. Treasury to make expenditures, subject to available appropriations and Office of Management and Budget (OMB) apportionments. When the Department requires redemption of these securities, the federal government finances those expenditures out of accumulated cash balances by raising taxes or other receipts, by borrowing from the public, repaying less debt, or by curtailing other expenditures. This is the same way the federal government finances all other expenditures.
(5) Receivables Due from Utilities Owners and generators of civilian SNF and HLW have entered into contracts with the Department for disposal services and for payment of fees to the NWF.
The NWPA specifies two types of fees to be paid to the NWF for disposal services: (a) a one-time charge per kilogram of heavy metal in solidified SNF or HLW existing prior to April 7, 1983; and (b) a one mil per kWh fee on all net electricity generated and sold by civilian nuclear power reactors on and after April 7, 1983. The kWh fees are due when billed. The contracts between the Department and the owners and generators of the waste provide three options for payment of the one-time spent fuel fee, one of which must have been selected by June 30, 1985, or within two years of contract execution. The options were:
: 1. Payment of the amount due, plus interest earned from April 7, 1983, in 40 quarterly installments with the final payment due on or before the first scheduled delivery of SNF to the Department;
: 2. Payment of the amount due, plus interest from April 7, 1983, in a single payment any time prior to the first delivery of SNF to the Department; or
                                                            
 
                                                                                                              "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(5) Receivables Due from Utilities (continued)
: 3. Payment of the amount due any time prior to June 30, 1985, or two years after contract execution, in the form of a single payment, with no interest due.
Under options (1) and (2), interest accrues from April 7, 1983 to the date of first payment at the 13-week U.S.
Treasury bill rate compounded quarterly. Under option (1), beginning with the first payment, interest is calculated at the 10-year Treasury note rate in effect at the time.
In fiscal year 2016, payments of $82,108 of one-time accrued spent fuel fees and $219,843 of accrued interest were received from owners and generators of civilian SNF and HLW. For the fiscal year ended September 30, 2015 there were no payments or adjustments of one-time spent fuel fees.
Per the NWPA, the Secretary of Energy shall annually review the adequacy of the fees established. In the event the Secretary of Energy determines either insufficient or excess revenue is being collected, the Secretary of Energy shall propose an adjustment to the fee to ensure full cost recovery. Because the U.S. Court of Appeals for the District of Columbia Circuit found the Department did not have a legitimate basis to evaluate the ongoing kWh fee, the court directed the Department to propose to Congress a reduction of the ongoing kWh fee to zero. Such proposal became effective on May 16, 2014. In August 2014, the Department collected the remaining ongoing fee receivable balances.
The situation has remained unchanged for FY 2015 and FY 2016 and no ongoing kWh fees were assessed or collected.
Accounts receivable from utilities at September 30 of each year were as follows:
FY 2016              FY 2015 Accounts receivable:
One-time spent nuclear fuel fees:
Accounts receivable - one-time spent nuclear fuel fees Option (1)                                                                      $            144,273  $        144,273 Option (2)                                                                                    610,564            692,672 Total accounts receivable one-time spent nuclear fuel fees                                    754,837            836,945 Accrued interest on one-time spent nuclear fuel fees:
Option (1)                                                                                    387,124            386,134 Option (2)                                                                                  1,646,632          1,861,743 Total accrued interest on one-time spent nuclear fuel fees                                  2,033,756          2,247,877 Total accounts receivable                                                            $          2,788,593  $      3,084,822 1
 
                                                                                                                "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(6) General Property, Plant, and Equipment, Net General property, plant, and equipment and related accumulated depreciation consisted of the following as of September 30, 2016 and 2015:
FY 2016              FY 2015 General property, plant, and equipment                                              $            7,625 $            8,032 Less accumulated depreciation                                                                    (7,493)            (7,850)
General property, plant, and equipment, net                                          $              132 $              182 (7) Transactions with the Department and Other Federal Government Agencies The NWPA authorized the Secretary of Energy to carry out the provisions of the NWPA and created the Nuclear Waste Fund in the U.S. Treasury. The investment and borrowing powers of the NWF are limited to transactions with the U.S. Treasury. In discharging its obligations under the NWPA, the Department contracts for services with numerous contractors including other Federal Government agencies. Further, significant administrative services are provided by the Department.
As of September 30, 2016 and 2015, NWF owed other Federal Government agencies $1 and $95, respectively, for services and costs provided to NWF. For the fiscal years ended September 30, 2016 and 2015, NWF incurred costs of
($83) and $576, respectively, for services and goods provided by other Federal Government agencies. In addition to these incurred costs, NWF made Congressional authorized transfers from the NWF to the Nuclear Waste Technical Review Board in the amount of $3,600 for fiscal year 2016 and $3,400 for fiscal year 2015.
NWF has entered into Memoranda of Agreement (MOA) with the Departments Office of Environmental Management and the Departments Office of Naval Nuclear Propulsion. The MOA established the terms and conditions for acceptance of Department-owned SNF and HLW (Defense Waste) for disposal. The estimated liabilities are included in the 2008 TSLCC that is used to calculate the estimate of the Departments share of total current and future program costs for Defense Waste. The Department has paid amounts in excess of its estimated share of costs and as a result has no liability to NWF as of September 30, 2016 and 2015.
As of September 30, 2016, the share of costs for the Departments Defense Waste is estimated, based on the methodology published in the Federal Register in August 1987, to be $2,448,189 and interest owed is estimated to amount to $672,737. As of September 30, 2016 and 2015, $633,944 and $633,490, respectively, was included in intragovernmental deferred revenue representing the Departments Defense HLW fees in the NWF in excess of the Departments cost share to-date.
                                                            
 
                                                                                                                "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(8) Liabilities Not Covered by Budgetary Resources A summary of liabilities covered and not covered by budgetary resources as of September 30, 2016 and 2015 is as follows:
FY 2016              FY 2015 Liabilities not covered by budgetary resources:
Intragovernmental Deferred revenue (Note 10)                                                      $            633,944  $        633,490 Non-Intragovernmental Deferred revenue (Note 10)                                                                  38,182,583          36,752,793 Commitments and contingencies (Note 9)                                                      24,689,260          23,699,690 Total liabilities not covered by budgetary resources                                            63,505,787          61,085,973 Liabilities covered by budgetary resources:
Intragovernmental Accounts payable                                                                                    1                  95 Other liabilities                                                                                  197                197 Non-Intragovernmental Accounts payable and other liabilities                                                            794                190 Total liabilities covered by budgetary resources                                                      992                482 Total Liabilities                                                                    $        63,506,779  $      61,086,455 (9) Commitments and Contingencies Spent Nuclear Fuel Litigation In accordance with the NWPA, the Department entered into contracts with more than 45 utilities (standard contracts) in which, in return for payment of fees into the NWF, the Department agreed to begin disposal of SNF by January 31, 1998. Because the Department has no facility available to receive SNF under the NWPA, it has been unable to begin disposal of the utilities SNF as required by the contracts. Significant litigation claiming damages for partial breach of contract has ensued as a result of this delay.
To date, 38 suits have been settled involving utilities that collectively produce about 83 percent of the nuclear-generated electricity in the United States. Under the terms of the settlements, the Judgment Fund, 31 U.S.C. 1304, paid $4.4 billion as of September 30, 2016 to the settling utilities for delay damages they have incurred through September 30, 2016. In addition, 41 cases have been resolved by final unappealable judgments. Eight of those cases resulted in an award of no damages by the trial court and 28 of the 33 remaining cases, as well as two partial judgments, resulted in a total of $1.7 billion in damages, which has been paid by the Judgment Fund as of September 30, 2016. The five other final unappealable judgments, totaling $161.5 million are planned for payment in 2017.
The Departments SNF litigation liability is updated to include the effects of final judgments and settlements as well as payments to date from the Judgment Fund. Additional payments under these settled and adjudicated cases may be made if the utilities incur additional costs before the Department permanently disposes of the SNF. The Department believes its assumptions and methodology provide a reasonable basis for the contingent liability estimate.
                                                            
 
                                                                                                              "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(9) Commitments and Contingencies (continued)
Eleven cases remain pending either in the Court of Federal Claims or in the Court of Appeals for the Federal Circuit.
Liability is probable in these cases, and in many of these cases orders have already been entered establishing the Governments liability and the only outstanding issue to be litigated is the amount of damages to be awarded. The industry is reported to estimate that damages for all utilities with which the Department has contracts ultimately will be at least $50 billion. The Department believes that the industrys estimate is highly inflated and that the disposition of the 79 cases that have either been settled or subject to a judgment in the trial court suggests that the Governments ultimate liability is likely to be significantly less than that estimate. Accordingly, based on these settlement estimates, the total liability estimate as of September 30, 2016 is $30.8 billion. After deducting the amount paid of $6.1 billion as of September 30, 2016 under these settlements and as a result of final judgments, the remaining liability is estimated to be approximately $24.7 billion. Under current law, any damages or settlements in this litigation will be paid out of the Judgment Fund. The Departments contingent liability estimate for SNF litigation is reported net of amounts paid to date from the Judgment Fund.
The Department previously reported several developments that made it difficult to reasonably predict the amount of the Governments likely liability. The courts have since resolved that jurisdiction for these cases is appropriate in the Court of Federal Claims and that the Government cannot assert the unavoidable delays defense, under which, if it were applicable, the Government would not be liable for any damages. The Administration has determined that the development of a repository at Yucca Mountain is unworkable and directed the Secretary to establish the Blue-Ribbon Commission (the Commission) on Americas Nuclear Future to evaluate alternative approaches for meeting the Federal Governments responsibility. The Commission submitted a final report in January 2012 with its recommendations for consideration by the Administration and Congress. The Administration issued the Strategy for the Management and Disposal of Used Nuclear Fuel and High-Level Waste on January 11, 2013 (Strategy). The successful implementation of the Strategy is contingent on new statutory authority and the availability of appropriations. In the interim, the Departments position is that its existing SNF litigation model provides a reasonable basis for its accounting liability estimate using key assumptions from the Strategy : (1) a pilot storage facility will be operational in 2021 to allow for the removal of SNF from shut down reactors; (2) an interim storage facility will be operational in 2025 to begin the removal of SNF from operating nuclear power reactors and (3) that reactors will incur costs reimbursable by the Department until the Department has fulfilled its obligations under the agreements. Because legislation has not passed, operational dates were moved forward two years for the purposes of estimating the liability.
                                                                
 
                                                                                                        "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(10) Deferred Revenue As described in Note 2, all fees, both kWh fees and Defense high-level radioactive waste fees, as well as the related interest and investment income, are recognized as revenue to the extent of expenses incurred. Amounts in excess of current expenses are deferred. Deferred revenue as of September 30, 2016 and 2015 was as follows:
FY 2016                FY 2015 Intragovernmental Fees billed:
Defense high-level waste fees                                                $              2,325  $            2,573 Interest:
Income on investments                                                                  1,431,015              1,395,884 Non-intragovernmental Interest:
One-time spent nuclear fuel fees                                                            5,721                  833 Other billings                                                                                    16                    88 Total billings and interest                                                          1,439,077              1,399,378 Less earned revenue                                                                            (8,833)              (7,706)
Change in deferred revenue                                                          1,430,244              1,391,672 Deferred revenue - beginning balance                                                      37,386,283            35,994,611 Deferred revenue - ending balance                                              $        38,816,527    $      37,386,283
                                                          
 
                                                                                                                                            "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(11) Dedicated Collections Dedicated                                              Dedicated All Other Funds      FY 2016                        All Other Funds    FY 2015 Collections                                            Collections Balance Sheet Assets Fund Balance with Treasury                                  $        1,493  $            14,151  $      15,644  $          6,468  $        16,570  $      23,038 Investments, Net                                                36,027,301                    -      36,027,301        34,295,100                -      34,295,100 Accounts Receivable                                              2,788,593                    -      2,788,593        3,084,822                -      3,084,822 Prepaid Pension Asset, Net                                                -                    -              -                99                -              99 General Property, Plant, and Equipment, Net                            101                    31            132              136                46            182 Total Assets                                                $    38,817,488  $            14,182  $  38,831,670  $    37,386,625  $        16,616  $  37,403,241 Liabilities and Net Position Accounts Payable and Other Liabilities                      $          992  $                  - $          992  $            388  $            94 $          482 Deferred Revenue                                                38,816,496                    31      38,816,527      37,386,237                46      37,386,283 Commitments and Contingencies                                            -            24,689,260      24,689,260                -        23,699,690      23,699,690 Unexpended Appropriations                                                -                14,151          14,151                -            16,476          16,476 Cumulative Results of Operations                                          -          (24,689,260)    (24,689,260)                -      (23,699,690)    (23,699,690)
Total Liabilities and Net Position                          $    38,817,488  $            14,182 $    38,831,670  $    37,386,625  $        16,616 $    37,403,241 Statement of Net Costs Total First Repository and Other Program Costs              $        6,494 $              2,339 $        8,833  $          5,099 $          2,607 $        7,706 Less Earned Revenues                                                (6,494)              (2,339)        (8,833)          (5,099)          (2,607)        (7,706)
Net First Repository Costs                                                -                    -              -                -                -              -
Estimated liability for waste acceptance obligations                      -            1,785,763      1,785,763                -        1,898,995      1,898,995 Net cost of operations                                      $            - $          1,785,763 $    1,785,763  $              - $      1,898,995 $    1,898,995 Statement of Changes in Net Position Beginning Balance - Cumulative Results of Operations        $            -  $        (23,699,690) $  (23,699,690) $              -  $    (22,633,674) $  (22,633,674)
Imputed Financing from Costs Absorbed by Others                          -              796,193        796,193                -          832,979        832,979 Net Cost of Operations                                                    -            (1,785,763)    (1,785,763)                -        (1,898,995)    (1,898,995)
Ending Balance - Cumulative Results of Operations          $            -  $        (24,689,260) $  (24,689,260) $              -  $    (23,699,690) $  (23,699,690)
Beginning Balance - Unexpended Appropriations              $            -  $            16,476 $        16,476  $              -  $        19,049 $        19,049 Appropriations Used                                                      -                (2,325)        (2,325)                -            (2,573)        (2,573)
Ending Balance - Unexpended Appropriations                                -                14,151          14,151                -            16,476          16,476 Total Net Position                                          $            -  $        (24,675,109) $  (24,675,109) $              -  $    (23,683,214) $  (23,683,214)
The NWPA requires the owners and generators of nuclear waste to pay their share of disposal costs into the NWF and, to that end, established a fee for electricity generated and sold by civilian nuclear power reactors which the Department must collect and annually assess to determine its adequacy. A special fund within Treasury was created to account for the collection of those fees. Fees collected in excess of expenses incurred are invested in Treasury securities and any interest earned is available to pay expenditures related to radioactive waste disposal activities covered by the NWF as appropriated by Congress and allotted by OMB.
(12) Explanation of Differences between the Statement of Budgetary Resources and the Budget of the United States Government The NWF FY 2015 Statement of Budgetary Resources reconciled to the Budget of the United States by combining both of the budgets for Defense Nuclear Waste Disposal (89-X-0244) and Nuclear Waste Disposal (89-X-5227). The Presidents Budget containing actual FY 2016 balances is expected to be published and available on the OMB website in February 2017. Budgetary resources and obligations incurred are reconciled to the Departmental balances as published in the Appendix to the Budget; distributed offsetting receipts and net outlays are reconciled to the Departmental Balances in the Federal Program by Agency and Account section of the Analytical Perspectives Volume of the Presidents Budget.
                                                                              
 
                                                                                                              "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Notes to Financial Statements September 30, 2016 and September 30, 2015 (Dollars in thousands unless otherwise noted)
(13) Reconciliation of Net Cost of Operations to Budget The objective of this information is to provide an explanation of the differences between budgetary and financial (proprietary) accounting. This is accomplished by means of a reconciliation of budgetary obligations and non-budgetary resources available to the reporting entity with its net cost of operations.
FY 2016          FY 2015 RESOURCES USED TO FINANCE ACTIVITIES:
Budgetary Resources Obligated:
Obligations Incurred                                                        $              977  $        1,025 Less: Spending Authority from Offsetting Collections and Recoveries                                                                              (478)          (3,794)
Obligations, Net of Offsetting Collections and Recoveries                                  499          (2,769)
Offsetting Receipts:
Fees for Disposal of Spent Nuclear Fuel                                            (82,108)              -
Earnings on Investments                                                          (1,652,427)      (1,429,413)
Total Offsetting Receipts                                                            (1,734,535)      (1,429,413)
Net Obligations                                                                      (1,734,036)      (1,432,182)
Other Resources:
Imputed Financing from Costs Absorbed by Others                                        796,193          832,979 Other:
Offsetting Receipts, Deferred                                                    1,917,930        1,892,049 Adjustment for Department of Energy Appropriation                                    (2,325)          (2,573)
Total Other                                                                    1,915,605        1,889,476 Net Other Resources Used to Finance Activities                                        2,711,798        2,722,455 Total Resources Used to Finance Activities                                      $          977,762  $    1,290,273 RESOURCES USED TO FINANCE ITEMS NOT PART OF THE NET COST OF OPERATIONS:
Change in Resources Obligated for Goods/Services/Benefits Ordered But Not Yet Provided                                                                        $            4,603  $        7,037 Total Resources Used to Finance Items Not Part of the Net Cost of Operations                  4,603            7,037 Total Resources Used to Finance the Net Cost of Operations                      $          982,365  $    1,297,310 NET COST ITEMS THAT DO NOT REQUIRE OR GENERATE RESOURCES IN CURRENT PERIOD:
Increases in Unfunded Liability Estimates                                        $          989,652  $    1,066,005 Components Not Requiring or Generating Resources:
Depreciation and Amortization of Investment Premiums and Discounts                      (186,239)        (464,238)
Revaluation of Assets and Liabilities                                                      (15)            (82)
Total Components Not Requiring or Generating Resources                                (186,254)        (464,320)
Total Net Cost Items That Do Not Require or Generate Resources in Current Period            803,398          601,685 NET COST OF OPERATIONS                                                          $        1,785,763  $    1,898,995
                                                              
 
                                                                                          "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Other Information - Schedule I Schedule of Cumulative Net First and Second Repository Costs for the Thirty Four Years Ended September 30, 2016 - (Unaudited)
(Dollars in thousands unless otherwise noted)
First Repository Costs                                                                  $      7,512,727 All Other Program Costs:
Program Support                                                                              2,180,117 Transfers of Appropriations                                                                    670,697 Waste Acceptance, Storage and Transportation                                                    773,685 Imputed and Other Costs                                                                        152,506 Total All Other Program Costs                                                              3,777,005 Second Repository Costs                                                                            108,896 Total First and Second Repository Costs and Other Program Costs                          11,398,628 Less Earned Revenue                                                                            (11,380,092)
Cumulative Net First and Second Repository Costs                                  $          18,536
                                                    
 
                                                                                                  "UUBDINFOU UNITED STATES DEPARTMENT OF ENERGY NUCLEAR WASTE FUND Other Information - Schedule II Schedule of Cumulative Billings and Interest and Deferred Revenue as of and for the Thirty Four Years Ended September 30, 2016 - (Unaudited)
(Dollars in thousands unless otherwise noted)
Intragovernmental:
Fees billed:
kWh fees                                                                                  $      996,143 One-time spent nuclear fuel fees                                                                  174,598 Defense high-level waste fees                                                                  3,754,926 Interest:
Income on investments                                                                          21,678,317 Non-intragovernmental:
Fees billed:
kWh fees:                                                                                      18,308,083 One-time spent nuclear fuel fees                                                                2,174,802 Interest:
One-time spent nuclear fuel fees                                                                2,402,194 Other billings                                                                                          707,556 Total billings and interest                                                                50,196,619 Less earned revenue                                                                                (11,380,092)
Deferred revenue                                                                                $  38,816,527
                                                      
 
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Please send your comments, suggestions, and feedback to OIG.Reports@hq.doe.gov and include your name, contact information, and the report number. You may also mail comments to:
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APPENDIX B DOE Memorandum: Liability Estimate November 6, 2012
 
DOE F 1325.8 (08-93)
Un ited States Gove rnmen t                                                            Department of Energy memorandum DATE'.
REPLY TO NOV 6 2012 ADNOF;        GC-55
 
==SUBJECT:==
Liability Estimate TO:    Joanne Choi Acting Chief Financial Officer, CF-1 This memorandum sets forth the Office of Standard Contract lvfanagement's currenl estimate of the United States Government's liability in connection with the Government's partial breach ofthe "standard contracts" that it executed pursuant to the Nuclear Waste Policy Act of 1982 (NWP A). The Office of Standard Contract Management estimates that liability, as of today and based on the analysis and qualifications set forth below, to be $19.7 billion. Section 302 of the NWPA requires that the standard contracts provide that "in retmn for the payment of fees established by [the NWPA], the Secretary, beginning notlater than January 31 , 1998, will dispose of the high-level raclioactive waste or spent nuclear fuel involved .. . ." The contracts do not require that the Government begin accepting any particular company's spent fuel by that date; rather, a queue has been established that sets forth the priority and order in which spent fuel is to be accepted.
As of the date of this memorandum, the Government has not begun accepting commercial spent nuclear fuel for disposal, and has conceded that it has partially breached the standard contracts it entered into pursuant to the NWPA. The Government has not admitted, nor has any plaintiff claimed, a total breach of the standard contracts because, among other things, the Government still intends and still is obligated by law to accept for disposal the spent nuclear fuel covered by the standard contracts.
The Administration has decided it will no longer pursue development of a repository at Yucca Mountain. The Secretary of Energy, acting at the direction of the President, established the Blue Ribbon Commission (the Commission) on America's Nuclear Future to conduct a comprehensive review of policies for managing the back end of the nuclear fuel cycle, including all alternatives for the storage, processing, and disposal of civilian and defense used nuclear fuel, high-level waste, and materials derived from nuclear activities. The Connnission submitted a final report in January 2012 with their recommendations on these issues for consideration by the Administration and Congress, as well as interested state, tribal ahd local governments, other stakeholders, and the public. The Administration has undertaken a thorough review of their recommendations in the areas of governance and funding, consolidated storage, facility siting, and waste disposal. Given the range of issues and their complexity, the Administration' s response to the BRC recommendations remains
                                                  @  Printed on recyclod paper
 
2 tmder development within the Administration. As a result, until ftuther policy guidance is provided, the Office of Standard Contract Management is no longer able lo estimate a date for the commencement of operations of a DOE facility for the acceptance of spent fuel and high-level radioactive waste. Accordingly 1 this estimate is based upon guidance received from your office as to the acceptance date to be uti lized in the calculation of the Department's liability (see memo "Interim Update of DOE'S SNF Litigation Liability" dated Oct. 10,2012, attached). Furthermore, we continue to assume that once the Department begins accepting fuel, it, of course, will 11ot be able to accept the entire Nation1s spent fuel at once - instead, it plans to accept the fuel at a steady pace according to the queue that has been established. That means that the Department may not begin accepting spent fuel b*om some utilities for several years afier the commencement of receiving operations.
 
===Background===
Currently, there are 72 commercial nuclear reactor sites, with l 04 operating reactors and 14 reactors that have been shut down. As of end of 2011, about 66,600 MTHM of spent fuel was stored at commercial sites. At-reactor dry storage capacity was approximately 17,100 MTHM as of December 2011. The currently-operating reactors have an annual aggregate spent fuel discharge rate of l ,800 to 2,200 MTHM per year, although there obviously is substantial variability in that number depending on a variety of factors, such as technical and operational issues at pa1ticular facilities, fuel cycle designs, etc.
It is currently projected that in 2020, the cw11ulative discharge of spent fuel from commercial reactors    jn the United States will total approximately 85,200 MTJ:-IM.
Current litigation A number of parties who entered into standard contracts with the Government have sued the United States in the U.S. Court of Federal Claims. ln general, those lawsuits argue that the Govermnent is in partial br*each of the standard contracts, and claim dan1ages due to that breach. The U.S. Court of Appeals for the Federal Circuit has held, in general, that jn these lawsuits the plaintiffs only are entitled to recover as damages the costs that they incurred prior to trial and solely due to the Government's breach. This means that the only damages for which the Government is liable ate the costs that a plaintiff has incurred, as a direct result of the Government's partial breach, to store spent nuclear fuel covered by a standard contract.
The lawsuits in the Court of Federal Claims are at various procedural stages, and are pending before a vru'iety of different judges~ the cases have not been consolidated in any way. Because the cases are pending before different judges, the facts in each case ru*e different, the cases are at various stages of fact discovery and motions practice, and a number of particularized fact and Jaw issues must be resolved in each case to detennine what if any recoverable damages a plaintiff has incurred, it is very diffictllt
 
3 to make predictions about the outcomes of the pending cases. As a resuJt, a contingency must be added to any estimate of liabilities.
The plaintifis in some cases have settled witb the Government, and therefore in those cases we know with a relatively good degree of ce1iainty what the Government's financial exposure is to those plaintiffs, assuming the repository opens on the schedu fe set forth above. Those settlements are described later in this memorandtUTI. Given the variability oftbe fact situations involved with utilities throughout the counu*y, and the tmknowns that are presented with respect to the reasons and timing of each utility's decisions about at-reactor storage of spent nuclear fuel - some of which are the very questions ctmently being litigated in the Comt of Federal Claims- it is difticult to estimate with any bigh degree of precision the Government~ s ultimate liability in connection with tbis litigation. Because it is not possible to predict outcomes of the litiga6on, the most appropriate method of estimating the Government's total aggregate liability in connection with the standard contract litigation is to look to the settlements that the Government has entered into with some plaintiffs, and seek to extrapolate those settlements to the other entities that have sued the United States. This method of estimation is ce1iain to overestimate in some cases and underestimate in other cases the actual damages that the Government may *ultimately pay, either through settlements or judgments, to some of the plaintiffs. As a result, the estimate being provided here is not intended to be a prediction about the outcomes of pending litigation, but mther is intended to be a reasonable estimate.
For all of these reasons, the Office of Standard Contract Management is using the settlements as the basis for its liability estimate at this time. Set forth below is a brief description of each of the twenty-three settlements that have been entered into to date.
These settlements cover 66 perce11t of the nuclear power reactors under contract with 1
the Department for disposal (78 /118). For these reasons, the Office of Standard Contract Management believes it is appropriate at this time to use these settlements as the basis for estimating the Government's aggregate litigation-related liability relating to the Government 's partial breach of the standard contract.
Exelon Framework Settlements Exelon Settlement The Exelon settlement resolved all pending spent nuclear fuel litigation brought against the Government by Exelon and its sttbsidiaries Exelon Generation Company, Commonwealth Edison Company and AmerGen Energy Company. Collectively, those companies own 20 ofthe 118 nuclear reactors, including tJu*ee shutdown reactors, covered by the standard contract. Under the settlement agreement, the Government will reimbmse Exelon for the actual incurred costs of spent fuel storage that are directly attributable to the Government's failure to begin accepting spent fuel 1
This 78 does not include the Columbia reactor covered under the Energy Northwest settlement. Jt is not used in calculating the liability estimate.
 
4 by January 31, 1998. The agreement provides for an initial payment from the Judgment Fund (not :fi*orn the Nuclear Waste Fu11d or from appropriations made to the Deprutment) of approximately $80 million to cover the actual costs of additjonal spent fuel storage already incuned by Exelon as of the date ofthe settlement. Future reimbursements would be made only after actual incuned costs have been verified by the Depru*tment as being both aUowable and reasonable, as defined in the agreement, and would be reimbursed on an annual basis.
The Rxelon Settlement Agreement established acceptance rates, i.e., rates at which the delay damages are calculated under the Agreement, that were significantly lower-900 MTHM per year through 20 14 and 2,1 00 MTHM per yeru* thereafter - than the 3,000 MTHM per year planned by the DepaJ'tment for steady-state repository operations. It is this provision in the Settlement Agreement that aJlows the Department eventually to "catch up" on acceptance and to tem1inate payments under the Settlement Agreement. Exelon will incur reimbursable costs for spent fuel storage until the Department has caught up on the bacldog of spent fuel that has accumulated as a resu1t of the delay in begiru1ing acceptru1ce and is picking up Exelon's fuel on time according to the acceptance schedule. The point at which the Depruiment has caught up with the acceptance of spent fuel is refened to as the crossover point.
South Carolina Electric and Gas Settlement The Depattment' s settlement with South Cru*olina E lectric and Gas and South Carolina Public Service Authority (collectively SCE&G) resolved all of SCE&G's pending spent nuclear fuel litigation against the Government. The settlement covered one reactor, the Virgil C. Summer Nuclear Station. Under the settlement agreement, which is modeled on the Exelon settlement, the Government reimbmsed SCE&G for the actual incurred costs of spent fuel storage that are directly attributable to the Government's delay in beginning fuel acceptance on January 31, 1998.
The agreement provides for an initial payment from the Judgment Fund of $9 million to cover the actual costs of additional spent fuel storage already inc1.nTed by SCE&G (from January 3], 1998 through July JlJ 2005). All future reimbursements, which also will be paid from the Judgment Fund and will be made on an annual basis, will be made only after incuned costs have been verified by the Department as being both allowable and reasonable, as defined in the settle-m ent. Just as with the Exelon settlement, the acceptance rates in the SCE&G settlement on which delay damages are calculated are significantly lower- 900 MTHMper yeru*through 2014 and 2,100 MTHM per year thereafter- than what is actually predicted for repository operations (3JOOO MTHM per year).
Omaha Public Power District Settlement The Department's settlement with the Omaha Public Power District (OPPD) resolved all of OPPD 's litigation concetn.ing spent fuel. The settlement covers one reactor, the F01t Calhoun Nuclear Power Plant, located near Omaha, Nebraska. Under the
 
5 agreement, which again is modttled on the Exelon settlement, the Govenunent reimbursed OPPD for the actual incmred costs of spent fuel storage that are directly attributable to the delay in begimung fuel acceptance on January 31, 1998. The agreement provides for an initial payment from the Judgment Fund of approximately
  $5 million to cover the actual costs of additional spent fuel storage already incutred by OPPD (ii*om January 3 1, 1998 through June 30, 2005). AJl future reimbursements will be made only after incurred costs have been verified by the Department as being both allowable and reasonable, as defined in the agreement.
Duke Power Settlement The Duke settlement covers the Oconee Nuclear Stations Units 1, 2 and 3, the McGuire Nuclear Stations, Units 1 and 2, and the Catawba Nuclear Station, Units 1 and 2. Under the tenns of the settlement agreement, which, like other settlements, 1s modeled on the Exelon Agreement, the Govenunent reimbursed Du.ke for the actual inctUTed costs of spent fuel storage that are directly attributable to the Government's delay in beginning fuel acceptance on January 31, 1998. The agreement provides for an injtial payment from the Judgment Fund of approximately $56 million to cover ihe actual costs of additional spent fuel storage already incurred by Duke (from January 31, 1998 through JuJy 31, 2005).
NextEra Energy Settlement (formerly FPL Group)
The FPL Group settlement resolved tlu*ee lawsuits, Florida Power and Light (FPL),
FPL Energy Seabrook and Interstate Power and Light. The settlement agreement covers six contracts which collectively cover the following eight reactors: Tnrkey Point Units 3 and 4, SL Lucie Units 1 and 2, Seabrook, Duane Arnold and Point Beach Units J and 2. The agreement provided for an initial payment from the Judgment Ftmd of approximately $124 million and covered the actual costs incurred for spent fuel storage that are directly attributable to the Government's delay in begi1ming fuel acceptance on January 31, 1998 through December 31, 2007 for all reactors except Point Beach 1 & 2. Point Beach was acquired by FPL Group in October 2007 and rights to seek costs prior to the sale were Tetained by the former owner. Under the settlement, which was also modeled on the Exelon settlement, future reimbursements are made on an annual basis after incm*red costs have been verified by the Department as being both allowable and reasonable. Costs related to Point Beach are reimbursed, per the settlement agreement, from calendar year 2008 forward. The liability estimate for Exelon Framework Settlements includes the one-time settlement of $45,500,000 to Wisconsin Electric Power Company (WEPCO) for the period of time in which WEPCO owned Point Beach Units 1 and 2 for the period 1998 through 2007, when the Point Beach Units were acquired by NextEra. The WEPCO settlement is described further below.
 
6 PSEG Nuclear LLC Settlement PSEG Nuclear LLC ('~PSEG Nuclear") and Public Service Electric and Gas Company settled the lawsuit for delay damages arising from their two contracts covering the Hope Creek Generating Statio~ No. I Unit, and Salem Nuclear Generating Station, Nos. I and 2 Units. Under the terms of the settlement agreement, the Goverrunent reimbursed PSEG Nuclear $57. 1 million for the time peliod January 31 , 1998 through December 31, 2007 for spent fuel storage costs actually jncurred due to the Department's delay in beginning spent nuclear fuel acceptance on January 31 , 1998.
New Framework Settlement Agreements In March, 20 11, the Department of Justice offered t o all remaining SNF litigants a New Framework settlement agreement. Among other things, the new framework settlement agreement provides that the Governrnenes performance liability is to be calculated utilizing the acceptahce rates included in the 1987 Draft Mission Plan Amendment, rather than the acceptance rates utilized in the Exelon tiamework settlement agreements. Under this acceptance rate, there is no "crossover point" as described in the previous settlements. Ratherl the Govermnent 's liability tor spent nuclear fuel storage costs will continue until the spent nuclear fuel is removed from the reactor sites covered by a New Framework settlement agreement The Department of Justice has determined that it will apply these revised teJ"ms and conditions to all remaining cases. Accordingly, the New Framework settlement agreement would be applicable to the 78 of the J 18 nuclear power reactors covered by a Standard Contract that have not previously entered into an Exelon framework settlement agreement.
As of September 30,. 2012, fourteen New Framework settlements have been executed.
Tennessee Valley AuthoritY Settlement There have been a number of one-year settlements with the TelUlessee Valley Authority. I.n 2008, the Tennessee Valley Authority entered into a settlement covering TV A's claim for storage costs actually incurred due to the Government's delay in beginning spent nuclear fuel acceptance on January 31 , 1998, limited to TVA's 2005 fiscal year (October 1, 2004 tlu*ough September 30, 2005). This settlement applied to spent fuel storage costs at its Browns Ferry Nuclear Plant, Units 1, 2, and 3 , and Sequoyah Nuclear Plant, Units 1 and 2. The agreement provided for a one-time payment of $J 0,359,706 from the Judgment Fund.
ln 2009, the parties negotiated a separate settlement for storage costs for those units in the amount of$3.7 million for fisca l year 2006 and $9.8 milljon f or fiscal year 2007
($13.5 million total).
In 2011, the parties negotiated a settlement for storage costs for thos*e units in the amount of $11 ,497,191 for fiscal year 2008 and for future reimbursements until December 31, 2013 whkh will be made only after the Depattment has verified that the costs have been paid in the claim period and are both allowable and reasonable, as
 
7 defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the pru1ies.
Nebraska Pnblic Power District Settlement In 201 J, the parties negotiated a settlement for spent fuel storage costs at the Cooper N1.lclear Station in the amount of $60,572,538 for costs paid through December 31, 2009. All future reimbursements until December 31,2013 will be made only after the Department has veri fied that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
PPL Susquehanna Settlement fn 201 1, the parties negotiated a settlement for spent fuel storage costs at two reactors, Susquehanna SteamElectric Station Units 1 and 2, in the amount of$55,283,623 for costs paid through September 30, 2009. All future reimbursements until December 3 l, 20 13 will be made only after the Department has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be ex-tended by mutual agreement of the parties.
Ameren Missouri (Union Electric) Settlement In 2011; the parties negotiated a settlement for spent fuel storage costs for one reactor, Cal1away Unit 1, in the amount of $10,551 ,469 for costs paid through December 3lJ 20 I 0. All future reimbu rse~ents until December 31, 2013 will be made only after the Department has verified that the costs have been paid in the claim period and are both allowable and teasonable, as deiined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
Northern States Power Compruw Settlement In 2011, the parties negotiated a settlement for spent fuel storage costs for three reactors, Monticello Nuclear Generating Plant and Prairie Island Nuclear Generating Plant Units J and 2, in the amount of $99,966,841 for costs paid tlwough December 31,2008. All futme reimbmsements until December 31,2013 will be made only after the Department has verified that the costs have been paid in tl1e claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
Constellation Energy Nucleru* Group- Calvert Cliffs Settlement Tn 2011, the parties negotiated a settlement for spent fuel storage costs for two reactors, Calvert Cliffs Nuclear Power Plant Units 1 and 2, in the amount of
$35,450,275 for costs paid through October 31 , 2008. All future reimbursements until
 
8 December 31,2013 will be made only after the Department bas verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
Luminant Generation Company LLC Settlement ln 2011, the prutjes negotjated a settlement for spent fuel storage costs for two reactors, Comanche Peak Units 1 ru1d 2, in the ammmt of $24~332,655 for costs paid through February 28, 2011. AJl future L*eimbursements until December 31, 2013 will be made only after the Depattment has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the patties.
Indiana Michigan Power Company Settlement In 2011, the parties negotiated a settlement for spent fuel storage costs for two reactors, D.C. Cook Nuclear Power Pla11t, Units l and 2, in tbe amount of $14,125,864 for costs paid tlu-ough May 31, 20] 0. All future reimbursements until December 31, 2013 will be made onJy after the Department has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framewotk Settlement. The Settlement Agreement ca11 be extended by mutual agreement of the patties.
Constellatjon Energy Nuclear Group- Ginna Settlement ln 20 I 1, the parties negotiated a settlement for spent fuel storage costs for o ne reactor, R.E. Ginna Nuclear Power Plant, in the amount of $77,866,467.00 for costs paid through May 31,2010. All future reimbuJsements until December 31,2013 will be made only after the Deprutment has verified that the costs have been paid in the claim period and are both allowable a11d reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
FirstEnergy Settlement In 20 12, the pat1ies negotiated a settlement for spent fuel storage costs for four reactors, Beaver Valley Power Station, Units 1 ru1d 2, Perry Nuclear Power Plant, Unit 1, and Davis Besse Nuclear Power Station, Unit 1 in the amount of $48,060,580.00 for costs paid through September 30J 2010. AJl future 1*eimbursemenls until December 31, 2013 will be made only after the Department has verified that the costs have been paid in the claim period a11d are both allowable and l'easonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
 
9 Detroit Edison Settlement In 2012, the pa1ties negotiated a settlement for spent fuel storage costs for one reactor, Emico Fenni Atom ic Power Plant, Unit 2, in the amount of $48,338,592 for costs paid tmough December 31, 2010. All f*uture reimbursements until December 31 , 2013 will be made only after the Department has verified thattbe costs have been paid in the claim period and are both allowable and reasonable, as defined in the New F rame-work Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
Pacific Gas & Electric Settlement In 2012, the parties negotiated a settlement for spent fuel storage costs for t1u*ee reactors) Humboldt Bay Power Plant Unit 3 and Diablo Canyon Power Plant Units 1 and 2 in the amount of $266,104,245 for costs paid through December 31, 20 10. AU future rejmbmsements until December 31, 2013 will be made only after the Department has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
Dominion Energy Kewaunee, Inc. Settlement In 2012 1 the parties negotiated a settlement for spent fuel storage costs for the one-unit Kewaunee reactor in the amount of $6.405,049.50 for costs paid from January 1, 2009 tlu:ough December 31, 201 0. A priot one.-time settlement with Dominion Energy Kewatmee, Inc. provided a payment .fi*om the Judgrnent Fund of approximately $20.9 million to cover the actual costs of additional spent fuel storage already incurred by Domillion Energy Kewaunee prior to January 1, 2009. All future reimbursements until December 31, 20 13 will be made only after the Department has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defmed in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the pa1ties.
Dominion Nuclear Connecticut Settlement In 2012, the parties negotiate.d a settlement for spent fuel storage costs for three reactors, MiJJstone Nuclear Power Station Units J, 2 and 3, in the amount of
$20,013,579.65 for costs paid through Decembet 31 , 2010. All f*uture reimbursements until December 31, 2013 will be made only after the Department has verified that the costs have been paid in the claim period and are both allowable and reasonable, as defined in the New Framework Settlement. The Settlement Agreement can be extended by mutual agreement of the parties.
 
10 One-Time_Settlements In 2011, the Government entered into a number of settlements that resolved retrospective claims. Generally, these settlements were with companies thatno longer own the nuclear power reactor covered by the settlement, and include compensation only from 1998 through the date that the company sold its nuclear power reactor.
Dominion Energy Kewaunee, Inc. Settlement TI1e Department's settlement with Dominion Energy Kewaw1ee, Inc. provides for a payment from the Judgment Fund of approximately $20.9 million to cover the actual costs of additionaL spent fuel storage already incu1Ted by Dominion Energy Kewatmee ft*om Jannary 31, 1998 throl.lgh December 31, 2008 for the one-lmit Kewal.lnee reactor.
Jn 2012, the Government and Dominion Energy Kewaunee, Inc. negotiated a New Framework Settlement Agreement as described above under the New Framework Settlement Agreement section. As a result, the costs paid under this settlement agreement are considered as a New Framework Settlement cost when calculating the liability estimate.
NYP A (Power Authority of New Yark) Settlement Also in 201 1 the pru1ies negotiated a one-time settlement of $10,982~ 729~ for costs incurred through November 21, 2000 fbr two reactors, Fitzpatrick and Indian Point 3 Nuclear Power Stations. The facilities are now owned by Entergy Nuclear, and are not covered by settlement agreements.
Consumers Energy Settlement Another 2011 one-time settlement resolved damages for claims incuned through April 11,2007 for Consumers Energy 's Palisades Nuclear Power Plant and the onsite storage facility at the Big Rock plant in which Consumers agreed to a settlement of
$120 million which was paid by the Judgment Fund to the Nuclear Waste Fund for pattial satisfaction of Consumers outstanding one-time fee of $163,102,172.50 and the utility paid the balance of the fee, $43,102,172.50, to the Nuclear Waste Fund. The facilities are now owned by Entergy Nuclear, and are not covered by settlement agreements.
Consolidated Edison Settlement In the Consolidated Edison case, in 2011, the pm1ies negotiated a one-time settlement of$448,859 (the amount awarded by the trial court), for costs incurred through September 6, 2001 at Units 1 and 2 at the Indian Point Energy Center. The facilities are now owned by Entergy Nucleat*, and are not covered by settlement agreements.
 
11 Wisconsin Electric Power Company Settlement Wisconsin Electric Power Company (WEPCO) and the Government agreed to settle claims relating to the Point Beach Nuclear Power Plant in which the trial cow1 awarded WEPCO $50,053,667.00, which, after negotiated deductions, resulted in a one~time settlement of $45,500,000. The Point Beach Nuclear Power Plant is now owned by NextEra Energy, and future claims will be paid in accordance with the terms of the NextEra Energy settlement agreement. As noted above, this payment is included with the Exelon Framework settlements when calculating the liability estimate.
Energy Northwest Settlement In Energy Northwest, after the Federal Circuit remanded the case in July 201 1 to the trial cotu1 for further pmceedings, the parties agreed to resolve the case for
$48,702,551 for damages incuJTed through August 31, 2006. This is considered a fina l j udgment, not a settlement, tor purposes of calculating the liability estimate.
PAYMENTS Payments of settlement claims and judgments are made fr*om the Judgment Fund.
As of September 30, 2012, the Judgment Fund bas made the following payments:
Payments 1..mder settlements Exelon - $562.3 million SCE&G- $13.8 million OPPD - $28.0 million Duke~ $1 14.0 million NextEra Energy- $261.9 million Dominion Kewaunee - $20.9 million PSEG Nuclear* $92.8 million Wisconsin Electric- $45 .5 million TVA - $71.8 million Nebraska Public Power Distiict (NPPD) ~ $79.5 million PPL Susquehana ~ $69.8 million Consumer's Energy- $120 million New York Power Authority~ $1 1.0 million Consolidated Edison of New York ~ $.4 million N011hern States Power Company - $1 I 8.6 million Constellation - Calvert Cliffs - $35.5 million Ameren Missouri - $10.6 million fncliana Michigan Power~ $33.9 million Luminaat Generation- $43.5 million Constellation - Ginna- $87.9 million FirstEncrgy- $48. I million Detroit Edison- $48.3 million
 
12 Payments as a result of a final judgment~
TVA- $34.9 mHlion Arizona Public Service - $30.2 million Energy Northwest~ $48.7 tillllion Dominion Nuclear Connecticut- $42.7 million Dominion Virginia Electric and Power - $I 12.1 million Southern California Edison Company - $142.4 million Carolina Power & Light - $92.0 million System Fuels Mississippi - $1 0.2 million Soutl1ern Nuclear- $7l.3 million Entergy Nuclear Indian Point 2 = $1 03.2 million In addition, DOE has reviewed three initial settlements and seven annual claims and recommended payment as follows:
Pacific Gas & E lectric - $266.1 million Dominion Energy Kewaunee, Tnc. - $6.4 million Dominion Nuclear Connecticut- $20.0 mjllion Exelon- $76.9 million NextEra Energy - $51.0 million Ameren Missouri - $0.8 million Nmthem States Power Company- $20.7 million FirstEnergy- $9.5 n-Ull ion Constellation - Calve1t Cliffs - $13 .7 million PSEG Nuclear - $11.6 million Recent Court Decisions It is wo1th noting that judges of the Cotut of Federal Claims have continued to issue opinions and orders entering judgment in favor of plaintiff utilities. In 2006~
judgments were entered for foul" utilities: in Yankee Atomic, the court awarded tlu*ee utilities, Yankee Atomic, Connecticut Yankee and Maine Yankee a total of approximately $143 million in damages due to the Department' s partial breach ofthe standard contract and in Pacific Gas & Electric, the comt awarded damages for partial breach of the standarci contract totaling approximately $42.8 million. Since that lime, the Court has entered judgments for Lhe utility Sacramento Municipal Utility District in the amount of $39.8 million; in Southern Nuclear in the amount of $77 million; in Northern States in the amount of $116.5 million and in Systems FueJ Arkansas in the amount of $48.7 million. In 2008, fow: additional judgments were entered against the G0vemn1ent: in Boston Edison in the amount of $40.3 million and in Carolina Power and Light in the amount of $82.8 million and, after the close of the FY 2008 fiscal year, judgments were entered in two Dominion Power cases in the amounts of $42.7 million for Dominion Connecticut and $112.1 million for Dominion Virginia (VEPCO).
 
13 In 2009, three judgments were entered against the Government: The courts awarded Wisconsin Electric Power Co. $50 million for its damages, awarded Dairyland Power Cooperative $37.7 million and on remand., awarded Sacramento Municipal Utility DistJict $53.1 million. A number of judgments were also entered against the Govermnent in 2010. including $56.9 million inEhergy Northwest; $9.7 millloo in System Fuels Mississippi; $89 million on remat:Jd in the Pacific Gas and Electric cases; $448,859 in Consolidated Edison; $ 106.1 million in Entergy Nuclear Indian Point; $40 million on remand in Boston Edison; $4.2 million in Entergy Nuclear Genetation Co.; $142.4 m.illion in Southern Cal ifornia Edison; $30.2 million in Arizona PubUc Service Co.; $142.6 million on remand for the three Yankee utilities; and$46.6 million for Entergy Vermont Yankee and .$1 0.6 million in Kansas Gas and Electric.
ln2011 , a judgment of$92 million was entered .in Carolina Electric and Gas; the Federal Circuit entered a judgment reducing the trial co uri's award to Energy Northwest by more than $8 million, which the parties later agreed to settle &#xa3;or
$48,702,551 m.ilJion; and in Southern Nuc.Jear, a pru:tialjudgment of$17.3 million was entered for Alabama Power Company (the other plaintiffs in the case, Southern Nuclear and Georgia Power, continue to pursue thei1* claims). In addition, the Government agreed to pay judgments entered in 2008 in the two Dominion cases so the Judgment Fund paid $42.7 million to Dominion Nuclear Connecticut and $112.1 million to Dominion Virginia Electric Power Company.
In 20 J 2, fmal and unappealable judgments were entered in Entergy Nucleru* Indian Point in the amount of$103,209,250, in System Fuels Mississippi in the amount of
$\0,233,253, in Southern California Edison in the ammmt of$142,394,294 and in Soutben1 Nuclear, a partial judgment of $54,017,080 was entered for Georgia Power.
The Government has filed appeals in all other cases in which judgments have been entered. The various trial courts continue to find that the Department is in partial breach of the standard contract and dan1ages should be awarded. The courts also continue to make determinations of legal and factual issues in each case that are COJ1tradictory in many instances and provide no clear guidance tegarding disposition ofthese issues in future cases.
As noted above, decisions in t11ese cases are final orders issued by Court of Federal Claims judges and are subject to appeal to the U.S. Court of Ap]Jeals for the Federal Circuit. Because the Government may prevail on some or all issues and because of the courts' continuing inconsistent rulings these judgments were not used as a basis for estimating the litigation liability of the Deprutment for purposes of this memorandum.
Rather~ the Office of Standard Conn*act Management used the settlements, whjch establ ish known and knowable amounts for which the Government is financially liable.
It should also be noted that in July 2006, a 'final, non-appealable judgment was entered in a spent nuclear fuel case, Tennessee Valley Authority v. United States. The co uri
 
14 awarded the plaintiff $34.9 million for the Deprutrnent' s partial breach of contract. In that case, a thlrd Cotut of Federal Clajrns judge made factual and legal determinations that were disparate from those made on the same issues in the cases discussed above.
The Govermnent did not appeal that decision and, accordingly, the judgment became final and non-appealable.
The Cases on Appeal to the Federal Circuit In August 2008 ~ the U.S. Court of Appeals for the Federal Circuit, in three separate opinions, decided the appeals jn the three Yanl<ee cases, the two Pacific Gas and Electric cases and the Sa01*amenio Municipal Utility District case. The court affirmed in patt and reversed in part the various lower cowts' findings and ordered the cases to be sent back to their respective trial courts for recalculation of damages based on the Federal Circuit's findings. Among other issues the Federal Circuit decided, it fOtmd that the annual acceptance rate that increases to 2,650 MTHM/year was the Government' s aru1ual rate of acceptance of spent nuclear fuel to be applied in each case before deciding whether the Goverruuent's partial breach of contract was a substantial f-actor in causing the plaintiffs' damages. The time period to seek futiher review of the Circuit court 's detem1inations expired and the cases were remanded to their respective trial courts for further proceedings consistent with the Federal Circuit' s rulings. Subsequently, the Government sought further review by the Federal Circuit of the trial comt decisions in those remanded cases and, in May 2012, the Federal Circuit amrmed the trial coutt's nll ings, which are now finaJ and applicable to all pending cases and those filed in the future. An additional nine cases are also on appeal to the Federal Circuit. Accordingly, none of the judgments are :tinal and payable.
Finally, in the pending case, Entergy Nuclear Fitzpatrick, the Government .filed an interlocutory appeal to the Federal Circuit requesting a determination whether the Government can assert the unavoidable delays defense as to damages, but not liability.
The Federal Circuit heard oral argument on August 6, 2012, but has not ruled on the issue.
It should also be noted that two utility plaintiffs filed appeals to the Federal Circuit of the dismissal of their cases by the Cou1t of Federal Claims. In both cases the trial courts found that the p laintiffs had previously assigned their rights to assert damages claims related to their spent nuc.lear fuel storage to a third patty rutd therefore had no claims remaining to pursue. The Federal Circuit affirmed the lower comt' s decision with the result that neithel" plaintiff was awarded any money damages. l:n 2011 , two other cases were dismissed on the same grounds, i.e., the plaintiffs had no remaining claims to pursue.
Estimate The Office of Standard Contract Management estimates the Goverrunenfs liability in relation to hs partial breach of the standard contract to be $22.3 billion. The Office of
 
15 Standard Contract Management developed thjs estimate using the Exelon Settlement Model for 40 reactors covered by the E xelon Framework Settlements and a New Framework Settlement Model for the r*emaining 78 reactors that are or would be covered by the New Framework settlement te1ms.
Exelon Framework Settlement Model The Exelon Framework settlements are estimated using the methodology utilized in the 2011 liability estimate. The Office of Standard Contract Management estimates the Govenunent's liability in relation to its partial breach of the standard contract for the 40 reactors covered by Exelon Ftan1ework settlements to be $6.2 billion. The Ofiice of Standard Contract Management developed this estimate as follows: 1) The monetary amount ofthe settlements and claims submitted with Exelon through 2012 was $639.3 million; 2) the number of reactors covered by the settlements was determined to be 20; 3) the munber of storage years was determined to be 243.61; 4) the remaining storage years for the period 2012 through 2055 for the reactors covered by the Exelon settlement was determined to be 725.39; 5) the estimate was calculated by dividing the monetary amount of the settlements 1hrough 2012 ($639.3 mi.llion) by the sto1*age years covered by the settlements through 2012 (243 .61 years) resulting in an average of $2.6 miJlion per storage year; and 6) using the average dollar per storage year, the Department estimated that extending the tmit value to all future storage years expected to be covered by the Exelon settlement results in a estimated cost of future settlement payments of $1,903.5 million.
A similar process was utilized for the SCE&G, OPPD, Duke, NextEra Energy and PSEG settlements, and resuJted in totaJ. estimated values of $42.3 million, $94.8 million, $364.5 million, $1,100.8 million. and $320.7 million, respectively.
The Office of Standard Contract Management applied a contingency of 30 percent to the future settlement values calculated above. This contingency reflects tl1e unce11ainty inherent in such long term estimates. Applying this contingency amount to the amOl.mts calculated above results in a combined total inclurung contingency of approximately $6.2 billion.
New Framework Settlement Model The Office of Standard Contract Management estimates the Government's liability for tl1e 78 reactors that are either covered by or would be covered by the New Framework settlement terms to be $16.1 billion.
As noted previously, the prior approach for estimating the Government' s liability resulting from the delay in SNF acceptance, which based the estimate upon a '*cross-over" date, is not applicable to the New Framework settlements. Instead, the Government's liability continues until the year when the Government has removed all the spent nuclear fuel .fi*om the reactor site. Thjs date has been termed the "last year of pickup~' date, and is calculated for each reactor based upon the reactor's unique
 
16 shutdown date and spent nuclear fuel acceptance allocations. These acceptance allocations are developed by applying the performance acceptance rates contained in the Yucca Mountain license application to the estimated inventory of spent nuclear fuel utilizing the concept of('oldest fuel first" (OFF), Except for the use of the "last year ofpickupn date, the method for estimating the liability for utilities that have either agreed with a New Framework settlement or a one-time settlement is the same as for the Exelon Framework settlements. The Office of Standard Contract Management estimates the Government's liability in relation to its partial breach of the standard contract for the 38 reactors using the New Framework SettlementModel to be $7.3 billion.
The Office of Standard Contract Management estimates the Government's liability in relation to its partial breach ofthe standard contract for the 40 reactors which have not yet agreed with a New Framework Settlement to be $8.8 billion. A total of2,354 reactor-years of damage a re projected for these 40 reactors. The estimate for these 2,354 reactor-years is derived from the average actual damage per reactor-year
($2.877 million) for those utilities which have accepted a New Framework or one-time Settlement, with a contingency of 30 percent applied.
The Goverrunent's total liability is the sum of the liability for the utilities that use the Exelon Framework Settlement Model ($6.2 billion), the utilities that have accepted a New Framework or one-time Settlement ($7.3 billion), and the utilities that have not yet accepted a New Framework or One-Time Settlement ($8.8 billion), or $22.3 billion.
After deducting the amount paid to date under these settlements and as a result of final judgments, a total of approximately $2,605.9 tn.illion, the remaining liability is estimated to be approximately $19.7 billion.
As noted earlier in this memo, this number is not intended to predict an outcome in any particular case; or estimate the damages (if any) that the Goverrunent owes to any particular utility, other than those with which it already has entered into settlements.
Rather, this memorandum is intended to set forth an estimate of the Government's total aggregate liability due to its partial breach of the standard contracts. Also as noted above, this estimate will almost certainly be subject to revision in the future, based on fhture settlements, future judgments, and other developments.
0    David K. Zabransky, Director Office of Standard Contract Management Office of General Counsel Attachment
 
Department of Energy Washington, DC 20585 October 10, 2012 MEMORANDUM FOR RICKY R. HASS DEPUTY INSPECTOR GENERAL FOR AUDITS AND SP ~CTIONS FROM:
 
==SUBJECT:==
lnterim Update of the Dcpattmeht of Energy's Spent Nuclear Fuel Litigation Liability Last year; the Department estimated its liabilities under cu11-ent law resulting ftom delaying the beginning of waste acceptance from 1998 to 2020 at $19.1 billion. The Administration has decided it will no longer pursue development of a repository at Yucca Mountain. The Secretary ofEnergy, acting at the direction of the President, established the Blue Ribbon Commission (the Commission) on America' sNucleat Future to conduct a comprehcnsivereview of policies for managing the back end of the nuclear fuel cycle, including all alternatives for the storage, processing, and disposal of civilian and defense used nuclear fuel, high-level waste, and
.materjals derived from nuclear activities. The Commission issued a fmal report January 26, 2012 *with their recommendations on these issues. The Department is assessing the recommendations. fn the interim, the Department's position is that its existing spent nuclear fuel litigation models provide a reasonable basis for its accounting liability estimate and that no basis.
exists or is wananted at this time to change.
ln the attached report issued to CongTess in 2008, the Department lays out a timetable of 6 years from deveJopment to acceptance ofSNF at an interim facility - one of several alternatives
*considered by the Conunission. While the six years assumes resolution of issues (explained in the repo11) and the facility is for the consolidation of fuel from decommissioned reactors, it does support the position that the year 2020 is within a yet undefined range of possibilities for addressing fue Department's obligations for acceptance of spent nuclear fuel. The interim facility approach outlined in the report is modular and scalable and provides support for the Department's conclusion that the assumptions within the current spent nuclear fuel litigation models are reasonabJe.
Attachment cc: Eric Rasmussen , KPMG David Zabransky, GC-55
 
APPENDIX C Permanently Shutdown Plants Recovering ISFSI Operating Costs from DOE
 
Appendix C Permanently Shutdown Plants Recovering ISFSI Operating Costs from DOE Enclosure Plant        Description of Costs Recovered                              Source No.
Trojan       Nearly all costs associated with these FTEs       Direct Testimony of Bradley Jenkins      1
[for Trojan security per NRC Security              and Aaron Rodehorst, Exhibit 700, requirements] are reimbursable to PGE through      pages 9-10, In the Matter of Portland the settlement claim with the Department of        General Electric Company, Request Energy for the Trojan Independent Spent Fuel        for a General Rate Revision (Feb. 28, Storage Installation, approved by the U.S. Court    2017), Docket No UE 319 of Federal Claims on July 18, 2013.
             Listing 62 FTE equivalents at Trojan and           Id. at Exhibit 702, page 1 noting: Required to perform security, operating, maintenance, and administrative functions at the Trojan ISFSI. The ISFSI technicians will report to the ISFSI Supervisor and are responsible for the safe storage of spent nuclear fuel from the Trojan Nuclear Plant. The ISFSI technicians are being added in response to recent NRC Security Inspector comments highlighting the need for additional staff to adequately cover security duties required in federal regulation. Nearly all costs are reimbursable to PGE through the DOE settlement claim for the Trojan ISFSI.
             See also Exhibit 204 of Testimony, listing an     See id., Direct Testimony of Alex amortized value of costs from the Trojan Spent    Tooman and Rebecca Brown, Exhibit Fuel Settlement of -$16,800,000 in                204.
2015, -$16,340,000 in 2016, and -$17,312,000 in 2017.
 
Enclosure Plant                Description of Costs Recovered                              Source No.
SONGS Units 1, 2,  The Court concludes that plaintiff is entitled to  S. Cal. Edison Co. v. United States,        2
&3-                a total of $142,394,294 in damages, broken          93 Fed. Cl. 337, 340 (2010), affd DOE Round 1        down roughly into the following categories:          655 F.3d. 1319 (Fed. Cir. 2011)
(1) approximately $92 million for construction and operation of an on-site dry storage facility, or Independent Spent Fuel Storage Installation (ISFSI) for each of its reactors; (2) approximately $23.6 million for overhead allocated to the ISFSI project; and (3) $26.8 million in expenses incurred storing SNF off-site.
                   Loosely broken down, the damages fall into         Id. at 346; see also 371 (Table listing the following categories:                            amounts recovered) o Costs of constructing and operating the on-site dry storage facility or ISFSI
($61,981,761 for SONGS Unit 1 and
                        $35,551,467 for SONGS Unit 2);
o Various types of overhead allocated to the ISFSI project ($19,544,212 for SONGS Unit 1 and $4,113,579 for SONGS Unit 2);
o Off-site storage of SNF at the GE Morris facility ($26,827,548) . . . .
 
Enclosure Plant                  Description of Costs Recovered                                Source No.
SONGS Units 1, 2,   Table II-1 below provides the DOE Spent Fuel         Supplemental Direct Testimony of            3
&3-                  Litigation - Round 2 proceeds broken out by            Southern California Edison, DOE Round 2          SONGS unit and cost category                          Application A.16-04-001, Exhibit o Table II lists the categories of costs as            SCE-05, at 4-5(June 29, 2016)
                           SONGS Unit 1 ISFSI Costs
                           Capital
                           GE Morris Storage
                           SONGS Units 2 and 3 ISFSI Costs
                           Capital
                           Fuel Moves (O&M)
Yankee Electric     The government specifically objects only to the     Yankee Atomic Elec. Co. v. United            4 Companies (Maine      following categories of damages: (1) the costs to      States, 125 Fed. Cl. 641, 645 (2016)
Yankee, Connecticut  plaintiffs of administering their health and Yankee, Yankee        welfare plans, (2) the distribution of settlement Row)                  proceeds from the Stone & Webster Engineering Corporation (SWEC) litigation, (3) costs associated with transfer of the property on which the nuclear plants were situated, and (4) the legal and tax expenses related to the recovery of damages from the first round of this litigation.
                     The starting point for these calculations are the   Id.; see also id. at 646 (tables listing storage facility costs, or ISFSI Operational          total costs), 658 (tables showing Costs for each utility during the claim              actual damages awarded) period. . . . The operation costs include: full and part-time employees, security costs, contracted labor for temporary or special projects, taxes, insurance, utility costs, materials and supplies, and other miscellaneous expenses.
 
Enclosure Plant          Description of Costs Recovered                          Source No.
Rancho Seco  The court found that SMUD was entitled to       Sacramento Mun. Util. Dist. v.        5 recover costs for:                                United States, 130 Fed. Cl. 735, o Dry storage of SNF,                            741-742 (2017) (citing Sacramento
                  ...                                          Mun. Util. Dist. v. United States, o Operation and maintenance of the ISFSI        63 Fed. Cl. 495, 502-03 (2005))
             In this case, SMUD seeks $29,549,558 in         Id. at 747 damages . . . The government objects only to
              $7,041,215 of that amount.                     Id. at 761
             [T]he court has determined that SMUD is entitled to $28,867,161 in damages to mitigate the Governments partial breach of the Standard Contract from January 1, 2010 to June 30, 2015.
 
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($000)
FERC                    (1)        (2)        (3)            (4)              (5) 2017 Forecast 2014        2015        2016                      used for 2018 Item                                                Account      AWO        Actuals    Actuals    Actuals    2017 Forecast    Test Year Software Amortization (Intangible)                  404.0                    22,237      30,053      35,668        46,999              46,999 Other Intangible Plant (Includes Hydro Relicensing)  404.0                      3,163      8,312      8,430          9,294              9,294 Trojan Decommissioning                              407.0  7000000045          3,500      3,500      3,500          3,500              3,500 Trojan Spent fuel Settlement                        407.0    3000000786            0    (16,800)    (16,340)      (17,312)                  0 Independant Evaluator Deferral                      407.3                          20        547          35              0                  0 Colstrip Common FERC Adjustment                      407.3  7000000107            322        322        322            107                107 Schedule 110 EE Asset Balancing Acccount            407.3  7000000124            921        902        884            942                942 AMI Project Office Costs                            407.3                          0          0          0              0                  0 Fit Pilot Program                                    407.3  7000002001          5,051      6,248      7,975          7,740              7,740 Regulatory Deferral Amortz                          407.3  7000010741        15,978      18,959          155              0                  0 Residual Balance                                    407.3                          0          0          0              0                  0 Regulatory Deferral (capital Deferral)              407.4  7000010741            13          0          0              0                  0 2011 Local 408/MCBIT Deferral                        407.4  3000000135          (180)        168        515          (440)              (200)
Int Income PES Note                                  407.4  7000000319              0          0          0              0                  0 ISFSI Tax Credits-Used                              407.4  7000000324              0      (5,290)      (300)            0                  0 SunWay 3                                            407.4  7000000727            (45)        (45)        (45)            0                  0 50,979      46,875      40,798        50,831              68,383 Allocated to retail                                                                                                                          (47)
Total Amortization                                                            50,979      46,875      40,798        50,831              68,336
 
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Dept. Dept. Description          Description                                                    Basis for Position(s)                                                FTE GENERATION                                                                                                                                                                    32.0 PGE will join the Western Energy Imbalance Market in the latter half of 2017 and the Market Energy Market Settlement 16    Power Operations                                Operator will be sending PGE large settlement files on a frequent basis. Two additional FTEs are                  2.0 Analyst required to perform this work.
Required to monitor the policy and rule changes implemented by the Western Energy Imbalance 16    Power Operations  Energy Market Policy Analyst Market. The position will be needed early in 2017 to assist Market Trials prior to live participation in            1.0 the Western Energy Imbalance Market in the latter half of 2017.
Required to perform security, operating, maintenance, and administrative functions at the Trojan ISFSI. The ISFSI technicians will report to the ISFSI Supervisor and are responsible for the safe Independent Spent Fuel storage of spent nuclear fuel from the Trojan Nuclear Plant. The ISFSI technicians are being added in 62          Trojan        Storage Installation (ISFSI)                                                                                                                  3.0 response to recent NRC Security Inspector comments highlighting the need for additional staff to Technician adequately cover security duties required in federal regulation. Nearly all costs are reimbursable to PGE through the DOE settlement claim for the Trojan ISFSI.
Required to support progression from four to five operating crews and maintenance. Having the 86    Port Westward 2      Generation Technician                                                                                                                        3.0 additional FTEs will also reduce the use of contractors during PW2 annual outages.
To better align gas plants, a planner scheduler was added to all gas plants in 2015. That 1 FTE count was not added to Carty total head count resulting in Carty being one Generation Technician short.
88          Carty          Generation Technician                                                                                                                        1.0 Adding this FTE is required to ensure that plant operations and maintenance are being done in an effective and efficient manner.
Pelton Round Butte operation and dispatch changed significantly over the past 5 to 10 years with the plant being cycled more frequently and seemingly relied upon more for ancillary services as opposed 161    Pelton-Round Butte    Maintenance Supervisor      to primarily being base loaded in the past. This position is required to manage critical asset                    1.0 maintenance and coordinate maintenance support and outage planning services in support of plant operations.
Required to reduce overtime and are partially offset by savings from this reduction. Although the three temporary hourly positions appear to be an increase, this is because PGE opted to contract out Various      Beaver        Temporary Hourly Positions the work these positions would have done in 2016. As such, 2016 outside services is over budget                      3.0 while temporary labor is under budget. PGE continues to expect to need this support and has budgeted three FTEs for 2018.
Power Supply                                  Reorganization of surveyors from Property Services to PSES in the middle of 2016. FTE impact is a 551                                Surveyors                                                                                                                              3.0 Engineering Svcs                                net zero change company wide and will have no incremental cost to customers.
 
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With the additional and existing Industrial Control System (ICS) generation assets (i.e. assets that run plant generators), the ever increasing workload will require a deeper level of cyber security Power Supply 551                      Cyber Security Engineer  engineering support. The cyber engineer position is required to ensure PGE generation sites are able            1.0 Engineering Svcs to respond to the ever changing cyber security threats. Each engineer is working to balance operational requirements with defending our current technologies from cyber-attacks.
With the current cyber-attack rate at existing and future industrial Control System (ICS) generation assets, PGE has implemented capital projects associated with a Network Intrusion Detection System Power Supply 551                        Cyber Security Analyst  (NIDS). These recent software and hardware investments require an analyst position to tune and                  1.0 Engineering Svcs develop the NDIS system to ensure all PGE generation sites have proper protocols to respond to cyber-attacks.
Required to assist in understanding, interpreting, communicating, and implementing PGE Power Supply 551                        Compliance Specialist    compliance with North American Reliability Corporation (NERC) and Western Electric Coordinating                  1.0 Engineering Svcs Council (WECC) regulatory standards.
Required for additional support of PGE's new Reliability, Performance, and Monitoring (RPM) Center Power Supply                                  initiated in 2016. The RPM Center brings in house the plant and asset performance monitoring 551                              Analyst                                                                                                                            1.0 Engineering Svcs                              historically provided by General Electrics Smart Signal service. Additionally, the RPM Center will provide an extra level of vigilance as PGE begins more frequent cycling of generating plants.
Will function as a dedicated generation resource for resolving IT issues at Generation facilities. With Power Supply 551                              IT Analyst        the ever expanding role of IT based systems at PGE, a dedicated resource is required to ensure that              1.0 Engineering Svcs issues at remote Generation facilities are addressed in a timely manner.
Power Supply                                  transfer from Hydro Operations. FTE impact is a net zero change and will have no incremental cost to 551                          Admin Specialist                                                                                                                        1.0 Engineering Svcs                              customers.
Required to assist with the development and maintenance of over 200 generation procedures, Power Supply 551                    Technical Writer Specialist including Generation Fleet, Environmental, Cyber Security, Compliance, Reliability, and plant specific          1.0 Engineering Svcs procedures.
Required to provide expertise for engineering reviews, project coordination, and project management. The Generation Project department is planning for the next five years while continuing to support current projects, intracompany requests for support of projects, and evaluation of new Project Manager / Senior 554 Generation Projects                            and evolving technologies to support future projects. In analyzing the timeline of the current IRP,              1.0 Project Engineer currently proposed renewable RFP, and future RFPs, and the timeframe to develop new supply- and demand-side resources, Generation Projects has identified a gap in staffing that threatens the ability of the group to successfully deliver complex and strategic for our customers.
 
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Required to provide strategic and technical analysis, including economic evaluations or resource options needed to meet the electric energy needs of PGE customers. They will also provide analysis to support recommendation regarding several regulatory processes, including, but not limited to, the IRP and Competitive Bidding (RFP). With the increased workload due to the emergence of variable energy in increasing quantities and the portfolio effects between all resources, current Integrated Resource Analyst        employees are consistently working more than 40 hours per week affecting the work quality and                      3.0 Planning significantly increasing the risk for mistakes. Additionally, important work is being deferred or dropped due to lack of bandwidth to complete critical tasks.
Several options to fill the business needs, minimize impacts and overcome the challenges were evaluated, including contractors, sunset positions, cross-training, and long-term temporary positions. None provide the necessary support to maintain quality and efficiency over the long term.
Required to facilitate management and coordination for the models to support evaluation of technologies, locational deployment and use cases for all resources, as well as development of the documentation and materials necessary to transparently communicate the information produced Integrated Resource 556                          Project Manager      through the IRP and related process.                                                                              1.0 Planning Several options to fill the business needs, minimize impacts and overcome the challenges were evaluated, including contractors, sunset positions, cross-training, and long-term temporary positions. None provide the necessary support to maintain quality and efficiency over the long term.
Required to develop, implement, research, and support project control for PGE's environmental projects, ensure their implementation in an economical manner, and coordinate compliance, Environmental and      Project Controls and 841                                                communication and interaction among various PGE departments and groups. The position will also                    1.0 Licensing Services  Compliance Specialist develop department budgeting and staffing strategy and schedules based on projected projects going through funding process.
The Pelton-Round Butte Fish Committee, comprised of 22 state and federal agencies and NGOs have raised concerns about the growing outreach needs related to our fisheries program, and that current staffing isn't sufficient to meet that without affecting the biological program. Currently there is an active adversarial group, the Deschutes River Alliance (DRA) on the Deschutes River that opposes the Pelton Round Butte fisheries and water quality program. DRA is currently suing PGE under the Clean Water Act. The DRA has a very active and effective public relations campaign. PGEs Eastside Biological Technician, Environmental 842                                                communication/PR hasnt been sufficient given the increased negative campaigning. This position                    1.0 Services          Communication was created to provide a dedicated person, located on the Eastside, to increase our outreach efforts in the community. Before this, the Eastside Biological staff tried to fill the gap, but this increased workload was interfering with their ability to complete FERC required tasks. The risk of not providing increased outreach is that DRAs influence would grow, adding other NGOs and community members to their supporters threatening PGEs investment in the Selective Water Withdrawal fish collection facility.
 
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Required for multi-media environmental support for eastside non-hydro generation sites (Biglow Environmental Canyon, Boardman, Carty, Coyote Springs, Tucannon), with emphasis on air quality and waste 844 Compliance and Environmental Specialist                                                                                                            1.0 management. Increased regulations and activities include coal combustions residuals, ODEQ changes Licensing to air quality permitting, and general environmental support for generation facilities.
 
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                 ! "##$#" % & '()*                                  
 
ENCLOSURE 3 Application No.:  A.16-04-001 Exhibit No.:      SCE-05 Witnesses:        S. DiBernardo M. Palanza E. Quach T. Ware T. Watson (U 338-E)
Supplemental Direct Testimony of Southern California Edison Company Before the Public Utilities Commission of the State of California Rosemead, California June 29, 2016
 
SCE-05: Supplemental Direct Testimony of Southern California Edison Company Table Of Contents Section                                                                                                        Page    Witness I.    INTRODUCTION .............................................................................................1      S. DiBernardo
II.  DEPARTMENT OF ENERGY LITIGATION MEMORANDUM ACCOUNT (DOELMA) ...................................................................................2
A.  Introduction ............................................................................................2
1.    Background ................................................................................2
a)      DOE Spent Fuel Litigation - Round 1 ...........................2
b)      DOE Spent Fuel Litigation - Round 2...........................4
B.  DOELMA Round 2 Litigation Costs .....................................................5                      M. Palanza
C.  Operation of the DOELMA ...................................................................5                S. DiBernardo
D.  Proposed Disposition of the DOELMA Balance ...................................7
1.    Disposition of the Damages (Net of Costs) Related to SONGS Unit 1 .......................................................................8
2.    Disposition of the Damages (Net of Costs) Related to SONGS Units 2&3.................................................................9
E.  Conclusion ...........................................................................................12
III.  GREENHOUSE GAS COMPLIANCE INSTRUMENT PROCUREMENT ............................................................................................13      T. Ware
A.  Introduction and Bundled Procurement Plan Background ..................13
B.  GHG Instrument Procurement Review is Performed as Part of SCEs Quarterly Compliance Reports .............................................15
C.  GHG Accounting .................................................................................15          E. Quach
D.  Conclusion ...........................................................................................16    T. Ware
IV.  LEAST COST DISPATCH .............................................................................18              T. Watson
A.  Introduction ..........................................................................................18
B.  Master File (RDT) Change Exceptions................................................18
                                                              -i-
 
SCE-05: Supplemental Direct Testimony of Southern California Edison Company Table Of Contents (Continued)
Section                                                                                                      Page    Witness C. Conclusion ...........................................................................................20
                                                            -ii-
 
SCE-05: Supplemental Direct Testimony of Southern California Edison Company List Of Tables Table                                                                                                                Page Table II-1 DOE Spent Fuel Litigation - Round 2 Proceeds by Unit and Cost Category ............................5
Table II-2 Operation of the DOELMA January 1, 2012 - May 31, 2016 ($000) ........................................7
Table II-3 Proposed Disposition of DOE Round 2 Net Litigation Proceeds ...............................................8
Table IV-4 Incremental 2014 Registered Cost Change Exceptions ..........................................................19
Table IV-5 Updated Summary of 2014 Proxy and Registered Cost Change Exceptions..........................19
Table IV-6 Summary of 2012-2013 Proxy and Registered Cost Change Exceptions ...............................20
                                                -iii-
 
1                                                  I.
2                                        INTRODUCTION 3        The purpose of this exhibit, preliminarily marked as Exhibit SCE-05, is to supplement 4 and in certain cases correct SCEs Direct Testimony contained in Exhibits SCE-01 and SCE-02 5 on the following subjects: (1) Department of Energy Litigation Memorandum Account; 6 (2) Greenhouse Gas Compliance Instrument Procurement; and (3) Least-Cost Dispatch.
1
 
1                                                      II.
2  DEPARTMENT OF ENERGY LITIGATION MEMORANDUM ACCOUNT (DOELMA) 3 A.      Introduction 4          In May 2016, SCE received $162 million (includes participants share) related to the 5 United States Court of Federal Claims decision granting SCE damages for costs incurred from 6 January 1, 2006 through December 31, 2013 for the Department of Energys (DOE) failure to 7 meet its legal obligation to store used nuclear fuel. Although SCE received these proceeds in 8 2016, in order to facilitate a more timely return of these funds to customers, SCE is seeking 9 review and refund in this proceeding instead of waiting until the April 1, 2017 ERRA Review 10 filing.1 11          The purpose of this testimony is to: (1) provide the regulatory background associated 12 with the DOELMA; (2) present the entries recorded in the DOELMA from January 2012 through 13 May 2016 for Commission review; (3) request a Commission finding that the entries recorded in 14 the DOELMA are appropriate, correctly stated, and in compliance with Commission decisions; 15 and (4) request Commission approval of SCEs proposed method of the disposition of the net 16 balance in the DOELMA.
17          1.      Background 18                  a)      DOE Spent Fuel Litigation - Round 1 19                          On January 29, 2004, SCE filed a complaint (DOE Spent Fuel Litigation -
20 Round 1) against the DOE in the United States Court of Federal Claims, seeking damages 21 resulting from the DOEs failure to begin taking spent nuclear fuel (SNF) and high-level waste 22 (HLW) from San Onofre Nuclear Generating Station (SONGS) Units 1, 2, & 3 for permanent 23 storage in a federal depository, as required under the Standard Contract that SCE entered into 1    Resolution E-4066 established the DOELMA to record both litigation proceeds and litigation costs and the Resolution requires SCE to make a proposal for disposition of any net litigation proceeds in a formal proceeding such as SCEs next general rate case, or another application. SCE is using this open ERRA Review proceeding as the formal application to propose disposition of the net litigation proceeds related to its Round 2 litigation with the DOE.
2
 
1 with the DOE pursuant to the requirements of the Nuclear Waste Policy Act of 1982. In June 2 2010, the Court issued a decision granting SCE damages of approximately $142 million 3 (includes participants share), covering costs incurred from January 1, 1998 through 4 December 31, 2005 for the DOEs failure to meet its contractual obligations. SCE received the 5 damages award payment from the federal government in November 2011, and refunded to the 6 SONGS Units 1, 2, & 3 co-owners their respective share of this award.
7                        SCE included its proposal for the disposition of the DOE Round 1 net 8 proceeds (SCE share of $111.982 million) for years 1998-2005 in its 2011 ERRA Review 9 Application (A.)12-04-001. Since the rate recovery of the independent spent fuel storage 10 installation (ISFSI) project costs over the 1998 - 2005 period differed for SONGS Unit 1 and 11 SONGS Units 2 & 3, SCEs proposal for the disposition of the balance in the DOELMA differed 12 for the damages, net of costs, related to the SONGS Unit 1 ISFSI project and the damages, net of 13 costs, related to the SONGS Units 2 & 3 ISFSI project.
14                        Over the 1998 - 2005 period, the authorized Nuclear Decommissioning 15 Charge (NDC) revenue requirements included the SONGS Unit 1 ISFSI costs. SCE proposed to 16 refund the damages (net of costs) related to SONGS Unit 1 by crediting the Nuclear 17 Decommissioning Adjustment Mechanism (NDAM). In this way, the SONGS Unit 1 net 18 proceeds would be returned to customers in the same manner as the ISFSI costs were recovered 19 from them. Over the eight-year 1998 - 2005 period, the SONGS Units 2 & 3 ISFSI costs were 20 recovered through various generation-related ratemaking mechanisms. SCE therefore proposed 21 to refund to customers the net proceeds related to SONGS Units 2 & 3 (less amounts retained for 22 shareholders for costs that customers did not pay) by crediting the generation subaccount of the 23 Base Revenue Requirement Balancing Account (BRRBA). In this way, these SONGS Units 2 &
24 3 net proceeds would be returned to customers consistent with how the ISFSI costs were 25 recovered from them.
26                        On January 29, 2013, SCE and ORA filed a Joint Motion of the Southern 27 California Edison Company and the Office of Ratepayer Advocates for Approval of Proposed 3
 
1 Settlement in A.12-04-001 to fully resolve the proceeding. The Settlement was adopted by the 2 Commission in Decision (D.)13-12-045, dated December 19, 2013.
3                b)      DOE Spent Fuel Litigation - Round 2 4                        SCE filed a second lawsuit against the DOE in the Court of Federal 5 Claims in December 2011 (DOE Spent Fuel Litigation - Round 2), seeking damages for the 6 period from January 1, 2006 to December 31, 2013 (Round 2 Damages Period) for the DOEs 7 failure to meet its contractual obligations under the Standard Contract. On April 18, 2016, SCE 8 and the Department of Justice, on behalf of DOE, entered into a settlement agreement to resolve 9 the Round 2 litigation. In the settlement agreement, the federal government agreed to pay 10 damages of approximately $162 million (100% share, nominal $) for the Round 2 Damages 11 Period. SCE received the damages award payment from the federal government in May 2016, 12 and refunded to the SONGS Units 1, 2, & 3 co-owners their respective share of this award.
13 All damages recovered by SCE are subject to Commission review as to how these amounts will 14 be distributed among customers, shareholders, or to offset fuel decommissioning or storage or 15 other costs.
16                        Table II-1 below provides the DOE Spent Fuel Litigation - Round 2 17 proceeds broken out by SONGS unit and cost category.
4
 
Table II-1 DOE Spent Fuel Litigation - Round 2 Proceeds by Unit and Cost Category Line No.                            Description                              ($000)
: 1. SONGS Unit 1 ISFSI Costs
: 2.        Capital                                                            299
: 3.        GE Morris Storage                                              38,143
: 4. Subtotal                                                            38,442
: 5. SONGS Units 2 & 3 ISFSI Costs
: 6.        Capital                                                      119,513
: 7.        Fuel Moves (O&M)                                                4,400
: 8. Subtotal                                                          123,913
: 9. Total DOE Litigation Proceeds (Line 4 + Line 8)                    162,355
: 10. SCE Share                                                          124,033 1 B.      DOELMA Round 2 Litigation Costs 2        SCE has incurred litigation costs of $1.804 million (SCE share) for the period January 1, 3 2012 through May 31, 2016 for the DOE Spent Fuel Litigation - Round 2. This amount includes 4 costs for outside counsel that SCE engaged to litigate the claim, witnesses to testify on SCEs 5 behalf, and other litigation support and related expenses. In its confidential workpapers, SCE is 6 providing comprehensive cost reports summarizing all recorded expenses, journal entries, 7 adjustments, and invoices for the monthly expenditures incurred through the Record Period.
8 C.      Operation of the DOELMA 9        On January 4, 2007, SCE filed Advice Letter 2085-E requesting Commission authority to 10 establish the DOELMA to record litigation costs and damages and other proceeds received from 11 the federal government related to the DOE Spent Fuel Litigation. The Commission approved 5
 
1 this advice letter in Commission Resolution E-4606.2 In accordance with the resolution, SCE 2 records the difference between the incremental litigation costs incurred, and damages and other 3 proceeds received from the federal government. Litigation costs recorded in the DOELMA are 4 to exclude any in-house counsel or other in-house DOE-related litigation costs. The entries 5 recorded in the DOELMA include the following:
6          x    Outside counsel incremental costs; 7          x    Expert witnesses incremental costs; 8          x    Other outside litigation-related costs; and 9          x    Netted with the proceeds and damages received from the federal government.
10          Table II-2 below summarizes the operation of the DOELMA from January 1, 2012 11 through May 31, 2016.3 The amounts shown include $68,000 incurred by SCE for other outside 12 litigation-related costs. These costs were for supplemental workers needed to respond to the 13 governments audit inquiries. When SCE submitted its Round 2 damages claim against the 14 DOE, the Department of Justice (DOJ) sought to complete an extensive audit, including requests 15 for supporting invoices, accounting, and other related financial information. The government 16 asserted it would seek to delay the litigation if SCE did not provide the requested information 17 within a specified time period. SCE therefore needed to retain supplemental workers to assist so 18 that it could provide timely responses and avoid delays in the recovery of damages.
2    Advice Letter 2085-E was approved by the Commissions Energy Division in Resolution E-4066 with an effective date of March 15, 2007.
3    The DOELMA balance as of December 31, 2011 was zeroed out in accordance with the disposition of the net proceeds resulting from D.13-12-045.
6
 
Table II-2 Operation of the DOELMA January 1, 2012 - May 31, 2016
($000)
Line No.                    Description                          2012 2013 2014  2015  2016    Total
: 1. Beginning Balance                                          - 113  197    694    1,801        -
: 2. Litigation Costs
: 3. SONGS 1 Outside Counsel Costs (100%)                  7    -    -    -        -        7
: 4. SCE Share                                              6    -    -    -        -        6
: 5. SONGS 2&3 Outside Counsel Costs (100%)              143  111  498  1,386      257    2,394
: 6. SCE Share                                            108  83  374  1,041      193    1,798
: 7. Other Outside Litigaton-related Costs (100%)              -    - 123    65    (120)      68
: 8. DOE Proceeds Received
: 9. SONGS 1 DOE Proceeds (100%)                            -    -    -    -  (38,442)  (38,442)
: 10. SCE Share                                              -    -    -    -  (30,754)  (30,754)
: 11. SONGS 2&3 DOE Proceeds (100%)                          -    -    -    - (123,913) (123,913)
: 12. SCE Share                                              -    -    -    -  (93,279)  (93,279)
: 13. Total Costs & Proceeds (Lines 4 + 6 + 7 + 10 + 12)      113  83  497  1,106 (123,960) (122,160)
: 14. Interest                                                  0    0    0      1      (21)      (20)
: 15. Ending Balance (Line 1 + Line 13 + Line 14)            113  197  694  1,801 (122,180) (122,180) 1 D.      Proposed Disposition of the DOELMA Balance 2        The payment received for damages from the federal government in May 2016 is related 3 to expenses incurred by SCE during the eight-year period, 2006 - 2013, associated with the 4 construction and operation of the SONGS ISFSI, as well as expenses incurred storing SNF off-5 site. The DOELMA credit balance of $122.180 million (including interest) consists of $30.753 6 million in damages, net of costs, related to SONGS Unit 1 ISFSI construction and operation, and 7 $91.427 million in damages, net of costs, related to SONGS Units 2 & 3 ISFSI construction and 8 operation.
9        The rate recovery of the ISFSI project costs over the 2006 - 2013 period differed for 10 SONGS Unit 1 and SONGS Units 2 & 3. Therefore, SCEs proposal for disposing the balance in 11 the DOELMA differs for the damages, net of costs, related to the SONGS Unit 1 ISFSI project 7
 
1 and the damages, net of costs, related to the SONGS Units 2 & 3 ISFSI project. Table II-3 below 2 summarizes SCEs proposed disposition of the $122.180 million DOELMA balance as discussed 3 in the following sections.
Table II-3 Proposed Disposition of DOE Round 2 Net Litigation Proceeds SONGS          SONGS Line No.                      Description                  Unit 1      Units 2&3    Total
: 1. Total Proceeds                                      (38,442)    (123,913)  (162,355)
: 2. Less: Participants Share                            (7,688)      (30,634)  (38,323)
: 3. SCE Share (Line 1 - Line 2)                        (30,754)      (93,279)  (124,033)
: 4. Outside Litigation/Other Costs                              7        2,463      2,470
: 5. Less: Participants Share                                  1          596        597
: 6. SCE Share (Line 4 - Line 5)                                6        1,867      1,873
: 7. Interest                                                    (5)        (15)      (20)
: 8. DOELMA Balance/Net Proceeds (Line 3 + Line 6 + Line 7)                          (30,753)      (91,427)  (122,180)
: 9. Proceeds Retained by SCE
: 10. 2006 GRC Period                                        -        (16,951)  (16,951)
: 11.        Allocated Outside Litigation/Other Costs            -            339        339
: 12. SONGS 1 2012 NDCTP Disallowance                          (5)        -            (5)
: 13.      Allocated Outside Litigation/Other Costs              -            -          -
: 14. Net Proceeds Retained by SCE                                (5)    (16,612)  (16,617)
: 15. Proceeds Returned to SCE Customers
: 16. Regulatory Asset                                        -        (73,016)  (73,016)
: 17.        Allocated Outside Litigation/Other Costs            -          1,461      1,461
: 18. NDAM                                              (30,748)          -      (30,748)
: 19. BRRBA - Generation Sub-account                          -          (3,261)    (3,261)
: 20. Net Proceeds Returned to SCE Customers              (30,748)      (74,815)  (105,563)
: 21. Total Disposition of DOELMA Balance (Line 14 + Line 20)                                  (30,753)      (91,427)  (122,180) 4        1.      Disposition of the Damages (Net of Costs) Related to SONGS Unit 1 5                  Effective January 1, 1998, SCE established a separate NDC that was applicable to 6 all customers, and also the NDAM to ensure that no more and no less than SCEs authorized 8
 
1 NDC revenue requirements were recovered from customers.4 Over the 2006 - 2013 period, the 2 authorized NDC revenue requirements included the SONGS Unit 1 ISFSI costs.
3                  The DOE Spent Fuel Litigation - Round 2 damages (net of litigation costs and 4 including interest) related to SONGS Unit 1 are $30.753 million. This amount includes 5 approximately $7,000 (100% share) related to non-Morris SNF storage costs for SONGS Unit 1 6 for the 2009 - 2012 period that was disallowed in D.14-12-082 (2012 NDCTP). Therefore, it is 7 appropriate for shareholders to retain $5,000 (SCE share) of the DOE Spent Fuel Litigation -
8 Round 2 proceeds.5 SCE proposes to refund the damages (net of litigation costs and $5,000 to be 9 retained for shareholders6) to customers related to SONGS Unit 1 of $30.748 million by 10 crediting the NDAM effective upon a Commission decision in this proceeding. In this way, the 11 SONGS Unit 1 net proceeds will be returned to customers in the same manner as the ISFSI costs 12 were recovered from them.
13          2.      Disposition of the Damages (Net of Costs) Related to SONGS Units 2&3 14                  In its 2003 GRC, SCE included a forecast for the 2004 - 2005 nuclear capital 15 additions in accordance with the return to cost-of-service ratemaking for SONGS in that GRC.7 16 This forecast included SONGS Units 2 & 3 ISFSI capital expenditures, which SCE forecast to be 17 $25.7 million (SCE share). The Utility Reform Network (TURN) proposed removing 100% of 18 the 2004 - 2005 ISFSI forecast costs based on its position that under the previous ratemaking 19 regime known as ICIP, rates had already fully covered the costs of the project. The 2003 GRC 20 Decision, D.04-07-022, denied TURNs proposal and determined that it was reasonable to 21 assume that customers had made contributions to the cost of this project. However, since it was 4  Pursuant to AB 1890 and D.97-08-056.
5  The assignment of litigation costs to the proposed amount to be retained for shareholders is zero due to rounding.
6  In the event SCE receives decommissioning trust reimbursement for these costs (currently before the Commission for approval in A.15-01-014), SCE will return the $5,000 to customers by crediting the generation subaccount of the BRRBA.
7  From 1998 to 2003, SCE recovered SONGS 2 & 3 costs through an Incremental Cost Incentive Pricing (ICIP) ratemaking mechanism, which was a form of performance-based ratemaking under which SCE recovered incremental costs through a cents-per-kWh charge as adopted in D.96-04-059.
9
 
1 impossible to calculate the precise amount of the contribution, the 2003 GRC decision 2 disallowed 50% of the 2004 - 2005 SONGS Units 2 & 3 ISFSI forecast project costs. As a result 3 of this disallowance, SCE wrote off actual 2004 - 2005 SONGS 2 & 3 ISFSI capital 4 expenditures totaling $12.979 million. Given that customers have not and never will pay the 5 $12.979 million (i.e., 50%) of recorded SONGS Units 2 & 3 ISFSI capital costs (based upon the 6 Commissions 50% disallowance), it was appropriate for SCE to retain for shareholders $12.979 7 million of the awarded damages for the DOE Spent Fuel Litigation -- Round 1, which covered 8 the January 1, 1998 to December 31, 2005 damages period.8 SCEs proposal was adopted by the 9 Commission in D.13-12-045. The Commission should apply the same approach for Round 2 10 litigation damages, and allow SCE to retain any costs that were paid only by shareholders in the 11 first instance due to disallowances made in the GRC.
12                  In SCEs 2006 GRC Decision, the Commission stated that since it had previously 13 found that customers had already paid at least for some of the ISFSI costs, and because the 14 customer contribution could not be determined, there should be equal cost responsibility for the 15 remainder of project costs. The 2006 GRC Decision (D.06-05-016) reduced the 2006 beginning-16 of-year SONGS plant balance by $22.600 million (100% share). As a result of this disallowance, 17 SCE wrote off actual ISFSI capital expenditures totaling $16.951 million (SCE share).
18 Therefore, given that customers have not and never will pay the $16.951 million of recorded 19 SONGS Units 2 & 3 ISFSI capital costs, it is appropriate for SCE shareholders to be reimbursed 20 by allocating $16.951 million of the DOE Spent Fuel Litigation - Round 2 awarded damages to 21 them. This will align the disposition of the DOELMA amount with the Commission-approved 22 ratemaking for this period in the 2006 GRC Decision. SCE also proposes to allocate an equal 23 percentage share of the SONGS Units 2 & 3 litigation/consultant costs to shareholders in the 24 amount of $339,000, resulting in a net allocation of proceeds to shareholders of $16.612 million.
8    Net of an equal percentage share of the SONGS Units 2 & 3 litigation costs assigned to shareholders.
10
 
1                  Pursuant to the SONGS Order Instituting Investigation (OII) (I.)12-10-013 2 Settlement Agreement adopted by the Commission in D.14-11-040, the annual SONGS 3 Settlement revenue requirement is determined based on a prescribed amortization schedule for 4 the SONGS-related capital investment, including nuclear fuel and Materials and Supplies 5 (M&S).9 As of January 1, 2016, the remaining capital investment balance in the various 6 regulatory assets is $1.051 billion, with just over six years remaining in the recovery period.
7 The DOE litigation proceeds include refunds of various SONGS 2 & 3 capital expenditures 8 incurred during 2006 through 2013. Therefore, SCE proposes to return to customers its share of 9 the SONGS Units 2 & 3 capital-related DOE Spent Fuel Litigation - Round 2 proceeds in the 10 amount of $73.016 million10 by reducing the SONGS Units 2 & 3 regulatory asset by this 11 amount, which will benefit customers by reducing the annual SONGS Settlement revenue 12 requirement for the remainder of the recovery period,11 provided this method is consistent with 13 applicable IRS rules.12 SCE also proposes to allocate an equal percentage share of the SONGS 14 Units 2 & 3 litigation/consultant costs to the regulatory asset offset in the amount of $1.461 15 million, resulting in a net allocation of proceeds to reduce the regulatory asset of $71.555 16 million. By reducing the regulatory asset as proposed, SCE is returning DOE proceeds to 17 customers by reducing their obligations under the SONGS OII settlement agreement.
9  SCE files an annual Tier 2 advice letter on November 1st of each year to set forth the SONGS Settlement revenue requirement for the subsequent year.
10  SCEs share of the SONGS 2 & 3 capital amount shown on Table I-1 is $73.016 million, after taking into account the $16.951 million reimbursed to shareholders as discussed above.
11  In the advice letter implementing a Commission decision in this proceeding, SCE will update the currently-effective SONGS 2 & 3 settlement revenue requirement for the regulatory asset reduction and credit the generation sub-account of the BRRBA for the difference between the currently-effective SONGS 2 & 3 settlement revenue requirement and the revised SONGS 2 & 3 settlement revenue requirement. BRRBA entries are reviewed by the Commission in SCEs annual ERRA Review proceedings. In addition, in the subsequent Tier 2 advice letters to be filed on November 1st of each year throughout the recovery period, SCE will include the reduction in the regulatory asset in the calculation of the following years forecast SONGS 2 & 3 settlement revenue requirement.
12  If tax rules or guidance make this proposal infeasible, then SCE proposes to return these funds as described in the following paragraph (i.e., a credit to the generation subaccount of the BRRBA). As mentioned above, BRRBA entries are reviewed by the Commission in SCEs annual ERRA Review proceedings.
11
 
1                Like the ISFSI capital-related revenue requirement, the ISFSI-related O&M costs 2 over the 2006-2013 period were recovered through SCEs generation rates. SCE therefore 3 proposes to refund to customers the remaining, O&M-related $3.261 million of net proceeds 4 related to SONGS Units 2 & 3 ($91.427 million less the $16.612 million reimbursed to 5 shareholders less the $71.555 million reduction to the regulatory asset) by crediting the 6 generation subaccount of the BRRBA upon a Commission decision in this application. In this 7 way, these SONGS Units 2 & 3 net proceeds are returned to customers consistent with how the 8 ISFSI costs were recovered from them (i.e., the net capital-related proceeds will reduce the 9 SONGS regulatory asset and the net O&M-related proceeds will be refunded through BRRBA).
10 E.      Conclusion 11        SCE requests the Commission to find that the costs and proceeds recorded in the 12 DOELMA are properly recorded, consistent with Advice Letter 2085-E, and that the costs are 13 reasonable and recoverable. Upon a Commission finding that both the costs are recoverable and 14 SCEs proposed disposition of the DOELMA balance is reasonable, SCE will: (1) credit $30.748 15 million to the NDAM, (2) credit $3.261 million to the generation subaccount of the BRRBA, and 16 (3) reduce the SONGS Units 2 & 3 regulatory asset by $71.555 million ($73.016 million less 17 $1.461 million in litigation/consultant costs), including all interest accrued up to the time of the 18 transfers.
12
 
1                                                  III.
2          GREENHOUSE GAS COMPLIANCE INSTRUMENT PROCUREMENT 3 A.      Introduction and Bundled Procurement Plan Background 4          Californias Global Warming Solutions Act of 2006 (Assembly Bill 32) identified a 5 market-based program as a potential strategy for the California Air Resource Board (CARB) to 6 reduce Green House Gas (GHG) emissions to 1990 levels by the year 2020. On October 27, 7 2011 CARB adopted a Cap-and-Trade Final Regulation Order.
8          Compliance with the emissions cap established in the CARB Cap-and-Trade regulation 9 began with calendar year 2013 GHG emissions. CARB created three compliance periods.
10 The first compliance period began January 1, 2013 and covers 2013 through 2014. Covered 11 entities in the first compliance period include operators of any facility that annually emits at least 12 25,000 metric tons of carbon dioxide equivalents (mtCO2e). Operators are required to obtain 13 and surrender compliance instruments equivalent to the annual GHG emissions for each such 14 facility. Importers of electricity into California are also responsible for obtaining and 15 surrendering compliance instruments for GHG emissions deemed to be associated with 16 electricity imports for purposes of compliance with Cap-and-Trade.
17          Compliance instrument surrenders associated with the first compliance period occurred in 18 November 2014 and November 2015. At that time, covered entities were required to transfer 19 compliance instruments associated with the quantity of verified, reported emissions to a CARB 20 compliance account.
21          The second compliance period of the Cap and Trade program began on January 1, 2015 22 and covers years 2015 through 2017. The third compliance period, for years 2018 through 2020, 23 will commence on January 1, 2018.
24          There are two types of compliance instruments: allowances, which are limited tradable 25 authorizations created by CARB to emit up to one mtCO2e; and offset credits, which are tradable 26 compliance instruments issued by CARB that represent verified reductions of one mtCO2e from 27 projects whose emissions or avoided emissions are not from a source covered under the Cap-and-13
 
1 Trade program. For compliance purposes, an offset credit and an allowance have limited 2 differences. Unlike an allowance, an offset credit is not limited by vintage and can be utilized 3 for any surrender year. However, an entity can only use offset credits to meet up to eight percent 4 of its compliance obligation in any compliance period.
5          The Commission through D.12-12-033 Adopting Cap-and-Trade GHG Allowance 6 Revenue Allocation Methodology, and D.12-04-046 Decision on System Track I and Rules 7 Track III of the Long-Term Procurement Plan Proceeding and Approving Settlement, approved 8 SCE and the other utilities to engage in electricity-related GHG products. SCE submitted its 9 Greenhouse Gas Procurement Plan (GHGPP) in Advice Letter (AL) 2713-E, which was 10 approved by the Commission on July 11, 2013 and incorporated into SCE's 2010 Bundled 11 Procurement Plan (BPP).13 SCE revised its 2010 BPP to reflect changes in its GHG limits 12 through AL 2824-E (March 4, 2013), and 2958-E (January 15, 2014). A copy of SCEs GHGPP, 13 including the limits that were in effect for all of the 2015 Record Period, is provided in the 14 confidential workpaper that accompanies this testimony.
15          SCEs GHGPP sets out the Commission-approved products, procurement methods, risk 16 management strategy, credit and collateral requirements, affiliate transaction rules, total 17 procurement limits, transaction rate limits, and other rules governing SCEs transactions in the 18 California GHG cap-and-trade market. Like all other BPP-compliant transactions, provided they 19 comply with the upfront standards contained in SCE's Commission-approved GHGPP (i.e., as 20 incorporated into SCEs BPP), SCEs GHG instrument purchase and sale transactions are 21 deemed per se reasonable and are thereby eligible for cost recovery consistent with AB 57. 14 13  SCEs 2010 BPP governed SCEs bundled procurement during all of the 2015 Record Period. The 2010 BPP was submitted in Advice 2713-E-B on July 23, 2012, and approved by the Commission on October 11, 2012 in Resolution E-4542. The 2010 Plan conformed to the modification approved in D.12-01-033 and D.12-04-046.
14  See D.12-01-033, p. 5, Section 3, paragraph 3 - Issued 1/18/2012 - Decision Approving Modified Bundled Procurement Plans.
14
 
1 As explained in Section B. below, SCEs compliance instrument purchases are reviewed for 2 BPP-compliance in SCEs Quarterly Compliance Reviews.
3        As explained in Section C. below, GHG compliance instrument purchases record to 4 SCEs GHG inventory account. The cost of these instruments is then averaged with the cost of 5 all other instruments in the inventory account, to yield an overall weighted average cost (i.e.,
6 $/mtCO2e) of all the instruments in inventory. As SCE incurs GHG compliance obligations 7 each month due to the mtCO2e emitted by SCE-owned and -contracted resources (e.g., by SCEs 8 Mountainview Generating Station), the cost of these obligations is recorded to SCEs ERRA 9 account by applying the inventory weighted average price (in $/mtCO2e) to the mtCO2e emitted 10 using accrual accounting.
11 B.      GHG Instrument Procurement Review is Performed as Part of SCEs Quarterly 12        Compliance Reports 13        For the purchases and sales of GHG compliance instruments during the 2015 Record 14 Period (the only such transactions relevant to this proceeding), SCE has demonstrated 15 compliance with its 2010 BPP requirements in its 2015 BPP Quarterly Compliance Reports 16 (QCR); i.e., Advice Letters 3211-E, 3253-E, 3302-E, and 3353-E. At this time, the 2015 3rd 17 Quarter (AL 3302-E) and the 2015 4th Quarter (AL 3353-E) advice letters are still pending final 18 approval from the Commission. For reference, copies of portions of these four QCR filings, 19 which document all of SCEs purchases and sales of GHG compliance instruments during the 20 2015 Record Period, are provided in the confidential workpapers that accompany this testimony.
21 C.      GHG Accounting 22        Pursuant to D.14-10-033, Section 7.6.1 Accounting Procedures, SCE is required to use 23 the accrual method for GHG cost accounting. Prior to October 2014, SCE accounted for GHG 24 costs and revenue on a cash basis. In accordance with this decision, SCE made a true-up 25 adjustment for prior years in October 2014 and continues to use the accrual accounting on a 26 going-forward basis.
15
 
1          When allowances/offsets are purchased at auction or through third parties, SCE records 2 them as GHG allowance inventory at the purchase price. These transactions do not directly 3 record to the ERRA balancing account.
4          GHG emissions expenses are recognized and recorded in the ERRA balancing account as 5 CO2 is emitted through operations (e.g., generation, imports, and dispatched tolling facilities).
6 In the case of financial settlement, the offset to the emissions expense is a liability or cash paid to 7 the counterparties. In the case of physical settlement, emissions expense is recorded with a 8 corresponding reduction to GHG allowance inventory via a contra account. Copies of SCEs 9 GHG Instrument Inventory Account tracking documents are provided in the confidential 10 workpaper that accompany this testimony. These workpapers document the monthly entries 11 made to reflect SCEs emission obligations incurred each month, as well as the entries showing 12 the addition (to the inventory account) of each instrument purchase executed during the Record 13 Period.
14          In this proceeding, SCE is not seeking direct recovery of the full cost of GHG compliance 15 transactions that were undertaken during 2015 (pursuant to D.14-10-033). Rather, herein SCE is 16 providing information to facilitate the review of SCEs GHG-related costs that were incurred 17 during the Record Period and appropriately recorded to SCE's ERRA account.
18 D.      Conclusion 19          SCEs GHG compliance instrument procurement transactions are reviewed in SCEs 20 Quarterly Compliance Reports. In the attached workpapers, SCE has provided the additional 21 GHG procurement information agreed upon in the SCE-ORA pending settlement agreement for 22 SCEs 2014 Record Period ERRA Review Phase proceeding (A.15-04-002), to facilitate the 23 review of SCEs GHG-related costs that were incurred during the Record Period and that 24 appropriately recorded to SCEs ERRA account.15 Herein SCE demonstrates that these ERRA 15  SCE A.15-04-002, SCE-ORA Proposed Settlement, Article 2.8: In future ERRA Review proceedings, beginning with SCEs first ERRA Review application filed after the Commission issues a final decision approving this settlement, SCE agrees to provide testimony and workpapers in on its (Continued) 16
 
1 account entries are appropriate and correct, available for audit as part of the ERRA Review 2 Phase proceeding process, and are recoverable.
Continued from the previous page Greenhouse Gas (GHG) compliance instrument purchases and sales conducted (and recorded costs incurred) during the relevant Record Period. If the Commissions final decision approving this settlement comes after April 1, 2016, but before August 1, 2016, SCE agrees to provide supplemental testimony on its GHG compliance instrument purchases and sales conducted (and recorded costs incurred) during the 2015 Record Period in SCEs 2015 Record Year ERRA Review filing.
17
 
1                                                  IV.
2                                      LEAST COST DISPATCH 3 A.        Introduction 4          Decision (D.)15-05-007 included specific guidance on how SCE must demonstrate 5 compliance with the Commissions Least-Cost Dispatch (LCD) requirements. This guidance 6 initially became effective for the 2014 Record Period through an Interim Ruling,16 and was 7 subsequently adopted by the Commission in D.15-05-007. One component of the demonstration 8 is exception rates and associated cost impacts for SCE-initiated CAISO Master File (Resource 9 Data Template, or RDT) changes regarding thermal resource startup (SU) and minimum load 10 (ML) costs.
11 B.        Master File (RDT) Change Exceptions 12          As SCE stated in Exhibit SCE-01, Chapter II, while reviewing its RDT change history for 13 the 2015 Record Period, SCE discovered it had misapplied the CAISO cost cap calculation 14 formula when submitting Registered SU/ML cost values for several of its resources.17 Following 15 this discovery, SCE subsequently investigated previous years and determined that the issue also 16 occurred during the 2012-2014 Record Periods.
17          The CAISO Tariff allowed market participants to choose between two methodologies 18 (Proxy or Registered) to declare SU/ML costs. Proxy costs are automatically calculated 19 each day using an indexed natural gas price; Registered costs are fixed values set by the market 20 participant.18 Registered SU/ML costs are capped at 150% of the respective calculated Proxy 21 costs. In May 2012, SCE began inadvertently utilizing an incorrect (slightly lower) natural gas 22 transportation cost adder when calculating the cost cap for several of its resources, thus under-23 estimating the cap and in some cases artificially reducing the Registered SU/ML costs. The 16    Interim Ruling Providing Guidance for 2014 ERRA Compliance Proceedings, dated December 2, 2014.
17  See Table II-4 in A.16-04-001, Exhibit SCE-01C, p. 22.
18  See Exhibit SCE-01C, p. 21.
18
 
1 incremental cost impact for the 2014 Record Period is -$1,044 and the cost impact for the 2012-2 2013 Record Periods is $7,564. SCEs confidential workpaper includes detailed information on 3 the evaluation methodology. Table IV-4 below summarizes the incremental exceptions and 4 estimated cost impacts from the subject issue for the 2014 Record Period, Table IV-5 below 5 summarizes the updated portfolio-wide exceptions and estimated cost impacts for the 2014 6 Record Period,19 and Table IV-6 below summarizes the estimated cost impacts for the 2012-2013 7 Record Periods.20 Table IV-4 Incremental 2014 Registered Cost Change Exceptions Proxy    Registered Incorrect                                              Net Cost Category                                          Error Rate    Est. Cost    Est. Gain Elections  Elections Submissions                                            Impact Startup        0          0            132        N/A      $    20,961 $  (22,019) $    (1,058)
Min. Load        0          0            95        N/A      $    23,260 $  (23,245) $        14 Totals          0          0            227        N/A      $  44,220 $ (45,264) $      (1,044)
Table IV-5 Updated Summary of 2014 Proxy and Registered Cost Change Exceptions 19  The updated summary data represents all of SCEs dispatchable thermal resources and supplants Table II-3 in A.15-04-002, Errata to Direct Testimony Exhibit SCE-05C, p. 4. The table provided in SCEs direct testimony inadvertently reflected incorrect cost impacts.
20  The metrics defined in D.15-05-007 were not in effect for Record Periods 2012-2013, thus SCE did not track overall exception rates or cost impacts. This data represents only the cost impacts of the subject issue.
19
 
Table IV-6 Summary of 2012-2013 Proxy and Registered Cost Change Exceptions 1 C. Conclusion 2        As a result of this investigation, SCE verified the subject calculations are correct for all 3 applicable resources and will monitor them going forward, to ensure the problem does not recur.
20
 
ENCLOSURE 4
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                                                                                    /                    
  . / "               / 0  1-               .        #      
 2                                                                          ., +          
                                                                                                     
345                     6                                      #       B
                                                                                )  #        #  
375                   $   $                   #          
  #         6                                                                       -7>--/-+-@49A4 4-
385         $                              /             
                     ,        $
  #         6                                                            
                                                                                    /  / 
395                    #    
                                                                              <                 
          $    $
                                                                                        !   
  #         6
                                                                              .,  +  ?          
                                                                                          
3:5        ,                         
                                                                              #                    $  
             $  #                       6
                                                                                 !     -7>--/-+-@
49A4 4-
3;5                   
<0         !    $                              /             
  #         6 3=5      ,            $     #       6           
                                                                                    /  / 
                        ! " # $  $%$# & ' ( )  *  +                                    
 
                   !" # $!%
       
          (                                    .              
                                             #                   
                                                   #   $  
        "    #  $   %&'                        #   6     $       
                 (   $                         !     $       
            $                                #   -
      (      $ $  ?   /
       "   /    .,  +                         /             
        $             
              #      #                    '    $% & 
                           - 7>                      0         #     
      --/-+-@49A4 4-                                             
      /                                                 
0         #     
                                                                         
     
                                                                             )     
              
                                                                        $      
      .  !        $                              $           
               #   / "                            "    #  $ 
      /                                    %&'                (   $
          -                                                      )          
                                                                        $           
      /           
                                                                           #                  
                                                                              " 
!                                                        %&'    $   #  
                                                                $  #            
                   /                                 -
      "  /                   
                                                                      /             
           -
      /                                         (  $% & 
                                                                            *     0        
"                                                          
            + ?                                                   *     0        
      .   #,   ?                               "              $ 
                                                          $  
                         -                            #   -
      /                                               /             
#  $% &                                             $% & 
0         #                                 #           
                                                                  
                                                              
0         #                               &               
                                                                        $  ! 
                                                                                  " 
                  ! " # $  $%$# & ' ( )  *  +                                
 
                   !" # $!%
       
        # $  %&'                (
        $      )                         $% & 
            $                                  *       
            )                                     
        $       !                                  *       
          -                                            .            #  
                                                                                       
      /             
                                                                                     
                                                                        #   6$ #        
 $% &                                                               
0                                               -
        
                                                                      /             
0              
      <            #    
                                      !  $% & 
        #           -                                      
                                                                        
      /                                                         
                                                                      .               
 $% &                                                      (                  
0                                              $     
                                                                           
0                                        "   # $  %&'               
                                                                            ( $   / 
0           
                                                                      "   /         
      #               
                                                                          $                $ -
      ?          
      $  #            #                    /             
         6$ #                 
                              
          $                          "  $% & 
                  -                                                
                                                                        
      /                                                         
                                                                      +                     
 $% &                                                        $          
0                                                       (
                                                                             
0                                        $              
                                                                              "    # 
0           #                  
                                                                      $  %&'                  (
             #    $ 2 4 
                                                                      $       #      #
          $                        
                                                                       $              # 
      #          7 
                                                                          #     (            6
                           
                                                                      $ #                        
          8      $$ 
                                                                         $          
                   -
                                                                       #   -
      /             
                  ! " # $  $%$# & ' ( )  *  +                                  
 
                   !" # $!%
       
      /                                                 /             
# $% &                                             $% & 
                                                                          
                                                              
                                                                          
      +       ,                              <                   
                 #                             (                    
                 $                                    
         $ #                                 "    #  $   %&'
           (                                            (   $    
               $                                   !    /   "  
                                         /                       $  $ 
        "    #  $   %&'                                            $ 6  
                    ( $   -                            #      
                                                                         4$    (               7
      /                                                    $  #      
                                                                            $ -
' $% & 
                                                                      /             
              
        
                                                              $% & 
                                                                              
      +                       
              $                            
           (                                        
            $                                   (       
                                             C8;>:447      
      "   # $  %&'                                               
             (   $                                    $
      $  #            #                           #                  
             $      #       6  , $               (                      
           $  #                                       
              $   $                          "              ( 
        $    $   #                       $   $  $                     
                ( # -                                  "  $   
                                                                          !                    
      /                                                             $
                                                                         #                     
( $% &                                                   $   "$ #              # 
0                                                 -
                                                            /             
0         
      /               
                                                                  $% & 
              #                    
                                                                              
            #        
        #   -                                                      
                    ! " # $  $%$# & ' ( )  *  +                                      
 
                   !" # $!%
       
                                                                      ,                
          (                                  $    (          $
         C;A>7::                               #                    
          $                                     (                    
                                                 
          ,              $  #                     "               $   
                    (                          $                      
                                             " $   $  !                  
               "                              
                   (   $                            #          
      $    $                                            $
           "  $     $                            #               $   
        !                                 "$ #   #  -
               $    #
                                                                      /             
                       $  
      "$ #   #  -
                                                                !  $% & 
      /                                                         
                                                                        
 $% &                                                           
                                                                      (       
                                                                  CA>D:DD                   
                                                                           
          (                                          <0    
          C9>47D=                              "   !      <0$
             #                                   #                    
      %E+/         $                             (                    
                 $                                      
        #                                       "            ( $
       (                                        (          $   
                                                (             
        "                  (                   <0   $    #     
      $   $  $                                     #  "                     
              "  $                             $  $   "  
      $  !                                   !               <0
                  $                             !  #   "
         #                                   -
      $   "$ #              # 
                                                                      /             
        -
      /                                           "  $% & 
0                
  $% &                                                     
                                                                        0                
                                                            +           
                                                                     #   (                 
          (                                    !    ,       
          C:=8749                                         -
                    ! " # $  $%$# & ' ( )  *  +                                    
 
                   !" # $!%
       
      /                                               $% & 
                                                                                
# $% &                                                       
            *                                             
                                                              <                 
            *                                      (              
                                                                                     
      .                        
                                                                            "    #  $ 
                         
                                                                        %&'                (   $
                   (      $ 
                                                                                       
         -
                                                                          #  6         
      /                                                     (           
                                                                              #   (           
                                                                           -
' $% & 
                                                                   /           
        
                                                               $% & 
      .                                                
                 )                               
      $                                                
                      
F#    $      C;>78A= 
                    $    )    
                                                                                    
              6     
                                                                             #         #    
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APPENDIX D D&D Organization Resumes
 
TERRY KRAUSE Nuclear Quality Manager Mr. Krause is serving Burns & McDonnell as the Quality Manager in the Energy division. He      EDUCATION has over 28 years of experience related to electric generating stations, with most of those          BS, Technology Management AAS, Engineering Technology years in the areas of quality assurance, quality control and supplier quality. A brief summary of    REGISTRATIONS his experience is provided below.
Quality Assurance Lead Auditor, ASME NQA-1, ANSI N45.2.23 6 YEARS WITH BURNS & MCDONNELL 28 YEARS OF EXPERIENCE Burns & McDonnell Kansas City, Missouri l January 2009 - Present Mr. Krause has the overall responsibly for the successful implementation of the Burns & McDonnell Quality Assurance Program for the Energy division. This includes the oversight of client projects and quality reviews during project execution.
Wolf Creek Nuclear Operating Corporation Burlington, Kansas l July 1986 - January 2009 Manager Quality Managing the activities of the Quality Assurance, Quality Control and Procurement Quality organizations.
Responsible for the oversight and assessment of plant activities to ensure the implementation and effectiveness of the WCNOC Quality Assurance Program, improved plant performance and compliance with plant operating license requirements.
Responsible for the implementation of a quality verification program to ensure the effective programs for quality standards and compliance are in place at domestic/international suppliers who provide materials, equipment or services affecting safety and reliability of the station.
Responsible for the inspection of products and processes affecting plant safety and reliability.
Monitoring quality oversight reviews of activities affecting safety and reliability with full authority to initiate, modify or suspend (stop work) activities.
Initiating and participating in quality issues discussions with the WCNOC staff, management and/or outside organizations (Nuclear Regulatory Commission, Owners, Institute of Nuclear Power Operations, etc.).
WCNOC Nuclear Quality Management Leadership (NQML) Representative.
Manager Quality and Performance Improvement Managing the activities of the Quality Assurance, Quality Control, Procurement Quality and Performance Improvement organizations.
Overall responsibility for the implementation of the stations human performance, self-assessment, industry operating experience, and performance improvement activities.
Coordination of benchmarking activities to determine industry best practices. Responsible for the schedule, implementation and monitoring of performance improvement initiatives. Provide guidance related to the performance improvement functions of human performance, operating experience, and self-assessment supporting a culture of continuous improvement.
 
TERRY KRAUSE continue Supervisor Quality Assurance Responsible for the independent quality oversight and assessment of plant activities. Ensure results are effectively communicated to plant management and functional area work groups.
Manage a list of 160 qualified domestic/international material and service suppliers. Coordinate scheduling, planning, performing and reporting of supplier audits, surveillances, surveys and evaluations.
Ensure proper certification of Quality Assurance audit personnel.
WCNOC Nuclear Procurement Issues Committee (NUPIC) Representative.
Supervisor Supplier/Materials Quality Responsible for the maintenance of 160 qualified domestic/international suppliers of material and services.
Accountable for inspection planning and receiving inspection including material verification testing.
Ensured proper certification of a Supplier/Materials Quality audit and inspection personnel.
WCNOC Nuclear Procurement Issues Committee (NUPIC) Representative.
Supplier Quality Specialist Led and participated on audits/surveys of domestic/international suppliers to verify compliance to applicable codes, quality standards, and specifications. Conducted surveillances of suppliers to verify corrective actions, witnessed supplier tests/inspections and verified product critical characteristics.
Evaluated incoming correspondence related to WCNOCs 200 approved suppliers to determine impact on qualification status.
Prepared annual audit and survey schedule of approved suppliers.
Interfaced with Nuclear Regulatory Commission officials, suppliers, and WCNOC plant personnel regarding quality issues.
Nuclear Industry Involvement Participated in an industry task group to evaluate the ISO 9000 quality standard for use in the procurement of materials for nuclear power plants. As a result, several Technical Reports were published through the Electric Power Research Institute.
TR-1003104, Assessment of the ISO 9000 Quality Management System Registrar Accreditation and Supplier Certification Processes TR-1003105, Dedicating Commercial-Grade Items Procured From ISO 9000 Suppliers TR-1007937, Analysis and Comparison ANSI/ISO/ASQ Q9001:2000 with 10CFR50, Appendix B, ISO 9000 Gap Analysis TR-1008258, An Overview of Other Industry Experience with ISO 9000 Quality Management System TR-1002976, An In-Depth Review of Licensee Procurement Options for Use With ISO 9000 Suppliers Member of the Nuclear Quality Management Leadership standards working group that developed the nuclear industry recognized Performance Objectives and Attributes (NQML 07-001) and Nuclear Industry Evaluation Program Guidelines (NQML 07-002) for quality organization and program excellence.
 
JOHN D. RYAN, CHST REGIONAL HEALTH AND SAFETY MANAGER PROFESSIONAL EXPERIENCE As Regional Manager of Health and Safety, Mr. Ryan is responsible for the safety and compliance of all NorthStar projects up and down the eastern seaboard from Maine to Florida. 0U5\DQ&#xb6;VUHVSRQVLELOLWLHV
include providing technical assistance in the area of safety and health to all management and operations personnel. Through the performance of job site audits he has assisted in the reduction of accidents and regulatory violations and citations by ensuring full compliance with our Corporate Safety Program, TARGET ZERO, and all applicable rules and regulations governing our industry. As the Regional Manager, he develops and implements specific safety-training programs for projects in his territory. He is also NorthStar&#xb6;Vrepresentative for meetings and hearings with regulatory agencies.
Mr. Ryan has over 30 years in the construction industry with over 16 years of experience as a safety and compliance officer. He has been certified to conduct training in HAZWOPER and the OSHA Outreach Program. He also holds current certification as an Asbestos Project Designer and has been instructing supervisor safety training seminars since 1995 for various organizations. Additionally, he has served as a JXHVWVSHDNHUIRUFRQWUDFWRU&#xb6;VVLWHVXSHUYLVRUVDQGVDIHW\UHSUHVHQWDWLYHV
CERTIFICATIONS Construction Health and Safety Technician (CHST) #C3198 Asbestos Project Monitor Asbestos Inspector Asbestos Management Planner Asbestos Designer NIOSH 582 Scaffold Train the Trainer / Designer # 27567 Fall Protection Equipment Inspector #20050315 Rigging & Signaling Train-The-Trainer # 12-6797 Aerial Work Platform Trainer 40 Hour HAZWOPER/Supervisor OSHA 502 Construction Outreach Train the Trainer # C0069279 OSHA 5600 Disaster Site Worker Train the Trainer # TR0011665 Massachusetts Lead Inspector Training NACE Coating Technician SSPC C-3 Supervisor for De-leading of Industrial Structures Commonwealth of Massachusetts Construction Supervisor License Niton XRF Spectrum Analyzer Certification (Lead)
USEPA Lead Safe Renovations FEMA Incident Command System ICS 100 First Aid / BLS CPR Certified Radiation Safety Officer Radiation Worker
 
PROJECT EXPERIENCE Central Artery and Tunnel Project, Boston, MA Asbestos and Lead Abatement / Deconstruction World Trade Center Site, New York, NY Emergency Decontamination September 11, 2001 Pentagon, Washington, DC Asbestos and Lead Abatement / Deconstruction NASA, Florida Operations Lead and Chemical clean up New Orleans, LA (Katrina)
Emergency Decontamination 130 Liberty Street, NY, New York Decontamination and Deconstruction of a 27 Story Office Building Yankee Stadium, NY, New York Asbestos and Lead Abatement / Deconstruction Madison Square Garden, NY, New York Asbestos and Lead Abatement / Deconstruction 6W9LQFHQW&#xb6;V+RVSLWDO3URMHFW New York, NY Asbestos Abatement and Demolition of Multiple Buildings Poletti Power Plant Astoria, NY Asbestos Abatement and Structural Demolition PEPCO Benning Road Power Station Washington, DC Asbestos Abatement and Structural Demolition RG&E Beebee Station Rochester, NY Asbestos and PCB Abatement and Structural Demolition RG&E Russell Station Greece, NY Asbestos & PCB Abatement and Structural Demolition
 
Hoffmann-La Roche Inc.
Nutley, NJ Excavation and Removal of Contaminated soil FPL Turkey Point Plant Homestead, FL Asbestos & PCB Abatement and Structural Demolition FPL Port Everglades Facility Fort Lauderdale, FL Asbestos & PCB Abatement and Structural Demolition
 
COREY R. DANIELS Professional Summary Nuclear operations and maintenance professional with 24 years experience. Dedicated team player who demonstrates exceptional ownership, work ethic, integrity and accountability. Possesses strong leadership skills based on excellent communication, conflict management, and mentoring ability. Understands and employs successful management discipline principles for achieving safe, reliable, and cost effective plant maintenance and operation. Well rounded back ground with both BWR and PWR O&M experience as well as non-nuclear plant construction, and O&M. Strong troubleshooting experience and effective risk assessment and mitigation for integrated plant operations. Contract Manger and labor relations veteran with experience resolving workforce issues, providing oversight, and successfully negotiating multiple bargaining agreements.
PROFESSIONAL EXPERIENCE Plant Manager Decommissioning Vermont Yankee Nov 2015 - Present Director of all Station activities on site. Direct reports include Senior Manager of Operations, Production, RP and Chemistry Manger, E-plan Manager, and Security Manger. Collaboratively develop and implement preparation for placing all spent fuel in dry cask storage and transition of facility to SAFSTOR condition as the assigned Senior Manager of Production. Selected and prepared staff for transition to second phase of decommissioning. Responsible for station maintenance, operation, system abandonment and continued reduction of station work scope commensurate SAFSTOR Phase 2 needs and requirements. Maintains the station within Technical Specifications, Code of Federal Regulations, and applicable NRC Inspection Procedure guidelines. Promotes core values to maintain station in the safest, most conservative, effective, and competent manner possible while transitioning to all spent nuclear fuel placed in dry storage and remainder of the facility in full dormancy.
Mechanical Maintenance Superintendent Vermont Yankee Jan 2015 - Nov 2015 Oversee both mechanical maintenance and facilities departments performing all scheduled work as well providing abandonment efforts, engineering change project support and sustaining site logistics. Sets and develops work schedule for PMs and Surveillances, prioritizes corrective maintenance and emergent work while effectively assessing and mitigating risk. Promotes core values to maintain station in the safest, most conservative, effective, and competent manner possible.
FIN Superintendent Vermont Yankee Oct 2009 - Jan 2015 Director of multi-discipline maintenance department responsible for troubleshooting, planning, and executing emergent work. Sets priorities and resolves operational issues with on-shift operating crew while effectively assessing and mitigates risk. Protect the scheduled work process by addressing backlog challenges and solving operational and integrated system equipment challenges.
Maintenance Manger Vermont Yankee Jan 2013 to Oct 2013 Filled both Fin Superintendent and Maintenance Manager Positions for 8 month period. Developed and executed strategy for improving and sustaining Performance Indicators to improve the Maintenance Aggregate Index and overall department performance. Drove corrective and deficient backlogs to acceptable levels and engaged organization to improve standards and worker behaviors through active in field
 
observations of both craft and supervisor performance. Sponsored and championed several Plant Health Committee identified system/equipment challenges to improve overall station performance resulting in breaker to breaker performance. Helped develop and implement several fleet initiatives to minimize corporate and site process inefficiencies.
FIN Senior Reactor Operator Vermont Yankee March 2009 - Oct 2009 Liaison loaned to Maintenance as a Shift Manager candidate for plant issues requiring immediate attention.
MFLS qualified, performs tagging and troubleshooting development & implementation. Operational and risk assessment oriented focus ensures conservative and timely resolution of needed repairs.
Senior Licensed Reactor Operator Vermont Yankee June 2007 - Oct 2009 Direct all station operations on shift as the Control Room Supervisor. Qualified Field Support Supervisor and Fire Brigade/Incident Commander. Regularly supports ops work control center as tagging authority.
Licensed Reactor Operator Vermont Yankee October 2003 - June 2007 Operate all control room reactor and station controls on a 12 hr shift basis. Lead appendix J leak rate and pressure (PIV) testing as special project coordinator for multiple refueling outages.
Auxiliary Operator Vermont Yankee April 1997 - October 2003.
Operate plant systems and perform procedurally directed surveillances under control room direction.
Fire Brigade, OSHA 40 hr trained, Confined Space Rescue, Adjunct Instructor, and EMT qualified.
Construction Engineer Bechtel March 1996 to April 1997 Operations Manager for soil vapor extraction, chemical precipitation, groundwater treatment, and PLC based multi-process hazardous waste treatment plants.
Environmental Engineering Technician Roy F. Weston, Inc August 1994 - March 1996 Responsible for the operation, maintenance, chemistry, and all record keeping of five separate groundwater recovery and remediation pilot plants. Key member in the design and construction and operation of a 10 million dollar hazardous waste treatment facility.
Nuclear Propulsion Plant Mechanical Operator United States Navy April 1988 - April 1994 Strong working knowledge of applied engineering principles from extensive operation and maintenance of nuclear power electrical generating and propulsion systems. Qualified thru Engineering Watch Supervisor:
responsible for the safe and competent operation of a nuclear engine room and all associated support systems. QA Supervisor: responsible for generating all controlled nuclear work and testing packages for machinery division onboard a 688 Los Angeles Class nuclear submarine.
QUALIFICATIONS AND RESPONSIBILITIES Vermont Energy Partnership Liaison Testified on multiple occasions to State Legislators and Committee hearings for positive representation on nuclear related energy issues including dry cask storage, power up-rate, and license renewal.
Local Energy Committee Co-Chairman Worked regularly on residential, town, and state level to increase energy efficiency, promote usage reduction, and save taxpayer dollars thru awareness and conservation.
Keene Community Kitchen Volunteer Current and multiple year member assisting in the preparation and delivery of meals for challenged families in the Monadnock region.
PROFESSIONAL DEVELOPMENT Entergy Advanced Leadership Training Program INPO Developing Leaders Seminar 10CFR50.59 Evaluator Qualified EOOS (Configuration Risk Monitor) Analysis
 
Kepner-Tregoe Analysis Entergy MARC management principle training Entergy SIS (supervisory interactive skills) training TECHNICAL TRAINING AND EDUCATION Senior Licensed Operator Initial Training, May 2007 Licensed Operator Initial Training including BWR Fundamentals, VY October 2003 Auxiliary Operator Initial Training, VY October 1998 OSHA Health and Safety 1910.120, Westchester, PA, August 1994 Nuclear Propulsion Plant Emergency Welding School, San Diego, CA, March 1990 Nuclear Power Training Prototype, Ballston Spa, NY, November 1989 Nuclear Power School, Orlando, Fl, April 1989 Nuclear Field Academic School, Orlando, Fl, October 1988
 
October 31, 2017 Availability Date                          e on        n u      e ume Immediately Available                  Name of Key Person: Nelson Langub Name of Company with Whom Key          Name of Contractor: NorthStar Nuclear Decommissioning Person is Employed:                    Co. (NorthStar)
NorthStar Nuclear Decommissioning Co.                                    Position with NorthStar:
Education                              Operations Senior Project Manager Bachelor of Science,                          Duties and Responsibilities in Proposed Position Chemical Engineering,                  Mr. Langub is proposed as the Operations Senior Project University of Louisville, 1987          Manger and will be the primary point of contact and single point Citizenship                            of accountability for NorthStar for Decommissioning services.
US                                                    Suitability for the Proposed Position Professional Development:              Mr. Langub has 29 years of relevant professional experience and x USDOE Quality Assurance              has served as Project Manager for multiple Design/Build Training                            construction projects, including managing infrastructure x HAZWOPER 40 Hour                      improvement and installation, facility maintenance, abatement /
x RAD II Worker                        decontamination / demolition and environmental remediation x OSHA 10 Hour Construction            projects, hazardous waste site clean-up, decommissioning Safety and Health                    nuclear facilities and landfill construction. Nelson is experienced x DOE EM385 Safety                      in various project delivery methods (Design-Build, Construction x EPA Hazardous Waste Site              Management at Risk, Design and Construction Sequencing, Sampling Course                      EPC, EPCM); project management, construction management, x EPA region IV standard                estimating, project controls, and proposal Operating Procedures Course          development/management.
o ect E e ence Operations Manager: Old Town Demolition Project, Berkeley, CA - Complete 2016 Operations Manager to complete the cleanup and removal of excess building facilities, concrete slabs and the remediation of contaminated soil at the circa 1940s and 1950s buildings on the Lawrence Berkeley National Laboratory research facility. The work included demolition of buildings that previously hosted radioactive isotopes, beryllium, and hazardous chemicals as well as asbestos.
Operations Manager: AJ Blotcky Research Reactor Decommissioning, Omaha, NE - Complete 2015 - 2016 Operations Project Manager that completed the decontamination and decommissioning (D&D),
complete demolition, disposal, Final Status Survey and site restoration of the A.J. Blotcky Reac-tor Facility (AJBRF) at Omaha Medical Center, which housed a low-power Mark I Training, Re-search, Isotopes, General Atomics (TRIGA) nuclear research reactor. Completed the demolition and restoration of the facility that included repairs to the concrete floor, backfilling of trenches, pits, former reactor tank with flowable fill and plugged or capped pipe and ventilation system penetrations. The facility structures was radiologically released thru the Final Status Survey and 1,000 cubic feet of debris was appropriately dispositioned.
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October 31, 2017 Project Manager: USAF Decontamination Remediation and Demolition of Air Force Plant 59, Johnson City, NY - Complete - 2015 Project Manager to complete demolition on a former US Air Force manufacturing plant 59 that included; the abatement/removal and proper disposal of ACM; removal and proper disposal of PCB contaminated wood/timbers and ORM, e.g. mercury containing switches, fluorescent bulbs, ballasts, lead sheeting, lead-based painted items. etc.; disconnection/cutting/capping of all utili-ties in coordination with the local utilities and local municipality; disposal/recycle of all demoli-tion produced material not categorized as a regulated waste under the Toxic Substances Control Act (TSCA) and/or the Resource Conservation and Recovery Act (RCRA); disposal of all other contaminated materials in accordance with Federal, state, and local regulations; and restoration of the site Project Manager: USCG Cleveland Station Annex Cutter Maintenance Design/Build, Cleveland, Ohio - Complete 2012 - 2013 Proposal Manager and capture lead ensuring technical and operations personnel understood and followed the proposal development process to ensure timely, compliant and compelling best value proposal submitted to the Client for the win. Completed: Design and Facility Construction.
This was a design-build construction for the Boat Maintenance Annex at the US Coast Guard Cleveland Harbor Moorings in Cleveland, Ohio. The project targeted and achieved LEED Gold certification. Includes architectural and engineering design and construction of a one and one half story approximately 8,500 gross square feet Annex Building for the purpose of boat maintenance, Cutter storage and grounds maintenance equipment storage. In addition, the new building will include Station Engineering and Cutter staff offices. Site development was included such as revised and additional parking areas to the east and south and new parking/drive/K12 security fence areas to the northwest and southwest of the new building. Responsible as Proposal lead and capture manager, design coordination, resourcing, procurement of subcontractors and project planning and controls. Utilized P-6 value and cost loaded schedule to track cost and provide earned value reporting and pay application.
Project Manager: US DOI/National Park Service Design/Build of 3 Residential Housing Areas, Big Bend National Park, Texas. Complete: Jan 2012 to Oct 2012.
As Project Director, he assisted in the operational execution. New design-build construction scope of work includes the construction of housing for law enforcement personnel at three distinct developed areas within Big Bend National Park. The project consisted of the design/construction of two (2) types of house dwellings that included: six - three-bedroom single family houses and six - three-bedroom duplexes at the three locations. In addition to the Big Bend National Park being an extremely remote location, the housing areas were located at three distinct developed areas within the park that ranged from 20 to 55 miles driving distances between areas resulting in resource logistics becoming the major challenge. Design and construction for the separate sites included upgraded and connected site utilities and other infrastructures, building and foundation system including off-site utility and roadway extensions as well as a new storm-water facility. Utilized P-6 value and cost loaded schedule to track cost and provide earned value reporting and pay application.
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October 31, 2017 Project Manager: Veterans Administration Barrancas National Cemetery - Design and Construction of Facilities/Infrastructure and Cemetery Improvements, Pensacola Naval Air Station, Florida. - Brownfield Redevelopment - Complete: 2008 to 2011 Proposal manager for pursuit, including compliance, win strategy, color team reviews and managing multi-staff technical and operation team to a timely and compliant submittal for the win. He transitioned as Project Director to operationally execute the Design and Construction.
Architectural and Engineering Design and construction using design / build approach for improvements to an existing national cemetery and expansion involving new infrastructure systems and roadways, new administration/public information building and public restrooms, new office and maintenance building facility, new committal ceremonial building for services, communication system, parking, electrical, water / sewer / fire protection systems, cortege parking, sidewalks, new entrance feature, fences, gates and utilities, installation of 5,000 pre-placed crypts, construction of 1,300 standard single burial plots and 100 cremains plots.
Responsible for overall construction, safety, quality, compliance, and performance to design specifications; established and maintained safe work practices and ensured adequate resources (trained personnel and equipment) to complete tasks safely; coordinated overall construction operations and directed and managed project team and subcontractors; ensured construction performed in compliance with specifications, consistent with cost, schedule, and contractual requirements. Responsible as Proposal lead and capture manager, design coordination, resource manning, procurement of subcontractors and project planning and project controls. Utilized P-6 value and cost loaded schedule to track cost and provide earned value reporting and pay application.
Project Manager: Georgia Power Company Plant Vogtle Building Demolition, Landfill and Firing Range Environmental Remediation Services, Waynesboro, Georgia. - Power Generation -
Nuclear - Complete: 2008 to 2009.
As Proposal Manager, engaged the teams to capture the project by developing win themes, and generated a proposal that was personally presented to several Client decision groups.
Transitioned as Project Director to execute the work that consisted of Phase I and II demolition and dismantling services for removal of six buildings and warehouse facilities to clear and prepare 100-acre laydown area for construction of two additional reactor units, and to achieve "clean closure" (soil removal, off-site disposal and soil stabilization) of 40,000-CY private industry landfill containing up to 13,000 CY of construction debris. Services also involved remediation of lead-impacted soil at 2,500-SF former security firing range; removal of six buried fuel storage tanks and two oil/water separators; and closure of range of monitoring wells and soil borings. Responsible for business development, estimating, scheduling and overseeing timeliness, quality, budgets and project execution safety for demolition / environmental remediation / removal phase of project. Responsible as Proposal lead and capture manager, design coordination, resource manning, procurement of subcontractors and project planning, execution and project controls.
Construction Project Manager: Honeywell. SA 2 Remedial Investigation and Project Construction Management Services, Bayonne, New Jersey. - Industrial / Manufacturing /
Infrastructure - Complete: 2007 to 2008.
Project management, remedial investigation and field activities at two designated sites. Site 144 consisted of 5,650 LF of Bayonne Sewer Pipeline placed in chromium ore process residue backfill covering approximately 5.6 acres of impacted area; Site 166 is approximately 2 acres Page 3 of 6
 
October 31, 2017 within city-owned Rutkowski North 40 Nature Park, impacted by similar chromium ore process residue backfill. Scope of work also included remediation, infrastructure installation and reconfiguration, municipal permit coordination, demolition, soil borings, monitoring well installation, sample collection, groundwater monitoring, and reporting. Responsible as Construction Project Manager - managed performance of project maintaining schedule and cost to completion. Utilized P-6 value and provide earned value reporting and pay application.
Project Manager: ABB (formerly Combustion Engineering) Windsor Decommissioning of Buildings Complex, Windsor, Connecticut. - Industrial / Manufacturing - Complete: 2005 -2007 Conducted decommissioning of multiple process buildings at a nuclear fuel complex with floor area totalling 106,000 SF used for nuclear research and fuel fabrication on a 600-acre site, with associated Final Status Survey to release NRC Site License. Reconfigured the site infrastructure for future property sale and redevelopment. Responsible for managing organizational, schedule and production performance including effectiveness of staff managers; reviewed and approved contract submittals and negotiated technical and contractual issues with the client; implemented project-specific QA/QC program consistent with the Corporate QA program and ensured compliance with health and safety and radiation protection requirements for the successful and safe completion of the project. Utilized P-6 value and cost loaded schedule to track cost and provide earned value application.
Construction Project Manager: U.S. Department of Energy / Bechtel Jacobs Company LLC Melton Valley Solid Waste Storage Area (SWSA) 4 Environmental and Construction, Oak Ridge, Tennessee. - Nuclear and Hazardous Waste - Complete: 2003 to 2005 Environmental, geotechnical and quality assurance services for design / build delivery, including site capping, soil excavation, hydraulic isolation system design, groundwater treatment, borrow area and haul road development, subsurface groundwater diversion and collection system, wetland restoration and road repairs for 29-acre Solid Waste Storage Area (SWSA) 4 burial ground for low-level radioactive waste and soils from ORNL in unlined trenches and augur holes in Melton Valley Watershed. Design included a gas venting system, composite hydraulic barrier of geo-synthetic clay and membrane liners, geo-synthetic drainage layer, and soil cover material.
Responsible for Project Management overseeing preparation of project CPM schedule, cost accounting procedures, health and safety issues including primary compounds for past work such as mixed and radioactive contaminated media and hazardous waste; assisted in design and implementation of landfill, cap and groundwater treatment system.
Construction Project Manager: U.S. Department of Energy / Fluor Fernald, Inc. Uranium Processing Plant Site Closure Dismantlement and Demolition, Fernald (Cincinnati area), Ohio.
Decommissioning closure services at 90-building former uranium processing complex on 1,050 acres in southwest Ohio. Facility supplied raw materials for nuclear weapons program from 1953 until closure in 1989; clean-up began in 1992. Work involves removal of building rubble, piping, soil and other components. Work included surface decontamination, dismantlement, segregation, cutting and containerizing all interior and exterior equipment, systems and fixtures, asbestos-containing materials and above- and below-grade masonry and concrete. He was responsible for Project Management and Field Engineering over facility maintenance, demolition, decontamination and remediation projects.
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October 31, 2017 On-Site Project Manager: U.S. Department of Energy / Fluor Fernald Inc. Site Plant Buildings 5 and 6 Decontamination and Dismantling (D&D), Hamilton, Ohio. - Nuclear / Industrial /
Manufacturing - Complete: 1999 to 2001 Decommissioning services in conjunction with demolition of process buildings 5 and 6 at former uranium processing complex on 1,050 acres in southwest Ohio. Facility supplied raw materials for nuclear weapons program from 1953 until closure in 1989; clean-up began in 1992. Work included surface decontamination, dismantlement (buildings, utility and light poles, pipe racks and fencing), segregation, cutting and containerizing all interior and exterior equipment, systems and fixtures, asbestos-containing materials and above- and below-grade masonry and concrete.
Below-grade work included removal of piping, demolition of concrete slab on grade and concrete foundations, and removal of rad-contaminated soil. Responsible for initiating project scoping, cost estimating, work plan preparation, field engineering, demolition supervision craft management and client communication; overseeing preparation of project CPM schedule, cost accounting procedures, health and safety issues included primary compounds for past work included mixed and radioactive contaminated media, hazardous waste, lead contaminated dust, lead contaminated soil and other material handled in production of lead acid batteries treated for removal and offsite disposal.
Chronological Work History:
NorthStar Nuclear Decommissioning Co.
February 2017 to Present Senior Project Manager NorthStar Federal Services, Inc.
February 2015 to 2016 Senior Project Manager Messaros-Langub Realty, Inc.
Jan 2014 to 2015 Small Business Owner and Licensed Real Estate Agent AMEC E&I Jan 2011 to March 2013 Senior Project Manager / Proposal and Lead Capture Manager MACTEC Constructors / MACTEC Development Corporation March 1997 to Jan 2011 Project Director / Sr. PM, Principal in startup of Construction Division (MACTEC, Inc.)
GNB Environmental, Inc.
Feb 1992 to Feb 1997 Principal and Senior PM, Principal in startup of Construction Subsidiary (GNB,Inc./Pacific Dunlop LTD)
OHM Remediation Services Corp Feb 1991 to Feb 1992; PM and Engineer Fluor Daniel Environmental Services Jan 1990 to Jan 1991 Environmental Scientist, Key staff in startup of Atlanta Area Office CDM Federal Programs Corp Page 5 of 6
 
October 31, 2017 March 1987 +/- Dec 1990 Environmental Scientist, Key staff in startup of Atlanta Program Office Page 6 of 6
 
cott a        y a isson Co ak i g Cell +/- 865-207-1115 slabuy@northstar.com C
Mr. LaBuy is a multi-skilled Nuclear Engineer with diverse front-line experience in decommissioning research and test reactors and nuclear facilities, nuclear safety analysis, conduct of operations, project management, and applied engineering. He developed a career foundation in submarine reactor plant operations, electrical maintenance and operations, and mechanical design.
C orthstar      cl ar    co      issioning Co        any +/- an ary              r s nt Provide nuclear facility decommissioning proposal and project support, including cost estimating and planning.
n rcon      r ic s      g st        +/- an ary Prepared a decommissioning cost estimate for the Brazil Angra Nuclear Power Plants.
orthstar        ral    r ic s    or    rly        r ic s +/-      ril      +/-  ay Provided decommissioning proposal and project support. Awarded LBNL Old Town Demolition Project in Dec 2014; supported project planning and startup. Awarded the VA Blotcky Reactor D&D in April 2015; supported project planning and startup.
n      n    nt Cons ltant +/-      c        +/-    ril Performed fixed price decommissioning project management, nuclear safety, and engineering. Provided proposal support consisting of strategy development, technical approach, bid estimates, and scheduling.
Prepared approximately 100 decommissioning cost estimates for DOE, NRC, and International facilities.
r ic s n      n  nt Cons ltant          +/-
ni rsity at      alo, Buffalo NY.          ni rsity o llinois, Urbana IL.
2012-2013. Managed the Reactor              2011-2012. Managed the Nuclear Facility decommissioning project to        Reactor Laboratory decommissioning dismantle, remove, and package high        project to dismantle, remove, and dose rate components up to 500 R/hr,        package a Mark II TRIGA reactor.
250 R/hr sources, mixed waste,              Performed project engineering, depleted uranium, systems and              planning, and radiological dose and components, and concrete bioshield          shielding assessments. Work and hot cell structures. Performed on-      included 60 R/hr reactor component site project engineering, planning,        disassembly and packaging, radiological dose and shielding            Bioshield concrete wire saw cutting, assessments, and work oversight.            activated material removal, and system removal. Oversaw asbestos abatement, hazardous material removal, radiological decon, and demolition of the 3,200-square-foot building structure.
 
cott a      y ag Supported proposal and project startup efforts for the following awards: Paducah C-340 and the Hanford 300 Area PRTR, 340 Vault, and TRIGA removal. Supported efforts for award of a MAGNOX Framework contract to Squibb/LVI. Performed task order bid walks and proposal efforts in the UK.
Performed pre-bid walks at West Valley, BNL, Paducah, Portsmouth, ANL, Hanford, Nevada Test Site, LANL, LBNL, ETEC, Rocky Flats, Oak Ridge Sites, Fernald, Fermi 1, Zion Station, Vermont Yankee, Humboldt Bay, Hematite Fuel Fab, Columbia Fuel Fab, GE Wilmington Fuel Fab Facility, Sturgis Ship Reactor Plant, and various other sites.
ni rsity o ri ona, Tucson AZ. 2010-                        il ings        an      , Oak Ridge. 2010.
2011.                                            Project Manager for the demolition of an 83,500 sq. ft.
Performed project management, project            four story structure and a 19,520 sq. ft. three story engineering, and quality assurance                building at the Y-12 National Security Complex in Oak assessments to dismantle, remove, and            Ridge, TN. Utilized an ultra-high reach demolition package a Mark I TRIGA Reactor and                machine. Transported over 1,200 loads to the EMWMF ancillary components. Dispositioned pool          landfill totaling approximately 23,000 cubic yards of water, reactor tank gunite, and concrete.        radiological debris.
all citos    cl ar C nt r, Sunol CA. 2007-2008.              ni  rsity o Washington, Seattle WA. 2006.
Performed project                                            Performed engineering and planning                                      project to D&D the VBWR and                                          engineering to EVESR reactor plant                                          dismantle the systems and components.                                      Argonaut Managed EVESR reactor                                        training reactor, system and component                                          bioshield dismantlement and                                            concrete, and removal operations.                                          ancillary Performed air dispersion                                      systems.
calculations.
      , Oak Ridge TN. 2004-2006. Prepared VHYHUDO5HTXHVWVIRU(TXLWDEOH$GMXVWPHQWIRU/9,&#xb6;V
subcontract to perform asbestos abatement in several ETTP lab area buildings. Performed claims analysis through mediation.
 
cott a      y ag rookha n ational a . 2005. Performed                  lo al    cl ar    ls, Wilmington NC. 2004.
work planning and operations management to            Prepared work control documentation to remove decommission a large elevated bag-house filled        equipment and fissile materials from a UF6 with radiologically contaminated asbestos.            Vaporization Room.
H atit        l a rication acility 2003-2004.
Prepared a Ventilation Assessment to evaluate a system deactivation sequence to satisfy NRC license requirements. Performed an air dispersion accident analysis to support ventilation system deactivation.
n rcon      r ic s n      n    nt Cons ltant ni rsity o ri ona. 2009.                          H      ol t ay o r lant                . 2008. Performed Prepared a Decommissioning Plan for the            project engineering and scheduling to transfer and university research and test reactor, which was    package approximately 600 cubic feet of 10CFR61.55 submitted to and approved by the NRC.              Class C ion exchange resin for processing and ultimate disposal at Barnwell.
Hon y ll        tro olis lant. 2007-2010.
Performed an evaluation of the existing Integrated Safety Analysis (ISA), including DGHTXDF\RI&#xb3;,WHPV5HOLHGRQ)RU6DIHW\'IRUthe 10CFR40 uranium conversion systems and processes. Performed system walk downs and operator interviews to verify implementation.
Prepared an ISA Summary, which is similar in format and content to a DOE DSA. Prepared a comprehensive Project Plan to develop an ISA revision to implement more rigorous nuclear safety requirements, in accordance with 10CFR70 guidance.
storation    r ic s nc n        n nt Cons ltant an          g      an an +/-        r C o Cana a. Performed dose rate and shielding analyses for an Underground Storage Tank Remediation Project at Chalk River Laboratory.
chnology nc n            n nt Cons ltant      l      +/- ay Successfully prepared bid estimates for security services at U.S. Embassies, and for security support contracts in IRAQ and Afghanistan.
Cost Cons ltant an            to ay Performed claims consulting and cost analyses on ETTP 3-Building D&D Project. BNFL had compiled Requests for Equitable Adjustment in excess of $200M.
an act ring an          ly (DJOHYV%HFKWHO-DFREV/LWLJDWLRQ, Knoxville, Tennessee. Provided bid cost validation and testimony as an expert cost witness at a Bench Trial in the Tennessee Eastern District Court.
 
cott a        y ag li      chnology        g        +/-    c rnal . Prepared Nuclear Safety Basis documentation and Accident and Dispersion Analyses in support of the Jacobs Engineering Group Fernald Silos project. Silos 1 and 2 contained 4,700 Ci of Ra-226. Performed numerous USQ evaluations. Prepared ALARA analyses and performed several dose rate and shielding calculations on Silos 1, 2, 3, the Transfer Tank Area, and to support the design of the Fernald Silos Remediation Facility.
ak i g        ational a oratory. Prepared a Documented Safety Analysis in accordance with 10CFR830, including hazard categorization and accident analyses for the ORNL T1, T2, and HFIR tanks fluidic mixing and resin destruction of 5,650 gallons (620 Ci). Prepared radiological dose assessments to allow AEA Technology Services to perform tank remediation.
ak i g        ational a oratory Managed a one-year, $2.7M fixed price FFA underground storage tank remediation project at ORNL. Managed site operations for the first 6 tanks and transitioned to Project Manager for the remaining 11 tanks.
Performed project planning and radiological dose assessments to remove high source term tank sludge. Site operations included sluicing and slurry transfer of more than 3,000 gallons (2,500 Ci) of sludge, and subsequent grouting of 17 tanks.
C n rgy        r ic s    an            ay rgonn      ational a oratory                .
Managed CP-5 Reactor Facility D&D operations for the 2nd phase of the one year fixed price $3.5M project. Operations included process systems removal, hot cell demolition, concrete diamond wire cutting, large diameter concrete coring to remove fuel storage tubes, overhead crane dismantlement, waste management, Brokk operations, and extensive decontamination of metals and concrete throughout the facility to free release criteria.
Coordinated procedure writing, facility operations, subcontracts, labor resources, activity sequencing, and financial reporting.
ak i g        ,          . Managed the initial phase of a 3 year, $12M fixed price project to D&D the highly contaminated K-1420 Uranium Recovery and Decontamination Facility.
Performed K-1420 D&D Project Planning and Facility Characterization. Coordinated the preparation of MC&A Plan and criticality safety analyses. Managed the collection and analysis of residual fissile materials and subsequent facility downgrade from Category II Nuclear. Removed numerous K-1420 high-bay systems, the K-1421 Incinerator Building, and Tank Farm. Performed project planning and operations for RCRA closure of the K-1417B Yard.
 
cott a      y ag ockh        artin    aho    chnologi s Co      any Planned and managed Decommissioning project operations. Prepared D&D Plans, Health and Safety Plans, Characterization, NEPA, Dose Assessments, Site Release, and cost control documentation. Characterized a pool-type reactor facility. Dismantled highly contaminated equipment and a structure that had been used for spent nuclear fuel research. Designed and fabricated a shielded shipping and storage drum for remote-handled TRU sources. Characterized, planned, and managed the D&D of several systems and structures. Prepared Hazard Categorization and Safety Analysis documentation for decommissioning projects. Performed long range        3HUVRQDOO\DZDUGHGWKHFRYHWHG/RFNKHHG&#xb3;7RS
site wide D&D planning, including the preparation      3HUIRUPDQFH$ZDUG'DWRSDZDUGDPRQJ
of cost estimates for several hundred facilities.      HPSOR\HHV
Prepared detailed characterization and project plans for a complex spent nuclear fuel removal project.
Participated on an INL site-wide SNF task team for consolidation of spent nuclear fuels.
Established a spinoff company in 1996 with 3 co-workers, endorsed by LMITCO to promote small business development. The company was acquired by NSC Energy Services.
ortlan      n ral l ctric    ro an      cl ar lant        +/-
Performed mechanical design tasks for plant modifications. Managed, expedited, and directed preparation of a detailed construction package to modify the control room emergency ventilation system.
Qualified as a 10CFR50.59 screener and evaluator for plant modifications. The plant was permanently shut down in 1993.
 
cott a        y ag aho        to Provided technical expertise to support the New Production Reactor (NPR) design effort. Advised DOE on Modular High-Temperature Gas-Cooled Reactor (MHTGR) reactor internals and emergency core cooling design factors. Participated in development meetings at General Atomics, ETEC, and DOE Headquarters. Analyzed fuel and target production options and the entire MHTGR fuel cycle. Prepared target irradiation and tritium extraction test plans and reports. The NPR program was terminated in 1992 after the end of the cold war and policy decision to dramatically reduce the nuclear weapons stockpile.
r gon tat        ni    rsity Cor allis      r gon
      +/-
Performed transmutation Monte Carlo analyses, as a Research Assistant, for disposition of spent nuclear fuel. Performed health physics tasks at the university TRIGA facility. Performed gamma spectroscopy analyses. Coursework focused on reactor physics and thermal-hydraulics performance analysis.
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      +/-
Qualified as Electrical Operator, Shutdown Reactor Operator, and Radiological Controls Worker.
Supervised and trained personnel in the operation and maintenance of electrical power generation and distribution systems, submarine reactor and steam plant operations, and instrumentation and controls.
Applied hands-on operations and maintenance solutions using broad, multi-disciplined engineering knowledge. Attended Naval Nuclear Power School in Orlando FL and S5G Prototype at NRF Idaho.
Specially selected to maintain a prototype submarine gas management system, which was first installed on SSBN 626, and to attend extensive training sessions at the design/manufacturer, Hamilton Standard.
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cott a      y ag H
2017 +/- Present +/- Northstar Nuclear Decommissioning Company 2016 +/- 2017      Enercon Services 2015 +/- 2016 +/- AECOM (Formerly URS) 2014 +/- 2015 +/- Northstar Federal Services (Formerly LVI Services) 2003 +/- 2014 +/- Independent Consultant - LVI Services, Enercon, Restoration Services, EODT, BNFL 2000 +/- 2003 +/- Project Engineer and Project Manager +/- TPG Applied Technology 1998 +/- 2000 +/- Project Manager - NSC Energy Services 1993 +/- 1998 +/- Project Engineer and Project Manager +/- Lockheed Martin Idaho Technologies 1992 +/- 1993 +/- Design Engineer, Portland General Electric, Trojan Nuclear Plant 1990 +/- 1992 +/- Systems Engineer, EG&G Idaho 1987 +/- 1990 +/- Student, Research Assistant, Radiological Technician, Oregon State University Naval Reserves, Industrial Painter during summers.
1980 +/- 1986 +/- Nuclear Plant Operator, Electrician, U.S. Navy C          H          an B.S. Nuclear Engineering, with high scholarship, Oregon State University, 1990 Institute of Nuclear Power Operations Scholarship, 1988 - 1990 Naval Nuclear Power Training Unit, Idaho Falls, 1982 Naval Nuclear Power School, Orlando FL, 1981 Past Member, American Nuclear Society Past Member, Health Physics Society
 
Matthew J LaBarge                                                            Technical Services Project Manager

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WCS Role and Responsibilities
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Prior Professional Experience

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x    Paducah Waste Disposition Project Manager; Paducah, KY 
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Matthew J LaBarge x    Project Manager, Boneyard Waste Project; Brookhaven National Laboratory; Bechtel National; Upton, NY
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x    Team Leader, Waste Management Support; DOE Hanford Reservation; Fluor Hanford Company; Richland, WA (1997-1998)
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Westinghouse Hanford Company, Richland, WA, 1990 to 1996 x Waste Management Operations Supervisor, DOE Hanford Reservation (1993-1996)

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Andrews Environmental Engineering, Inc., Springfield, IL, 1989 to 1990 Environmental Planner
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TERRY GARRETT, PE Project Manager Mr. Garrett has over 37 years of combined expertise in organizational management, strategic    EDUCATION planning, project management, and design, plant, and nuclear engineering. Prior to joining Burns &          MS, Mechanical Engineering BS, Nuclear Engineering McDonnell, he served as Vice-President on-loan to INPO in the role of Team Leader for plant          REGISTRATIONS evaluations focusing on Organizational Effectiveness. In addition, Mr. Garrett has held            Professional Engineer (KS) the positions of Vice President Engineering of Wolf Creek Nuclear Operating Corporation,            3 YEARS WITH BURNS & MCDONNELL Executive Director for the Strategic Teaming and Resource Sharing (STARS) alliance, Manager Design Engineering, Manager Nuclear Analysis, and Manager Nuclear 37 YEARS OF EXPERIENCE Safety Analysis.
Senior Reactor Operator Certification equivalent - completed the SRO training program at Wolf Creek Generating Station, a two year program that included outage and operation time on shift.
Burns & McDonnell 2013 - Present Project Oversight. Senior Engineering and Project oversight including the Diablo Canyon Computational Fluid Dynamic Model for direct hot winds and high wind conditions, Third Party Review of the Inverter Replacement project at the Palo Verde Nuclear Generation Station, and Owner Engineering Services for the ISFSI Project at the San Onofre Nuclear Generating Station.
Senior Project Consultant. Project, Program and Client Manager for Nuclear Projects. Senior Engineering and Project Consultant for the $10 billion / 10 year Ontario Power Generation Darlington Refurbishment Program. Engineering consulting to Ontario Power Generation Pickering Nuclear Plant.
Institute Nuclear Power Operations (INPO) 2011 - 2013 Team Leader Vice-President on loan from Wolf Creek Nuclear Operating Corporation to INPO Reported directly to the Deputy Director Organizational Effectiveness in the Plant Evaluations Department, INPO Responsible for leading evaluation teams and performing operational assessments for domestic nuclear power stations Responsible for evaluating and assessing corporate governance and oversight of the station, station adherence to standards and accountability models, and execution of operations, maintenance, and engineering departments Wolf Creek Nuclear Operating Corporation 2005 - 2011 Vice President Engineering
 
TERRY GARRETT, PE (continued)
Reported directly to the President and Chief Executive Officer and responsible for providing overall program technical and administrative direction for the Engineering department Officer of the Corporation Responsible officer for licensing the corporation to practice Engineering in Kansas Managed 5 divisions and over 150 personnel within the Engineering department which includes the following areas of responsibility and expertise: Design Engineering, Plant Engineering (includes System Engineering), Nuclear Engineering, and Project Engineering Utilities Service Alliance, Inc.
2002 - 2005 STARS Executive Director Responsible for managing and directing all alliance activities for the Strategic Teaming and Resource Sharing (STARS) alliance members: STP Nuclear Operating Co.; Diablo Canyon Power Plant - Pacific Gas & Electric; Comanche Peak Power Plant - TXU Electric; Callaway Plant - AmerenUE; Palo Verde Nuclear Station - APS; Wolf Creek Nuclear Operating Corporation Responsible for implementing the STARS alliance governance and oversight model Management Council Chairman Responsible for managing and directing alliance activities for the members to the Utilities Service Alliance, Inc.
Wolf Creek Nuclear Operating Corporation 1986 - 2002 Manager Strategic Initiatives Responsible for strategic and all alliance activities for Wolf Creek Generating Station including the Utilities Service Alliance, Inc.
Responsible for developing the governance, oversight, and management model for the Strategic Teaming and Resource Sharing alliance Manager Design Engineering Responsible for design functions including electrical, mechanical, civil, piping, and designing modifications, maintaining configuration control, and maintaining the design basis of Wolf Creek Generating Station Manager Nuclear Engineering Responsible for nuclear fuel procurement, fabrication, and delivery Responsible for directing nuclear fuel reload design methods development, performing fuel reload designs, performing nuclear fabrication audits and surveillances and establishing design control procedures Responsible for directing the activities in the areas of core thermal hydraulics for reload design analysis, transient and accident analyses, radiological consequence analyses and developing design methods reports
 
TERRY GARRETT, PE (continued)
Responsible for developing a Level II probabilistic risk assessment power plant model, performing a core damage assessment and consequence analysis, and performing containment consequence analyses Manager Nuclear Safety Analysis Responsible for directing nuclear fuel reload design methods development, performing fuel reload designs, performing nuclear fabrication audits and surveillances and establishing design control procedures Responsible for directing the activities in the areas of core thermal hydraulics for reload design analysis, transient and accident analyses, radiological consequence analyses and developing design methods reports Responsible for developing a Level II probabilistic risk assessment power plant model, performing a core damage assessment and consequence analysis, and performing containment consequence analyses Kansas Gas & Electric 1982 - 1986 Lead Nuclear Safety Analyst, Nuclear Engineering Department Responsible for directing the technical activities of the Safety Analysis group, providing thermal hydraulic and accident analyses, and developing analytical methods Developed a methodology for calculation and control of Limiting System Safety Settings and Limiting Conditions of Operation, methodologies for radiological and containment consequence analysis, a critical heat flux correlation for predicting departure from nucleate boiling and performed safety evaluations to demonstrate that plant changes have not degraded or reduced the margin of safety Staff Engineer, Nuclear Engineering Department Developed a RETRAN code model to simulate the thermal hydraulic and reactor kinetic response for a Westinghouse PWR, a VIPRE code subchannel model of the reactor core to predict departure from nucleate boiling, directed the re-analysis of the SGTR even and submitted the report to the Nuclear Regulatory Commission, participated in a mini PRA plant safety study, and prepared safety-related procedures for documentation and qualification of technical computer codes and calculation preparation Westinghouse Electric Corporation 1978 - 1982 Staff Engineer, Bettis Atomic Power Laboratory Performed core thermal and hydraulic analysis for the light water breeder reactor project, performed thermal hydraulic analyses of various irradiated fuel handling and storage designs, analyzed plant scram and reactor coolant system data for abnormal operating trends, and designed, prepared procedures and provided technical support for thermal and hydraulic tests
 
279 Mill Lane Rd Bohannon, VA. 23021 (804)384-8081 Daniel Jordan                                                                                        Djordan@Northstar.com
                                      ([SHULHQFH6XPPDU\
x h^                                      Mr. Jordan is now the Director of Health Physics and Waste
            &#x17d;Y&#x17d;              Operations for NorthStar Nuclear Decommissioning Company x  EEW&#x17d;^&#x17d;&#x17d;                    where he manages the, development, implementation, and x h^E>&#x17d;&#x17d;d          maintenance of the radiation protection and waste management
                                              programs associated with the decommissioning of nuclear sites, x h^EDD                        specifically the Vermont Yankee Nuclear Power Station. Mr.
x Z^&#x17d;ZW^^&#x17d;      Jordan has over 30 years of radiation protection and waste Z&#x17d;^d    management experience and is certified by the National Registry EWW/EWK&#x17d;                    of Radiation Protection Technologists. Mr. Jordan has extensive x  Z^K^&#x17d;&#x17d;&#x17d;^      experience in operational health physics, nuclear reactor decommissioning, regulatory compliance, radioactive and x  EZZWd&#x17d;
hazardous waste remediation, characterization, transportation x  &Z^,dZZZ        and disposal. Mr. Jordan has extensive experience managing and x  Zt//,tKWWZ&#x17d;              implementing radiation protection and waste management x  EZd                              programs, ensuring compliance with radioactive materials x  &>^&#x17d;d                licenses, ALARA principles, radioactive and hazardous waste characterization, transportation, and disposal. Mr. Jordan is also x  &>d
an experienced training instructor in the areas of radiation x  d>d                  protection, and radioactive/hazardous waste characterization, x  ^&#x17d;                                storage, transportation, and disposal.
                        
l ant              ri nc      ast        y ars +/- Currently NorthStar Nuclear Decommissioning Company at Vermont Yankee.
Wast        anag r        a Cross      oiling Wat r        actor    C W    
Responsible for the implementation and maintenance of the radioactive and industrial waste management programs including RCRA and TSCA, providing field waste and environmental management support for all D&D activities.
Wast        anag r        a r nc        rk l y ational a oratory Responsible manager of the Radiation Protection Program. Responsible for hazardous waste characterization and disposition. Responsible for developing hazardous waste disposition and shipping procedures, a QA Plan, and a Waste Management and Transportation Plan to support the demolition of Old Town Phase One project. Responsible for planning work and developing work packages to support the demolition of Old Town Phase One project. 
Wast            cialist    an      no r        cl ar    n rating tation Responsible for the characterization, transportation, and disposal of highly radioactive legacy waste.
Wast        anag r W stingho s Walt                    ill  co    issioning Responsible for the contract management and implementation of radioactive and Resource Conservation and Recovery Act (RCRA) waste characterization, transportation, and disposal programs for the Waltz Mill remediation project.
 
279 Mill Lane Rd Bohannon, VA. 23021 (804)384-8081 Daniel Jordan                                                                              Djordan@Northstar.com Wast      anag r    ni  rsity at      alo    cl ar    actor    co    issioning Responsible for the contract management and implementation of radioactive and RCRA waste characterization, transportation, and disposal programs for the University at Buffalo Reactor D&D.
Wast      anag r    ni  rsity o llinois      cl ar    actor    co    issioning Responsible for the contract management and implementation of radioactive and RCRA waste characterization transportation and disposal programs for the University of Illinois Reactor D&D.
Wast    anag r      ni  rsity o    ri ona    cl ar    actor    co    issioning Responsible for the management and implementation of the site radiological protection program and the site radioactive and RCRA hazardous waste characterization, transportation, and disposal programs associated with the decommissioning of the University of Arizona TRIGA test reactor.
Wast Cons ltant Hon y            ll    Con    rsion    tro olis Works Assisted Honeywell to develop successful radioactive waste and RCRA waste management programs.
Responsible for the oversight and implementation of the site radioactive waste characterization, transportation, and disposal program associated with the operation of a uranium hexafluoride manufacturing facility. Successfully aided Honeywell Metropolis Works in disposing of over 40 million pounds and 1 million ft3 of radioactive and hazardous waste in a cost-effective manner resulting in a cost savings for Honeywell of over $50 million.
Wast      anag r W stingho s          all citos oiling Wat r        actor    W Responsible for the oversight and implementation of the site radioactive waste characterization transportation and disposal program associated with the decommissioning of the Vallecitos Boiling Water Reactor.
Wast      anag r ni rsity o Washington st                actor    co    issioning Responsible for the implementation and management of a supporting health physics program to perform decommissioning work including radiological job coverage, ALARA engineering, radiological instrumentation, dosimetry, and FSS. Responsible for the management and implementation of the radioactive/hazardous waste characterization, transportation, and disposal programs.
th r    l  ant        ri nc gr at r than        y ars
 Site Radiation Safety Officer / Waste Manager, Energy Solutions Clive Disposal Facility
 Waste Supervisor / Radiation Protection Supervisor, Calvert Cliffs Nuclear Power Plant
 US Navy Nuclear Engineering Laboratory Technician, USS Sam Houston, USS Simon Bolivar
 
POSITION:                          (SAFSTOR 3) ISFSI RP and Environmental Program Coordinator REPORTS TO:                        ISFSI Senior Manager DEPARTMENT:                        ISFSI Organization EMPLOYMENT STATUS:                Regular, Exempt ROLE: The ISFSI RP and Environmental Program Coordinators primary role is to support the day to day operation of the VY Independent Spent Fuel Storage Installation (ISFSI). This includes oversight of site radiological controls, promoting and enforcing ALARA practices and conducting both radiological and environmental monitoring and sampling, shipping, analysis, and recordkeeping. This may include managing the work of contractors, and assisting in the implementation of project work in conjunction with the ISFSI Senior Manager and Operations Specialist for modifications to the ISFSI. The Environmental Program Coordinator will also develop and provide training, and implement processes and procedures as a Subject Matter Expert (SME) for operation and maintenance of ISFSI radiological and environmental monitoring programs and equipment and controls. The candidate will assist to maintain a cooperative, motivated, successful team and promote a Safety Conscious Work Environment.
QUALIFICATIONS:
Candidate should have knowledge and experience with nuclear radiological and related environmental program requirements and controls. Candidate should have a Bachelor Degree in Engineering or Science or Equivalent and 8 years industrial/power plant experience of which 5 years shall be in a supervisory position and nuclear experience. Formal training in radiation protection required, certification by the American Board of Health Physics is preferred. Aptitude for training and familiarity with regulatory compliance with 10CFR Parts 50 and 72 a plus.
DUTIES/RESPONSIBILITIES Candidate must exhibit qualities that will support the SAFSTOR 3 ISFSI mission. These include the ability to handle multiple tasks, to work as a team member, be a self-starter and motivated to get work done on an expedited basis. Team member must be able to anticipate error likely situations with a questioning attitude.
SAFSTOR 3 Technical Specialist responsibilities include:
x Interface with the Security Staff to ensure the processes and procedures are effectively implemented.
x Assist in the implementation of the preventative and corrective maintenance program.
x Ensure the Site complies with Local, State and Federal regulations.
x Assess site activities and recommend and/or develop improvements in processes, procedures and training.
x Fix, install, test, calibrate, and repair ISFSI radiological and environmental monitoring equipment. This includes directing or working with contracted personnel to support the SAFSTOR 3 ISFSI mission in an efficient, safe, and quality manner.
x Assist with the annual budget development and implementation of the approved budget.
 
x Assist with the implementation of the Corrective Action Program (CAP) to ensure that it is effective by fostering the identification of issues at a low threshold.
x Ensure that required ISFSI regulatory issues are identified, thoroughly documented, and appropriately dispositioned.
x Perform or assist with Regulatory Reviews and independent Safety Reviews.
x Assist with the development and implementation of annual site Goals and Management Action Items.
x Support a Safety Conscious Work Environment (SCWE) and safety culture that is free of Harassment, Intimidation, Retaliation and Discrimination (HIRD).
x Perform all assigned tasks in conformance with established procedures and company policies.
x Keep ISFSI Senior Manager cognizant of the status of all assigned work and of any problems that arise.
x Properly document all data and information collected during the performance of assigned tasks.
x Recommend and implement changes to procedures and equipment as identified during the course of performing assigned work.
x Maintain personnel radiological exposure as low as reasonably achievable.
x Maintain effective communications with other employees to ensure that those with a need to know are kept cognizant of events in an effort to reduce delays, resolve conflicts, and expedite resolution of problems.
x Perform such other duties that may be assigned.
WORK SCHEDULE: 40-hour work week; overtime as required.
 
APPENDIX E Decommissioning Experience Project Profiles
 
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Latest revision as of 12:57, 7 January 2025

Response to Request for Additional Information Regarding the Request for Direct and Indirect License Transfers from Entergy to Northstar
ML17339A896
Person / Time
Site: Vermont Yankee  File:NorthStar Vermont Yankee icon.png
Issue date: 12/04/2017
From: Bakken A
Entergy Nuclear Operations
To:
Document Control Desk, Office of Nuclear Material Safety and Safeguards, Office of Nuclear Reactor Regulation
References
BVY 17-043, EPID L-2017-LLM-0002
Download: ML17339A896 (258)
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