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IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF DELAWARE __________________________________________ ) AES PUERTO RICO, L.P., ) ) Plaintiff, ) v. ) Civ. No. 04-1282-JJF ) ALSTOM POWER, INC., ) ) Defendant. ) __________________________________________)
PROPOSED PRETRIAL ORDER
John S. Spadaro (# 3155) MURPHY SPADARO & LANDON 1011 Centre Road, Suite 210 Wilmington, DE 19805 Tel (302) 472-8100 Fax (302) 472-8135 Dane H. Butswinkas R. Hackney Wiegmann Daniel D. Williams Ann N. Sagerson James L. Tuxbury WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. Washington, D.C. 20005 Tel. (202) 434-5000 Fax (202) 434-5029 Attorneys for AES Puerto Rico, L.P.
Richard R. Wier, Jr. (#716) Daniel W. Scialpi (#4146) RICHARD R. WIER, JR., P.A. Two Mill Road, Suite 200 Wilmington, DE 19806 Tel (302) 888-3222 John Anthony Wolf James E. Edwards, Jr. Anthony F. Vittoria Michael A. Schollaert OBER, KALER, GRIMES & SHRIVER A Professional Corporation 120 East Baltimore Street Baltimore, MD 21202-1643 Tel: (410) 685-1120 Fax: (410) 547-0699 Attorneys for ALSTOM Power Inc.
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TABLE OF CONTENTS
I.
NATURE OF THE ACTION ................................................................................................1 A. B. AES-PR's Statement..................................................................................................1 ALSTOM's Statement ...............................................................................................1
II. III. IV.
BASIS FOR JURISDICTION ...............................................................................................2 ADMITTED FACTS REQUIRING NO PROOF..................................................................2 ISSUES OF FACT REMAINING TO BE LITIGATED ......................................................4 A. B. AES-PR's List of Issues of Fact To Be Litigated ......................................................4 ALSTOM's List of Issues of Fact To Be Litigated ...................................................6
V.
ISSUES OF LAW REMAINING TO BE LITIGATED........................................................10 A. B. AES-PR's List of Issues of Law To Be Litigated......................................................10 ALSTOM's List of Issues of Law To Be Litigated ...................................................12
VI.
LIST OF EXHIBITS..............................................................................................................19 A. B. AES-PR's List of Exhibits .........................................................................................19 ALSTOM's List of Exhibits ......................................................................................34
VII.
LIST OF WITNESSES ..........................................................................................................61 A. B. AES-PR's List of Witnesses ......................................................................................61 ALSTOM's List of Witnesses ...................................................................................64
VIII. IX. X.
AES-PR'S BRIEF STATEMENT OF PROOF .....................................................................66 ALSTOM'S BRIEF STATEMENT OF PROOF ..................................................................73 SETTLEMENT NEGOTIATIONS .......................................................................................102
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XI.
OTHER MATTERS THAT THE PARTIES DEEM APPROPRIATE.................................102 A. B. AES-PR's List of Other Matters ................................................................................102 ALSTOM's List of Other Matters .............................................................................102
XII.
CONCLUSION......................................................................................................................105
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Pursuant to D. Del Rule 16.4, Plaintiff AES Puerto Rico, L.P. ("AES-PR") and Defendant ALSTOM Power Inc. ("ALSTOM") submit this proposed pretrial order. I. NATURE OF THE ACTION A. AES-PR's Statement This is a breach of warranty case concerning equipment that Defendant ALSTOM contracted to design, supply and commission during construction of Plaintiff AES Puerto Rico's 454 megawatt coal-fired power plant in Guayama, Puerto Rico. The equipment at issue includes pollution control equipment and boiler tube stabilization components. ALSTOM expressly warranted that this equipment would comply with the parties' contract and be free from material defects. AES Puerto Rico contends that ALSTOM breached the Contract because the equipment was defective and ALSTOM failed to fulfill its duty under the Contract to correct the defects and to cause the equipment to comply with the Contract. ALSTOM has denied AES Puerto Rico's claims and contends that any damage to the equipment was caused by AES Puerto Rico's misuse of the equipment. B. ALSTOM's Statement On September 20, 2004, AES Puerto Rico, L.P. ("AES-PR") filed a single-count Complaint against ALSTOM Power Inc. ("ALSTOM"), asserting two claims for breach of express warranty: (i) the first sought recovery of damages allegedly attributable to accelerated corrosion of air pollution control equipment supplied by ALSTOM; and (ii) the second sought recovery of damages allegedly related to the purchase and installation of additional boiler tube stabilization components. ALSTOM answered the Complaint, denying liability with respect to AES-PR's two claims in their entirety. There is no counterclaim. Neither the Complaint nor the Answer have been Amended.
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II. BASIS FOR JURISDICTION Federal jurisdiction is based upon diversity of citizenship. 28 U.S.C. § 1332(a)(2). AES-PR is a limited partnership the partners of which are citizens of foreign states. ALSTOM is a citizen of Delaware and Connecticut. The amount in controversy exceeds $75,000. III. ADMITTED FACTS REQUIRING NO PROOF 1. 2. Plaintiff AES-PR is a limited partnership formed pursuant to the laws of Delaware. AES-PR is the owner of a 454-megawatt co-generation coal-fired power plant in
Guayama, Puerto Rico. 3. Defendant ALSTOM is a corporation organized and existing under the laws of Delaware
with its principal place of business in the State of Connecticut. 4. Inc. 5. AES-PR entered into a contract with Duke/Fluor Daniel Caribbean S.E. ("D/FD") for the ALSTOM is the successor to a company formerly known as Combustion Engineering,
engineering, design and construction of the power plant in April, 1996. 6. ALSTOM, through its predecessor company, Combustion Engineering, Inc., entered into
a contract with D/FD, dated February 24, 1998 (the "Contract") whereby ALSTOM, among other things, was to furnish, erect, and provide start-up assistance with respect to Circulating Fluidized Bed Boilers and related equipment, including air-pollution control equipment. Exhibit No. D-004 is a genuine and admissible copy of ALSTOM's Contract with D/FD. 7. The original Contract Price under the Contract between D/FD and ALSTOM referenced
in Item No. 6 above was $119 million.
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8.
The air pollution control equipment includes, among other things, two circulating dry
scrubbers ("CDS") and two electrostatic precipitators ("ESP"). 9. ALSTOM entered into a Purchase Order with Environmental Elements Corporation
("EEC") (the "EEC Purchase Order"), dated March 30, 1999, pursuant to which EEC agreed to supply to ALSTOM the pollution control equipment for the Plant. Pursuant to Change Order No. 1 to the EEC Purchase Order, the contract price was $14,527,570. 10. 11. The EEC Purchase Order contained a corrosion warranty at Paragraph 5, page 6. On February 10 - 11, 2000, during the pre-construction phase of the Project,
representatives of AES-PR, D/FD, ALSTOM, and EEC attended a meeting in Windsor, Connecticut (the "2000 Windsor meeting"). 12. 13. AES-PR began commercial operation of the plant on November 28, 2002. In November, 2003, AES-PR, during a shutdown of the plant's Unit 2, discovered that
certain internal components of the ESP on Unit 2 had corroded and AES-PR provided notice to ALSTOM of the corrosion. 14. In January, 2004, AES-PR, during a shutdown of the plant's Unit 1, discovered that
certain internal components of the ESP on Unit 1 had corroded and AES-PR provided notice to ALSTOM of the corrosion.
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IV. ISSUES OF FACT REMAINING TO BE LITIGATED A. 1. AES-PR's List of Issues of Fact To Be Litigated. Whether Part III, Section 1.0 of the Contract between D/FD and ALSTOM (the
Contract") included various express warranties (collectively, the "Warranty"). 2. Whether, on or about October 31, 2003, D/FD assigned its rights under the Warranty to
AES-PR. 3. Whether the Contract included an express warranty against the consequences of
accelerated corrosion of the CDS and ESP equipment (the "Corrosion Warranty"). 4. Whether the Contract included an express warranty related to the "Boiler Hot Loop" (the
"Boiler Hot Loop" Warranty). 5. 6. Whether the corrosion discovered in the ESPs of Units 1 and 2 is accelerated corrosion. Whether the corrosion affected the structural integrity of the Equipment (or any portion
thereof) or the ability of the Equipment mechanically to perform. 7. Whether the August 2001 Operation and Maintenance ("O&M") Manual was modified
by written and oral instructions provided by ALSTOM and/or EEC during the start-up and commissioning phase of the project. 8. Whether the EEC August 2001 O&M manual is one of the "Contractors Operations and
Maintenance manuals" referred to in Section 1.6 of the Contract. 9. Whether ALSTOM determined during commissioning and start-up of the project that the
air pollution control equipment or any portion thereof was defective. 10. Whether ALSTOM and/or EEC operated the plant prior to performance acceptance in
accordance with the EEC August 2001 O&M manual.
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11.
Whether ALSTOM and/or EEC knew in 2002 that operating the CDS with a CDS outlet
temperature between 150 and 155 degrees Fahrenheit created an increased risk of corrosion in the ESP. 12. Whether ALSTOM modified the operating instructions of the air pollution control
equipment during commissioning and start-up to permit the equipment to comply with certain air permits, but in a manner that created a risk of accelerated corrosion. 13. Whether ALSTOM and/or EEC instructed AES-PR to operate the CDS at the higher of
30 degree approach to adiabatic saturation or 152 F during normal operations. 14. Whether AES-PR generally operated the CDS with an outlet temperature at 30 degrees
above approach to adiabatic saturation. 15. Whether AES-PR reasonably relied on ALSTOM's and/or EEC's modified operating and
maintenance procedures. 16. Whether AES-PR appropriately operated and maintained the fluidized bed heat
exchanger and air pollution control equipment. 17. Whether the operating temperature of the CDS affects the ability of the ESP to control
opacity. 18. Whether the tube failures experienced on September 16, 2003, January 9, 2004 and June
3, 2004 were the result of a design defect in the FHBE handcuff configuration. 19. Whether, in January 2004, AES-PR gave ALSTOM notice of its warranty claim for
ALSTOM's design deficiency in the internal clamp configuration of the fluidized bed heat exchanger tube bundles, commonly referred to as the FBHE "handcuffs." 20. Whether the additional handcuffs installed by AES-PR are an "enhancement" not
necessary for the proper functioning of the fluidized bed heat exchangers.
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21.
Whether ALSTOM declined to repair the equipment and render the equipment as
warranted. 22. 23. Whether the scope of ALSTOM's Warranty covers AES-PR's claims. Whether it is standard in the industry to follow the direction of an equipment
manufacturer's field personnel during commissioning. 24. 25. 26. 27. Whether AES-PR can recover damages associated with the stabilization program. Whether AES-PR can recover damages associated with the replacement collector plates. Whether AES-PR can recover damages for modifications to the water treatment system. Whether AES-PR can recover damages for installation of a second set of FBHE
handcuffs. 28. Whether AES-PR is entitled to the amount of damages it claims.
B. 1.
ALSTOM's List of Issues of Fact To Be Litigated. Has AES satisfied its burden of proving that, prior to November 28, 2004, there was
accelerated corrosion of the CDS collector plates that materially affected or is reasonably expected to affect materially by November 28, 2006 (i) the structural integrity of the ESP or any portion thereof or (ii) the ability of the ESP to mechanically perform? 2. Has AES-PR satisfied its burden of proving that it satisfied all conditions precedent to its
claim, including operating and maintaining the pollution control equipment in accordance with the O&M Manuals prepared by EEC and submitted by ALSTOM to D/FD, in accordance with specified operating parameters, and in accordance with typical systems operation at baseload and specified capacity factors?
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3.
Has AES-PR satisfied its burden of proving that it satisfied the contractual conditions
precedent to ALSTOM's warranty obligations under the accelerated corrosion warranty in Section 1.6 of the General Terms and Conditions of ALSTOM's Contract with D/FD? 4. Has AES-PR satisfied its burden of proving that it monitored and controlled properly the
chloride content of the CDS spray water as required in the O&M Manuals? 5. Has AES-PR satisfied its burden of proving that it maintained records regarding the
chloride content of the CDS spray water as required in the O&M Manuals? 6. Has AES-PR satisfied its burden of proving that it monitored and controlled the chloride
content of the ash in the CDS as required in the O&M Manuals? 7. Has AES-PR satisfied its burden of proving that it maintained records regarding the
chloride content of the ash in the CDS as required in the O&M Manuals? 8. Has AES-PR satisfied its burden of proving that it properly adjusted the CDS outlet
temperature based upon the chloride content of the CDS spray water or the ash in the CDS as required in the O&M Manuals? 9. Has AES-PR satisfied its burden of proving that it maintained records establishing that it
adjusted the CDS outlet temperature based upon the chloride content of the CDS spray water and the ash in the CDS as required in the O&M Manuals? 10. Has AES-PR satisfied its burden of proving that it performed maintenance of the CDS
spray nozzles and that it properly maintained records establishing that it performed maintenance of the CDS spray nozzles as required in the O&M Manuals? 11. Has AES-PR satisfied its burden of proving that it increased the CDS outlet temperature
during the operation of soot blowers in the CFB Boilers as required in the O&M Manuals?
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12.
Has AES-PR satisfied its burden of proving that it maintained records indicating that it
increased the CDS outlet temperature during the operation of the soot blowers in the CFB Boilers as required in the O&M Manuals? 13. Has AES-PR satisfied its burden of proving that it recorded and maintained other
maintenance and operating data that was required to be maintained pursuant to the O&M Manuals? 14. Has AES-PR satisfied its burden of proving that it is excused from its non-performance
of conditions precedent to its claim under the accelerated corrosion warranty based upon ALSTOM's conduct under the doctrines of estoppel and waiver? 15. Has AES-PR satisfied its burden of proving that the O&M Manuals were amended in
accordance with the terms of the Contract? 16. Has AES-PR satisfied its burden of proving that it monitored corrosion based upon a
mapping program mutually agreed to with ALSTOM? 17. Has AES-PR satisfied its burden of proving that, in good faith, it attempted to reach an
agreement with ALSTOM as to the extent of corrosion or the appropriate remedy? 18. Has AES-PR satisfied its burden of proving that it used best faith efforts to mutually
agree upon with ALSTOM appropriate remedial actions with respect to the corrosion of the ESP collector plates? 19. Has AES-PR satisfied its burden of proving that, in the absence of a mutual agreement
with ALSTOM as to the extent of corrosion or the appropriate remedy, that it referred, or attempted to refer, the dispute to a mutually agreeable third-party mediator?
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20.
Has AES-PR satisfied its burden of proving that the corrosion of the CDS collector plates
was not caused, in whole or in part, by deviations in the fuel or feedstock from the limits specified in the Contract between ALSTOM and D/FD? 21. Has AES-PR satisfied its burden of proving that it gave ALSTOM reasonable access to
test and operating records, the equipment, and other information ALSTOM deemed necessary to satisfy itself of the validity of AES-PR's claim under the accelerated corrosion warranty? 22. Has AES-PR satisfied its burden of proving that the damages sought in this action
constitute appropriate remedial actions that are required in order to address the consequences of accelerated corrosion outside of the industry standards for power-generated facilities with dry scrubbing systems such that the corrosion will not materially affect or is not reasonably expected to materially affect the structural integrity of the ESP's or any portion thereof or the ability of the ESP to mechanically perform during the period ending November 28, 2006? 23. Is AES-PR barred from recovering the cost of improvements to the Plant, including the
cost of injecting wastewater into the CFB Boilers, the cost of operating the Reverse Osmosis system, and for the cost of procuring, installing, and operating a brine concentrator and crystallizer unit beyond the four-year period of ALSTOM's accelerated corrosion warranty? 24. Has AES-PR satisfied its burden of proving that ALSTOM's alleged breaches of
warranty were a substantial factor in causing any of AES-PR's claimed damages? 25. Has AES-PR satisfied its burden of proving the measure of its damages, and each
component thereof, to a reasonable certainty? 26. Has AES-PR satisfied its burden of proving that the FBHE handcuffs installed by
ALSTOM do not comply with the provisions of ALSTOM's Contract with D/FD or that they are not free from defects in materials and workmanship and in full compliance with any design or
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engineering furnished by ALSTOM, or that they were not, at the time of installation, new and fit for their specified purpose as set forth in ALSTOM's Contract with D/FD and in full compliance with the requirements of that Contract? 27. Has AES-PR satisfied its burden of proving that it furnished prompt written notice to
ALSTOM, or that D/FD did so on its behalf, regarding claimed defects in the FBHE handcuffs? 28. Has AES-PR satisfied its burden of proving that the installation of a second set of
handcuffs in all six FBHEs was required in order to cause ALSTOM's Work to comply with warranties given by ALSTOM with regard to those materials? 29. Has AES-PR satisfied its burden of proving that ALSTOM breached warranties with
regard to the installation of "handcuffs" on the tubes of the Fluidized Bed Heat Exchangers? 30. Has AES-PR satisfied its burden of proving the measure of its damages for alleged
breach of warranty with regard to the FBHE handcuffs to a reasonable certainty?
V. ISSUES OF LAW REMAINING TO BE LITIGATED A. 1. AES-PR's List of Issues of Law To Be Litigated. Whether, absent AES-PR's consent, ALSTOM is permitted to assign its obligations
under the Contract to Environmental Elements Corporation ("EEC") and blame EEC for the failure of the pollution control equipment to perform as promised. Authority: Klauder & Nunno Enters., Inc. v. Hereford Assoc., Inc., 723 F. Supp. 336, 346 (E.D. Pa. 1989). 2. Whether ALSTOM is equitably estopped from claiming that the warranty is void on the
basis of alleged operator error.
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Authority: Bechtel v. Robinson, 886 F.2d 644, 650 (3d Cir. 1989); Wilson v. Am. Ins. Co., 209 A.2d 902, 903-04 (Del. 1965); Wolf v. Globe Liquor Co., 103 A.2d 774, 776 (Del. 1954). 3. Whether ALSTOM has waived any claim that the warranty is void on the basis of alleged
operator error. Authority: Aeroglobal Capital Mgmt. v. Cirrus Indus., Inc., 871 A.2d 428, 443 (Del. 2005); Pepsi-Cola Bottling Co. v. Pepsico, 297 A.2d 28, 33 (Del. 1972). 4. Whether the Contract contains any conditions precedent. Authority: Green County v. Quinlan, 211 U.S. 582, 594 (1909); Castle v. Cohen, 840 F.2d 173, 176 (3d Cir. 1988); James E. Brady & Co. v. Eno, 992 F.2d 864, 869 (8th Cir. 1993); Hurt v. New York Life Ins. Co., 53 F.2d 453, 454 (10th Cir. 1931); Gilbert v. El Paso Co., 575 A.2d 1131, 1142 (Del. 1990); Weiss v. Nw. Broad., Inc., 140 F. Supp. 2d 336, 343 (D. Del. 2001); I.R.V. Merchandising Corp. v. Jay Ward Productions, Inc., 856 F. Supp. 168, 174 (S.D.N.Y. 1994); Bristol Sav. Bank v. Silver, 208 B.R. 100, 105 (D. Conn. 1996); Gilbert v. El Paso Co., 575 A.2d 1131, 1142 (Del. 1990); Haft v. Haft, 671 A.2d 413, 417 (Del. Ch. 1995); Stolz Realty Co. v. Paul, 1995 WL 654152, at *9 (Del. Super. Sept. 20, 1995); 17A Am. Jur. 2d Contracts § 460 5. Whether ALSTOM is required to render the equipment capable of operating as warranted
and guaranteed or whether ALSTOM need only make temporary repairs to last through the warranty claim period. Authority: Burke County Pub. Schs. Bd. of Educ. v. Juno Constr. Corp., 306 S.E.2d 557, 560 (N.C. Ct. App. 1983); Pig Imp. Co. v. Middle States Holding Co., 943 F. Supp. 392, 400 (D. Del. 1996); Pennington v. Rhodes, 929 S.W.2d 169, 173 (Ark. Ct. App. 1996).
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6.
Whether any of the damages AES-PR claims are consequential damages, and whether
that question is one of law or fact. Authority: Chatlos Sys., Inc. v. Nat'l Cash Register Corp., 670 F.2d 1304, 1305-07 (3d Cir. 1982); United States ex. rel. Roby v. Boeing Co., 79 F. Supp. 2d 877, 895 (S.D. Ohio 1999); Long Island Lighting Co. v. Transamerica Delaval, Inc., 646 F. Supp. 1442, 1459 & n.30 (S.D.N.Y. 1986); Roneker v. Kenworth Truck Co., 944 F. Supp. 179, 186 (W.D.N.Y. 1996); Wood River Pipeline Co. v. Wilbros Energy & Services Co., 738 P.2d 866 (Kan. 1987); Del. Code Ann. tit. 6, § 2-715(2). 7. Whether AES-PR's damages are to be limited as disproportionate. Authority: Perini Corp. v. Greate Bay Hotel & Casino, Inc., 610 A.2d 364, 381 (N.J. 1992); Long Island Lighting Co. v. IMO Industries, Inc, 1990 U.S. Dist. LEXIS 5351 (S.D.N.Y. May 9, 1990); Restatement (Second) Contracts § 351.
B. 1.
ALSTOM's List of Issues of Law To Be Litigated. Based on Section 52 of the General Terms and Conditions of ALSTOM's Contract with
D/FD, is the accelerated corrosion warranty in Section 1.6 of the General Terms and Conditions of ALSTOM's Contract the exclusive remedy for AES-PR's claim for corrosion of the ESP collector plates? Authority: True North Comm. Inc. v. Publicis, S.A., 711 A.2d 34 (Del. Ch. 1997) 2. Based on Section 52 of the General Terms and Conditions of ALSTOM's Contract with
D/FD, is AES-PR barred from recovering incidental, special, or consequential damages of any kind in this action? Authority: Wood River Pipeline Co. v. Wilbros Eng'r Serv. Co., 738 P.2d 866 (Kan.
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1987); CitiSteel U.S.A., Inc. v. Gen. Elec. Co., No. Civ. A. 99-810-GMS, 2001 WL 65740 (D. Del. Jan. 9, 2001). 3. Has AES-PR, as a matter of law, failed to meet its burden of proving that it satisfied the
contractual conditions precedent to ALSTOM's warranty obligations under the accelerated corrosion warranty in Section 1.6 of the General Terms and Conditions of ALSTOM's Contract with D/FD? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993). 4. Has AES-PR, as a matter of law, failed to meet its burden of proving that it monitored
and controlled properly the chloride content of the CDS spray water as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986). 5. Has AES-PR, as a matter of law, failed to meet its burden of proving that it maintained
records regarding the chloride content of the CDS spray water as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993).
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6.
Has AES-PR, as a matter of law, failed to meet its burden of proving that it monitored
and controlled the chloride content of the ash in the CDS as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986). 7. Has AES-PR, as a matter of law, failed to meet its burden of proving that it maintained
records regarding the chloride content of the ash in the CDS as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993). 8. Has AES-PR, as a matter of law, failed to meet its burden of proving that it properly
adjusted the CDS outlet temperature based upon the chloride content of the CDS spray water or the ash in the CDS as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986). 9. Has AES-PR, as a matter of law, failed to meet its burden of proving that it maintained
records establishing that it adjusted the CDS outlet temperature based upon the chloride content of the CDS spray water and the ash in the CDS as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States,
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646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993). 10. Has AES-PR, as a matter of law, failed to meet its burden of proving that it properly
maintained records establishing that it performed maintenance of the CDS spray nozzles as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993). 11. Has AES-PR, as a matter of law, failed to meet its burden of proving that it increased the
CDS outlet temperature during the operation of soot blowers in the CFB Boilers as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986). 12. Has AES-PR, as a matter of law, failed to meet its burden of proving that it maintained
records indicating that it increased the CDS outlet temperature during the operation of the soot blowers in the CFB Boilers as required in the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993).
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13.
Has AES-PR, as a matter of law, failed to meet its burden of proving that it recorded and
maintained other maintenance and operating data that was required to be maintained pursuant to the O&M Manuals? Authority: Weiss v. Nw. Broad. Inc., 140 F. Supp 2d 336, 343 (D. Del. 2001); Oberly v. Howard Hughes Med. Institute, 472 A. 2d 366, 386 (Del. Ch. 1984); Marker v. United States, 646 F.Supp. 433 (D. Del. 1986); 4000 Old Pali Rd. Partners v. Lone Star, 862 P.2d 282 (Haw. Ct. App. 1993). 14. Has AES-PR, as a matter of law, failed to meet its burden of proving that it is excused
from its non-performance of conditions precedent to its claim under the accelerated corrosion warranty based upon ALSTOM's conduct under the doctrines of estoppel and waiver? Authority: Benitec Austl. Ltd. v. Promega Corp., C.A. No. 04-889 JJF, 2005 U.S. Dist. LEXIS 3545 (D. Del. Mar. 8, 2005); Wilson v. American Ins. Co., 209 A.2d 902 (Del. 1965); Collins v. Sussex Trust Co., C.A. No. 88C-JN-21, 1989 Del. Super. LEXIS 274 (June 15, 1989); AeroGlobal Capital Mgmt., LLC v. Cirrus Indus., 871 A.2d 428 (Del. 2005). 15. Has AES-PR, as a matter of law, failed to meet its burden of proving that the O&M
Manuals were amended in accordance with the terms of the Contract? Authority: Dececchis v. Evers; 174 A.2d 463 (1961); Continental Ins. Co. v. Rutledge & Co., 750 A.2d 1219 (Del. Ch. 2000). 16. Is AES-PR, as a matter of law, not entitled to recover under the accelerated corrosion
warranty for the cost of replacement collector plates that will not be installed during the fouryear period of ALSTOM's accelerated corrosion warranty? Authority: Hooten v. Kenneth B. Mumaw Plumbing & Heating Co., 318 A.2d 514, 519 (Md. 1974); 525 Main St. Corp. v. Eagle Roofing Co., 168 A.2d 33 (N.J. 1961); Kennedy v.
16
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Acura, C.A. No. 01-4063, 2002 R.I. Super. LEXIS 121 (R.I. August 8, 2002); Abraham v. Volkswagen of America; 795 F.2d 238 (2nd Cir. 1985). 17. Is AES-PR, as a matter of law, not entitled to recover under the accelerated corrosion
warranty the costs of injecting water into the CFB Boilers, operating the Reverse Osmosis system, and installing and operating a brine concentrator and crystallizer unit that will not occur during the four-year period of ALSTOM's accelerated corrosion warranty? Authority : Hooten v. Kenneth B. Mumaw Plumbing & Heating Co., 318 A.2d 514, 519 (Md. 1974); 525 Main St. Corp. v. Eagle Roofing Co., 168 A.2d 33 (N.J. 1961); Kennedy v. Acura, C.A. No. 01-4063, 2002 R.I. Super. LEXIS 121 (R.I. August 8, 2002); Abraham v. Volkswagen of America; 795 F.2d 238 (2nd Cir. 1985). 18. Is AES-PR, as a matter of law, not entitled to recover under the accelerated corrosion
warranty the components of its claimed damages for costs that will be incurred after the fouryear period of ALSTOM's accelerated corrosion warranty? Authority : Hooten v. Kenneth B. Mumaw Plumbing & Heating Co., 318 A.2d 514, 519 (Md. 1974); 525 Main St. Corp. v. Eagle Roofing Co., 168 A.2d 33 (N.J. 1961); Kennedy v. Acura, C.A. No. 01-4063, 2002 R.I. Super. LEXIS 121 (R.I. August 8, 2002); Abraham v. Volkswagen of America; 795 F.2d 238 (2nd Cir. 1985). 19. Is AES-PR, as a matter of law, barred from recovering claimed consequential damages
allegedly related to the repair and replacement of corroded ESP collector plates under the terms of ALSTOM's Contract with D/FD that exclude recovery of incidental, special, or consequential damages?
17
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Authority: Wood River Pipeline Co. v. Wilbros Eng'r Serv. Co., 738 P.2d 866 (Kan.1987); CitiSteel U.S.A., Inc. v. Gen. Elec. Co., No. Civ. A. 99-810-GMS, 2001 WL 65740 (D. Del. Jan. 9, 2001). 20. Is AES-PR, as a matter of law, barred from recovering the costs of purchasing, installing,
and operating the Reverse Osmosis system, injecting wastewater into the CFB Boilers, and purchasing, installing, and operating a brine concentrator and crystallizer unit under the terms of ALSTOM's Contract with D/FD that exclude recovery of incidental, special, or consequential damages? Authority: Wood River Pipeline Co. v. Wilbros Eng'r Serv. Co., 738 P.2d 866 (Kan.1987); CitiSteel U.S.A., Inc. v. Gen. Elec. Co., No. Civ. A. 99-810-GMS, 2001 WL 65740 (D. Del. Jan. 9, 2001). 21. Is AES-PR, as a matter of law, not entitled to recover under the accelerated corrosion
warranty claimed damages based upon future improvements to the Plant's water treatment system, including injection of water into the boiler, operating the Reverse Osmosis system, and the purchase, installation, and operation of a brine concentrator and crystallizer unit after the four-year period of ALSTOM's accelerated corrosion warranty? Authority: Hooten v. Kenneth B. Mumaw Plumbing & Heating Co., 318 A.2d 514 (Md. 1974); 525 Main St. Corp. v. Eagle Roofing Co., 168 A.2d 33 (N.J. 1961). 22. Is AES-PR, as a matter of law, barred from recovering claimed damages for
improvements to the Plant's water treatment system, including injection of water into the boiler, operating the Reverse Osmosis system, and the purchase, installation, and operation of a brine concentrator and crystallizer unit under the doctrine of disproportionality?
18
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Authority: Long Island Lighting Co. v. IMO Industries, Inc., No. 85 Civ. 6392 (RO), 1990 U.S. Dist. LEXIS 5351 (S.D. N.Y. May 9, 1990). VI. LIST OF EXHIBITS A. AES-PR's List of Exhibits.
Exhibit No. P-1
Bates No.
Date
Document
Basis for Admission 401/402, 901 401/402, 801, 803 401/402, 801, 801, 803, 804 401/402; 801, 803 401/402, 1003 401/402; 801, 803 401/402; 801, 803
ALDEC0501491-1621 WILHEMAIL009831-32 WILHEMAIL003952-53 JT-00656-58
02/24/1998
Contract No. W419-44C0001 Tanca email attaching other email Tanca email attaching other emails Winchester letter to Toher
Basis for ALSTOM's objection FRE 106, 901
P-2
06/02/1997
FRE 401/402, 801/802 FRE 401/402, 801/802 FRE 401/402, 801/802, 901, 1003(2) FRE 106, 1003(2) FRE 106, 401/402, 403, 801/802 FRE 106, 401/402, 801/802 FRE 106, 1003(2)
P-3
06/23/1997
P-4
10/10/1997
P-5 P-6
API 067361960 API 067336971 API 067438689
03/30/1999 12/29/1999
Purchase Order to EEC Flue Gas Cleaning System Performance Selection Excerpt from ABB Alstom Power Request for Quotation, No. 65005697-R Specification for Circulating Dry Scrubber Flue Gas Cleaning System Specification for Electrostatic Precipitator (ESP) Flue Gas Cleaning System
P-7
04/14/2000
P-8
05/10/2001
401/402; 1003
P-9
AESPR 021845-73
05/10/2001
401/402; 1003
FRE 106, 1003(2)
19
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Page 23 of 108
Exhibit No. P-10
Bates No.
Date
Document
Basis for Admission
08/2001
August 2001 EEC Operation 401/402, and Maintenance Manual 1003 Volume 1 August 2001 EEC Operation and Maintenance Manual Volume 2 August 2001 EEC Operation and Maintenance Manual Volume 3 August 2001 EEC Operation and Maintenance Manual Volume 4 August 2001 EEC Operation and Maintenance Manual Volume 5 August 2001 EEC Operation and Maintenance Manual Volume 6 August 2001 EEC Operation and Maintenance Manual Volume 7 August 2001 EEC Operation and Maintenance Manual Volume 8 August 2001 EEC Operation and Maintenance Manual Volume 9 Excerpt from Alstom's Design and Operation Manual Volume 2, Circulating Fluidized Bed Steam Generator Instruction Manual 401/402, 801, 803
Basis for ALSTOM's objection FRE 1003(2)
P-11
08/2001
No objection
P-12
08/2001
No objection
P-13
08/2001
No objection
P-14
08/2001
No objection
P-15
08/2001
No objection
P-16
08/2001
No objection
P-17
08/2001
No objection
P-18
08/2001
No objection
P-19
ALDEC0500705 ALDEC0500710 ALDEC0500712-13
09/2001
FRE 106, 401/402, 801/802
20
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Exhibit No. P-20
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803
EEC-04107-11 07/09/2002
Fax from VanHooser to Foley with attachment Hognefelt Trip Report to AES-PR Rothe email
Basis for ALSTOM's objection FRE 401/402, 801/802, 901 FRE 401/402, 801/802 FRE 401/402, 801/802 FRE 401/402, 801/802, 901
P-21
AL1-04943-53
07/29/2002
P-22
P-23
ROTHEMAIL006948 ALDEC0502058
08/13/2002
08/16/2002
AES Puerto Rico Daily Commissioning Report (8/16/02 8/17/02) AES Puerto Rico Daily Commissioning Report (8/17/02 8/17/02) AES Puerto Rico Daily Commissioning Report (9/6/02 9/7/02) Troubleshooting CDS Problems Rothe email attaching other email, with attached VanHooser letter to Jarvis (9/19/02) Campbell email attaching other email, with attachments Rothe email attaching other email, with attachment Rothe email attaching other emails Jarvis email attaching other emails
P-24
MAIDEMAIL016595-96 ALDEC0502060
08/17/2002
FRE 401/402, 801/802, 901
P-25
09/06/2002
FRE 401/402, 801/802
P-26
WVH00304
09/08/2002
P-27
API 067582728 L1-003413-14
09/19/2002
401/402, 801, 804, 901, 1003 401/402, 801, 803, 901, 1003
FRE 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802, 901, 1003(2)
P-28
MAIDEMAIL009205-09 API 067580508 JARVEMAIL016323-25 JARVEMAIL005928-31
09/23/2002
401/402, 801, 803
FRE 106, 401/402, 801/802 FRE 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802 FRE 401/402, 801/802
P-29
10/02/2002
P-30
10/02/2002
401/402, 801, 803, 901, 1003 401/402, 801, 803 401/402, 801, 803
P-31
10/07/2002
21
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Exhibit No. P-32
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803, 901
10/08/2002
Jarvis letter to VanHooser
P-33
P-34 P-35
ROTHEMAIL006750 API 067576970 API 0675766
10/09/2002
Rothe email
401/402, 801, 803 401/402, 801, 803 401/402, 801, 901, 1003
10/09/2002 10/10/2002
Rothe email Jarvis email
P-36
AES-WC-101373
10/13/2002
API, DFD and AES 401/402, Agreement re: Requirements 801, 803, for Performance Acceptance 1003 Hognefelt Trip Report to AES-PR for 10/12/02 10/15/02 Hognefelt Summary of Trip Report to AES-PR 401/402, 801, 803
Basis for ALSTOM's objection FRE 106, 401/402, 801/802, 901, FRCP 37(c)(1) FRE 106, 401/402, 801/802 FRE 401/402, 801/802 FRE 106, 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802
P-37
AL1-05902-07
10/15/2002
P-38
AL1-04941
10/16/2002
401/402, 801, 803
FRE 401/402, 801/802 FRE 801/802
P-39
W-018-0043345 A100-12 API 0675745 WVH00841
10/23/2002
Campbell letter to Lyda with 401/402, attachments 801, 803
P-40 P-41
11/05/2002 11/07/2002
P-42
CAMPEMAIL011007 API 0675653
11/14/2002
401/402, 801, 803 VanHooser handwritten 401/402, notes 801, 803, 901 VanHooser email with 401/402, attachment [CDS Cold Start- 801, 803, Up] 1003 Rothe email attaching other email 401/402, 801, 803
Rothe letter to Titus
FRE 401/402, 801/802 FRE 401/402, 801/802, 901 FRE 106, 401/402, 801/802, 1003(2) FRE 401/402, 801/802
P-43
11/14/2002
22
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Filed 05/01/2006
Page 26 of 108
Exhibit No. P-44
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803 401/402, 801, 803, 1003 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803, 901 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803
API 067573540 API 067569193
11/19/2002
VanHooser email with attachment Titus letter to Rothe, attaching EEC Corrosion Warranty Nullification Coleman email
Basis for ALSTOM's objection FRE 401/402, 801/802 FRE 401/402, 801/802, 1003(2) FRE 401/402, 801/802 FRE 401/402, 801/802 FRE 401/402, 801/802 FRE 801/802, 901
P-45
12/11/2002
P-46
P-47
JARVEMAIL004668 API 067567274 API 067566165 WARDEMAIL002408
12/18/2002
12/19/2002
VanHooser email attaching other email Rothe letter to Kimberl AES Puerto Rico Daily Commissioning Report (1/4/03 1/8/03) Coleman email attaching other email Jarvis email Bates email Wardell email attaching other emails Jarvis email
P-48 P-49
12/20/2002 01/08/2003
P-50
P-51 P-52 P-53
HUGH01/08/2003 EMAIL001730-31 API 0672596- 01/09/2003 98 AESPR01/15/2003 235457-58 AL1-04923-24 01/30/2003
P-54
AL1-05287-88
02/07/2003
P-55 P-56
L1-003507-08 AL1-04896906 COLEEMAIL001414-15 API 067626272
02/14/2003 02/20/2003
Rothe letter to Titus Hognefelt memo to Francis and Bradburn Jarvis email attaching other email
P-57
03/31/2003
FRE 106, 401/402, 801/802 FRE 106, 801/802 FRE 106, 801/802 FRE 106, 401/402, 801/802 FRE 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802 FRE 106, 401/402, 403, 801/802 FRE 801/802
P-58
04/07/2003
Rothe email with attachment 401/402, 801, 803 23
FRE 801/802
Case 1:04-cv-01282-JJF
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Filed 05/01/2006
Page 27 of 108
Exhibit No. P-59
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803 401/402, 801, 803 401/402, 411, 801, 803 401/402, 801, 803, 901, 1003 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803, 901
API 067625051 API 0676254 L-009145-48
04/16/2003
Rothe email
P-60 P-61
04/17/2003 05/29/2003
Rothe letter to Titus Rothe letter to Durante
P-62
API 067266062 AL1-07103-04
06/10/2003
Wardell email attaching other email Project Change Control
P-63
09/18/2003
Basis for ALSTOM's objection FRE 106, 401/402, 801/802 FRE 401/402, 801/802 FRE 401/402, 403, 411, 801/802 FRE 401/402, 801/802, 901, 1003(2) FRE 401/402, 801/802, 901 FRE 401/402, 801/802, 901 FRE 401/402, 801/802, 901, 1003(2) FRE 801/802, 901 (no objection)
P-64
09/25/2003
Stinson memo to Sostre
P-65
09/26/2003
Stinson Progress Report 2
P-66
AESPR149608-09 AL1-05788-92
09/27/2003
Dyer email attaching other email Hognefelt Trip Report to AES-PR for 9/22/03 9/26/03 Purchase Order No. 03-1367
P-67
09/29/2003
P-68
AESPR 022333-34
10/03/2003
P-69
EEC-27332-46 10/09/2003
Performance Test Plan
P-70
AESPR233998-99 AESPR233993-97
10/09/2003
Sostre email
P-71
10/13/2003
Sostre email with attachments Excerpt from Release and Settlement Agreement
P-72
10/31/2003
401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 403
FRE 401/402, 801/802, 901 FRE 106, 401/402, 801/802, 901 FRE 801/802, 901 FRE 801/802, 901 FRE 106
24
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Filed 05/01/2006
Page 28 of 108
Exhibit No. P-73
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803, 901 401/402, 801, 803 401/402, 801, 803
AESPR 022335
10/31/2003
Copy of AES Puerto Rico, LP check payable to United Titanium Inc. Jarvis email
Basis for ALSTOM's objection FRE 401/402, 801/802, 901
P-74
P-75
JANNEMAIL037371 LPI-00815
11/20/2003
FRE 801/802
11/21/2003
Rothe email
P-76 P-77
L1-001761
11/24/2003 11/26/2003
Dyer letter to Jarvis Hognefelt Trip Report to AES-PR for 11/22/03 11/25/03 Purchase Order No. 03-1842
401/402, 803, 1003
FRE 401/402, 403, 411, 801/802, 1003(2) FRE 403, 411, 1003(2) (no objection)
P-78
AESPR 022481-85 AESPR176410-11 L1-001760
11/26/2003
P-79
12/05/2003
Purchase Order No. 03-1915
P-80
12/11/2003
Rothe letter to Hucks
P-81
AESPR 022354-56 AESPR 022358-60 AESPR 022341 AESPR 022351-53 AESPR 007184-85 AESPR172040-61
12/15/2003
Invoice to AES Puerto Rico LP Invoice to AES Puerto Rico LP Copy of AES Puerto Rico LP check payable to United Titanium Inc. Invoice to AES Puerto Rico LP Stinson email Sostre email with attachments
P-82
12/15/2003
P-83
12/19/2003
P-84
12/23/2003
P-85 P-86
01/02/2004 01/09/2004
401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 411, 801, 803 401/402, 801, 803, 901, 1003 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 801, 901 401/402, 801, 803, 901
FRE 801/802, 901 FRE 801/802, 901 FRE 106, 401/402, 403, 411, 801/802 FRE 801/802, 901, 1003(2) FRE 801/802, 901 FRE 401/402, 801/802, 901 FRE 801/802, 901 FRE 801/802, 901 FRE 801/802, 901
25
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Filed 05/01/2006
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Exhibit No. P-87
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803, 901 401/402, 411, 801, 803 401/402, 801, 803 401/402, 801, 803
AESPR120711 L1-001751-52
01/11/2004
Sostre email
Basis for ALSTOM's objection FRE 801/802, 901 FRE 401/402, 403, 411, 801/802 FRE 801/802
P-88
01/13/2004
Rothe letter to Hucks
P-89
AL1-05722-23
01/13/2004
Hognefelt email attaching other email Wilhelm email attaching other emails
P-90
JARVEMAIL064720-22 ALDEC0500008-09 WILHEMAIL004938-40 AESPR119145 AESPR 000331-33 JARVEMAIL065149-50 JARVEMAIL073911-12 L-011055-58 LINDEMAIL000711-12 COSTEMAIL005350-51
01/15/2004
FRE 801/802
P-91 P-92
01/15/2004 01/16/2004
Fishburn email Dyer email attaching other email
401/402, 801, 803
FRE 801/802 (no objection)
P-93 P-94
01/16/2004 01/16/2004
Jarvis email Dyer letter to Jarvis with attachment Buchholz email 401/402, 801, 803 401/402, 411, 801, 803, 804 401/402, 411, 801, 803, 804
(no objection) FRE 801/802
P-95
01/20/2004
FRE 401/402, 403, 411, 801/802 FRE 401/402, 403, 411, 801/802 FRE 801/802 FRE 801/802
P-96
01/20/2004
Jarvis email
P-97 P-98
01/21/2004 01/27/2004
Dyer letter to Jarvis
401/402, 801 Lindau email attaching other 401/402, emails 801, 803, 804 Fishburn email 401/402, 801, 803
P-99
01/27/2004
FRE 801/802
26
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Filed 05/01/2006
Page 30 of 108
Exhibit No. P-100
Bates No.
Date
Document
Basis for Admission 401/402, 411, 801, 803, 901, 1003 401/402, 801, 803, 901 401/402, 801, 803, 901
L-011053
01/29/2004
Rothe letter to Hucks
P-101
L-011054
01/29/2004
Invoice to EEC
Basis for ALSTOM's objection FRE 106, 401/402, 403, 411, 801/802, 901, 1003(2) FRE 401/402, 801/802, 901 FRE 401/402, 801/802, 901
P-102
AESPR 022470-76
01/30/2004
Copy of AES Puerto Rico LP check payable to F.L. Smidth Airtech, Inc. with supporting documentation Summary for Billing
P-103
AESPR 027160-61 PANOEMAIL004472 AESPR 027207-08
02/01/2004
P-104
02/03/2004
Jarvis email
401/402, 801, 803, 901 401/402, 801, 803 401/402, 801, 803, 901, 1003, 401/402, 801, 803, 1003 401/402, 801, 803 401/402, 411, 801, 803 401/402, 411, 801, 803 401/402, 801, 803
FRE 801/802, 901 FRE 801/802
P-105
02/02/2004
Summary for Billing
FRE 106, 801/802, 901, 1003(2) FRE 801/802, 1003(2) FRE 801/802
P-106
AL1-05628-31
02/10/2004
Dyer email attaching other emails Hognefelt memo to Bringfors Rothe letter to Beers
P-107
AL1-05620-22
02/19/2004
P-108
LP1-00529-32
02/27/2004
P-109
ALDEC0501144-45 JARVEMAIL065003-04 HOGNEMAIL000624-26
03/01/2004
Rothe email attaching other emails Dyer email
P-110
03/08/2004
FRE 401/402, 403, 411, 801/802 FRE 401/402, 403, 411, 801/802 FRE 801/802
P-111
03/08/2004
Hognefelt email attaching other emails
401/402, 801, 803
FRE 801/802
27
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Filed 05/01/2006
Page 31 of 108
Exhibit No. P-112
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803 401/402, 801, 803
P-113
GABREMAIL000885 JARVEMAIL074062-63 L-010648-49
03/08/2004
Gabrielli email
03/10/2004
Jarvis email
Basis for ALSTOM's objection FRE 106, 401/402, 801/802 FRE 801/802
P-114
03/11/2004
Alstom cover letter with attached Invoice Number CS-04-301 dated 01/29/04 Rothe letter to Beers with attachment Jarvis email attaching other emails
401/402, 801, 803, 901 401/402, 411, 801, 803 401/402, 411, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803 401/402, 801, 803, 901 401/402, 801, 803 401/402, 411, 801, 803 401/402, 801, 803, 901 401/402, 801, 803
FRE 801/802, 901
P-115
LP1-00646-48
03/12/2004
P-116
WARDEMAIL030456-57 AESPR 000272-75 AESPR 022454
03/29/2004
FRE 401/402, 403, 411, 801/802 FRE 401/402, 403, 411, 801/802 FRE 801/802 FRE 801/802, 901 FRE 801/802 FRE 401/402, 801/802, 901 FRE 401/402, 801/802 FRE 401/402, 403, 411, 801/802 FRE 401/402, 801/802, 901 FRE 801/802
P-117 P-118
04/30/2004 05/14/2004
Dyer letter to Jarvis Copy of AES Puerto Rico LP check payable to ICE Jarvis letter to Dyer Copy of AES Puerto Rico LP check payable to ICE Dyer letter to Jarvis Jarvis email
P-119 P-120 AESPR 022441
05/18/2004 06/18/2004
P-121 P-122 ROTHEMAIL010317 AESPR 022393 WILHEMAIL004919-20 AESPR 022417
06/22/2004 06/28/2004
P-123
07/15/2004
Copy of AES Puerto Rico, LP check payable to ICE Wilhelm email attaching other email
P-124
07/28/2004
P-125
07/30/2004
Copy of AES Puerto Rico LP check payable to ICE
401/402, 801, 803, 901
FRE 401/402, 801/802, 901
28
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Filed 05/01/2006
Page 32 of 108
Exhibit No. P-126
Bates No.
Date
Document
Basis for Admission
ALTRAN 000137-38 AESPR 022382-88
08/27/2004
P-127
09/02/2004
VanHooser letter to McKrell 401/402, 411, 801, 803, 901 Copy of AES Puerto Rico, 401/402, LP check payable to ICE 801, 803, with supporting 901 documentation Gabrielli email attaching other email Joint Defense Agreement 401/402, 411, 801, 803 401/402, 411, 801, 803, 804 401/402, 801, 803, 901 401/402, 801, 901
Basis for ALSTOM's objection FRE 401/402, 403, 411, 801/802, 901 FRE 401/402, 801/802, 901
P-128
09/13/2004
FRE 106, 403, 411, 801/802 FRE 401/402, 403, 411, 801/802 FRE 401/402, 801/802, 901 FRE 801/802, 901 (no objection) (no objection) (no objection)
P-129
A-DB-0011927 AL1-02282
10/28/2004
P-130
02/25/2005
Alstom statement
P-131
AESPR208210-20
08/10/2005
Etienne letter to Dyer with attachment Dyer letter to O'Neill Site Layout Plan Photograph
P-132 P-133 P-134 P-135 AESPR 432964-79
11/17/2005
04/11/2006
Heins letter to Rivera with attachment
P-136
AESPR 432981
04/12/2006
Etienne letter to Rivera
P-137
AESPR 432980
04/13/2006
Randall letter to Rivera
401/402, 801, 803, 901, FRCP 26(e)(2) 401/402, 801, 803, 901, FRCP 26(e)(2) 401/402, 801, 803, 901, FRCP 26(e)(2)
FRE 401/402, 801/802, 901, FRCP37(c)(1)
FRE 401/402, 801/802, 901, FRCP37(c)(1)
FRE 401/402, 801/802, 901, FRCP37(c)(1)
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Page 33 of 108
Exhibit No. P-138
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803, 901, FRCP 26(e)(2) 401/402, 801, 803, 901, FRCP 26(e)(2) 401/402, 801, 901 401/402, 801 901
AESPR 432982-88
04/17/2006
Randall letter to Rivera with attachment
Basis for ALSTOM's objection FRE 401/402, 801/802, 901, FRCP37(c)(1)
P-139
AESPR 432939-63
04/19/2006
Randall letter to Alequin with attachment
FRE 401/402, 801/802, 901, FRCP37(c)(1)
P-140 P-141 AESPR137005-34
Undated Undated
Drawing of equipment AES-Puerto Rico slide presentation [ESP Corrosion] AES-Puerto Rico slide presentation [Water treatment] Spreadsheet listing EEC Non-Conformances Alstom web page "About us" Alstom web page presentation [The FullService Provider in Power Generation] Summary of Modification Work Handwritten drawing Handwritten drawing
FRE 401/402, 801/802, 901 FRE 801/802, 901
P-142
AESPR194940-47
Undated
401/402, 801 901
FRE 801/802, 901
P-143
Undated
P-144
Undated
P-145
Undated
401/402, 801, 803, 901 401/402, 801, 803, 901 401/402, 803, 901
FRE 801/802, 901 FRE 401/402, 801/802, 901 FRE 401/402, 801/802, 901
P-146
Undated
P-147 P-148
WVH00182
Undated Undated
401/402, 801, 803, 901 401/402, 801, 901 401/402, 801, 901
FRE 801/802, 901 FRE 801/802, 901 FRE 106, 401/402, 801/802, 901, 1003(2) FRE 901
P-149
Piece of corroded collector plate
401/402, 901
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Page 34 of 108
Exhibit No. P-150
Bates No.
Date
Document
Basis for Admission 401/402, 901 401/402, 901 401/402, 901
Piece of corroded collector plate Piece of corroded collector plate FBHE handcuff Photograph Purchase Spreadsheet
Basis for ALSTOM's objection FRE 901
P-151
FRE 901
P-152 P-153 P-154
FRE 901 (no objection)
401/402, 801, 803, 901, 1003 401/402, 801, 803, 901, 1003 401/402, 801, 803, 901, 1003 401/402, 801, 803, 901, 1003 401/402, 801, 803, 901, 1003 401/402, 901 401/402, 901
P-155
AESPR 432690-92 AESPR 432704-06 AESPR 432609-10 AESPR 432621-22 AESPR 432459-61 AESPR 432473-75
04/03/2003
Emissions Report Unit 1 Q1 2003 Emissions Report Unit 2 Q1 2003 Emissions Report Unit 1 Q2 2003 Emissions Report Unit 2 Q2 2003 Emissions Report Unit 1 Q3 2003 Emissions Report Unit 2 Q3 2003 Photograph Photograph Photograph Photograph Photograph
P-156
04/03/2003
P-157
07/29/2003
P-158
07/29/2003
P-159
10/08/2003
FRE 106, 401/402, 801/802, 901, 1003(2) FRE 106, 801/802, 901, 1003(2) FRE 106, 801/802, 901, 1003(2) FRE 106, 801/802, 901, 1003(2) FRE 106, 401/402, 801/802, 901 FRE 106, 901
P-160
10/08/2003
FRE 106, 901
P-161 P-162 P-163 P-164 P-165
(no objection) (no objection) 401/402, 901 FRE 901 (no objection) (no objection)
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Exhibit No. P-166 P-167 P-168 P-169 P-170 P-171 P-172 P-173 P-174 P-175 P-176 P-177 P-178 P-179 P-180
Bates No.
Date
Document
Basis for Admission 401/402, 901 401/402, 901 401/402, 901 401/402, 901 401/402, 901 401/402, 901 401/402, 901 401/402, 901 401/402, 901
Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Photograph Drawing of Equipment AL1-05778-79 01/09/2004 Sostre email
Basis for ALSTOM's objection FRE 901 FRE 901 FRE 901 FRE 901 FRE 901 FRE 901 FRE 901 FRE 901 FRE 901 (no objection)
401/402, 901 401/402, 901
FRE 901 FRE 901 (no objection)
P-181
P-182
ROTHEMAIL036791 ALDEC0501147
11/21/2003
Rothe email
11/21/2003
Rothe email
401/402, 801, 901 401/402, 801, 803, 1003 401/402, 411, 801, 803 401/402, 411, 801, 803, 1003 401/402, 801, 803
P-183
ALDEC0500977-81
12/20/2002
Rothe letter to Kimberl
FRE 401/402, 801/802, 901 FRE 106, 801/802, 901, 1003(2) FRE 401/402, 403, 411, 801/802 FRE 401/402, 403, 411, 801/802, 1003(2) FRE 401/402, 801/802
32
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Exhibit No. P-184
Bates No.
Date
Document
Basis for Admission 401/402, 801, 803, 901, 1003
L1-003470-71 L1-003413-14
09/19/2002
Rothe email attaching other email, with attached VanHooser letter to Jarvis (9/19/02) Flue Gas Cleaning System Performance Selection Dyer letter to Jarvis
Basis for ALSTOM's objection FRE 401/402, 801/802, 901, 1003(2)
P-185
AL1-05449-51
12/29/1999
401/402, 801, 803 401/402, 801, 803
FRE 401/402, 403, 801/802 FRE 801/802
P-186
P-187
P-188
AESPR 000276-77 AES2-0401147-48 WARDEMAIL027135 JARVEMAIL077626-27
01/21/2004
02/03/2004
Jarvis email
401/402, 801, 803 401/402, 411, 801, 803 401/402, 801, 901 401/402, 801 401/402, 801 401/402, 801, 803, 901
FRE 801/802
03/01/2004
Rothe email attaching other emails Subpoena to Altran Corporation Vittoria letter to Williams Vittoria email with attachments Capital Project Report
P-189
10/12/2005
FRE 401/402, 403, 411, 801/802 FRE 401/402, 801/802, 901 FRE 401/402, 801/802 FRE 401/402, 801/802 FRE 106, 801/802, 901
P-190 P-191
11/22/2005 04/25/2006
P-192
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Page 37 of 108
B.
ALSTOM's List of Exhibits. Date Description Basis for Admission 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 901 401 801(c) 901 Basis for AES-PR Objections1 Relevance; prejudice; incomplete
Exhibit Number D-001
4/3/1996
EPC Contract between AES and D/FD
D-002
5/6/1997
D-003
6/19/1997
Newspaper Article "Environmentalists speak out against EPA" Letter re: Comments from Scientific and Technical Services Inc. Contract No. W419-44-C0001 Between D/FD and ABB Combustion Engineering; Signature Document; Scope of Work; Commercial Terms; General Terms; Specifications Letter re: Request for Denial of AESPuerto Rico Prevention of Significant Deterioration (PSD) Air Permit Purchase Order for Precipitator, Dry Scrubber
Hearsay
Hearsay; foundation
D-004
2/24/1998
D-005
8/20/1998
D-006
3/30/1999
401 801(c) 901 401 801(c) 803(6) 901
Hearsay; prejudice; foundation Authenticity; multiple documents; hearsay
1
As used in this column, "relevance" refers to Federal Rules of Evidence 401 and 402; "prejudice" refers to Federal Rule of Evidence 403; "hearsay" refers to Federal Rule of Evidence 801, 802 and 805; "authenticity" refers to Federal Rule of Evidence 901; "foundation" refers to Federal Rules of Evidence 602 and 901; "multiple documents" refers to Federal Rules of Evidence 401, 402, 403, 1001, 1002, and 1003; "incomplete" refers to Federal Rules of Evidence 106, 401, 402, and 403; "inadmissible demonstrative" refers to Federal Rules of Evidence 401, 402, 403, and 901; "opinion" refers to Federal Rule of Evidence 701; and "best evidence" refers to Federal Rule of Evidence 101, 1002, 1003, 1006. AES-PR does not concede that ALSTOM's descriptions of the documents on this list are accurate. Objection to "hearsay" includes hearsay within hearsay. Objection to "prejudice" includes all grounds specified in Federal Rule of Evidence 403.
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Exhibit Number D-007
Date
Description
Basis for Admission 401 801(c) 803(6) 807 901 401 801(c) 803(6) 807 901 401 801(c) 803(6) 807 901 401 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 803(6) 807 901 401 801(c) 803(6) 807 901 401 801(c) 803(6) 807 901
12/14/1999 Black & Veatch's Preliminary Draft Due Diligence Report for Goldman, Sachs & Co.
Basis for AES-PR Objections1 Hearsay
D-008
1/11/2000
E-Mail re: Bank's Engineer's Report
Hearsay
D-009
1/25/2000
E-Mail re: ABBCE & EEC CDS, Vessel Corrosion re: Bank's Engineer's Report
Hearsay; foundation
D-010
1/25/2000
Handwritten notes of CE-D/FD Conf. Call
Hearsay; incomplete
D-011
2/8/2000
E-mail re: AES-PR ABBCE/DFD/AES 2/10 & 11 Mtg Agenda
Hearsay
D-012
2/21/2000
E-mail re: Corrosion Reference List/EEC Correspondence #420584E046
Foundation; hearsay
D-013
2/21/2000
E-mail re: AES - PR - EEC Corrosion Reference List
Foundation; hearsay
D-014
2/23/2000
E-mail re: AES-PR-Corrosion Experience List/EEC
Foundation; hearsay
D-015
2/24/2000
E-mail re: RE: Info Needed for Bank's Engineer
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Exhibit Number D-016
Date
Description
Basis for Admission 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901
2/28/2000
E-mail Re: AES/PR: ABBCE/DFD/AES/EEC/S&W Record of Meeting 2/10 & 11/00
Basis for AES-PR Objections1 Foundation; hearsay
D-017
3/2/2000
E-mail re: RE: AES - PR - Info Needed for Bank's Engineer
Foundation; hearsay
D-018
3/14/2000
E-mail re: AES/PR: ABBCE/DFD/AES CFB Boiler, CDS Meeting Minutes 2/10&11 2000
Foundation; hearsay
D-019
5/3/2000
Letter No. AES-DFD-010 re: AES Puerto Rico Project Additional Scope Item 3 Water Supply System
Relevance; prejudice
D-020
5/10/2000
Black & Veatch Due Diligence Report
Hearsay
D-021
5/30/2000
Letter No. 3674-0-CR-9-00515 re: Change Order C-063 Modify Demin. Treatment Based Upon Revised Treated Water Analysis
Hearsay; relevance; prejudice
D-022 D-023
2/20/2001 3/28/2001
E-mail re: ALSTOM Training Program Letter of Transmittal No.: 00648 re: Analog Logic
401 801(c) 803(6) 807 901
Multiple documents
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Exhibit Number D-024
Date
Description
Basis for Admission 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 803(6) 807 901
4/19/2001
Supplier Transmittal No. 196
Basis for AES-PR Objections1 Authenticity
D-025
5/15/2001
E-mail re: AES - PR - EEC CDS Maintenance and Monitoring Plan
Hearsay
D-026
5/31/2001
D-027
8/1/2001
Letter No. 3674-0-CR-9-05081 re: CFB Boiler & CDS Equipment Performance Related Information and Limits of Control Operation and Maintenance Manual; Volume 1
D-028
9/1/2001
Air Pollution Control System (Desulphurization & Particulate Control) Training Manual; with handwritten "G. Bates"
D-029
9/1/2001
Air Pollution Control System (Desulphurization Particulate Control) Training Manual; with handwritten "Elias M. Sostre"
D-030
9/24/2001
Supplier Transmittal #276
D-031
10/2/2001
E-mail re: AES-PR-EEC Functional Checks
401 801(c) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901 401 803(6) 807 901
Incomplete; multiple documents
Multiple documents; second document contains hearsay Incomplete
Not previously produced
Hearsay
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Exhibit Number D-032
Date
Description
Basis for Admission 401 801(c) 801(d)(2) 803(6) 807 901
10/25/2001 Letter re: AES Training Video Tapes
Basis for AES-PR Objections1 Not previously produced; multiple documents, second document relevance, hearsay
D-033 D-034
10/31/2001 Letter re: API Training Program Video Tape Transmittal 6/18/2002 Letter re: Current Operating Makeup Water System - Off-Site Influent Water Quality
401 801(c) 801(d)(2) 803(6) 807 901
Hearsay; foundation; multiple documents
D-035
7/26/2002
D-036
7/29/2002
Letter re: AES Concurrence with DFD Approach to Air Emissions Compliance Letter re: PRASA Water Source
D-037
1/13/2003
Copy of handwritten notes
D-038
1/17/2003
E-mail re: Trip Report
401 801(c) 801(d)(2) 803(6) 807 901 401 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901
Hearsay; relevance; prejudice; foundation
Hearsay, foundation; authenticity
Hearsay
D-039
2/12/2003
E-mail re: Dewcon humidity transmitter at #2 CDS outlet
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Exhibit Number D-040
Date
Description
Basis for Admission 401 801(c) 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 803(7) 807 901
2/18/2003
AES Puerto Rico Purchase Orders
Basis for AES-PR Objections1 Multiple documents; authenticity
D-041 D-042
3/4/2003 3/4/2003
E-mail re: Shift Report Kohl Report
Hearsay; foundation
D-043 D-044 D-045
3/12/2003 3/22/2003 4/10/2003
E-mail re: Shift report E-mail re: Shift Report GE Betz Technical Report
D-046
5/15/2003
E-mail re: AES/PR: Particualte Matter Testing
D-047
5/24/2003
Report re: Unit 1 & 2
D-048
5/25/2003
E-mail re: Nightly Report 05/24/03
D-049
6/9/2003
Complaint Re: AES Puerto Rico, L.P. v. D/FD, et al., Civil No. 03-544 (U.S.D.C. Del.),
401 801(d)(2) 803(6) 807 901 401 801(c) 803(6) 803(7) 807 901 401 801(d)(2) 803(6) 807 901 401 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 807 901
Hearsay; incomplete
Hearsay
Authenticity; incomplete; foundation
Foundation; hearsay
Relevance; prejudice
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Page 43 of 108
Exhibit Number D-050 D-051 D-052
Date
Description
Basis for Admission
Basis for AES-PR Objections1
6/18/2003 7/10/2003 7/11/2003
Letter 3674-0-CR-9-05968 re: Unit 2 Emissions Testing Results E-mail re: Unit Nightly Report 07/09/03 Amended Complaint Re: AES Puerto Rico, L.P. v. D/FD, et al., Civil No. 03-0544-JJF (U.S.D.C. Del.)
D-053
8/8/2003
E-mail re: FW: AES/PR: Unit 1 CDS Low Load Operation Test
401 801(c) 801(d)(2) 807 901 401 801(d)(2) 803(6) 807 901
Relevance; prejudice
E-mails in string contain hearsay
D-054 D-055 D-056
8/10/2003 8/15/2003 8/29/2003
E-mail Re: RE: YTD Reports on Safety / Environmental / FO's E-mail re: EOS Report, Days, 08/15/03 Kohl Report
401 801(c) 801(d)(2) 803(6) 807 901 401 801(d)(2) 803(6) 807 901 401 801(c) 801(d)(2) 803(6) 807 901
Hearsay; foundation
D-057 D-058
8/30/2003 9/4/2003
E-mail re: Controlling Opacity E-mail re: Controlling Opacity
Hearsay
D-059
9/6/2003
E-mail re: FW: AES-PR trip report
Hearsay; foundation
D-060
9/8/2003
Letter re: Notification of Reportable Deviations of Stack Emissions Above Permit Lim