CEE-R3) Page 4220 of 4269

Exhibit __ (CEE-R3) Page 4220 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 51.1

Provide the following information:

i. identify and explain cost breakdown in each year 2014-2018 with supporting workpapers ii. detailed scope and explanation of project, including identification of existing needs and benefits gained; iii. detailed cost breakdown and explanation of cost in each year 2019-2023; iv. copies of all estimates received for the project; v. all pertinent workpapers, reports, memos, and engineering studies; vi. cost benefit analyses; vii. detailed project and construction schedules with in service dates for each year 2019-2023; viii. alternative analysis; ix. associated O&M savings; x. detailed cost expenditures on this project to date

51. RG&E Station 170 Dam Resurfacing Project

Response

i. Refer to NYRC-0914 – DPS-429 (19-E-0378 et.al.) Attachment A.

ii. Please see response to NYRC-0555 DPS 216 Question G.

iii. Please see response to NYRC-0555 DPS 216 Question G.

iv. No cost estimates were received for the project.

v. Refer to Attachment 51.2 for pertinent workpapers.

vi. A cost benefit analysis for the project has not been generated.

vii. A detailed project schedule has not been developed for the project. A general list of activities by year is: 2021 – Project Initiation and technical specification development 2022 – Competitive bid process, bid aware, FCM on-boarding, mobilization and start of construction 2023 – Construction continuation, completion and demobilization 2024 – Project close-out

viii. Completion of the project is presently scheduled to occur in 2024. Exhibit __ (CEE-R3) Page 4221 of 4269

ix. No alternative analysis has been generated for the project. x. There are no potential O&M savings as a result of this project. xi. See i and iii above for cost information.

Exhibit __ (CEE-R3) Page 4222 of 4269 NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 51 v. - CONFIDENTIAL

Dam Assessment Report Wiscoy Creek Dam

NYS Dam ID: 030-0565

Town of Hume, County of Allegany, State of New York

August 2015

Prepared By: Prepared For:

Signature of Owner:

James R. Guistina, PE Amanda Miner NYS License: 084113 Regulatory and Operations Engineer, Rochester Gas & Electric

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Table of Contents I. Introduction ...... I-1 A. Location ...... I-1 B. Description of Dam and Appurtenant Structures ...... I-2 1. General Description ...... I-2 C. Dam Function ...... I-7 D. Ownership and Design ...... I-8 E. Recent Updates to Structure ...... I-8 II. Hazard Classification Evaluation ...... II-1 A. Changes in Downstream Development ...... II-1 B. Classification Recommendation ...... II-1 III. Visual Safety Inspection Report Summary ...... III-1 A. Findings ...... III-1 1. General Overview ...... III-1 2. Crest ...... III-1 3. Downstream Face ...... III-3 4. Abutments ...... III-6 5. Toe of Dam ...... III-6 6. Catwalk ...... III-7 7. Reservoir ...... III-7 8. Downstream Channel...... III-8 Evaluation of Observations ...... III-9 Previous Recent Inspections ...... III-10 IV. Hydrologic/Hydraulic ...... IV-1 A. Drainage Basin Characteristics ...... IV-1 B. Hydrology Analysis ...... IV-1 C. Spillway Capacity ...... IV-6 D. Reservoir Capacity...... IV-7 E. Floods of Record ...... IV-7 F. Overall Hydrologic/Hydraulic Evaluation ...... IV-7

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V. Structural Stability ...... V-1 A. Visual Observations ...... V-1 B. Data Review and Stability Evaluation ...... V-1 VI. Evaluation of Outlet Works and Operating Procedure ...... VI-1 A. Procedure for Draining Reservoir ...... VI-1 B. Maintenance of Dam ...... VI-1 C. Warning System in Effect ...... VI-1 D. Evaluation ...... VI-1 VII. Emergency Action Plan Evaluation ...... VII-1 A. Review ...... VII-1 VIII. Conclusion ...... VIII-1 A. Assessment ...... VIII-1 1. Safety ...... VIII-1 2. Adequacy of Information ...... VIII-1 3. Need for Additional Investigation ...... VIII-1 4. Urgency for Repairs/Changes ...... VIII-1 B. Recommended Measures ...... VIII-2 IX. Works Cited ...... IX-1

Appendices A. Photographs B. Inspection Documents C. Hydraulic/Hydrologic Engineering Calculations D. Stability Computations E. Emergency Action Plan F. Record Drawings G. I & M Plans H. Works Cited

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Figures Figure I-1: Wiscoy Dam Location ...... I-1 Figure I-2: Detail Project Location Map ...... I-2 Figure I-3: Section of Downstream Face ...... I-3 Figure I-4: Cross Section ...... I-4 Figure I-5: Plan View of Wiscoy Dam ...... I-5 Figure I-6: Anatomy of Wiscoy 1 Dam ...... I-6 Figure IV-1: Wiscoy Watershed Model ...... IV-2 Figure IV-2: Principal Spillway Storm ...... IV-4 Figure IV-3: Auxiliary Spillway Storm ...... IV-5

Photos Photo III-I: Auxiliary and North Principal Spillway ...... III-2 Photo III-II: South Principal Spillway ...... III-2 Photo III-III: Downstream Channel looking Upstream to Dam ...... III-3 Photo III-IV: Downstream Face ...... III-4 Photo III-V: Auxiliary Spillway / Top of Dam ...... III-4 Photo III-VI: North Principal spillway ...... III-5 Photo III-VII: Water leaking through Former Penstock Location ...... III-6 Photo III-VIII: Existing Catwalk & Dam Access ...... III-7 Photo III-IX: Wiscoy Reservoir looking north ...... III-8 Photo III-X: Downstream Channel ...... III-9

Tables Table I-1: Wiscoy Overview ...... I-7 Table IV-1: Dam Operations Table ...... IV-5 Table IV-2: Spillway Discharges ...... IV-6 Table IV-3: Spillway Discharge Time ...... IV-6 Table IV-4: Reservoir Volume and Area ...... IV-7 Table V-1: Summary of Wiscoy Stresses ...... V-4

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I. Introduction

A. Location The Wiscoy Dam is located on Wiscoy Creek about 0.30 miles upstream from County Road 27 in the Town of Hume, Allegany County, New York. The non-active hydro power reservoir is located at the west part of the site. The site is located within the lower portion of the Wiscoy Creek watershed just above the confluence of the Genesee River.

Figure I-1: Wiscoy Dam Location

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Figure I-2: Detail Project Location Map

B. Description of Dam and Appurtenant Structures

1. General Description The dam was designed by Gannett, Seelye & Fleming Engineers of Harrisburg, Pa. in 1921. The original owner was the Filmore Electric Co., however, the current owner is Rochester Gas & Electric. For this inspection, copies of the correspondence, the dam application (2 sheets), design calculations (3 sheets), and design drawings were provided by the New York State Department of Environmental Conservation, Albany, New York.

Wiscoy Dam is a concrete arch dam with a crest length of approximately 240 ft. between the abutments. The dam has a maximum height of 33 ft. and a crest width of 5.75 ft. The north abutment is 14.5 ft. long and has an elevation of 1275.53 ft. (NAVD 88). The south abutment is 22.5 ft. long and has an elevation of 1275.53 ft. (NAVD 88). The downstream dam face has a slope of 1V:0.15H while the upstream slope is vertical.

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Figure I-3: Section of Downstream Face

According to available contract drawings, the dam is constructed of unreinforced concrete except for the top 10 ft. which is reinforced with #4 bars on 12 in. centers placed vertically and horizontally in both faces. The principal spillway consists of a triangular metal drop inlet structure that drains into the downstream channel; the wood penstock to RG&E Substation No. 170 has since been removed. The triangular metal drop inlet structure with trash racks is attached to the dam 45 ft. from the south abutment and extends approximately 10 ft. into the reservoir. The spillway has a crest elevation of 1269.46 ft. (NAVD 88). Above the spillway is a metal grate platform and walkway at elevation 1275.53 ft (NAVD 88) which supports the gate hoist. The inlet structure was drained by a 60 in. diameter pipe operated by a vertical lift sluice gate, that is currently blocked by debris. It is approximately 1500 ft. long and drops approximately 44 ft. over that length from an invert elevation of 1234.0 ft (NGVD 29) at the upstream face of the dam. The penstock is supported by concrete cradles at 10 ft. intervals between the dam and the powerhouse.

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Figure I-4: Cross Section

The north principal spillway is 40 ft. wide, 0.6 ft. deep and is located about 20 ft. from the north abutment with a crest elevation of 1269.46 ft. (NAVD 88). The south principal spillway is 42 ft. wide, 0.6 ft. deep and is located about 28 ft. from the south abutment with a crest elevation of 1269.46 ft. (NAVD 88). A reservoir drain consisting of a 4 ft. by 4 ft. opening in the dam with an invert elevation of 1239.03 ft. (NAVD 88) is located just north of the south principal spillway. The flow is regulated by a vertical lift sluice gate on the downstream face of the dam. A 10 ft. by 3 ft. construction opening in the center base of the dam and has been closed on the upstream face with timber and two reinforcing rods.

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Figure I-5: Plan View of Wiscoy Dam

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Figure I-6: Anatomy of Wiscoy 1 Dam

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Wiscoy Dam Overview Drainage Area 73599.71 Acres (115 sq mi) Discharge at Dam Pool at Top of Dam Record Drawings 2014 Analysis Delta A: Principle Spillway (North)- At Dam Top 30 cfs 33 cfs 3 cfs B: Principle Spillway (South)- At Dam Top 30 cfs 35 cfs 5 cfs C: Auxiliary Spillways @ 1275.53 FT. 9,862 cfs 9,596 cfs 266 cfs (Datum Change ft ) = 0.54 Elevations AS BUILT DATA NGVD 29 (FT) NAVD 88 (FT) A: Top of Dam 1270.60 1270.06 B: Normal Pool 1268.70 1268.16 C: Auxiliary Spillway Crest 1270.60 1270.06 D: Principal Spillway Crest 1269.95 1269.46 E: Top of Gravity Walls 1276.07 1275.53 F. Downstream Creek Bed 1238.20 1237.66 Reservoir Surface Area A: Top of Dam 36 Acres B: Crest of Abutment Walls 42 Acres Storage Capacity A: Top of Dam 130 Acre-Feet B: Crest of Abutment Walls 132 Acre-Feet Dam Embankment Type Concrete Arch Embankment Length 240 ft Slopes (V:H) A: Upstream Vertical B: Downstream 1V :0.15 H Crest Elevation 1270.06 ft (NAVD 88) Crest Width 5.75 ft Spillways A: Principle 2 – Rectangular notches at the crest of the dam, the North Spillway is 40 ft long, the South 42 ft long. Both are approximately 0.6 feet deep. B: Auxiliary Spillway Top of the Dam to the top of the Abutment Walls Reservoir Drain Cast Iron, 4’ x 4’ outside width with a vertical slide gate. Table I-1: Wiscoy Overview

C. Dam Function The dam was primarily used for hydroelectric purposes and also impounds storm water thus delaying time of concentration into the lower Wiscoy Creek watershed. The dam no longer functions as a power generating facility and the penstock has been demolished and removed on the downstream side of the dam.

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D. Ownership and Design The dam was constructed for the Fillmore-Electric Company in 1921. Ownership of the subject facility has been conveyed along with the parcel on which it is located to Rochester Gas and Electric.

The person of contact is:

Primary: David Dick Rochester Gas & Electric 89 East Ave. Rochester, NY 14649 585-724-8535

Secondary: Amanda Miner Rochester Gas & Electric 89 East Ave. Rochester, NY 14649 585-771-4490

For this assessment, a set of "as-built" contract drawings was provided by Rochester Gas and Electric.

E. Recent Updates to Structure The dam was constructed around, 1921-1922. Although recent hydraulic calculations and Inspection Reports have taken place the most recent major repairs appear to have taken place circa 1986-1987. The existing penstock has been removed and the old penstock outlet and valve has been blocked by debris limiting inspection and making the potential use of this outlet impractical.

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II. Hazard Classification Evaluation

A. Changes in Downstream Development The subject facility is located approximately 0.30 miles to the west of the Town of Hume, NY. The discharge from the subject reservoir and inundation from a dam break event would flow to the east until the confluence with the Genesee River. A portion of the discharge from both the 1% flood and the dam break event (150% - 100 year storm) floodwaters will flow near the shoulder of County Road 27 (See Appendix E for Flood Maps). The bridges over Wiscoy Creek have sufficient capacity to pass the flood waters. There are several residential structures downstream that could potentially be near the flood areas, while only 2 would be directly affected by the floods.

Immediately downstream of County Road 27, the Wiscoy Creek channel becomes much narrower including lower wooded areas and lawns, which appear to be a part of the flood plain. Based on field and desktop evaluation, the volume of the discharge from a dam break event could be attenuated and stored in the floodplain area, diminishing out significant additional downstream impacts. Approximately 2 miles downstream from the dam the Wiscoy Creek flows into the Genesee River. This location was chosen as the limit of this detailed study due to the extended Genesee flood plain and its capacity to discharge these flood waters without effecting property.

Possible hazards downstream of the facility related to a dam failure event include: Overtopping of County Road 27 and damage to residential homes between the dam and the confluence area with Wiscoy Creek.

B. Classification Recommendation Under New York State Department of Environmental Conservation (NYSDEC) Dam Classification Guidelines this dam is classified as a Class C dam due to a potential loss of human life if Wiscoy Dam was to fail.

However, a reclassification has been accepted by NYSDEC by the owner (RG&E) to reduce the classification to a Class B dam due to the limited excessive damage a dam failure during a flood event will produce over just a similar flood event alone.

Wiscoy Dam is now a Class B dam per NYSDEC.

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III. Visual Safety Inspection Report Summary

A. Findings

1. General Overview On September 15, 2014 a T.Y. Lin International (TYLI) crew consisting of James Guistina, P.E., James Walton, E.I.T., and Cody Elliott performed a hands-on conditions inspection of Wiscoy Dam. The Dam is a concrete arch hydraulic structure, approximately 32 feet high and 240 feet in arc length. It is founded and keyed on stream bed bedrock, with end abutments cast into the gorge bedrock. The team evaluated structural conditions, photographed, and recorded observations of the dam and its associated surroundings. Completed inspection forms and other inspection documents are included in Appendix B. Weather during the inspection was sunny and clear, with temperature in the mid seventies (70’s° F). Reservoir water was calm. Reservoir surface at the time of inspection was approximately 1.5 inches below the principal crest, with the North and South spillways actively spilling downstream.

2. Crest The dam crest is 5.75’ in width, with a slight slope to the downstream side of the dam (approximately 7.5 degrees from upstream to downstream). The crest is in generally good condition, with minimal cracking and spalling along a majority the arc. To the immediate North and South of the north principal spillway, the crest has spalled, up to 8 inches in depth. This spalling does not appear to impact the structure or its hydraulic function.

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Photo III-I: Auxiliary and North Principal Spillway

Photo III-II: South Principal Spillway

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3. Downstream Face The downstream face of the dam is slightly battered (approximately 8.4 degrees, measured from vertical). The concrete condition at the face of the dam is divided by the vertical centerline. Concrete on the south side of the centerline is in generally good condition. Very few locations of poor sounding concrete exist. Pockets of localized hollow sounding concrete follow the horizontal concrete lift joints, with an average of 3 to 4 inches above and/or below the joint line. The horizontal lift joint approximately 20 feet from the toe of the dam exhibits some minor spalling on the bottom side of the joint. In addition, a 20 foot length of this joint is actively leaking, causing a wet stain down the dam face. Other horizontal joints in this general area exhibit minor active leaks, but to a much lesser extent. A second longer band of joint leakage is present at the bottom lift joint, extending south 10 feet from the centerline and north 40 feet from the centerline. An area of cracks and efflorescence exists on the face, south of the south auxiliary spillway, which is within the south abutment wing wall portion of the concrete.

Photo III-III: Downstream Channel looking Upstream to Dam

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Photo III-IV: Downstream Face

Photo III-V: Auxiliary Spillway / Top of Dam

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Photo III-VI: North Principal spillway

Concrete on the north side of the dam centerline is in fair to poor condition, with most of the general area exhibiting spalls and weak surface concrete. Maximum depth of spalled concrete is approximately 8 inches, near the north principal spillway. Hammer sounding in this area produces delaminated concrete sounds and the surface of the concrete is easily chipped or scraped away with the hammer. The concrete aggregate is generally smooth round stones, with little angular aggregate noted. Cement in this area appears “dirty” and poorly bonded to the aggregate. This condition exists for nearly 100% of the dam face, north of the dam centerline through the abutment and into the gorge wall. The area between the north principal spillway and the north gorge wall exhibits moderate spalling at the top of the dam near the crest, where it appears that a crest cap was cast at some point. Spalling beneath the crest cap averages 1 foot in depth. Vegetation is growing from the spalled areas.

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Photo III-VII: Water leaking through Former Penstock Location

4. Abutments Abutments at the north and south ends of the dam are gravity walls constructed into the gorge walls. The visible portions of the abutments are in good condition, with one area of noted deterioration at the north end. A portion of the north abutment is elevated above the crest and does not extend into the gorge wall. This elevated portion is badly spalled with exposed reinforcing. The concrete at this element can be easily chipped apart with a sounding hammer.

5. Toe of Dam The toe of the dam is keyed into the spillway bedrock. Bedrock conditions along the entire length of the dam toe are generally good. A majority of the bedrock along the toe is at a uniform elevation, with a smooth transition to the dam face. Two areas of bedrock break-out exist. Beneath the iron flood gate, the bedrock is broken and scoured to approximately 2 feet below the normal toe elevation. The scour is approximately 6 feet wide and extends 2.5 feet downstream to where it returns to typical bedrock elevation. The scour does

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not undermine the dam foundation. The second area of broken and scoured bedrock is south of the north principal spillway, beginning at the spillway notch and extending south approximately 20 feet. The scour begins 2 feet downstream of the dam toe and ranges from 2 to 2.5 feet wide. The scour is approximately 2 feet below the normal toe elevation. This sour does not undermine the dam foundation. A scour probe was used at the toe along the north and south principal spillways. No evidence of scour or undermine exists.

6. Catwalk The Catwalk consists of steel Channels and Pipe Sections embedded into the concrete arch dam. Steel grating provides the walkway section. The catwalk is generally in good condition however, there are areas of corrosion in the steel pipe, which is part of the main support system.

7. Reservoir The reservoir walls are in stable condition. The north wall is mostly rock in the vicinity of the dam and the south wall is heavily wooded top soil on rock. There is some debris in the water at a few spots and sediment buildup can be seen near the dam. There is heavy sediment buildup behind the dam. Visual and instrumental verification shows the sediment within 2’-4’ of the crest of the dam. It is assumed the sediment tapers back from the dam to the reservoir floor.

Photo III-VIII: Existing Catwalk & Dam Access

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Photo III-IX: Wiscoy Reservoir looking north

8. Downstream Channel The downstream channel of Wiscoy Creek near the dam appears to be a steep, narrow, clear channel that is tree lined. The stream bed consists of bed rock in this area. The channel will not impede flow from the dam.

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Photo III-X: Downstream Channel

It did not appear that any of the deficiencies observed would compromise the structural integrity of the dam.

Evaluation of Observations The following deficiencies were noted during the inspection:

• Some significant leakage around the horizontal construction joints throughout the dam. • The North Side of the Arch is spalling and the surface concrete appears to be brittle. • The Drain Sluice Gate is leaking profusely. It also lacks a way to operate the gate during times of emergency. • The Catwalk is showing signs of corrosion at the post bases and should be monitored. • Vegetation at the top of the abutments should be cleared. • It was not possible to inspect the upstream side of the dam due to reservoir levels and the inability to drain the reservoir due to DEC regulations of sediment discharge into the stream.

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• Sediment buildup can be seen near the crest of the dam, dredging is recommended.

Previous Recent Inspections In November of 2008 a dive inspection was performed on the upstream face of the Wiscoy Dam. The following notes were made:

During time of inspection water elevation was at 1" from the crest of the dam. All measurements were taken from as depth readings.

• A channel exists at the face of the dam. Bottom depths at the dam face were around 20'-22'. Whereas 30'away the bottom rose sharply at in about 10' of run, bringing the bottom up to an average of 8'-9'. • Above the sluice gate area. There was a block of wood found in the dam. It had recessed from the face about ¼” and had clean crisp edges. The size of the wood bock about 8" x 16" long. • Could not find any signs of the sluice gate. It must be below mud line. • Trash racks looked to be in good shape with a small amount of corrosion. The mud line on the west racks was at around 8' deep at the dam face running deeper at the concrete corner block. The corner or nose of the trash racks was exposed from the mud line and look to be in good shape. Mud line on the eastern rack or river side rack was at the corner 15' deep and at the dam face it was 24' deep. • All concrete that was check by chipping was in sound condition. • Large amount of sunken trees at the dam face. • On the eastern side of the dam. At around 13' deep the concrete looks like there was a cold joint and misalign for about 20' long. The sketch shows the location. Also a sample was taken of loose material at this location.

The full dive report is provided in Appendix B of this report.

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IV. Hydrologic/Hydraulic

A. Drainage Basin Characteristics Wiscoy Dam is located on Wiscoy Creek in the Genesee River basin, and has a drainage area of 115.0 square miles. The dam is situated approximately 1/4 mile west of Wiscoy, New York in the Town of Hume. The topography of the watershed is hilly woodland, pastures, and farmlands.

B. Hydrology Analysis HEC-HMS was used for determining the hydrology for the basin. HEC-HMS was used in combination with GEO-HMS for topography and routing of each storm. A USGS New York Streamstats report was also checked as a cursory comparison to the HEC-HMS hydrology values.

The following HEC-HMS runs were developed for the each hydrology storm for the dam analysis including the dam break analysis.

• To Meet DEC Criteria: o Principal Spillway (25 Year Storm) o Auxiliary Spillway (150% 100 Year Storm) o Sunny Day (Assume a base flow of 395 cfs from interpolation of USGS data) o 0.1 to 0.5 PMF (To calibrate inundation Flood)

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Figure IV-1: Wiscoy Watershed Model

Hydrology Design Criteria:

Storm Precipitation values for Allegany County, NY:

Storm (in) 15 min 1-hr 2-hr 3-hr 6-hr 12-hr 24-hr Source 25 year 1.58 2.12 2.38 2.80 3.45 4.00 NRCC 100 year 2.17 2.96 3.34 3.85 4.78 5.48 NRCC PMF - 100 sq mi 9.34 14.46 17.03 18.53 20.76 24.16 26.21 HMR-51

Note: HEC-HMS applies an area correction factor to the specified depths (above). NRCC is the Northeast Regional Climate Center (http://precip.eas.cornell.edu/). The 100 sq mile drainage area was interpolated from the 10 square mile and 200 square mile PMP templates.

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Design Values for Existing Class B Dams – NYSDEC (From Guidelines for Design of Dams – 1989, NYSDEC)

[Values for Allegany County] – HMR-511 and North East Regional Climate Center (NRCC)2

Design Min Storm Freeboard Mode Flood Duration Value (in) (ft) (SDF) (hr)*

Principal Spillway 25-year 4.002 N/A Design Small Dams (Less 24 2 than 40’) Auxiliary Spillway 150% 5.48 – 100 year 1 Design 100-year

*Note: If Tc is greater than Storm duration, storm shall be adjusted as necessary.

Tlag=0.6tc (TR-60)

The full HEC-HMS report is available in Appendix C with flow characteristics through each sub basin, summaries are provided in Tables and Figures below.

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Figure IV-2: Principal Spillway Storm

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Figure IV-3: Auxiliary Spillway Storm

Operation During Storm Events – Top of Dam 1270.06 (NAVD 88)

Storm Peak Inflow (cfs) Peak Principal Peak Total Elevation (NAVD Spillway Outflow Outflow (cfs) 88) (cfs)

25 Year 8,580 1,700 5,400 1274.7

150%- 100 Year 23,015 5,200 23,015 1276.8 Storm

PMF Storm 140,308 36,000 140,307 1298.1

Table IV-1: Dam Operations Table

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C. Spillway Capacity The outlet works at Wiscoy consists of 2 principal spillways, an auxiliary spillway and a reservoir drain. The principal spillways are 2 – 8” deep notches in the crest of the dam. The north spillway is 40’ long and the south 42’ long. Flow from these spillways is generally negligible during flood events.

Combined Spillway Discharges North South Aux Spillway Spillway Spillway Total Q Stage Q (cfs) Q (cfs) Q (cfs) (cfs) 1270.0 0.0 0.0 0.0 0.0

1270.5 57.6 60.5 263.0 381.2

1271.0 57.6 60.5 744.0 862.1

1271.5 57.6 60.5 1366.8 1485.0

1272.0 57.6 60.5 2104.3 2222.5

1272.5 57.6 60.5 2940.9 3059.1

1273.0 57.6 60.5 3865.9 3984.1

1273.5 57.6 60.5 4871.6 4989.8

1274.0 57.6 60.5 5952.0 6070.1

1274.5 57.6 60.5 7102.2 7220.3

1275.0 57.6 60.5 8318.2 8436.3

1275.5 57.6 60.5 9596.6 9714.7

1276.0 57.6 60.5 10934.5 11052.7

Table IV-2: Spillway Discharges

Total Stage Discharge for the principal spillway is recorded in the table below:

Spillway Discharge Time Stage 1270.0 6.85 Hours Table IV-3: Spillway Discharge Time

Spillway discharge times are within allowable parameters for NYSDEC.

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D. Reservoir Capacity The normal water surface is set at or near 1270 ft the invert of the “low-flow” orifice on the principal spillways. Storage for that elevation is 23 acre-feet. At the top of crest (1270.6 (NGVD 29)), the total storage capacity of the dam is 128 acre feet with an area of 36 acres. Table IV-3 shows the surface area and volume of the Wiscoy Dam at select stages.

Reservoir Volume and Area Stage Stage Volume Area (NGVD 29) (Ft) (NAVD 88) (Ft) (Acre-ft) (Acre) Foot of Dam 1238 1237.46 0 -- Drain Elev 1239 1238.46 29 -- 1240 1239.46 47 9.7 1245 1244.46 62 15.7 1250 1249.46 70 21.4 1260 1259.46 74 30.4 1265 1264.46 123 33.5 Principal 36.2 Spillway 1270 1269.46 127 Top of Dam 1270.6 1270.06 128 36.3 Top of Abut 1276 1275046 132 39.0 Table IV-4: Reservoir Volume and Area

E. Floods of Record There are no floods of record that equal or surpass the design storm.

F. Overall Hydrologic/Hydraulic Evaluation The auxiliary and principal spillways on this dam are assessed as adequate under current NYSDEC regulations, and would prevent structural failure during NYSDEC design storms.

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V. Structural Stability

A. Visual Observations Visual observations of the dam did not reveal any obvious signs of movement or distress in the concrete.

B. Data Review and Stability Evaluation Background:

Wiscoy Dam is a concrete arch hydraulic structure on Wiscoy Creek in Hume, New York, owned by Rochester Gas and Electric. The dam was constructed in the early 1920’s, with modifications and improvements in the years that followed. The reservoir provided water elevation for the 2 hydroelectric unit power generating facility downstream of the dam. The generating facility does not produce power, with the water conveyance penstock removed.

Geometry/Layout:

The dam currently impounds approximately 32 feet of reservoir, with permanent spillways (principal) formed into the crest at the North and South ends of the dam. The arch has a radius of approximately 130 feet at the upstream face, with an arc length of approximately 240 feet between abutments. The ends of the dam are cast into vertical abutments founded on bedrock at the gorge walls. The base of the dam is founded on bedrock at the stream bed, recessed 3 feet into the rock. A penstock knife gate exists on the south end of the dam, guarded by a two sided rack system. At the downstream side, a 4 ft wide stop gate exists near the toe of the dam, but is not operable or accessible.

Record Information:

A. Rochester Gas & Electric Wiscoy drawing set 31813

B. Rochester Gas & Electric Wiscoy Drawing set C-3147

Analysis Guidance:

This analysis is developed for Rochester Gas and Electric, to be submitted to the NYSDEC as part of the dam’s required Engineer’s Assessment. The analysis guidance documents directed by the NYSDEC are listed below:

A. NYSDEC Guidelines for Design of Dams – Section 9.0

B. EM 1110-2-2200 “Stability of Gravity Dams”

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C. EM 1110-2-2201 “Arch Dam Design”

D. NYS DEC Law Part 673

E. Design of Small Dams – United States Department of the Interior

Many reference documents exist for design and analysis of concrete dams. The above listed documents reference other guidance documents for updated design and analysis methods. Additional reference documents used for analysis include:

A. EM 1110-2-6053 – “Earthquake Design and Evaluation of Concrete Hydraulic Structures”

B. EM 19 - “Design Criteria for Concrete Arch and Gravity Dams”

C. ER 1110-2-1806 - “Earthquake Design and Evaluation for Civil Works Projects”

Analysis:

Loading for the dam structural analysis were developed using the NYSDEC Guidelines for Design of Dams, and verified against the load section of EM 19. The load cases considered are as follows, and detailed in the analysis sheets:

• Case I – Normal Pool

• Case II – Normal Pool plus Ice

• Case III – Spillway Design Flood

• Case IIIA – Maximum Hydrostatic Load

• Case IV – Normal Pool plus Seismic

Normal pool (Case I) is considered to be full reservoir at dam crest. Spillway design flood (Case III) and maximum hydrostatic loading (Case IIA) considers 6 feet of water above the dam crest (ELE 1276.06 ft (NAVD 88)). Ice load will be included since the reservoir water freezes during the winter months. The ice induces horizontal load at the top of the dam due to expansion and/or wind drag.

A diver inspection from 2008 of the upstream conditions indicates a silt layer built up against the upstream face of the dam. Loads from this condition will be added to all load cases. The silt loading is detailed in the design sheets.

Seismic conditions have been evaluated per EM 1110-2-6053. This document provides the most current procedures for developing seismic loads to be applied to concrete hydraulic structures, including arch dams. The seismic loading is detailed in the design sheets included in Appendix D.

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Data from the geotechnical analysis was used to determine Site Class A for the dam structure. Two levels of earthquake intensity, Operating Basis Earthquake (OBE) and Maximum Design Earthquake (MDE), identify the seismic loading conditions considered in the analysis. Ground acceleration values specific to the site are found using the current USGS lookup tool available at their website, http://earthquake.usgs.gov/designmaps/us/application.php. The USGS acceleration values are adjusted per the USDI documents to correspond to the OBE and MDE, and then used to create spectral response curves that are loaded directly into the analysis program. Response curves are developed for both horizontal and vertical seismic action.

Material and Site Properties:

On-site testing of materials was performed on the dam concrete and the spillway bed rock.

On September 9, 2014 rock core evaluations were performed be Foundation Design P.C. at the north and south edges of the dam auxiliary spillway, approximately 20 feet downstream of the dam. Rock cores were tested using ASTM C42 – Unconfined Compression Strength test and ASTM D5607 - Direct Shear test. Test results yield an average compressive strength of 17,140 psi, and average shear strength of 320 psi.

On September 24, 2014, Applus RTD performed the ASTM C803 – Windsor Probe test on concrete at the downstream dam face of the dam. Four samples were taken, with the average compressive strength yielding 4,456 psi.

Discussion:

The structural assessment of Wiscoy Dam was performed per the standards specified by the New York State Department of Environmental Conservation (NYSDEC), with additional direction taken from United States Army Corp of Engineers (USACOE) and United States Department of the Interior (USDI) documents. Loading combinations applied to the structure follow the cases directed by the NYSDEC Guidelines for Design of Dams. Seismic analysis guidelines from USACOE earthquake design Engineering Regulations were followed for the applicable load cases. Specific reference documents are listed above, in “Analysis Guidance”

A three dimensional computer model was created in the structural analysis program STAAD. Field measurement and verification was combined with information taken from record drawings created for the construction and prior rehabilitation of the dam to establish the model geometry. This model was used as the basis for the structural stability analysis of the dam. For use in the model, concrete material properties are assigned based on the Windsor Probe testing (ASTM C-803) performed by Applus RTD. Bedrock foundation properties are assigned based on the rock core data developed from rock cores taken and analyzed by Foundation Design P.C. The model combines individual load cases to identify and locate controlling concrete stresses across the dam.

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As described in multiple analyses references (Analysis Guidance C & E), concrete arch dams do not follow typical concrete analysis methodologies, and principal concrete stresses are a secondary mode of stress verification. Von Mises stresses are compared to the allowable tensile and compressive stresses. The results of the finite element analysis of the dam are represented by the stress contour model included in this analysis. Contours in red indicate that the allowable tensile stress has been exceeded. Contours in purple indicate that the allowable compressive stress has been exceeded. Based on material testing results, the compressive strength of the dam concrete is conservatively assigned as 3,000 psi.

Summary of Stresses

STRESS ALLOWABLE MAX ALLOWABLE MAX TYPE TENSILE VALUE COMPRESSIVE VALUE STRESS (psi) (psi) STRESS (psi) (psi)

Principal fr = 7.5(√f’c) = 241 0.85(f’c) = 2550 867 Stress S1 410.79

Principal fr = 7.5(√f’c) = 942 0.85(f’c) = 2550 538 Stress S2 410.79

Principal fr = 7.5(√f’c) = 1602 0.85(f’c) = 2550 79 Stress S3 410.79

Von Mises fr = 7.5(√f’c) = N/A (all values 0.85(f’c) = 2550 2206 Stress 410.79 compressive)

Shear Stress 2(0.85)(√f’c) = 93.11 481 0.85(f’c) = 2550 472 (XY)

Shear Stress 2(0.85)(√f’c) = 93.11 530 0.85(f’c) = 2550 853 (XZ)

Shear Stress 2(0.85)(√f’c) = 93.11 243 0.85(f’c) = 2550 347 (YZ) Table V-1: Summary of Wiscoy Stresses

Since Von Mises stresses are expressed irrespective of sign, and concrete is neither ductile nor isotropic, Von Mises stress cannot be used to directly identify structural deficiencies. However, a correlation can be identified between the Von Mises contours with respect to concrete

rupture (fr) and the S3 contours with respect fr, as well as the areas where shear stresses exceed

allowable. Therefore, it is assumed that the areas indicating an exceedence of fr for Von Mises stresses are indeed representative of a potential for concrete cracking. This determination is further supported by a visual inspection of the dam geometry. The areas in which the model contours indicate potential for cracking based on Von Mises stresses align with the areas in which stress concentrations and potentially cracked concrete would typically be suspected.

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Conclusion and Recommendations:

As indicated by the summary of stresses, allowable values are exceeded in all analysis controls. When the values are correlated with the stress contour models it is evident that these stresses are concentrated at discontinuities in the dam monolith. These areas include the flood control gate opening and at the ends of the dam arch where the arch section transitions into the abutments. While these areas are indicated as overstressed, this does not directly correlated to unstable conditions, due to the acute concentration of the overstressed region, and the rapid transition to stresses within allowable limits. Based on this analysis, the Wiscoy Dam appears to be in stable, serviceable condition. The following recommendations are provided to aid in maintaining stable conditions:

1. Conduct a concrete re-facing program which removes areas of loose concrete at the face of the dam, and is replaced with a doweled, reinforced concrete face. This program should be concentrated at the north face of the dam.

2. Clear existing vegetation and maintain the gorge face area surrounding the abutments. This will allow for close monitoring of the bedrock foundation conditions.

3. All subsequent inspections should include targeted crack inspections in the locations of the flood control gate and at the arch – abutment transitions.

4. Should it be determined that the existing flood gate is no longer required, the gate recess should be filled in with concrete, formed flush with the existing dam face. This will mitigate the stress concentrations caused by the geometry of the opening and reduce the potential for development of tensile cracking.

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VI. Evaluation of Outlet Works and Operating Procedure

A. Procedure for Draining Reservoir Water release from the reservoir is through the 4’ x 4’ reinforced concrete outlet pipe with sluice gate at the foot of the dam. The gate has been exercised recently and is in working order. However, during an emergency it would be difficult to open this gate as the operating stem is on the face of the dam and would be inundated.

B. Maintenance of Dam The dam is maintained by the Rochester Gas and Electric. Inspections are done regularly. Other minor maintenance functions are performed as necessary and there is a written procedure for maintenance kept at Rochester Gas and Electric.

C. Warning System in Effect No apparent warning system is present.

D. Evaluation Maintenance procedures and operating procedures appear to be satisfactory and there is a written maintenance plan that is updated annually.

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VII. Emergency Action Plan Evaluation

A. Review An Emergency Action Plan has been completed for Wiscoy Dam per NYSDEC regulations. The plan was last updated in 2014 and is currently up-to-date. An inundation map has been completed and there is a current emergency notification chart with clear responsibilities of who should be contacted, notification procedures, emergency identification/classification and preventative actions.

RG&E is responsible for updating and maintaining this “living” document as conditions and emergency contacts change and will be looked at on an annual basis.

o RG&E has numbered and created a log of all EAP’s in circulation. This is semi- classified information and should be treated as such for national security. o RG&E have yellow three-ring binders for protection and easy access/updating of the EAP.

Recommendations on the EAP include:

o Organize an orientation seminar for local citizens and local officials o Organize a Table-Top Exercise with local officials

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VIII. Conclusion

A. Assessment

1. Safety The Dam Assessment inspection of the Wiscoy Dam did not reveal conditions which constitute a hazard to human life or property. No signs of instability were observed on the concrete arch.

2. Adequacy of Information The information available from Private, State, Local and Federal sources for the generation of this report was adequate.

3. Need for Additional Investigation A licensed engineer should be procured to produce the following:

• None at this time

4. Urgency for Repairs/Changes • RG&E shall monitor the dam for further leaking and follow recommended measures shown in part B of this section as conditions arise.

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B. Recommended Measures • Continue to monitor cracks in the arch. • Continue to monitor scour at the foot of the arch. • Conduct a concrete re-facing program which removes areas of loose concrete at the face of the dam, and is replaced with a doweled, reinforced concrete face. This program should be concentrated at the north face of the dam. • Clear existing vegetation and maintain the gorge face area surrounding the abutments. This will allow for close monitoring of the bedrock foundation conditions. • All subsequent inspections should include targeted crack inspections in the locations of the flood control gate and at the arch – abutment transitions. • Dredge Sediment buildup from reservoir. • Update the Emergency Action Plan (EAP) on an annual basis. Other EAP related recommendations include:

° Organize an orientation seminar for locals and local officials. ° Organize a Table-Top Exercise with local officials.

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IX. Works Cited 1. United States Army Corps of Engineers, New York District. Conewango Creek Watershed Project Site 1. New York, New York : Corps of Engineers, 1980.

2. State of New York Department of Environmental Conservation. Guidelines for Design of Dams. 1985 rev. 1989.

Bibliography Exhibit __ (CEE-R3) Page 4262 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 52.1

Provide the following information:

52. RG&E Station 170 Draft Tube and Foundation Restoration

Response

i. Refer to Attachment A, columns B-F, line 52.

ii. Please see response to NYRC-0555 DPS 216 Question H.

iii. No detailed project cost estimate has been generated at this time.

iv. No cost estimates were received for the project.

v. No engineering evaluation has been conducted to date.

vi. A cost benefit analysis for the project has not been generated.

vii. A detailed project schedule has not been developed for the project.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no spending to date for this project.

Exhibit __ (CEE-R3) Page 4263 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 53.1

Provide the following information:

53. RG&E Station 170 Tailrace River Wall Restoration

Response

i. Refer to Attachment A Columns B-F, line 53.

ii. Please see response to NYRC-0555 DPS 216 Question I.

iii. No detailed project cost estimate has been generated at this time.

iv. No cost estimates were received for the project.

v. No engineering evaluation has been conducted to date.

vi. A cost benefit analysis for the project has not been generated.

vii. A detailed project schedule has not been developed for the project. Completion of the project is presently scheduled to occur in 2024.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no spending to date on this project.

Exhibit __ (CEE-R3) Page 4264 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 56.1

Provide the following information:

56. RG&E Station 5 Gate 5 Rubplate and Bottom Seal Upgrade Project

Response

i. There has been no historical spending for this project. Refer to Attachment A, Columns B-F, line 56.

ii. Please see response to NYRC-0555 DPS 216 Question L.

iii. Please see response to NYRC-0555 DPS 216 Question L.

iv. No cost estimates were received for the project.

v. Engineering studies have not been conducted for the project.

vi. A cost benefit analysis for the project has not been generated.

vii. A detailed project schedule has not been developed for the project.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.

Exhibit __ (CEE-R3) Page 4265 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 57.1

Provide the following information:

57. RG&E Station 5 Unit 3 Turbine-Generator New Turbine Isolation Valve

Response

i. Refer to Attachment A, Columns B-F, line 57.

ii. Please see response to NYRC-0555 DPS 216 Question M.

iii. Please see response to NYRC-0555 DPS 216 Question M.

iv. No cost estimates were received for the project.

v. An engineering study has not been conducted for the project.

vi. A cost benefit analysis for the project has not generated.

vii. A detailed project schedule has not been developed for the project.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.

Exhibit __ (CEE-R3) Page 4266 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 58.1

Provide the following information:

58. RG&E Station 2 Unit 1 Turbine-Generator Exciter

Response

i. Refer to Attachment A, Columns B-F, line 58.

ii. Please see response to NYRC-0555 DPS 216 Question N.

iii. Please see response to NYRC-0555 DPS 216 Question N.

iv. No cost estimates were received for the project.

v. An engineering study has not been conducted for the project.

vi. A cost benefit analysis for the project has not generated.

vii. A detailed project schedule has not yet been developed for the project. The project is expected to be completed in 2021.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.

Exhibit __ (CEE-R3) Page 4267 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 59.1

Provide the following information:

59. RG&E Station 2 Gate 1 Upper Extension

Response

i. Refer to Attachment A, Columns B-F, line 59.

ii. Please see response to NYRC-0555 DPS 216 Question O.

iii. Please see response to NYRC-0555 DPS 216 Question O.

iv. No cost estimates were received for the project.

v. An engineering study has not been conducted for the project.

vi. A cost benefit analysis for the project has not generated.

vii. A detailed project schedule has not yet been developed for the project. Project is expected to be complete in 2021.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.

Exhibit __ (CEE-R3) Page 4268 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment 60.1

Provide the following information:

60. RG&E Station 26 Johnson Seymour Race

Response

i. Refer to Attachment A, Columns B-F, line 60.

ii. Please see response to NYRC-0555 DPS 216 Question P.

iii. No detailed project cost estimate has been generated at this time.

iv. No cost estimates were received for the project.

v. An engineering study has not been conducted for the project.

vi. A cost benefit analysis for the project has not generated.

vii. A detailed project schedule has not been developed for the project. Project is expected to be complete is 2024.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.

Exhibit __ (CEE-R3) Page 4269 of 4269

New York State Electric & Gas Corporation Rochester Gas and Electric Corporation 19-E-0378, 19-G-0379, 19-E-0380 & 19-G-0381 Rate Cases

NYRC-0914 - DPS-429 (19-E-0378 et.al.) Attachment X

Provide the following information:

64. RG&E Unit 3 Turbine-Generator New Runner

Response

i. Refer to Attachment A, Columns B-F, line 64.

ii. Please see response to NYRC-0555 DPS 216 Question T.

iii. Please see response to NYRC-0555 DPS 216 Question T.

iv. No cost estimates were received for the project.

v. Engineering studies have not been conducted for the project.

vi. A cost benefit analysis for the project has not generated.

vii. A detailed project schedule has not been developed for the project. Project is presently scheduled to be completed in 2025.

viii. No alternative analysis has been generated for the project.

ix. There are no potential O&M savings as a result of this project.

x. There has been no historical spending for this project.