NUREG-1199

Standard Format and Content 

of a license application for a. 

Low-Level Radioactive Waste 

Disposal Facility

U.S. Nuclear Regulatory Commission 

Office of Nuclear Material Safety and Safeguards

f
January 1991

Revision 2 to NUREG-1199 

"Standard Format and Content of a License Application 

for a Low-Level Radioactive Waste Disposal Facility" 

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NUREG-1199 

Rev. 2

Standard Format and Content 

of a license application for a 

Low-Level .Radioactive Waste 

Disposal Facility

Manuscript Completed: January 1991 

Date Published: January 1991 

Division of Low-Level Waste Management and Decommissioning 

Office of Nuclear Material Safety and Safeguards'_ 

U.S. Nuclear Regulatory Commission 

Washington, DC 20555

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I,

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AVAILABILITY NOTICE

Availability of Reference Materials Cited in NRC Publications 

Most documents cited in NRC publications will be available from one of the following 

sources: 

1. The NRC Public Document Room, 2120 L Street, NW, Lower Level, Washington, DC 

20555 

2. The Superintendent of Documents, U.S. Government Printing Office, P.O. Box 37082, 

Washington, DC 20013-7082 

3. The National Technical Information Service, Springfield.VA- 22161 

Although the listing that follows represents the majority of documents cited in NRC publica-, 

tions, it is not intended to be exhaustive. 

Referenced documents available for Inspection and copying for a fee from the NRC Public 

Document Room include NRC correspondence and internal NRC memoranda; NRC Office of 

Inspection and Enforcement bulletins, circulars, Information notices, inspection and investi

gation notices; Licensee Event Reports; vendor reports and correspondence; Commission 

papers; ahd ap~plicant and licensee documentsi and correspondence. 

The following documents in the NUREG series are available for purchase from the GPO Sales 

Program: formal NRC staff and contractor reports, NRC-sponsored conference proceed

ings, and NRC booklets and brochures. Also available are Regulatory Guides, NRC regula

tions in the Code of Federal Regulations, and Nuclear Regulatory Commission Issuances. 

Documents available from the National Technical Information Service include NUREG series 

reports and technical reports prepared by other federal agencies and reports prepared by 

the Atomic Energy Commission, forerunner agency to the Nuclear Regulatory Commission. 

Documents available from'public and special technical libraries in~lude all open literature 

items, such as books, journal and periodical articles,-and transactions. Federal Register 

notices, federal and state legislation, and congressional reports can usually be obtained 

from these libraries. 

Documents such as theses, dissertations, foreign reports and translations, and non-NRC 

conference proceedings are available for purchase from the organization sponsoring the 

publication cited. 

Single copies of NRC draft reports are available free, to the extent of supply, upon written 

request to the Office of Information Resources Management, Distribution Section,. U.S. 

Nuclear Regulatory Commission, Washington, DC 20555. 

Copies of industry codes and standards used in a substantive manner in the NRC regulatory 

process are maintained at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and 

are available there for reference use by the public. Codes and standards are usually copy

righted and may be purchased from the originating organization or, if they are American 

National Standards, from the American National Standards Institute, 1430 Broadway, 

New York, NY 10018.
ABSTRACT

This document has been developed as a guide to prospective applicants for licen

ses to dispose of low level radioactive waste pursuant to 10 CFR Part 61. The 

document identifies information that should be provided in the Safety Analysis 

Report and establishes a uniform format for presenting the information necessary 

to fulfill the licensing requirements for land disposal of radioactive waste 

called for in 10 CFR Part 61. 

The uniform format will (1) help ensure that the Safety Analysis Report contains 

the information required by 10 CFR Part 61, (2) aid the applicant and NRC staff 

in ensuring that the information is complete, (3) help persons reading the 

Safety Analysis Report to locate information, and (4) contribute to shortening 

the time needed for the review process.

NUREG-1199 iii Rev. 2 - January 1991
* - INTRODUCTION 

A U.S Nuclear Regulatory. Commission,(NRC) license is required to receive,' 

possess, and dispose of low-level radioactive waste: The requirements for a 

license are contained-in-Title 10 of the.Code of Federal Regulations, Part 61 

(1OCFR 61), "Licensing'Requirements for Land Disposal of Radioactive Waste." 

10 CFR 61.10 through 10 CFR 61.16 specify in general terms-the information to 

be supplied in an application for a license to construct and operate a land 

disposal facility for the purpose of disposing of low-level radioactive waste. 

The application must containsufficient information and analyses to provide 

reasbnable assurance~that the performance-objectives inSubpart C of the 

regulation'will be met. 

The application should be comprised of two parts: a Safety AnalysisReport (SAR) 

and an Environmental Report (ER). This document provides guidance to'the appli

cant on the type of information that should be included in the SAR in order to 

address the regulatory requirements of 10 CFR Part 61, particularly 10 CFR 61.11 

through 10 CFR 61.16. . 

The ER accompanying the license application should be prepared in accordance 

with Subpart A of 10 CFR 51. Guidance for the preparation of the ER is con

tained .in, Regulatory Guide 4.18, "Standard Format and Content of Environmental 

Reports for Near-Surface Disposal of Radioactive Waste."- Information"included 

in the ER may be referenced in the SAR. 

The purpose of this document, "Standard Format and Content-of a License Appli

cation for a Low-Level Radioactive Waste Disposal Facility" (hereinafter refer

red to as NUREG-1199), is to explain in more detail the information that should 

be provided in the SAR and to establish a standard format for presenting the 

information. Use of the standard formnat will'(1) help ensure that'the SAR con

tains the information required by 10 CFR 61, (2) aid the applicant'and NRC staff 

in ensuring that the information is complete,-(3) helppersons reading the SAR 

to locate information, and (4) contribute to shortening the time needed for the 

review process. 

This v'ersion'of NUREG-1199 applies'to SARs-for near-surface low-level-radio

active waste disposal. Near-surface disposal encompasses the full range of 

technology that can be applied to low-level waste disposal near the earth's 

surface, that is, shallow land burial, deeper burial at depths up to 30 m,'and 

the use of engineered structures,'barriers; and other typesof structures, some 

,of which'may'prbtiude partially 'above -the surface. " 

NUREG-11991presehits a format for.SARs~that is acceptable to'the NRC staff. 

However, cbnformance is"not required. ýThe staff will accept-SARs with different 

formats ifthey provide an~adequate basis for the findings requisite to issuing 

a license. Staff review of SARs with-different formats may take longer because 

the staff is familiar with, and its review procedures are based on, NUREG-1199.

Rev. 2 - January 1991 NUREG-1199

I

xi
FILING OF THE APPLICATION 

The applicant initially will file one original and two copies of the SAR and ER 

so the staff can determine if they are acceptable for docketing. The documents 

will be treated initially as tendered documents until the determination is made. 

A copy of the tendered documents will be available in the NRC Public Document 

Room, 1717 H Street N.W., Washington, DC. The applicant will be notified, of 

the results of the determination. Requirements.for the filing and distribution 

of the application are given in 10 CFR 61.20 and •the Commission's procedures 

for handling the application are given in 10 CFR 2.101, 2.102, and 2.103. 

PROPRIETARY INFORMATION 

Proprietary information'must-be submitted separately.*' It should be clearly. identified and should be accompanied by'the'applicant"'s detailed reasons and 

justifications' for requesting that the information be withheld from public 

disclosure, as specified by 10 CFR 2.790. 

STYLE AND COMPOSITION 

General Format 

The applicant should present the information in the SAR as clearly as possible. 

Technical bases should support the applicant's claims of the adequacy of the 

designs or design methods. 

The applicant should follow the numbering system and headings of NUREG-1199. 

Appendices should be used to provide supplementary information not specifically 

identified in NUREG-1199. 

Abbreviations 

Abbreviations:should be'consistent throughout the SARn and consistent with gen

erally accepted,use.., Any abbreviations, symbols, or'special terms should be 

defined where they first appear. 

Numerical Values 

Where appropriate, estimated limits of errors or uncertainty should be given. 

Graphics 

Graphic presentations--such as, drawings, maps,diagrams,, sketches, and tablesshould be used when they present information~more.adequately or conveniently 

than would just a text description. The applicant should ensure that graphic 

material is legible and that the physical scales are sufficientlylarge so.that 

the details and notations can be read. Symbols should be clearly defined.-. A 

figure or table should be placed within the section of the SAR in which the 

primary discussion of its contents appears.

NUREG-1199 xii Rev. 1 - January 1988
(2) Geotechnical and Geophysical Investigations 

The scope and results of the geotechnical and geophysical investigations 

performed to define the occurrence and properties of the-underlying 

materials'at both the site and proposedborrow areas'should be presented. 

Regulatory Guide 1.132, "Site Investigations for Foundations of Nuclear 

Power Plants," provides general guidance'and recommendations for develop

ing investigation programs and for conducting subsurface investigations, 

including guidance on the spacing and depth of boring and'sampling. Thits 

should be used as a general guide in developing the field investigations 

program for a low-level waste disposal facility. The information in the 

SAR should include the following: 

(a) a plot plan(s);clearly-showing the-outline of the facility-andthe 

locations of all borings, probes, pits, trenches, seismic lines, 

pOiezoefters', and geologic profiles 

(b) profiles and ade'quate number of cross-sections-of the site showing 

the subsoil and rock layering and illustrating in appropriate detail 

[ ' the-rel'tionship of the proposed facility'to the subsurface materials 

Ic) logs of borings, probes,'pits, trenches, and geophysical investiga

_tionsýin sufficient detail as describedin Regulatory Guide.1.132 

and the :results of the seismic refraction and i-eflection surveys in 

detail including tabulation of the dynamic characteristics of the 

soil and rock materials which were encountered 

Field and Laboratory Testing and Engineering Properties 

The applicant should provide a detailed and quantitative discussion of the-cri

teria used to determine that the samples were properly taken in accordance with 

the guidance of!Regulatory Guide-1.132-andtested in.sufficient number to de

"fine all the-soil-and rock parameters needed -for characterizing the site in 

accordance-with the general guidance'of RegulatoryGuide 1.138. For sites 

underlain by saturated-cohesionless soils and/or sensitive clays, the applicant 

,should show'that all zones that-could become unstable because of liquefaction 

or strain-softening phenomena have been sampled and tested to evaluate their 

liquefaction potential. Methods and procedures currently accepted in the geo

technical engineeringprofession for-testing and-determining the engineering 

properties of soils and rocks should be used. Test methods should be appro

"•-priately-referenced, and-the preparation-,of laboratory samples should be dis

cussed,-when appropriate.because.of unusual c6nditions or deviations from 

standard practice.-,.The information should show that thestatic and'dynamic 

engineering properties of soils and rocks were properly determined and that 

reasonable and conservative values were adopted for design. This should in

clude an explanation of how the developed data-were used in the'analyses, how 

the test data were enveloped for design, and why the design envelope is con-, 

servative. A table indicating the values of the parameters used in-design 

should -be presented. ,. ....... -

Groundwater Conditions', -, , 

The scope and format for the information to be submitted on the groundwater 

conditions at the site are initially given in Section 2.4.2 of this document. 

However, the following specific information is requested under this section:

Rev. 2 - January 1991 NUREG-1199 2-11
(1) the location of the groundwater table and the elevation range of seasonal 

fluctuations in the groundwater level -

(2) the presence of perched, aquifer, and artesian conditions; groundwater 

movement; hydraulic conductivity and infiltrationcharacteristics of site 

and borrow materials; hydraulic gradients; and-installation details and 

monitoring records for piezometers and observation wells, 

(3) design water level as determined by severe design-basisevents such as a 

probable maximum flood 

Borrow Materials 

Information on fill borrow materials should includethe following: 

(1) plan showing the limits, grades, and slopes-of the area proposed for bor

row materials and the location of borings drilled and test pits dug to 

determine the quantity and type of fill material available 

(2) the physical and engineering properties of soil and, rock borrow materials, 

to be used in the construction of the facility, based on adequate explora

tions and testing; engineering properties should be based on laboratory 

tests performed on-representative samples of' borrow material compacted to 

theýsame range of density and moisture contents as that to be specified 

during construction

Stratigraphy and Design Parameters 

Information on the stratigraphy and design parameters should include the 

following: 

(1) plot plans, adequatenumber of cross-sections, andprofiles showing sub

surface soil, and*rock- layering atthe site;- the.cross:sections should, show 

the location'b fthe borings 'and data from borings used: in developing-the 

soil and rock' layering; the stratigraphy should be'developed usingall-the 

data collected, particularly zones of soft/loose conditions encountered-in 

the explorations

(2) the recommended design parameters based on a:reasonable and conservative 

interpretation of the test data for the soil'and rock materials atithe 

site;' the'recommended design parameters may be.presented in a tabular, form 

and also ir• a graphical form, where appropriate, to demonstrate the con

servatism of the recommended values of the design parameters 

2.6 Geochemical Characteristics 

Water Chemistry 

The applicant should provide information on the background and anticipated 

changes in water chemistry for groundwater and surface water systems that may 

be affected by site construction and waste disposal andilocal'precipitation.' 

Data on and descriptions of the following parameters should be included:

NUREG-1199

2-12
(1) concentrations of inorganic-constituents-(including important trace ele

ments), complexingligands, dissolved gases, organic con'stituents (in

clddi-ng total organic carbon and total organic halogens, stable isotopes 

(or concentration ratios), and background radioh'clides

(2) pH, oxidation/reduction conditions determined by various methods, alkalinity, 

ionic strength, total disolved solids, and density'' 

(3) temperature 

(4) -nature of colloidal-sized materials 

(5) observations of degassing 

'Data that assess seasonal'variations should be provided.- The'applicant'should 

also provide information on sampling, preservation, storage,'and-analytical 

"procedures, including details on-filter sizes used during sampling and'analysis 

of'water-samples and analytical 'detecti6n-levels. '-Information on quality assur

ance and quality control procedures u'sed during sampling, preservation; stor

age, and analysis, such as''split, spiked,'standard, blank samples,:and ion 

balance calculations should also be provided. 

Geochemistry of Soils and Rock Units ,, ' ' 

.The applicant should provide information on the classification,'identification 

of the mineralogy, and chemical characterization.of the soils and rock'units. 

The applicant should provide 'information describing'sampling, preservation;' 

storage, analytical, and experimental procedures- Informationon solubility, 

ion exchange, and sorption experiments should be provided, including the range 

of chemical and physical conditions used to bound the results.'. Information.on 

quality assurance and quality control procedures used during sampling, preser

vation,'storage, analysis,.and experimentation should-be provided. 

Geochemical Modeling , 

The applica'ntshould provide information on the'conceptual models'and documen

,tation. f codes.used to model site'geochemistry.- Information 'on validation 

exercises,.data bases (e.g., ,thermodynamic constraints for'aqueous complexation, 

mineral solubility,'and gas solubility'reactions-and'binding constants or dis

-tribution.coefficients for sorption models); input and output data, and inter

"'pretation of results'should also be provided." ' 

2.7 -Natural Resources- , 

'''d es)te~fsrating that there 

,•he applicant-should provide an analysis (or analyses, emo 

will be no effect on the site that'would causethe siteto fail to:meet-the 

-performance'objectives in 1OCFR 61 if natural resouices'were exploited during 

construction, operation, and closure, after closure, 'or after~the-removal'of 

active institutional control. ' . . 

,In addition, the applicant Should-describe'the' kn wn"naturalrtOuceg at:or 

"-near the site, the exploitation,of which could result iniinadrertent-intrusion 

into ;the wastes .fter removal of active institutional control ''The-applicant 

NUREG-1199 2-13
should consider resources such as minerals and hydrocarbons, geothermal energy. 

sources, sand andgravel, timber, and water. The description should include 

information such as the types of resources, their-location, and current and pro

jected uses. (Some or all of this information maybe referenced in the Environ

mental Report.) 

2.7.1 Geologic Resources, 

The applicant should document the information required by the NRC staff to re

view SAR sections on known natural resources at the proposed disposal s'ite. The 

applicant should be able to show compliance with 10 CFR 61.12(h) and 61.50(a)(4). 

The applicant should demonstrate that there will be no natural resources at the 

proposed site which, if exploited, would result in inadvertent intrusion into' 

the disposal site after removal of active institutional control. The applicant 

should further show that, if known natural resources' in the site area are ex--.

ploited during construction, operation, and closure, or after closure, the site 

will not be compromised. License, requirements apply to resources that may occur 

near or at the ground surface,-in hydrologic-units used for disposal or'isola

tion, and at depths that require excavation or drilling through the disposal 

units. 

"Known resources" are those resources designated in U.S. Geological Survey Cir

cular 831 as "identified resources." Identified-resources would include mea-' 

sured, indicated, and inferredresources whose location, grade, quality, and 

quantity are knownor estimated from specific geologic evidence. Geologic evi

dence includes, but is not limited to, assays, geologic maps, geophysical and 

geochemical surveys, and core logs. 

Information Needs

The applicant should describe~natural resources occurring at or near'the 'site. 

Resources include metallic and nonmetallic minerals and ores; fuels, such' as 

peat, lignite, and coal; hydrocarbons, including gas, oil, tar sands, and 

asphalt; geothermal resources; industrial mineral deposits, such as sand 'andi 

gravel, clays, aggregate sources, shales, and building stone; timber; agricul

tural- lands; and. waters in the, form of brines. Potable; agricultural,-oýoin 

dustrial ground or surfac& waters are addressed in Section 2:4. Description:of 

these resources, should include information on resource type, occurrence,•I6ca

-tion, extent, net worth, recoverability, and current-and.projected'use.,The, 

applicant should address economic, marginally economic, or subeconomic known;or 

identified natural resources as defined in U.S. Geological Survey Circular 831. 

The identification of mineral, fuel, and hydrocarbon resources should not be

limited to the site and should include areas of known resources near and sur

rounding ,the site which, 'if exploited, would compromise the safety of the site. 

The applicant should, identify known resources through field observations as

well as through research of, published and unpublished reports and records"- The 

SAR should include maps showing all active and abandoned wells, boreholes; and 

excavations at the site. Those wells, boreholes, and-excavations' that.preceded 

site characterization should be distinguished from those that were part of site 

characterization. ' Borehole logs'should accompany maps. Maps depicting areal 

geology - including lithblogic-units, structure, and stratigraphic relationships; 

current land use; and locations of all active or abandoned mines, quarries,-

Rev. 2 - January 1991

NUREG-1199 2-14
(6) List of invertebrate species of-local importance or concern as disease 

vectors or pests. Detailed field surveys of all insect populations are 

not required (from the ER and consultation with local, State, and Federal 

agencies). 

(7) Estimates of the,relative abundance of both commercially-and recreationally 

important game and nongame vertebrates (from the ER and consultation with 

local, State, and Federal agencies). 

-Offsite Areas 

(1) Major vegetation types hydraulically or eolically downgradient (from the 

ER and site visit and through consultation with local, State, and Federal 

-agencies). , -,

(2) List of commercially or recreationally important vertebrate animals known 

to occur eolically and hydraulically-downgradient of the facility-to a 

'distance of 5 km. " - -

(3) List of other vertebrate species important to.facility.performance known

to occur within 25 km or migratory distance, whichever is less, from the 

facility. 

(4) List of invertebrate species of local importance or concern as disease 

vectors or pests. Detailed field surveys of insect populations are not 

needed (from the ER and consultation with local, State, and Federal 

agencies). 

2.9 Preoperational Environmental Monitoring 

The applicant's development of the preoperational environmental monitoring pro

gram may draw on information about the ecology, meteorology, climate, hydro

logy, geology, geochemistry, and seismology of the disposal site, which should 

be provided under other sections of the SAR. 

In this section, the applicant should describe the organizational structure of 

the environmental monitoring program as required by 10 CFR 61.11(b)(1); the 

technical qualifications of the monitoring staff, including training and ex

perience as required by 10 CFR 61.11(b)(2); and the training program for the 

applicant's staff as required by 10 CFR 61.11(b)(3). 

This environmental monitoring and surveillance plan should consider both onsite 

and offsite measurements in air, water, soil,'vegetation, local fauna, and lo

cal sources of food. The applicant should provide the rationale for 

(1) the location of the monitoring points 

(2) the media to be sampled at each location 

(3) the frequency of sample collection at each location 

(4) the selection of the radiological and nonradiological constituents of the 

samples taken from each media that are to be sampled and analyzed

NUREG-1199

Rev. 2 - January 1991 ,2-,17
(5) the instrumentation and methods selected for field sampling, surveys, and 

laboratory analysis, 

(6) the processing of the sample, including the types and frequencies of ana

lyses (e.g., gamma spectroscopy and chemical oxygen demand) and the mini

mum detectable'amounts and lower limits of detection for each constituent 

that is to be analyzed 

(7) the statistical basis to be used for comparing the baseline measurements 

to the corresponding measurements in the operational and postclosure peri ods of site operation, that is, a definition of a significant differenice 

in measurement results as required by 10 CFR 61.80(vi). 

(8) the format proposed for annual reports of environmental monitoring results 

to be submitted to the NRC as required by 10 CFR 61.80(i)(1) 

The applicant should describe the quality assurance'measures and the quality control procedures for all aspects of the environmental monitoring program (e.g., testing, maintenance, and calibration of instruments; checks on sampling procedures; and laboratory analysis).

NUREG-1199 2-18
(d)' the construction'operations, and their sequence, that are planned for 

the actual placement of the waste containers-and the backfill materials 

(6) Closure of'Individual Disposal Units 

The information on closure should include the various-construction-features 

'of materials to be placed in the cover above the backfilled waste. -For 

many of the types of material to be placed in the exavation.cover, the 

applicant should provide information that is similar to that previously 

identified for fill areas-and quality.control 1testing in-this'section,'for 

the construction of disposal units. :Any unique consideration for-these 

materials such as using specific construction methods that -'ill prevent 

" undesirabl mix'ing orcontamination of the different materials.in the ex

"cavation'c ver should be discussed by the applicant. Specialmanufacturing, 

handling, 'or'placement requirements for intruder barrier materials or 

geotechnical'-fabricshould be identified and discussed. 

(7) -Applicable CodesiStandards', andiSpecifications

The applicant should provide information on design and 

standards, and specifications that were applied in the 

will be applied in the construction of the facility. 

tA,"-rCnn'triuction'Materials- and Oualitv Assuranceconstruction codes, design and that

"-The applicant should provide information on the materials that will be 

used in the construction' of the disposal facility.7- Among the major mate

"rials,'of-construction that may be used'are the-disposal unit excavation 

,and fill'materials; concrete and grouting ingredients,, reinforcing bars, 

and structural steel:. If-any material not used previously in NRC-licensed 

,facilitiesis',proposed,-the applicant is required to provide sufficient 

testing and user data to'establish' the Iacceptability of the'material. 'The 

applicant's quality control'procedures and construction-techniques directed 

_at ensuring that there will not be degradation in material quality are 

also reviewed .. ,,- ' ' 

(9) 'SiteP'anhs, Engineering Drawings, and ConstructiohnSpecifications 

-'The applic'ant should provide'-site plans and engineering-drawings~that 

clearly.convey the design'features.: The engineering-drawings should show 

dimensions, 'sections,.and relative locations of'the various facilities 

-"within•'he' disposal site boundary.' All plans'and drawings should be drawn 

to a s'cal'e large enough'to convey the'design information adequately and 

should be signed by a licensed engineer. As-built condition-should ulti

mately be documented by the applicant as a permanent record for the con

structed disposal facility. -Construction specifications should be compat

'-'ible and consistent with the design and,operation requirements. The con

tents, and-procedures specified'in'the specificatio••s should conform to the 

applicable industry-rcodes' and standards. - - -

3.3.2 Construction Equipment 

The applicant should provide information on equipment to be used for construc

tion and off-loading, handling, transporting, and placing waste at the disposal

3-9 NUREG-1199
facility. The information should include the'equipment types, manufacturer's 

specifications,, and the capabilities of selected'equipment to safely handle the 

waste. Provisions for storage, maintenance, replacement, and inspection of 

equipment should also be provided. The applicant also, should describe the 

quality assurance and quality control programs for purchasing, handling, replac

ing, and maintaining equipment to ensure that-the equipment will perform re

liably and will not impair the quality and proper functioning of the waste 

disposal facility. 

3.3A Construction and Operation Considerations for Below-Ground Vaults and 

Earth-Mounded Concrete Bunkers 

The'applicant should describe the construction materials and construction methods 

and-disposal operations for' the:engineered BGV, or EMCB structures where low-level 

waste is to be placed. The major considerations and features to be described 

include the properties of the construction materials, particularly its quality 

and durability, and the major construction and operational procedures to be 

followed, including the measures to avoid long-term adverse impacts on adjacent 

filled and closed disposal vaults. 

Construction Materials-Quality and- Durability. , 

The information on the construction materials quality and durability character

istics should include the types-of materials to be used with a description of 

their properties and engineering characteristics-. The-applicant should'provide 

supporting data and test results on the proposed materials that are.based on 

either proven inservice performance records, where'applicable6'or testing of 

representative samples using accepted and recognizedc6des and standards. The 

quality and durabilityconsiderations that should' be discussed include the . 

resistance of the materials-to (1) freezing, and thawing;'.(2),humidity; (3) aging; 

(4) fatigue; (5) sulfate;- chloride, and acid attack'; (6) toxic material attack; 

(7) abrasion; (8) temperature changes; (9) wetting and'druing; (10) radiation; 

(11) biodegradation; (12) electrolysis; and (13).shrinkage and'cracking. 

NUREG/CR-5041, Section 2.3, provides guidance 'on the-information that should 

be provided for the various types of material (Portland cement concrete, steel, 

moisture barriers, and geosynthetics) likely to be used .in the construction of 

a BGV or EMCB. 'Forexample, the information on Portland cement concrete would 

include the type of cement, mixing water, coarse and fine aggregates and admix

tures. The applicant~should identify the engineering propertiesof the' materials 

to berequired-in,construction, such as the minimum uncanfined'compressive 

strength of concreteat 28 days of age: The applicant also should identify any 

deviations from the accepted and recognized codes'and test standards' and the 

basis for the deviation. 

Construction Methods-and Disposal Operations 

The applicant should describe the major construction'methods and'operational 

procedures to be completed, ihcluding (1) site preparations'for the proposed 

structure (surveying, clearing, draining, excavatidn', and'foundation-surface

NUREG-1199 3-10 Rev. 2 - January 1991
preparation); (2) installation of the permanent drainage system (drainage blan

ket; perimeterdrains and pipes, and collector sumps); (3) installation of, moni

toring wells; (4) vault construction'(formwork; steel reinforcement placement; 

formation of joints in concrete; concrete mix proportioning, batching, mixing, 

and casting operations; form removal; and placement of.moisture barriers);.(5) 

waste disposal operations (placement of packages, filling voids around waste 

-packages, closing of vault openings, placing and compacting of fill,,and meas

ures to protect facility workers); and (6) closure of individual-disposal units 

(method for sealing access openings, method for placing materials over the com

pleted vaults, identification of time period permitted to expire before'placing 

sufficient cover materials over-the closed units withproper drainage) including 

measures to avoid damage to or disturbance of adjacent completed units. Further 

guidance is-provided in Section 2.4 of NUREG/CR-5041.- , - ,I 

3.4' Design of Auxiliary Systems and Facilities .

3.4.1 Utility 'Systems 

The applicant should describe the utility systems of the proposed facility, how 

each system provides support required-by the operationalneeds of the proposed 

facility, and any'adverse-affects that-the utility system design~or potential 

failure could have on overall facility performance in meeting 10-CFR 61

requirements. 

The applicant should describe all utility systems.including communication,-elec

tric', water,'lighting, sanitary waste disposal, fuel delivery, andany other, 

"utility system installed at the'facility. ,The following'information-should be 

provided fo'r each-system: ' (1) an accurate description of system components; 

(2)-4n identification of which-functional requirements-of the principal design 

features in Section-3.1, if any, arezsupported; (3) design bases, criteria, 

codes, and'standards used for design; 'and (4) anypotential adverse effects on 

"principal 'd6sign°features or overall'facility performance that-might resultfrom failtrecof the utility system.- , , -. 

3.4.2 'Auxiliary Facilities - ,'" 

The applicant--should describe the auxiliary facilities of the-proposed facil

ity, how the auxiliary facilities support the operational needs-or, construction 

requirements of the facility, and any adverse effects that the auxiliary facility 

designr 6 r failure could have on overall'facility performance. -,- .'j,-, 

The-applicant should describe the auxiliary'buildings .required-to-support con

struction or operation of the facility and should present,(1) the'overall lay

out and design of auxiliary buildings; (2) the purpose for each building; 

(3) design criteria, codes, and standards-used in design; and (4) potential.

adverse effects of building design or building failure on the overall waste 

disposal-facility performance. .• 

The applicant-also-should describe the traffic'systems required to support con

structioInor operation of the-facility ',and should-'include (1)-the overall traf

fic system design including lay6uts'of 'roadways-and/or railways, (2) the purpose 

of;'the traffic'system components, (3) the-materials used in construction, 

(4) traffic 'controls, and (5) potential adverse'effects of traffic system design 

or component failure on overall facility performance. -. -

Rev. 1 - January 1988 NUREG-'1199 3-11
The applicant should describe-any auxiliary facility~that is in addition-to 

buildings and traffic systems and identify any potential adverse effects that, 

its design or failure could have on overall facility performance. 

3.4.3 Fire Protection System 

The applicant should describe the fire protection:system and the system's capa

bility to safely-protect the disposal facility-and workers from radiation and. 

fire hazards if an accidental fire should occur.. The fire protection system 

includes the equipment', procedures, training, management, and emergency plan

ning required for fire protection at the facility. 

The applicant should postulate accidental fire scenarios and describe the poten- I 

tial consequences of the accidental fires where the postulated fires could occur 

in areas important to radiological safety such as~the waste-receipt area, the 

waste handling area, the waste storage area, and the disposal unit areas. Both 

normal operating and abnormal and/or accident conditions should be considered 

in the postulation and analysis of accidental fires. The fire analysis should 

include the locations of the fire assumed to produce the severest conditions, 

the constructionarrangement of affected structures, the materials likely to.be 

consumed, and the safety and health effects of the smoke and heat associated 

with the fire. 

The applicant should describe (1) the management's plan for responding to a 

fire'emergency; (2) the procedures, materials, and equipment that will be in.

place for use during a fire emergency; (3) the procedures and equipment,'for. 

providing offsite alarms, ifrequired; and (4) the training programs for facil

ity personnel both for the prevention of fires and for responding to fire emer

gencies. The applicant should show how the prescribed provisions and recommeh

dations of National Fire Protection Association Codes, NFPA 801-1986, "Recomý

mended'Fire Protection Practice for Facilities Handling Radioactive Materials," 

and'NFPA 901-1981, "UniformCoding for Fire Protection," have been implemented 

in the fire protection system proposed for the waste disposal facility. 

The applicant should describe the equipment to be used in preventing andre

sponding to fires and should include building materials; fire detection equip

ment; sprinklers; onsite-and offsite alarm systems; wet, dry, and chemical fire 

extinguishers; and foam extinguishing systems. 

The applicant should-describe the emergencyresponse to~a. fire by facility per

sonnel, the provisions for notification of the public of potential radiological 

hazards, and the-evacuation-measures for facility personnel and nearby residents, if these measures are required. 

3.4.4 Erosion and Flood Control System 

The applicant should provide hydrologic analyses and design details of the site 

flood control system to demonstrate that the requirements of 10 CFR 61.51(a) 

are met. Those features that will provide protection against erosion and 

flooding during.the operational'period should be fully described. The ihfor

mation and analyses should conclusively document that, in accordance with 

10 CFR61.51(a)(4), (a)(5), and (a)(6), surface features havebeen designed. 

to direct surface drainage away from disposal units at velocities and gradients 

that will not result in flooding or erosion.

NUREG-1199 3-12 Rev. 2 - January 1991
4- FACILITY OPERATIONS , 

4.1, Receipt andInspection'of Waste", 

The applicant should describe the procedures or contracts-in place-that will 

ensure that arriving shipments comply with-applicable Federal regulations and, 

waste acceptance criteria that might be incorporated into the disposal facility 

license as conditions..,These regulations and acceptance.criteria should govern 

the acceptability-of waste packages for routine handling operations and-for 

long-term:disposal.., - - . ,

Specifically,,information on the following procedures-should be.provided: 

(1) Procedures for visual examination of the shipping documents, including any 

required compliance certificates and the waste manifest required by 

-10 CFR 20.,311. - , - -, 

(2) Procedures-for visual examination of the waste package to ascertain if

there-are-any irregularities in markings, labels, or. probable waste con

tents-and if the package-is correctly-described on the waste manifest as 

to.its;size, type, apd waste contents;+visualýprocedures~jn place to en

,.sure that the "routine determinations"-required-by-1O-CFR 71.87 are-met. 

(3) Procedures to ensure verification surveys of the non-fixed-(removable) 

radioactive contamination on the external surfaces of packages as required 

by 10 CFR 71.87 and 49 CFR 173.443 and procedures to verify that, the 

external radiation levels around waste packages and transporting vehicles 

are within the:.limits of 10 CFR 71.47 and 49 CFR 173.441. 

(4)--Procedures,-and information on testing and test equipment to be-used to- 

- verify the accuracy of, the waste class reported on the waste manifest.

-These procedures should-include a-proposed frequency for performing waste 

classification testing.:" -, - - - -

(5) Procedures and information on testing and test equipment to be used to 

analytically verify that waste characteristics and waste form requirements 

"are met and that-the-waste-contains no hazardous constituents as determined 

'by U:S.-'Environmental Protection-Agency regulations 49-CFR 261. These pro

cedures-should'include'a- proposed frequency for performing waste :form 

testing.--,,,; ,- .

-'(6)- Other'procedures'iequired to ensure that'all waste acceptance criteria are -met .. ,- . , - - " , .. .. ... , ,- C , + • , - + 

4.2 Waste Handling ahd Interim-Storage - , -

The applicant should provide information on the waste handling and intprim waste 

storage operations to be performed at the disposal facility following accep

tanceand receipt bf-the waste packages. The, applicant should,describe the

operations -in sufficient'detail ,to demonstrate that the waste will be handled

NUREG-1199 :- A-I
safely and stored in a manner that will prevent contact of water with the stored 

waste. Waste handling information to be provided should include the procedures 

and equipment that will be used to move the waste from the area of receipt to 

the permanent location of the disposal unit or, alternatively, to a location of 

interim storage. The applicant's description of the waste handling operations 

should include the procedures and equipment to be used in properly identifying 

and segregating the Class A, Class B, and Class C wastes' for disposal. Interim 

waste storage information to be provided should include the buildings, restricted 

areas, procedures, and equipment that will be used to store waste after receipt 

for a short period of time'before permanent disposal.' 

The information on waste handling should include procedures to protect facility 

workers-during handling (training to ensure safe radiological control, decon-'_ 

tamination provisions, use of protective clothing, etc.) and a description'of• 

the handling operations (off-loading procedures, anticipated rigging for the 

various types and sizes of containers, unloading equipment,' etc.). The de

scription of handling procedures should cover contingency plans for damaged 

waste'packages and proposed procedures for repackaging. 

The information on interim storage should include (1) a description of the con

ditions that would warrant temporary storage of the waste packages, (2) the 

maximum time that'storage would be permitted, and (3) the'applicant's proce

dures for maintaining a storage log and inventory with appropriate radiological 

monitoring-provisions-to ensure'-that above-ground storage limits'were not ex

ceeded. The applicant should describe the'storage locations and facilities and 

the measures to be used toto protectthe-waste from precipitation and adverse 

weather conditions, including surface water runoff that might come in contact 

with temporarily stored waste., 

4.3 Waste Disposal Operations 

The applicant should present information on allthe waste'disposal operations 

and procedures beyond waste handling and interim storage (if storage is re

quired) from the actual.emplacement of the waste into the individual disposal 

units up to closure and stabilization operations in'theindividual units. The 

applicant should discuss'site closure operations pertaining to,.for example, 

final site grading across several disposal units to~ensure the proper handling 

of surface water runoff and long-term settlement/subsidence in other sections 

of the SAR. 

The major operations for waste disposalthat should bedescribed:by the appli

cant in this section includelwaste:emplacement in the individual'units while 

maintaining the integrity of waste packages, minimizing void spaces between 

waste packages by controlling placement and stacking arrangements, filling the 

void spaces between packages to minimize future settlements, covering the em

placed wastes to ensurelthat surface radiation' doses will meet regulatory limits, 

locating the individual units including permanent mapping and marking of unit 

boundaries and contents, closure and stabilization of individual disposal units, 

and allowance for a buffer zone around and beneath the disposal facility. 

Waste Emplacement 

The'information on waste emplacement should include, the operations and proce

dures for actually placing unstable Class A wastes and stable Class A, Class B,

NUREG-1199 4-2 Rev. 2 - January 1991
protected with properly designed and durable filter materials to prevent 

clogging of-drains in the long term. The final grading of the'site cover.' 

should accommodate'without any adverse effe6ts the long-term-settlement 

and/or subsidence expected at the site. 

(2) The proposed monitoring of the settlement of the disposal' unit excavatior, 

cover"and infiltration into the disposal unit excavations during the site

closure phase and the initial 5 years during the observation and surveil

lance period. This monitoring progiam'should be'similar in scope to that 

provided for the pre-site-closure phase. The scope-or the extent of moni

toring may be ultimately modified on the basis of the observations recorded 

- andthe evaluation of the preclosure monitoring data-to.,fulfill long-term 

monitoring ýequirements. - - -

(3) 'The evaluatidn ofthe long-term stability (static and'dynamic stability) 

of all'permanent slopes at the'site and the-long-term settlement and/or 

subsidence at the site, as it applies to the geotechnical aspects ofsite 

closure phase. Sections,6.3.2'afid-6.3.3 provide information on'long-term 

stability and settlement evaluations.". . - .

The 'information on the geotechnical aspects of.site-closure should be adequate 

for the-staff to-judge the applicant's, concldsi6ns on the performance-requirement 

of reasonable assurance that-the disposalsite will not experience'instability 

of slopes, excessive settlement and/or subsidence, and infiltration of water' 

into the backfilled disposal unit excavations and will not require active main

tenance during the institutional-control period.. - , 

5.1A -Site Closure and Stabilization Considerationsfor Below-Ground Vaults 

and-Earth-Mounded Concrete Bunkers . " 

-The applicant-should provide information on site closure anhd stabilization at 

-facilities where below-ground-vaults (BGVs)-or earth-mounded cohcrktebunkers 

.(EMCBs) are to be constructed. This information should include (1) the provi

sions of a structural performance monitoring program that will verify-important 

structural design assumptions and confirm structural performance andstability 

after site closure, (2) the design and construction features of the filter-and 

drainage systems that are to be installed around and below the disposal-vaults 

to safely control conservatively estimated flow quantities, and (3) thedesign 

and construction features of thewaste cover system that will demonstrate that 

Athe cover will provide, protection against radiation and protection for, inadvert

ent intruders and will,minimize infiltration and ensure long-term stability 

-without the need for active maintenance. .

NUREG/CR-5041, Sections 2.6, 2.7,.and 2.8, provides guidance on the informa

tion'to be provided on structural perform'ance monitoring, filter and drain'age 

-, systems,.and the waste cover system.,:' w. -

"Structural-Performance Monitoring- - , ' -

The information on structural performance monitoring should include'a descrip

-tion of the types and-locations of instruments to be installed and the.scope of 

the'monitoring program.-_This information should include the specific parameters 

to be monitored (loads, stresses, deformations, strains',water levels,'and flow

t 5-3 Rev. 1 - January 1988 NUREG-1199
quantities in the'drainage collector sumps), typical 'installation details'and' 

installation procedures for each type of instrument including plans for replac

ing inoperative'instrumeýnts, the frequency and durati6n of proposed monitoring, the procedures for evaluating the recorded data and observations'including iden

tification of the experience and qualification requirements for pertinent per sonnel,, the limiting values of measured structural parameters and the bases for 

establishing these values, and the procedures to be followed for remedial action 

if the-limiting values are approached. 

Filter and Drainage"Sjstems 

The information on-filter and drainage systems to be installed around and be

low concrete disposal vaults should include a description of (1) the features 

to be installed; (2) the type and size of drainage pipes, filter and drainage 

materials; and (3) other features alongwith the results of design computations 

supporting the established 'drainage rates and capacities. The information on 

filters should describe (1) how the materials selected fulfill the filte'r cri

teria (prevent internal erosion and piping and provide required perviousness); 

(2) the provisions for ensuring proper'controls on gradation,'placement, and 

compaction, and (3) how the properties of the selected materials were considered 

in'addressing long-term performance and compatibility in the anticipated'dis

posal environment. The applicant would also need to describe the type of fill 

material and the method of placement for fill around the waste packages within 

the vaults. 

Additional information on features of the drainage system to be provided by the 

applicant should include (1) the capability of the drainage features to resist 

corrosion, encrustation',and-clogging and-measures that would be taken to're

store clogged or ineffective drains; (2)'"internal drainage provisions (slope 

of concrete vault floor, size and shape of drain openings, and method for accept ance'testing); (3) the'16cation'and'configuration'of collector sumps with pro

cedures for determining inflow quantities and the chemical constituents in the 

collected flows; and'(4) the procedures for ensuring proper controls on grada

tion, placement, and'compaction of drainage materials. 

Waste Cover System 

The 'information on the'waste'cover system to be constructed overthe completed 

engineered BGV or EMCB structure should include'details on (1)-the vault'roof 

(materials, provisions for supporting the roof and minimizing void spaces over 

the'waste and beneath the roof slab, measures for'slopingto-promote drainage and for sealing and controlling cracks to prevent infiltration, and reliance as 

an intruder barrier, if assumed, with supporting basis); (2) low-permeability 

cover materials (e.g., geomembranes, bentonite panels, and clay soils) includ

ing appropriate industrial standards and pertinent engineering characteristics 

(e.g., maximum coefficient of permeability to-be permitted); (3) placement-meth

ods (e.g. for soils, the lift thicknesses, specified degree of compaction, and 

controls for placement moisture content); and (4) the acceptance testing methods 

and frequency. 

The. applicant should provide information on the outermost, cover material (top

soil and vegetation or rock protection) to resist erosional forces along with

NUREG-1199 5-4 Rev. 2 - January 1991
the effects of the assumptions inherent in the method of analysis 

that was used on the resulting margins of safety 

(b) Dynamic Stability .. , 

For the dynamic stability analyses, the following features should'be 

described'and assessed: 

- The appropriateness of the typical cross-section of the slope 

analyzed and the soil parameters used in the analysis.' 

The appropriateness of-the method'of dynamic stability analysis 

used. This may be'decided on-a case-by-case basis depending on 

the level, of earthquake shaking, the types of soils in the slope, 

and the-consequences of a seismically-induced failure of the slope. 

'The selectionhof the-method of dynamic stability-analysis should 

be adequatelyjustified. 

Failure surfaces (slip circle, sliding plane, etc.) corresponding 

to the lowest factor of safety obtained in the analyses for-the 

anticipated conditions of loading (e.g., long-term, seismic, and 

flooding). 

The effect of the'assumptions inherentin6'the method of analysis 

that was used on the resulting'margins of',safety. The factors of 

safety. calculated should be identified and will beevaluated on 

"a 'case-by-case basis by the staff depending on the'conservatisms 

in th'e data base, design-assumption, and method of analysis that 

was used. 

Cc) Liquefaction Potential 

If the slope or foundation materialsat the site of the facility are 

saturated, loose, cohesionless soils, then the applicant should analyze 

the',liquefaction potential of'these-materials for long-term stability 

considerations. The information'should include~the-following: 

The method of analysis selected and the basis for its selection. 

The need for a detailed liquefaction analysis should be deter

mined'on a case-by-case basis and'shouldlconsider the level of 

earthquake 'shaking,' site stratigraphy,"critical soil parameters 

(relative density, standard penetration test (SPT), percent fines, 

etc.), a6d .the consequences~of a liquefaction-induced failure. 

• ,For the method of'analysis used, the-appropriateness of the soil 

- 'parameters used in the liquefaction'potential 'analysis should be 

.. -:'adequately justified. 

The appropriateness of the computed factor-of safety and its 

"* " • physical significance in the context of themethod of analysis ":,:used should be dxplained. " -!

NUREG-1199 6-21 Rev. 2 - January 1991
6.3.3 Settlement and Subsidence

The applicant should address the long-term settlement and/or subsidence aspects 

of the proposed facility design in accordance with the performance objectives 

and technical requirements of 10 CFR 61. The settlement and/or subsidence of 

the individual disposal unit excavation cover and the disposal site should be 

evaluated to determine if the settlement and/or subsidence would adversely 

affect the facility's meeting the performance objectives in Subpart C of 

10 CFR 81. Information 'on settlement and/or subsidence should include (1) the 

results of site characterization, details of disposal unit excavation and waste 

emplacement and backfilling during the operations phase, and details of disposal 

unit excavation cover design and construction; (2) modeling for the settlement 

analysis; (3) the unce'rtainties in the settlement analysis;'and (4) commitments 

for remedial actions if settlement would adversely affect the facility's meeting 

its performance objectives. 'If'any information that'.should be-presented in 

this section of the SAR is presented in other sections, it does not have to be 

repeated here, but the appropriate sections should be referenced. 

Site Data 

(1) Site Characteri'stics 

Information required to identify the areas potentially susceptible to 

settlement and the" engineering properties of various materials needed for 

the evaluation-of settlement should be presented- in this section. The 

information on site characteristics, either by reference to appropriate 

sections of Sections 2.3, 2.4, 2.5, and 2.6 or by presentation of addi

tional data in this section, should include the following: 

(a) Plot plan(s) clearly showing the outline-of the facility and the 

locations of all site explorations with the location of the areas 

selected for.settlement investigation. 

(b) Profiles and cross-sectionsof the, areas selected for settlement 

evaluation, illustrating in appropriate detail the relationship of 

the proposed facility structures and components to the subsurface 

materials. 

(c) Logs of borings,-probes, pits, and trenchesconsidered in developing 

the stratigraphy used in the settlement analysis. 

(d) The description and test results for the engineering properties of 

materials underlying the site. Guidance is provided in Regulatory 

Guide.1.138:for soil testing., The properties of these materials must 

be supported byfield and laboratory test' records. The applicant 

should demonstrate that the parameters requiredfor the settlement 

analyses were properly determined and that reasonable and conservative 

values were used, in. the analyses. The applicant should explain how 

the developed data were used in the analyses, how the test data are 

enveloped in design, and why the design e'nvelope-is/conservative. A 

table indicating the values of the parameters used in the settlement 

analyses should be provided.

NUREG-1199 6-22
9.0 QUALITY ASSURANCE*

To ensure that the performance objectives of.10,CFR'Part 61 will e.beaccomplished 

and-can bedemonstrated, it is suggested that the~applicant establish a quality 

assurance (QA) program as" an expansion of the quality control program-required 

by 10 CFR 61.12(j). The QA program may be used to provide a multidisciplinary 

system of management controls backed by quality verification and overv'iew "activ

ities that demonstrate completeness and appropriateness of achieved quality: 

An effectively planned and executed quality, assurance program should include 

the participaiioh of all organizations. The.policies and procedures for imple

menting the program 'should describe, ihtegrated technical and administrative 

activities that will ensure'successfulhaccomplishment'of the performance objec

tives of. 10 CFR Part 61land the design bases stated in the application. In this 

section of the application, the applicant should describe the-QA'program that 

-will be established and executed in determining the characteristics of natural 

disposal, during design, construction and operation of the facility._ The QA 

program' should include a description of controls and verifications to be exer

- cised during the development and use of computer codes.- The applicant should 

describe how the QA program will be established atthe earliest-practical time 

consistent with the schedule for performing the activity to whichit applies. 

The applicant should provide the description of the QA program in sufficient de

tail, to permit the NRC to determine the adequacy'of the planned-implementation. 

Insufficient detail is likely to result in formal re'quests for. additional infor

mation by the NRC and answers by the applicant.

The applicant should provide the description of the QAprogram in the application 

'for each'major-participating organization. The applicant may provide the descrip

"tions of the QA programs separately oro integ'rally for all organizations, keeping 

in mind that' the NRC must be able to assess the adequac3i of the planned 

implementation. 

' The criteiia that should be addressed in the applicadt's and major participant's 

"QA'programs are listed and described below." It is recommended that the descrip

tions-of the QA programs address each criterion'in the-order in'which they appear 

inthis section.- Shouldtthe' pplicant 'conclude-that one or more criterion will 

not apply, the justification shouild'be clearly stated to permit'the NRC to eval

uate the'co'nclusions reached. -

9.1 ,Quality'Assurance Durin6 Design, Construction, 'and Operation - ,

9.12I 'Organization - -, -

The applicant should clearly'describe the authority and responsibilities-of 

organizations performing "quality achieving" and "quality assuring" functions. 

"Quality achievement" is defined as" satisfactory performance -of a work activity, 

such as, drilling, design'ing, constructing and testing, in-accordance with-. 

*Quality assurance is not currently specified'asa regulatory:requirement in 

10'CFR Part,61. TheNRC staff 'is in the process of correcting-this omission 

.through proposed rulemaking. .. ,. - - . ,' 

NUREG-99 :." 9-1 Rev. 2 - January 1991 -i' CUE Re .
the performance objectives have been correctly performed. The description 

should make clear the assignment of responsibility for establishing and execu

ting the quality assurance program. The-organizati6nal responsibilities should 

reflect an integration of-the 'technical, administrative and quality achieving 

and'quality assuring functions such that the quality-assurance program elements 

are threaded throughout the'entire organizational structure and are an integral 

part of day-to-day operations. 

The applicant should provide-organizational charts and functional responsibility 

descriptions that denote'the'lines of responsibility'and areas of authority 

within each of the major organizations in the project.'These charts and 

descriptions should present~the' structure' of the QA organizations as well as 

other functional organizations performing activities affecting quality of the 

design'and construction of the.facility. In addition,,a 'single project 

organization chart should be provided showing how the major organizations or 

companies working directly for the applicant on the project interrelate with 

one another. The'chart, should reflect the control exercised by the applicant 

to ensure that the quality of work is performed by the lowest tier supplier or 

subcontractor is adequate to support accomplishment of the performance 

objectives. 

The applicant should describe the measures that ensure that persons and 

organizgtions performing "quality assdring" functions have sufficient authority 

and organizational freedom to (1) identify quality problems; (2) initiate, 

recommend or provide solutions; and (3) verify implementation of solutions. 

The applicant should describethe measures that ensure that persons and 

organizations assigned the responsibility for, checking, auditing, inspecting or 

otherwise verifying-correct performance. of an activity report to a management 

level in order to provide required authority and organizational freedom, 

including sufficient independence from pressures of cost and schedule. 

Irrespective of the organizational structure, the applicant should describe how 

the individual or, individuals with primary responsibility for, ensuring effective 

implementation of the QA program at any location where activities subject to 

the control of the-QA program are being performed will have direct access to 

such levels, of management as may be necessary to carry but this responsibility. 

The applicant should indicate from whom the persons performing',quality'assuring 

functions receive technical direction for performing quality assuring tasks and 

administrative control, (salary review, hire and/or fire, position assignment). 

The applicant should identify those positions or organizations-that have 

written delegated responsibility and authority to stop work or control further 

processing, delivery, installation or use of nonconforming items until proper 

disposition of the deficient item has been approved. 

The applicant should describe how requirements will be imposed on contractors 

and-subcontractors to ensure that individuals;or groups within their organiza

tions performing quality assuring functions have sufficient authority and 

organizational freedom to effectively implement their respective QA programs. 

The applicant should describe the extent to which it:will delegate to other 

contractors the work of establishing and executing the QA program or any, part 

thereof. The QA functions that are implemented within the applicant's.QA. 

organization and those that are delegated to other organizations should be'

NUREG-1199 9-2 REV. 1 - January 1988
(c) If any persons or organized group of persons, directly or indirectly, 

own, control,.or hold the power to vote 10 percent or more of the 

outstanding voting securities 6f the applicant, a detailed explanation 

of each such relationship should be provided. 

(2) Description of Applicant's Operations 

The applicant should describe the service to; be provided and the acquisi

tion, construction, operations,- and extension of the facility including 

the proposed dates for the begirfning and completion'of construction and operations-, as well as the provisions for long-term care. 

(3) Applicant's Financing Plan 

The applicant is encouraged to propose a detailed financing plan for the 

proposed facility that will enable the staff to determine how'the facility 

will be financed. This should include, but not be limited to the following: 

(a) If a State or compact authority-has agreed to.finance, guarantee, or 

underwrite any portions of the construction, operation, closure, or long-term care of the facility the applicant should provide notarized 

copies of any such contracts with'these parties. 'It should provide 

an explanation of the amount, length, and type of financial commitment 

in-regard~to~this arrangement. - . 

(b) The applicant should ,provide ,a statement explaining the extent to 

which it will rely on shbrt-term financing in connection with the 

proposed construction, and statements tending to substantiate the 

fact that such short-term loans will-be made available.' -

..(c) 'The'applicant should provide~a detailed description of its outstanding 

and proposed'securities and liabilities, showing amount'(face value 

and number), interest or dividend rate; dates of issue and maturity, 

voting privileges, and principal terms and conditions-applicable to 

each. , 

(d) The applicant should provide copies of the c6mpany's independently 

audited,-financial reports for the past.3 years. As minimum, this 

must'include balance sheets, and income statements (both in-consoli

dated form if available) "accumulated retained earnings statement, 

and a statement of changes in financial position (sources and uses of 

funds statement). -

(e) The' plicant sh6uldprovide-a statement of'anticipated cash flow, 

including provisions during the construction'period aid'the first 

three full years of operation for paying interest and dividends and 

for retiring debt issues. 

(f) 'The' applicant should provide a statement showing,ýbover the life of 

- each issue,,the annual amount'of securities iti expects to"retire 

through a sinking fund or other extingiuishment of indebtedness.-"

SNUREG-11-99 10-3 Rev. 2 - January 1991
(g) The applicant should provide comparative pro forma balance sheets 

and income statements for the construction ,eriod and each of the 

first three full years of operation giving the effect of the 

construction and-financing of the project. 

(h) The applicant should submit pro forma statements for each of the first 

three full years of operation showing (i) annual revenues subdivided 

by type of service to be provided and (ii) annual operating expenses 

including property and labor costs, depreciation, depletion, taxes, 

rate of return on net investment, including working capital. If the 

applicant is a public authority, it should provide similar data and 

amortization interest schedules for the life of each bond issue 

related to the facility. 

(i) The applicant shiould provide a statement of the proposed rates to be 

charged for the services to be rendered at, the' facility, including 

all charges for closure and long-term care. 

(j) The applicant'shoul'd provide a statement eiplaining the type and 

amount of property and liability insurance that will be obtained for 

the facility,'along with copies of such policies and any attached 

riders. 

(k) The applicant should provide any additional data and-information on 

sources ,on which it proposes to rely, showing the adequacy and 

availability of resources for financing the' project. 

(4) Other Applicable Information 

(a) If the applicant has a parent or holding company,-it should provide 

copies of any fiduciary guarantees provided by'the parent or holding 

company with regard to this project. 

(b) If the applicant is'required to submit Form 10K or Form 1OQ to the 

U.S. Securities and Exchange Commission, it should provide copies of 

these reports for the last 5 years. 

(c) If the applicant's companyis evaluated by'a bond rating service such 

as Moody's Investors Service, Inc., or-Standard and Poor's Corpora

tion, it should provide copies of these ratings for the last 3 years. 

(d) The applicant should provide a brief description of any litigation 

in which it is involved that might have a negative economic effect 

on the operations at the facility. 

10.2 Funding Assurances 

The applicant should demonstrate that the requirements of 10 CFR 61.62(a) 

through (g) have been met. Additionally, the party 6ffering'a guarantee must 

demonstrate that-it has the legal authority to provide this kind"Of financial 

assurance in the State where the proposed low-level waste disposal site is 

located. 

N

Rev. 2 - January 1991 NUREG-1199

10-4
3he applicant also should provide an estimate of the-cost of disposal site 

closure and stabilization-in accordance with its plan for-site:closure and 

stabilization. The applicant should identify the source(s)-for the funds neces

sary to pay the cost of decommissioning and closing the proposed facility. The 

applicant should provide a detailed breakdown, including an explanation of 

assumptions used in the cost calculations. 

Specific Acceptable Financial Assurances 

The applicantshould follow the guidance given below on the types of financial 

assurances the staff has found acceptable., 

(1) Sureties or PerformanceBonds 

-A bond isa contract that an applicant (sometimes called the principal) can 

enter into with a qualified surety company (sometimes-called the surety). 

Under this contract, the surety company guarantees to the NRC (sometimes 

called the obligee) that spe~cified activities will be performed. The 

applicant should pay the surety-for this guarantee, since the surety com

pany will be liable for these, obligations if the applicant-fails to perform 

the activities. 

The Eurety-bond should provide guarantee that funds will be available for 

closure of the facility by the-applicant in accordance-with the Commission

-approved plan-for site closure and stabilization:, The bond must continue 

to provide coverage during the postclosure observation and maintenance 

period before a license is terminated. 

Should'the-applicant default,-a-surety company may fulfill its obligations 

under such a bond by securing the performance of- activities in~accordance 

-with the'plan for site closure and stabilization. This-bond limits the 

liability of the surety company to theface amount of the bond,-called the 

penal sum. As cost estimates increase, this penal sum may be increased on 

agreement of the applicant and the surety company. The bond may provide, 

by an optional rider' that the penal sum can be increased up to 20 percent 

in any year without a new agreement between the parties. 

An acceptable bond for the purposes of this chapter should meet the 

following criteria: 

(a) An applicant wishing to use a surety bond should establish a standby 

trust fund at the same time if it does not wish to have the State as 

the named beneficiary.' Both'the bond and standby trust agreement 

should be submitted as evidence of financial assurance. 

(b) The surety bond should contain terms so that-anyyfunds drawn under 

it would be placed directly into the standby trust fund by the 

"institution making the payment.- (In this regard, the-Commission is 

following.the approach of the U.S.- Eniironmental Protection-Agency 

*,,,(EPA), which imposed this requirement pursuant to'the Resource Con

servation and Recovery Act after it found that without such a 

mechanism, any funds drawn under a surety bond that~would be payable

NUREG-1199 '10-5 Rev. 1 - January 1988
to the EPA would have to be paid into the U.S. Treasury and could not 

be used-specifically to pay for closure and postclosure care of a' 

hazardous waste facility (U.S.C 3303(b).) 

(c) An applicant wishing to use a bond should first enter into a contract 

with a qualified surety. The NRC staff considers qualified sureties 

to be those listed by the U.S. Department of the Treasury in Cir

cular 570, which is published annually on approximately July 1, and 

then updated in the Federal Register. The circular also lists the 

maximum amount that each surety can guarantee in one bond; this amount 

is called the underwriting limitation. (A surety company can only 

issue a surety bond exceeding that amount which it brings another 

company into the surety agreement to help share the risk. Several 

sureties acting together, however, may not exceed the total of their 

individual underwriting limitations.) Finally, Circular 570 lists 

those States where each qualified surety is licensed to enter into a 

surety bond; a surety bond used to meet the NRC financial assurance 

requirements should be signed in one of those States. 

(d) In order to be considered adequate, the penal sum of the surety bond 

should be in an amount at least equal to the cost estimates in the 

plan for site closure and stabilization, plus the cost estimates for 

long-term care. An applicant wishing to use this instrument should 

verify that the amount and the terms and conditions are satisfactory 

to the NRC during the licensing review.- The wording for surety bonds 

should be similar to that recommended in Appendices 1O.A and 1O.B. 

(2) Letters of Credit 

A letter of credit is a binding arrangement by which the credit of one 

party, such~as,abank, is'extended on behalf-of a second, party, called 

the account'party, to a third party, the beneficiary. The first party, 

the issuer, allows the beneficiary to draw funds on the presentation of 

"documents in accordance with the terms of the letter of credit. 

The applicant-is the account party, the financial institution is the issuer, 

and the NRC is-the named beneficiary. The letter of credit allowed for 

NRC applicants for financial assurance is different in two major ways from 

standard commercial versions, 

The NRC version can only be cancelled with 120 days' notice before 

the current expiration date. 

The NRC version must be extended automatically for at least 1 year 

if it is not cancelled. Therefore, although many financial institu

tions may be qualified, it is not certain how many will be willing to 

provide a letter of credit for this purpose. 

The issuer offers this assurance in exchange for a fee paid by the appli

cant. The applicant also undertakes to repay, with interest, any funds 

drawn through the letter of credit. Although the NRC suggests that the 

wording of the letter of credit be similar to the language shown in 

Appendix 10.C, the terms of the credit arrangement between the applicant 

and the issuer will depend on individual circumstances and negotiations.

Rev. 2 - January 1991 NUREG-1199 10-6
NRC FORM 335 U S NUCLEAR REGULATORY COMMISSION 1 REPORT NUMBER IAugfdbv TIOC *dd Vol No .g.V, 

12843 

N301.3202 BIBLIOGRAPHIC DATA SHEET NUREG-1199, Rev. 2 

SEE INSTRUCTIONS ON THE REVERSE 

2 TITLE AND SUBTITLE 3 LEAVE BLANK 

Standard Format and Content of a License Application for 

a Low-Level Radioactive Waste Disposal Facility 

4 DATE REPORT COMPLETED 

MONTH "EAR 

B AUTHORISI January 1991 

6 DATE REPORT ISSUED 

MONTH YEAR 

January 1991 7 PERFORMING ORGANIZATION NAME AND MAILING ADDRESS flI.luO•Zv Code) 8 PROJECT'TASK/WORK UNIT NUMBER 

Division of Low-Level Waste Management and Decommissioning Office of Nuclear Material Safety and Safeguards 9 FIN OR GRANT NUMBER 

U.S. Nuclear Regulatory Commission 

Washington, DC 20555 

10 SPONSORING ORGANIZATION NAME AND MAILING ADDRESS (Jacld.d Zk Code) I Is TYPE OF REPORT 

SAME AS ABOVE Technical b PERIOD COVERED ffmw.II,•, dam) 

12 SUPPLEMENTARY NOTES

13 ABSTRACT (200w•; • fas) 

The Standard Format and Content of a License Application for a Low-Level Radioactive 

Waste Disposal Facility, NUREG-1199, discusses the information to be provided in the 

Safety Analysis Report and establishes a uniform format for presenting the information 

required to meet the licensing requirements for land disposal of radioactive waste as 

required by 10 CFR 61. 

The use of the Standard Format will (1) help ensure that the Safety Analysis Report 

(SAR) contains the information required by 10CFR 61, (2) aid the applicant in ensuring 

that the information is complete, (3) help persons'reading the SAR to locate information, 

and (4) contribute to shortening the time required for the review process. 

The Standard Format and Content (NUREG-1199) ensures that the information required to 

perform the review is provided, and in a usable format while the Standard Review Plan, 

NUREG-1200, defines the technical review process.

14 DOCUMENT ANALYSIS -a KE YWOROSIOESCRIPTORS IS AVAILABILTv 

STATEMENT 

license application 

low-level waste disposal facility Unlimited 

standard format and content of a license application 16 SECURITY CLASSIF ICATION 

b IDENTIFIERSIOPEN ENDED TERMS Unclassified 

Unclassified 17 NUMBER OF PAGES 

I8 PRICE
THIS DOCUMENT WAS PRINTED USING RECYCLED PAPER.