Regulatory Guide 3.69

Topical Guidelines for the Licensing Support Network

ML041770135
Person / Time
Issue date:	06/30/2004
From:	Office of Nuclear Regulatory Research
To:
References
DG-3022 RG-3.069
Download: ML041770135 (9)

Regulatory guides are issued to describe and make available to the public such information as methods acceptable to the NRC staff for implementing specificparts of the NRC's regulations, techniques used by the staff in evaluating specific problems or postulated accidents, and data needed by the NRC staff in itsreview of applications for permits and license Regulatory guides are not substitutes for regulations, and compliance with them is not require Methods andsolutions different from those set out in the guides will be acceptable if they provide a basis for the findings requisite to the issuance or continuance of a permitor license by the Commission.This guide was issued after consideration of comments received from the publi Comments and suggestions for improvements in these guides are encouragedat all times, and guides will be revised, as appropriate, to accommodate comments and to reflect new information or experienc Written comments may besubmitted to the Rules and Directives Branch, ADM, U.S. Nuclear Regulatory Commission, Washington, DC 20555-000 Regulatory guides are issued in ten broad divisions: 1, Power Reactors; 2, Research and Test Reactors; 3, Fuels and Materials Facilities; 4, Environmentaland Siting; 5, Materials and Plant Protection; 6, Products; 7, Transportation; 8, Occupational Health; 9, Antitrust and Financial Review; and 10, General. Single copies of regulatory guides (which may be reproduced) may be obtained free of charge by writing the Distribution Services Section, U.S. NuclearRegulatory Commission, Washington, DC 20555-0001, or by fax to (301)415-2289, or by email to DISTRIBUTION@NRC.GO Electronic copies of this guideand other recently issued guides are available at NRC's home page at <WWW.NRC.GOV> through the Electronic Reading Room, Accession NumberML041770135.U.S. NUCLEAR REGULATORY COMMISSION Revision 1June 2004REGULATORY GUIDEOFFICE OF NUCLEAR REGULATORY RESEARCHREGULATORY GUIDE 3.69(Draft was issued as DG-3022)TOPICAL GUIDLINES FOR THE LICENSING SUPPORT NETWORKA. INTRODUCTIONSubpart J, "Procedures Applicable to Proceedings for the Issuance of Licenses for the Receipt ofHigh-Level Radioactive Waste at a Geologic Repository" (10 CFR 2.1000 to 2.1027), of 10 CFR Part 2,"Rules of Practice for Domestic Licensing Proceedings and Issuance of Orders," sets forth proceduresfor an adjudicatory proceeding on the application for a license to receive and possess high-level radioactive waste at a geologic repository under 10 CFR Part 60, "Disposal of High-Level RadioactiveWastes in Geologic Repositories," or Part 63, "Disposal of High-Level Radioactive Wastes in a GeologicRepository at Yucca Mountain, Nevada." Pursuant to these regulations, the Licensing Support Network(LSN), an electronic information management system, is being designed and implemented to provide for the entry of and access to relevant documentary material.The requirements in 10 CFR 63.21 for a license application and the structure and content of theYucca Mountain Review Plan (NUREG-1804), were considered in developing this regulatory guid Theprincipal purpose of the Yucca Mountain Review Plan is to ensure the quality, uniformity, and consistency of NRC staff reviews of the license application and any amendment This regulatory guide defines the scope of documentary material that should be identified in or made available via the LS Topical guidelines were adopted by the U.S. Nuclear Regulatory Commission (NRC) as Regulatory Guide 3.69 in September 199 This revision to the regulatory guide updates the topical guidelines consistent with the license application content specified in 10 CFR 63.21 and the content and structure of the Yucca Mountain Review Plan (NUREG-1804) and Environmental Review Guidance for LicensingActions Associated with NMSS Programs (NUREG-1748), and the U.S. Department of Energy FinalEnvironmental Impact Statement for a Yucca Mountain repositor Document is defined in 10 CFR 2.1001 as "any written, printed, recorded, magnetic, graphicmatter, or other documentary material, regardless of form or characteristic." In addition,10 CFR 2.1001 defines documentary material as:

3.69-2(1) any information upon which a party, potential party, or interested governmentalparticipant intends to rely and/or to cite in support of its position in the proceeding for a license to receive and possess high-level radioactive waste at a geologic repository operations area pursuant to part 60 or 63 of this chapter; (2) any information that is known to, and in the possession of, or developed by the party that is relevant to, but does not support, that information or that party's position; and (3) all reports and studies, preparedby or on behalf of the potential party, interested governmental participant, or party, including all related 'circulated drafts,' relevant to both the license application and theissues set forth in the Topical Guidelines in Regulatory Guide 3.69, regardless of whether they will be relied upon and/or cited by a part The scope of documentary material shall be guided by the topical guidelines in the applicable NRC Regulatory Guide.The forms of these materials are listed in Appendix A to this guide, a nonexhaustive list of typesof documents that may be included in the LSN.Regulatory guides are issued to describe to the public methods acceptable to the NRC staff forimplementing specific parts of the NRC's regulations, to explain techniques used by the staff in evaluating specific problems or postulated accidents, and to provide guidance to applicant Regulatory guides are not substitutes for regulations, and compliance with regulatory guides is not require Regulatory guides are issued in draft form for public comment to involve the public in developing the regulatory position Draft regulatory guides have not received complete staff review; they therefore do not represent official NRC staff positions. The information collections contained in this draft regulatory guide are covered by therequirements of 10 CFR Part 50, which were approved by the Office of Management and Budget (OMB),

approval number 3150-301 The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number.B. DISCUSSION

PURPOSE

OF THE REGULATORY GUIDEThe purpose of this regulatory guide is to provide a list of the topics (in Section C) ofdocumentary material that LSN participants should identify (by bibliographic header only) or make available (by image or searchable full text) via the LSN under 10 CFR 2.100 Participants in proceedings regarding the proposed issuance of construction authorizations and licenses for the receipt and possession of high-level radioactive waste at a geologic repository include parties, potential parties, and interested governmental participant The topical guidelines are designed to be broad enough to encompass all potential licensing issues.This regulatory guide provides the detailed topical index for LSN documentary materia It is notto be used to establish standing in the high-level waste licensing proceeding or to define the scope of contentions that may be proffered under 10 CFR 2.101 .69-3USE OF THE REGULATORY GUIDEThe regulatory guide is consistent with requirements for the content of a license application in 10CFR 63.21 and with licensing information specified in the Yucca Mountain Review Plan (NUREG-1804). It is also consistent with Environmental Review Guidance for Licensing Actions Associated with NMSS Programs (NUREG-1748). The actual format of the documents submitted is not specified in thisregulatory guid Requirements regarding electronic formats of LSN documents are defined in 10 CFR 2.1011.Section C of this regulatory guide lists the topics of documents to be identified in or madeavailable via the LSN. Appendix A to this guide contains a nonexhaustive list of the types of documents to which the topical guidelines in Section C should be applie Types of documents not included in Appendix A should also be identified in or made available via the LSN if they are relevant to a topic in Section C of this regulatory guide.Because the topical guidelines of Section C have been kept broad and at a fairly high level ofdetail, the user should consider each topic to be inclusive rather than exclusive with regard to documents germane to that topic for the sit For example, much of the information that supports the licensing proceeding will be based on the use of methodologies, computer codes, and model Such informationshould be made available via the LSN. The Yucca Mountain Review Plan (NUREG-1804), providesguidelines on, and 10 CFR 63.21 sets the requirements for, information that should be submitted in thelicense applicatio Section C of this regulatory guide is based, in part, on these provisions.The topical guidelines also include subcategories for the "Information for a Geologic RepositoryEnvironmental Impact Statement." This information should be made available via the LSN pursuant to10 CFR 2.1003(b).C. TOPICAL GUIDELINES1.GENERAL INFORMATION1.1General Description 1.2Proposed Schedules for Construction, Receipt, and Emplacement of Waste 1.3Physical Protection Plan 1.4Material Control and Accounting Program 1.5Description of Site Characterization Work2.SAFETY ANALYSIS REPORT2.1Repository Safety Before Permanent Closure2.1.1Preclosure Safety Analysis2.1.1.1Site Description as it Pertains to Preclosure Safety Analysis 2.1.1.2Description of Structures, Systems, Components, Equipment, andOperational Process Activities2.1.1.3Identification of Hazards and Initiating Events 2.1.1.4Identification of Event Sequences 2.1.1.5Consequence Analyses2.1.1.5.1Consequence Analysis Methodology and Demonstrationthat the Design Meets 10 CFR Parts 20 and 63 Numerical 3.69-4Radiation Protection Requirements for Normal Operationsand Category 1 Event Sequences2.1.1.5.2Demonstration that the Design Meets 10 CFR Part 63Numerical Radiation Protection Requirements for Category 2 Event Sequences2.1.1.6Identification of Structures, Systems, and Components Important toSafety; Safety Controls; and Measures to Ensure Availability of the Safety Systems2.1.1.7Design of Structures, Systems, and Components Important to Safetyand Safety Controls 2.1.1.7.1Design Criteria and Design Bases 2.1.1.7.2Design Methodologies 2.1.1.7.3Repository Design and Design Analyses2.1.1.8Meeting the 10 CFR Part 20 As Low As Is ReasonablyAchievable Requirements for Normal Operations and Category 1 Event Sequences2.1.2Plans for Retrieval and Alternative Storage of Radioactive Wastes 2.1.3Plans for Permanent Closure and Decontamination, or Decontamination andDismantlement of Surface Facilities2.2Repository Safety After Permanent Closure2.2.1Performance Assessment2.2.1.1System Description and Demonstration of Multiple Barriers 2.2.1.2Scenario Analysis and Event Probability2.2.1.2.1Scenario Analysis 2.2.1.2.2Identification of Events with Probabilities Greater Than10!8 Per Year2.2.1.3Model Abstraction2.2.1.3.1Degradation of Engineered Barriers 2.2.1.3.2Mechanical Disruption of Engineered Barriers 2.2.1.3.3Quantity and Chemistry of Water Contacting WastePackages and Waste Forms2.2.1.3.4Radionuclide Release Rates and Solubility Limits 2.2.1.3.5Climate and Infiltration 2.2.1.3.6Flow Paths in the Unsaturated Zone 2.2.1.3.7Radionuclide Transport in the Unsaturated Zone 2.2.1.3.8Flow Paths in the Saturated Zone 2.2.1.3.9Radionuclide Transport in the Saturated Zone 2.2.1.3.10Volcanic Disruption of Waste Packages 2.2.1.3.11Airborne Transport of Radionuclides 2.2.1.3.12Concentration of Radionuclides in Ground Water 2.2.1.3.13Redistribution of Radionuclides in Soil 2.2.1.3.14Biosphere Characteristics2.2.1.4Demonstration of Compliance with the Postclosure Public Health andEnvironmental Standards 2.2.1.4.1Demonstration of Compliance with the PostclosureIndividual Protection Standard2.2.1.4.2Demonstration of Compliance with the Human IntrusionStandard 3.69-52.2.1.4.3Analysis of Repository Performance thatDemonstrates Compliance with Separate Ground-Water Protection Standards 2.3Research and Development Program To Resolve Safety Questions 2.4Performance Confirmation Program 2.5Administrative and Programmatic Requirements2.5.1Quality Assurance Program 2.5.2Records, Reports, Tests, and Inspections 2.5.3Training and Certification of Personnel2.5.3.1U.S. Department of Energy Organizational Structure as it Pertains toConstruction and Operation of Geologic Repository Operations Area2.5.3.2Key Positions Assigned Responsibility for Safety and Operations ofGeologic Repository Operations Area2.5.3.3Personnel Qualifications and Training Requirements2.5.4Expert Elicitation 2.5.5Plans for Startup Activities and Testing 2.5.6Plans for Conduct of Normal Activities, Including Maintenance, Surveillance, andPeriodic Testing2.5.7Emergency Planning 2.5.8Controls To Restrict Access and Regulate Land Uses 2.5.9Uses of Geologic Repository Operations Area for

Purpose

s Other Than Disposalof Radioactive Wastes2.5.10License Specifications3INFORMATION FOR A GEOLOGIC REPOSITORY ENVIRONMENTAL IMPACT STATEMENT3.1

Purpose

and Need for Proposed Agency Action3.1.1Potential Actions and Decisions Regarding the Proposed Repository 3.1.2Radioactive Materials Considered for Disposal in a Monitored Geologic Repository 3.1.3National Effort To Manage Spent Nuclear Fuel and High-Level Radioactive Waste 3.1.4Yucca Mountain Site and Proposed Repository 3.1.5Environmental Impact Analysis Process3.2Proposed Action and No-Action Alternative3.2.1Proposed Action 3.2.2No-Action Alternative 3.2.3Alternatives Considered but Eliminated from Detailed Study 3.2.4Summary of Findings and Comparison of the Proposed Action and the No-ActionAlternative3.2.5Collection of Information and Analyses 3.2.6Preferred Alternative3.3Affected Environment3.3.1Affected Environment at the Yucca Mountain Repository Site at the Conclusionof Site Characterization Activities3.3.2Affected Environment Related to Transportation 3.3.3Affected Environment at Commercial and DOE Sites3.4Environmental Consequences of Repository Construction, Operation and Monitoring, andClosure 3.4.1Short-Term Environmental Impacts of Performance Confirmation, Construction,Operation and Monitoring, and Closure of a Repository 3.69-63.4.2Short-Term Environmental Impacts from the Implementation of a RetrievalContingency or Receipt Prior to the Start of Emplacement3.5Environmental Consequences of Long-Term Repository Performance3.5.1Inventory for Performance Calculations 3.5.2System Overview 3.5.3Locations for Impact Estimates 3.5.4Waterborne Radiological Consequences 3.5.5Atmospheric Radiological Consequences 3.5.6Consequences from Chemically Toxic Materials 3.5.7Consequences from Disruptive Events 3.5.8Nuclear Criticality 3.5.9Consequences to Biological Resources and Soils3.6Environmental Impacts of Transportation3.6.1Summary of Impacts of Transportation 3.6.2National Transportation 3.6.3Nevada Transportation3.7Environmental Impacts of the No-Action Alternative3.7.1Short-Term Impacts in the Yucca Mountain Vicinity 3.7.2Commercial and DOE Sites 3.7.3Cumulative Impacts for the No-Action Alternative3.8Cumulative Impacts3.8.1Past, Present, and Reasonably Foreseeable Future Actions 3.8.2Cumulative Short-Term Impacts in the Proposed Yucca MountainRepository Region3.8.3Cumulative Long-Term Impacts in the Proposed Yucca MountainRepository Vicinity3.8.4Cumulative Transportation Impacts 3.8.5Cumulative Manufacturing Impacts3.9Management Actions To Mitigate Potential Adverse Environmental Impacts3.9.1Types of Management Actions 3.9.2Yucca Mountain Repository 3.9.3Transportation3.10Unavoidable Adverse Impacts; Short-Term Uses and Long-Term Productivity; andIrreversible and Irretrievable Commitment of Resources 3.10.1Unavoidable Adverse Impacts 3.10.2Relationship Between Short-Term Uses and Long-Term Productivity 3.10.3Irreversible or Irretrievable Commitment of Resources 3.69-7APPENDIX ATYPES OF DOCUMENTS TO AVAILABLE VIA THE LICENSING SUPPORT NETWORKThis appendix contains examples of the types of documents that should be identified in or madeavailable via the Licensing Support Network (LSN) by participants. See 10 CFR 2.1003 and the exclusions in 10 CFR 2.1005.1.Technical reports and analyses by all participants (including those developed by contractors).Note that this applies only to final technical reports and does not include preliminary drafts (including predecisional and other internal review drafts) other than "circulated drafts," as definedin 10 CFR Part 2, Subpart J (Item 6 below). See 10 CFR 2.1019(i)(2), which states that preliminary drafts, although subject to derivative discovery, are excluded from entry in the LSN.2.Quality assurance records 3.External correspondence 4.Internal memoranda 5.Meeting minutes/transcripts 6.Draft documents circulated for supervisor concurrence or signature on which a nonconcurrencehas been registered7.Other documents (for 7.1 and 7.9, include references to other databases)7.1Draft and final environmental evaluations or assessments7.2Site characterization plan 7.3Site characterization study plans 7.4Site characterization progress reports 7.5Issue-resolution reports 7.6License application 7.7DOE environmental report 7.8Topical reports, data, and data analyses 7.9Draft, supplemental, and final environmental impact statements 7.10NRC preliminary comments on the sufficiency of DOE information for inclusion in a licenseapplication for a possible geologic repository at Yucca Mountain, Nevada7.11The DOE site recommendation to the President of the United States (e.g., transmittalletter, statutory materials supporting the recommendation)7.12Publicly available information on rulemakings 7.13Public and agency comments on documents 7.14Responses to comments 7.15NRC technical positions 7.16NRC regulatory guides 7.17The DOE project-decision schedules 7.18DOE program-management documents 3.69-8APPENDIX BEXCLUDED AND PRIVILEGED INFORMATIONIn 10 CFR 2.1005, "Exclusions," the types of information excluded from the Licensing Support Network(LSN) are listed. Discovery privileges are discussed in 10 CFR 2.1006(a), (b), and (c). These sections of 10 CFR are reproduced below.10 CFR 2.1005 Exclusions.The following material is excluded from the requirement to provide electronic access, either pursuant to10 CFR 2.1003, or through derivative discovery pursuant to 10 CFR 2.1019(i)-(a)Official notice materials;(b)Reference books and text books; (c)Material pertaining exclusively to administration, such as material related to budgets,financial management, personnel, office space, general distribution memoranda, or procurement, except for the scope of work on a procurement related to repository siting, construction, or operation, or to the transportation of spent nuclear fuel or high-level waste;(d)Press clippings and press releases; (e)Junk mail; (f)References cited in contractor reports that are readily available; (g)Classified material subject to Subpart I of this part; (h)Readily available references, such as journal articles and proceedings, which may besubject to copyright;(i)Correspondence between a potential party, interested governmental participant, or partyand the Congress of the United States.10 CFR 2.1006 Privilege.(a)Subject to the requirements in 10 CFR 2.1003(a)(4), the traditional discovery privilegesrecognized in NRC adjudicatory proceedings and the exceptions from disclosure in 10 CFR 2.390 may be asserted by potential parties, interested governmental participants, and parties. In addition to Federal agencies, the deliberate process privilege may also be asserted by State and local government entities and Indian Tribes.(b)Any document for which a claim of privilege is asserted, but is denied in whole or in partby the Pre-License Application Presiding Officer or the Presiding Officer, must be provided in electronic form by the party, interested governmental participant, or potential party that asserted the claim to-(1)The other participants; or (2)The Pre-License Application Presiding Officer or to the Presiding Officer, for entryinto a Protective Order file, if the Pre-License application Presiding Officer or the Presiding Officer so directs under 10 CFR 2.1010(b) or 10 CFR 2.1018(c).(c)Notwithstanding any availability of the deliberative process privilege under paragraph (a)of this section, circulated drafts not otherwise privileged shall be provided for electronic access pursuant to 10 CFR 2.1003(a).

3.69-9REGULATORY ANALYSISA separate regulatory analysis was not prepared for this regulatory guide. The regulatory analysisprepared for Draft Regulatory Guide DG-3003, "Format and Content for the License Application for theHigh-Level Waste Repository" (November 1990), provides the regulatory basis for this regulatory guideas well. A copy of the regulatory analysis is available for inspection and copying for a fee at the U.S.

Nuclear Regulatory Commission Public Document Room, 11555 Rockville Pike, Washington, DC. The Public Document Room's mailing address is US NRC PDR, Washington, DC 20555; phone(800)397-4209 or (301)415-4737; fax (301)415-3548.