MANUAL

DOE M 435.1-1

Approved: 7-09-99
Change 1: 6-19-01
Certified: 1-9-07

RADIOACTIVE WASTE
MANAGEMENT MANUAL

U.S. DEPARTMENT OF ENERGY

Distribution: Initiated By:

All Departmental Elements Office of Environmental Management
DOE M 435.1-1 i
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RADIOACTIVE WASTE MANAGEMENT MANUAL

1 PURPOSE. This Manual further describes the requirements and establishes specific
responsibilities for implementing DOE O 435.1, Radioactive Waste Management, for the
management of DOE high-level waste, transuranic waste, low-level waste, and the
radioactive component of mixed waste. The purpose of the Manual is to catalog those
procedural requirements and existing practices that ensure that all DOE elements and
contractors continue to manage DOE’s radioactive waste in a manner that is protective of
worker and public health and safety, and the environment.

2 APPLICABILITY. The requirements set forth in this Manual apply to DOE elements and
contractors as set forth in DOE O 435.1, Radioactive Waste Management.

3 SUMMARY. This Manual is organized into four (4) chapters. Chapter I, General
Requirements and Responsibilities, contains requirements and responsibilities which are
applicable to all radioactive waste types and delineates responsibilities for radioactive
waste management decision-making at the complex-wide and Field Element levels.
Chapters II through IV contain those requirements that are applicable to high-level waste,
transuranic waste, and low-level waste including the radioactive component of mixed
low-level waste, respectively.

4 IMPLEMENTATION. The requirements of this Manual apply to all new and existing
DOE radioactive waste management facilities, operations, and activities. Implementation
of the requirements shall begin at the earliest possible date, and all DOE entities shall be
in compliance with this directive within one year of its issuance. Compliance with this
directive includes implementing the requirements or an approved implementation or
corrective action plan. If compliance with this Order cannot be achieved within one year
of its issuance, the Field Element Manager must request approval to extend the
compliance date to no later than October 1, 2001, from the cognizant Program Secretarial
Officer (PSO). Failure to implement the requirements of this directive shall, through the
appropriate lines of management, result in corrective actions including, if necessary,
shutdown of radioactive waste management facilities, operations, or activities until the
appropriate requirements are implemented. Any of the requirements in this Manual may
be waived or modified through application of a DOE-approved requirements tailoring
process, such as the “Necessary and Sufficient Closure Process” in DOE P 450.3 and
DOE M 450.3-1 and DOE P 450.4, Safety Management System Policy, the applicable or
relevant and appropriate requirements identification process for actions taken pursuant to
the Department’s CERCLA authorities, or by an exemption processed in accordance with
the requirements of DOE M 251.1-1A, Directives System Manual.

5 REVISIONS. Systematic planning, execution, and evaluation of radioactive waste

management facilities, operations, and activities will provide the basis for evaluating the
adequacy of and, if necessary, revising the requirements of DOE O 435.1, Radioactive
Waste Management, and this Manual. The revision process will be based on DOE P
450.4, Safety Management System Policy, and will implement continuous improvement
for management of radioactive waste. The process includes: identifying the functions
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necessary to execute radioactive waste management responsibilities; conducting an

analysis of the hazards associated with performing those functions; developing and
implementing the proper controls to mitigate any associated hazards; developing and
implementing a periodic assessment of work performance; and providing feedback to
revise the work processes and incorporate lessons learned, as appropriate. Administrative
requirements of the Order and Manual will be revised as needed to support safe and
efficient waste management.

6 DEFINITIONS. Definitions for DOE M 435.1-1, Radioactive Waste Management

Manual, are provided in Attachment 1.

7 REFERENCE. DOE O 435.1, Radioactive Waste Management, dated 7-09-99.

8 CONTACT. Call the Office of Waste Management at (202) 586-0370.

BY ORDER OF THE SECRETARY OF ENERGY:

THOMAS T. TAMURA
Acting Director of Management and
Administration
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TABLE OF CONTENTS

CHAPTER I - GENERAL REQUIREMENTS AND RESPONSIBILITIES .............................I-1

1. REQUIREMENTS ...........................................................................................................I-1
A. Delegation of Authority .......................................................................................I-1
B. Use of Guidance....................................................................................................I-1
C. Radioactive Waste Management...........................................................................I-1
D. Analysis of Environmental Impacts......................................................................I-1
E. Requirements of Other Regulations and DOE Directives ...................................I-1
(1) Analysis of Operations Information .........................................................I-1
(2) Classified Waste .......................................................................................I-2
(3) Conduct of Operations ..............................................................................I-2
(4) Criticality Safety ......................................................................................I-2
(5) Emergency Management Program ...........................................................I-2
(6) Environmental and Occurrence Reporting ...............................................I-2
(7) Environmental Monitoring .......................................................................I-2
(8) Hazard Analysis Documentation and Authorization Basis ......................I-2
(9) Life-Cycle Asset Management ................................................................I-3
(10) Mixed Waste ............................................................................................I-3
(11) Packaging and Transportation ..................................................................I-3
(12) Quality Assurance Program .....................................................................I-3
(13) Radiation Protection .................................................................................I-3
(14) Records Management ...............................................................................I-3
(15) Release of Waste Containing Residual Radioactive Material .................I-3
(16) Safeguards and Security............................................................................I-4
(17) Safety Management System .....................................................................I-4
(18) Site Evaluation and Facility Design .........................................................I-4
(19) Training and Qualification .......................................................................I-4
(20) Waste Minimization and Pollution Prevention ........................................I-4
(21) Worker Protection.....................................................................................I-4
2. RESPONSIBILITIES ......................................................................................................I-4
A. Program Secretarial Officers.................................................................................I-4
B. Assistant Secretary for Environmental Management ..........................................I-5
(1) Complex-Wide Radioactive Waste Management Programs ....................I-5
(2) Changes to Regulations and DOE Directives ..........................................I-5
C. Assistant Secretary for Environment, Safety, and Health ....................................I-5
D. Deputy Assistant Secretary for Waste Management ...........................................I-5
(1) Complex-Wide Radioactive Waste Management Program Plans ............I-5
(2) Waste Management Data System .............................................................I-6
E. Deputy Assistant Secretaries for Waste Management and
Environmental Restoration .....................................................................................I-6
(1) Disposal ....................................................................................................I-6
(2) Site Closure Plans ....................................................................................I-6
F. Field Element Managers ......................................................................................I-6
(1) Site-Wide Radioactive Waste Management Programs ............................I-6
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CONTENTS (cont’d)

(2)
Radioactive Waste Management Basis ....................................................I-7
(3)
Waste Minimization and Pollution Prevention ........................................I-7
(4)
Approval of Exemptions for Use of Non-DOE Facilities ........................I-7
(5)
Environmental Restoration, Decommissioning,
and Other Cleanup Waste ........................................................................I-8
(6) Radioactive Waste Acceptance Requirements .........................................I-9
(7) Radioactive Waste Generator Requirements ............................................I-9
(8) Closure Plans ............................................................................................I-9
(9) Defense-In-Depth .....................................................................................I-9
(10) Oversight...................................................................................................I-9
(11) Training and Qualification .......................................................................I-9
(12) As Low As Reasonably Achievable (ALARA) ........................................I-9
(13) Storage .....................................................................................................I-9
(14) Treatment ...............................................................................................I-10
(15) Disposal ..................................................................................................I-10
(16) Monitoring .............................................................................................I-10
(17) Material and Waste Declassification for Waste Management................I-10
(18) Waste Incidental to Reprocessing ..........................................................I-10
(19) Waste With No Identified Path to Disposal ...........................................I-10
(20) Corrective Actions ..................................................................................I-10
G. All Personnel ......................................................................................................I-11
(1) Problem Identification ...........................................................................I-11
(2) Shutdown or Curtailment of Activities ..................................................I-11
CHAPTER II - HIGH-LEVEL WASTE REQUIREMENTS .................................................... II-1
A. Definition of High-Level Waste ........................................................................ II-1
B. Waste Incidental to Reprocessing ...................................................................... II-1
(1) Citation ................................................................................................... II-1
(2) Evaluation .............................................................................................. II-1
C. Management of Specific Wastes ........................................................................ II-2
(1) Mixed High-Level Waste ....................................................................... II-2
(2) TSCA-Regulated Waste.......................................................................... II-2
D. Complex-Wide High-Level Waste Management Program ................................ II-2
E. Site-Wide Radioactive Waste Management Program ........................................ II-2
F. Radioactive Waste Management Basis .............................................................. II-2
(1) Generators ............................................................................................... II-3
(2) Pretreatment and Treatment Facilities ................................................... II-3
(3) Storage Facilities .................................................................................... II-3
G. Quality Assurance Program ............................................................................... II-3
(1) Product Quality ...................................................................................... II-3
(2) Audits and Assessments.......................................................................... II-3
H. Contingency Actions .......................................................................................... II-3
(1) Contingency Storage .............................................................................. II-3
(2) Transfer Equipment ............................................................................... II-3
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CONTENTS (cont’d)

I. Corrective Actions ............................................................................................. II-3

(1) Order Compliance .................................................................................. II-3
(2) Operations Curtailment .......................................................................... II-3
J. Waste Acceptance .............................................................................................. II-4
(1) Technical and Administrative ................................................................ II-4
(2) Evaluation and Acceptance .................................................................... II-4
K. Waste Generation Planning................................................................................. II-4
(1) Life-Cycle Planning ............................................................................... II-4
(2) Waste With No Identified Path to Disposal ........................................... II-4
L. Waste Characterization ....................................................................................... II-5
(1) Data Quality Objectives ......................................................................... II-5
(2) Minimum Waste Characterization ......................................................... II-5
(3) Hazardous Characteristics ...................................................................... II-5
M. Waste Certification ............................................................................................. II-5
(1) Certification Program ............................................................................. II-5
(2) Certification Before Transfer ................................................................. II-5
(3) Maintaining Certification ....................................................................... II-6
N. Waste Transfer .................................................................................................... II-6
(1) Authorization ......................................................................................... II-6
(2) Data ........................................................................................................ II-6
(3) Records and Transfer Reporting ............................................................ II-6
O. Packaging and Transportation ............................................................................ II-6
(1) Canistered Waste Form .......................................................................... II-6
P. Site Evaluation and Facility Design.................................................................... II-6
(1) Site Evaluation ....................................................................................... II-6
(2) Facility Design ........................................................................................ II-7
Q. Storage ............................................................................................................... II-9
(1) Operation of Confinement Systems ....................................................... II-9
(2) Structural Integrity Program .................................................................. II-9
(3) Canistered Waste Form Storage............................................................ II-10
R. Treatment ......................................................................................................... II-10
S. Disposal............................................................................................................. II-10
T. Monitoring ........................................................................................................ II-11
U. Closure ............................................................................................................. II-11
(1) Decommissioning ................................................................................ II-11
(2) CERCLA Process ................................................................................. II-11
(3) Closure ................................................................................................. II-11
V. Specific Operations .......................................................................................... II-12
(1) Operation of Lifting Devices ............................................................... II-12
(2) Operation of Facilities for Receipt and
Retrieval of High-Level Waste ............................................................. II-12
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CONTENTS (cont’d)

CHAPTER III - TRANSURANIC WASTE REQUIREMENTS ............................................. III-1

A. Definition of Transuranic Waste ....................................................................... III-1
B. Management of Specific Wastes ....................................................................... III-1
(1) Mixed Transuranic Waste ..................................................................... III-1
(2) TSCA-Regulated Waste......................................................................... III-1
(3) Pre-1970 Transuranic Waste ................................................................. III-1
C. Complex-Wide Transuranic Waste Management Program .............................. III-1
D. Radioactive Waste Management Basis ............................................................. III-1
(1) Generators .............................................................................................. III-1
(2) Treatment Facilities .............................................................................. III-2
(3) Storage Facilities ................................................................................... III-2
(4) Disposal Facilities ................................................................................. III-2
E. Contingency Actions ......................................................................................... III-2
(1) Contingency Storage ............................................................................. III-2
(2) Transfer Equipment .............................................................................. III-2
F. Corrective Actions ............................................................................................ III-2
(1) Order Compliance ................................................................................. III-2
(2) Operations Curtailment ......................................................................... III-2
G. Waste Acceptance ............................................................................................. III-2
(1) Technical and Administrative ............................................................... III-2
(2) Evaluation and Acceptance ................................................................... III-3
H. Waste Generation Planning................................................................................ III-3
(1) Life-Cycle Planning .............................................................................. III-3
(2) Waste With No Identified Path to Disposal .......................................... III-3
I. Waste Characterization ...................................................................................... III-3
(1) Data Quality Objectives ........................................................................ III-3
(2) Minimum Waste Characterization ........................................................ III-3
J. Waste Certification ............................................................................................ III-4
(1) Certification Program ............................................................................ III-4
(2) Certification Before Transfer ................................................................ III-4
(3) Maintaining Certification ...................................................................... III-4
K. Waste Transfer ................................................................................................... III-4
(1) Authorization ........................................................................................ III-4
(2) Data ....................................................................................................... III-5
L. Packaging and Transportation ........................................................................... III-5
(1) Packaging .............................................................................................. III-5
(2) Transportation ........................................................................................ III-5
M. Site Evaluation and Facility Design................................................................... III-5
(1) Site Evaluation ...................................................................................... III-5
(2) Facility Design ....................................................................................... III-6
N. Storage .............................................................................................................. III-6
(1) Storage Prohibitions .............................................................................. III-6
(2) Storage Integrity .................................................................................... III-7
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CONTENTS (cont’d)

(3) Container Inspection ............................................................................. III-7

(4) Retrievable Earthen-Covered Storage ................................................... III-7
O. Treatment .......................................................................................................... III-7
P. Disposal ............................................................................................................. III-7
Q. Monitoring ......................................................................................................... III-7
(1) All Waste Facilities ............................................................................... III-7
(2) Stored Wastes ........................................................................................ III-7
(3) Liquid Waste Storage Facilities ............................................................ III-7
CHAPTER IV - LOW-LEVEL WASTE REQUIREMENTS ................................................... IV-1
A. Definition of Low-Level Waste ........................................................................ IV-1
B. Management of Specific Wastes ....................................................................... IV-1
(1) Mixed Low-Level Waste ...................................................................... IV-1
(2) TSCA-Regulated Waste......................................................................... IV-1
(3) Accelerator-Produced Waste ................................................................ IV-1
(4) 11e.(2) and Naturally Occurring Radioactive Material ........................ IV-1
C. Complex-Wide Low-Level Waste Management Program ............................... IV-1
D. Radioactive Waste Management Basis ............................................................. IV-1
(1) Generators .............................................................................................. IV-1
(2) Treatment Facilities .............................................................................. IV-1
(3) Storage Facilities ................................................................................... IV-2
(4) Disposal Facilities ................................................................................. IV-2
E. Contingency Actions ......................................................................................... IV-2
(1) Contingency Storage ............................................................................. IV-2
(2) Transfer Equipment .............................................................................. IV-2
F. Corrective Actions ............................................................................................ IV-2
(1) Order Compliance ................................................................................. IV-2
(2) Operations Curtailment ......................................................................... IV-2
G. Waste Acceptance ............................................................................................. IV-2
(1) Technical and Administrative ............................................................... IV-2
(2) Evaluation and Acceptance ................................................................... IV-2
H. Waste Generation Planning................................................................................ IV-4
(1) Life-Cycle Planning .............................................................................. IV-4
(2) Waste With No Identified Path to Disposal .......................................... IV-4
I. Waste Characterization ...................................................................................... IV-4
(1) Data Quality Objectives ........................................................................ IV-4
(2) Minimum Waste Characterization ........................................................ IV-4
J. Waste Certification ............................................................................................ IV-5
(1) Certification Program ............................................................................ IV-5
(2) Certification Before Transfer ................................................................ IV-5
(3) Maintaining Certification ...................................................................... IV-5
K. Waste Transfer ................................................................................................... IV-5
(1) Authorization ........................................................................................ IV-5
(2) Data ....................................................................................................... IV-5
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CONTENTS (cont’d)

L.
Packaging and Transportation ........................................................................... IV-5
(1) Packaging .............................................................................................. IV-5
(2) Transportation ........................................................................................ IV-6
M. Site Evaluation and Facility Design................................................................... IV-6
(1) Site Evaluation ...................................................................................... IV-6
(2) Low-Level Waste Treatment and Storage Facility Design ................... IV-6
(3) Low-Level Waste Disposal Facility Design ......................................... IV-7
N. Storage and Staging .......................................................................................... IV-8
(1) Storage Prohibitions .............................................................................. IV-8
(2) Storage Limit ......................................................................................... IV-8
(3) Storage Integrity .................................................................................... IV-8
(4) Waste Characterization for Storage ...................................................... IV-8
(5) Container Inspection ............................................................................. IV-8
(6) Storage Management ............................................................................. IV-8
(7) Staging .................................................................................................. IV-8
O. Treatment .......................................................................................................... IV-9
P. Disposal ............................................................................................................. IV-9
(1) Performance Objectives ........................................................................ IV-9
(2) Performance Assessment ...................................................................... IV-9
(3) Composite Analysis ............................................................................ IV-10
(4) Performance Assessment and Composite Analysis Maintenance ....... IV-10
(5) Disposal Authorization ....................................................................... IV-11
(6) Disposal Facility Operations................................................................ IV-11
(7) Alternate Requirements for Low-Level Waste
Disposal Facility Design and Operation ............................................. IV-12
Q. Closure ............................................................................................................ IV-12
(1) Disposal Facility Closure Plans .......................................................... IV-12
(2) Disposal Facility Closure .................................................................... IV-13
R. Monitoring ....................................................................................................... IV-13
(1) All Waste Facilities ............................................................................. IV-13
(2) Liquid Waste Storage Facilities .......................................................... IV-13
(3) Disposal Facilities ............................................................................... IV-13
ATTACHMENT 1. DEFINITIONS
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CHAPTER I

GENERAL REQUIREMENTS AND RESPONSIBILITIES

1. REQUIREMENTS

A. Delegation of Authority. Managers charged with responsibilities within this

Manual may delegate authority for these tasks to another manager. All
delegations of authority shall be documented.

B. Use of Guidance. Additional information supporting the requirements in this

Manual is contained in the Implementation Guide for use with DOE M 435.1-1,
Radioactive Waste Management Manual. This Guide, DOE G 435.1-1,
Implementation Guide for DOE M 435.1-1, shall be reviewed when
implementing the requirements of this Manual. The Guide provides additional
information and acceptable methods for meeting the requirements. Other
methods may be used but must ensure an adequate level of safety commensurate
with the hazards associated with the work and be consistent with the radioactive
waste management basis.

C. Radioactive Waste Management. All radioactive waste subject to DOE O 435.1,

Radioactive Waste Management, and the requirements of this Manual shall be
managed as high-level waste, transuranic waste, low-level waste, or mixed low-
level waste.

D. Analysis of Environmental Impacts. Existing and proposed radioactive waste

management facilities, operations, and activities shall meet the requirements of
10 CFR Part 1021, National Environmental Policy Act Implementing
Procedures; and DOE O 451.1A, National Environmental Policy Act
Compliance Program. All reasonable alternatives shall be considered, as
appropriate. Nothing in this Order is meant to restrict consideration of
alternatives to proposed actions.

E. Requirements of Other Regulations and DOE Directives. The following

requirements and DOE directives are required for all DOE radioactive waste
management facilities, operations, and activities as applicable. Any of the
requirements for the following Departmental directives may be waived or
modified through application of a DOE-approved requirements tailoring
process, such as the “Necessary and Sufficient Closure Process” in DOE P
450.3 and DOE M 450.3-1 and DOE P 450.4, Safety Management System
Policy, or by an exemption processed in accordance with the requirements of
that directive or DOE M 251.1-1A, Directives System Manual.

(1) Analysis of Operations Information. Data that measure the environment,

safety, and health performance of radioactive waste management facilities,
operations, and activities shall be identified, collected, and analyzed as
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required by DOE O 210.1, Performance Indicators and Analysis of

Operations Information.

(2) Classified Waste. Radioactive waste to which access has been limited for
national security reasons and cannot be declassified shall be managed in
accordance with the requirements of DOE 5632.1C, Protection and
Control of Safeguards and Security Interests, and DOE 5633.3B, Control
and Accountability of Nuclear Materials.

(3) Conduct of Operations. Radioactive waste management facilities,

operations, and activities shall be conducted in a manner based on
consideration of the associated hazards. Waste management facilities,
operations, and activities shall meet the requirements of DOE 5480.19,
Conduct of Operations Requirements for DOE Facilities.

(4) Criticality Safety. Radioactive waste management facilities, operations,

and activities shall be covered by a criticality safety program in
accordance with DOE O 420.1, Facility Safety.

(5) Emergency Management Program. Radioactive waste management

facilities, operations, and activities shall maintain an emergency
management program in accordance with DOE O 151.1, Comprehensive
Emergency Management System.

(6) Environmental and Occurrence Reporting. Radioactive waste

management facilities, operations, and activities shall meet the reporting
requirements of DOE O 231.1, Environment, Safety and Health Reporting,
and DOE O 232.1A, Occurrence Reporting and Processing of Operations
Information.

(7) Environmental Monitoring. Radioactive waste management facilities,

operations, and activities shall meet the environmental monitoring
requirements of DOE 5400.1, General Environmental Protection
Program, and DOE 5400.5, Radiation Protection of the Public and the
Environment.

(8) Hazard Analysis Documentation and Authorization Basis. Radioactive

waste management facilities, operations, and activities shall implement
DOE Standards, DOE-STD-1027-92, Hazard Categorization and Accident
Analysis Techniques for Compliance with DOE 5480.23, Nuclear Safety
Analysis Reports, and/or DOE-EM-STD-5502-94, DOE Limited Standard:
Hazard Baseline Documentation, and shall, as applicable, prepare and
maintain hazard analysis documentation and an authorization basis as
required by DOE O 425.1A, Startup and Restart of Nuclear Facilities,
DOE O 5480.21, Unreviewed Safety Questions, DOE 5480.22, Technical
Safety Requirements, and DOE 5480.23, Nuclear Safety Analysis Reports.
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(9) Life-Cycle Asset Management. Planning, acquisition, operation,

maintenance, and disposition of radioactive waste management facilities
shall be in accordance with DOE O 430.1A, Life-Cycle Asset
Management, and DOE 4330.4B, Maintenance Management Program,
including a configuration management process to ensure the integrity of
physical assets and systems. Corporate physical asset databases shall be
maintained as complete, current inventories of physical assets and systems
to allow reliable analysis of existing and potential hazards to the public
and workers.

(10) Mixed Waste. Radioactive waste that contains both source, special
nuclear, or by-product material subject to the Atomic Energy Act of 1954,
as amended, and a hazardous component is also subject to the Resource
Conservation and Recovery Act (RCRA), as amended.

(11) Packaging and Transportation. Radioactive waste shall be packaged and

transported in accordance with DOE O 460.1A, Packaging and
Transportation Safety, and DOE O 460.2, Departmental Materials
Transportation and Packaging Management.

(12) Quality Assurance Program. Radioactive waste management facilities,

operations, and activities shall develop and maintain a quality assurance
program that meets the requirements of 10 CFR 830.120, Quality
Assurance Requirements, and DOE O 414.1, Quality Assurance, as
applicable.

(13) Radiation Protection. Radioactive waste management facilities,

operations, and activities shall meet the requirements of 10 CFR Part 835,
Occupational Radiation Protection, and DOE 5400.5, Radiation
Protection of the Public and the Environment.

(14) Records Management. Radioactive waste management facilities,

operations, and activities shall develop and maintain a record-keeping
system, as required by DOE O 200.1, Information Management Program,
and DOE O 414.1, Quality Assurance. Records shall be established and
maintained for radioactive waste generated, treated, stored, transported, or
disposed. To the extent possible, records prepared in response to other
requirements may be used to satisfy the documentation requirements of
this Manual. Additional records may be required to satisfy the regulations
applicable to the hazardous waste components of mixed waste.

(15) Release of Waste Containing Residual Radioactive Material.

Processes for determining and documenting that waste is suitable to be
released and managed without regard to its radioactive content shall be in
accordance with the criteria and requirements in DOE 5400.5, Radiation
Protection of the Public and the Environment.
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(16) Safeguards and Security. Appropriate features shall be incorporated into

the design and operation of radioactive waste management facilities,
operations, and activities to prevent unauthorized access and operations,
and for purposes of nuclear materials control and accountability, where
applicable; and shall be consistent with DOE O 470.1, Safeguards and
Security Program.

(17) Safety Management System. Radioactive waste management facilities,

operations, and activities shall incorporate the principles of integrated
safety management as described in DOE P 450.4, Safety Management
System Policy, and DOE P 450.5, Line Environment, Safety and Health
Oversight, and meet the requirements of the safety management systems
sections of 48 CFR Chapter 9, Department of Energy Acquisition
Regulations and DOE M 411.1-1, Manual of Safety Management
Functions, Responsibilities, and Authorities.

(18) Site Evaluation and Facility Design. New radioactive waste

management facilities, operations, and activities shall be sited and
designed in accordance with DOE O 420.1, Facility Safety, and DOE O
430.1A, Life-Cycle Asset Management.

(19) Training and Qualification. A training and qualification program shall

be implemented for radioactive waste management program personnel,
and shall meet the requirements of DOE O 360.1, Training, and DOE
5480.20A, Personnel Selection, Qualification, and Training
Requirements for DOE Nuclear Facilities.

(20) Waste Minimization and Pollution Prevention. Waste minimization

and pollution prevention shall be implemented for radioactive waste
management facilities, operations, and activities to meet the requirements
of Executive Order 12856, Federal Compliance with Right-to-Know Laws
and Pollution Prevention Requirements, and Executive Order 13101,
Greening the Government through Waste Prevention, Recycling, and
Federal Acquisition, and DOE 5400.1, General Environmental Protection
Program.

(21) Worker Protection. Radioactive waste management facilities,

operations, and activities shall meet the requirements of DOE O 440.1A,
Worker Protection Management for DOE Federal and Contractor
Employees.

2. RESPONSIBILITIES

A. Program Secretarial Officers. Program Secretarial Officers with radioactive waste

management facilities, operations, or activities are responsible within their
respective programs for ensuring that the Field Element Managers meet the
requirements of DOE O 435.1, Radioactive Waste Management, and this Manual.
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B. Assistant Secretary for Environmental Management. The Assistant Secretary for

Environmental Management is responsible for:

(1) Complex-Wide Radioactive Waste Management Programs.

Establishing and maintaining integrated Complex-Wide Radioactive
Waste Management Programs for high-level, transuranic, low-level, and
mixed low-level waste. These programs shall use a systematic approach to
planning, execution, and evaluation to ensure that waste generation,
storage, treatment, and disposal needs are met and coordinated across the
DOE complex.

(2) Changes to Regulations and DOE Directives. Ensuring changes to

regulations and DOE directives are reviewed and, when necessary,
incorporated into revisions of this Manual to ensure the basis for safe
radioactive waste management facilities, operations, and activities is
maintained.

C. Assistant Secretary for Environment, Safety, and Health. The Assistant Secretary
for Environment, Safety and Health is responsible for providing an independent
overview of DOE radioactive waste management and decommissioning programs
to determine compliance with DOE environment, safety, and health requirements
and applicable Environmental Protection Agency (EPA) and state regulations,
including: making compliance determinations. Reviewing and approving
performance assessments and composite analyses, or appropriate CERCLA
documentation, for low-level waste disposal facilities, and issuing disposal
authorization statements.

(1) Advising the Secretary of the status of Departmental compliance with the
requirements of DOE O 435.1, this Manual, and applicable provisions of
other DOE Orders.

(2) Conducting independent appraisals and audits of DOE waste management

programs.

(3) Reviewing site Waste Management Plans with regard to compliance with
DOE environment, safety, and health requirements.

D. Deputy Assistant Secretary for Waste Management. Secretary for Waste

Management is responsible for: The Deputy Assistant

(1) Complex-Wide Radioactive Waste Management Program Plans.

Developing, implementing, and maintaining integrated Complex-Wide
Radioactive Waste Management Program Plans for high-level,
transuranic, low-level, and mixed low-level waste. Each plan shall, at the
DOE complex-wide level, describe the functional elements, organizations,
responsibilities, and activities that comprise the system needed to store,
I-6 DOE M 435.1-1
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treat and dispose of radioactive waste in a manner that is protective of the

public, workers, and the environment. In addition, the plans shall:

(a) Present a waste management strategy that integrates waste

projections and life-cycle waste management planning into
complex-wide facility configuration decisions; and

(b) Describe the approach to research and technology development

being pursued to improve safety and/or efficiency in managing
radioactive waste.

(2) Waste Management Data System. Establishing and maintaining a

system to compile waste generation projection data and other information
concerning radioactive waste management facilities, operations, and
activities across the complex.

E. Deputy Assistant Secretaries for Waste Management and Environmental

Restoration. The Deputy Assistant Secretary for Waste Management and the
Deputy Assistant Secretary for Environmental Restoration are responsible for:

(1) Disposal. Reviewing and approving, along with EH-1, transuranic waste
disposal facility performance assessments and other disposal documents as
required in waste specific chapters for which DOE is responsible for

(a) The Deputy Assistant Secretaries shall establish a review panel

consisting of DOE personnel to review low-level waste disposal
facility performance assessments and composite analyses, review
appropriate CERCLA documentation, recommend low-level waste
disposal facility compliance determinations to the Deputy
Assistant Secretaries, and develop disposal authorization
statements.

(b) The Deputy Assistant Secretaries shall issue disposal authorization

statements containing conditions that low-level waste disposal
facilities must meet in order to operate with an approved
radioactive waste management basis.

(2) Site Closure Plans. Reviewing and approving closure plans and other
closure documentation for deactivated high-level waste facilities/sites
and issuing authorization for closure activities to proceed.

F. Field Element Managers. Field Element Managers are responsible for:

(1) Site-Wide Radioactive Waste Management Programs. Developing,

documenting, implementing, and maintaining a Site-Wide Radioactive
Waste Management Program. The Program shall use a systematic
approach for planning, executing, and evaluating the site-wide
DOE M 435.1-1 I-7
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management of radioactive waste in a manner that supports the Complex-

Wide Radioactive Waste Management Programs and ensures that the
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual are met.

(2) Radioactive Waste Management Basis. Ensuring a radioactive waste

management basis is developed and maintained for each DOE radioactive
waste management facility, operation, and activity; and ensuring review
and approval of the basis before operations begin. The Radioactive Waste
Management Basis shall:

(a) Reference or define the conditions under which the facility may
operate based on the radioactive waste management
documentation;

(b) Include the applicable elements identified in the specific waste-

type chapters of this Manual; and

(c) Be developed using the graded approach process.

(3) Waste Minimization and Pollution Prevention. Ensuring

implementation of waste minimization and pollution prevention programs.

(4) Approval of Exemptions for Use of Non-DOE Facilities. DOE

radioactive waste shall be treated, stored, and in the case of low-level
waste, disposed of at the site where the waste is generated, if practical; or
at another DOE facility. If DOE capabilities are not practical or cost
effective, exemptions may be approved to allow use of non-DOE facilities
for the storage, treatment, or disposal of DOE radioactive waste based on
the following requirements:

(a) Such non-DOE facilities shall:

1. Comply with applicable Federal, State, and local

requirements;

2. Have the necessary permit(s), license(s), and approval(s)

for the specific waste(s); and

3. Be determined by the Field Element Manager to be

acceptable based on a review conducted annually by DOE.

(b) Exemptions for the use of non-DOE facilities shall be documented

to be cost effective and in the best interest of DOE, including
consideration of alternatives for on-site disposal, an alternative
DOE site, and available non-DOE facilities; consideration of life-
cycle cost and potential liability; and protection of public health
and the environment.
I-8 DOE M 435.1-1
6-19-01

(c) DOE waste shall be sufficiently characterized and certified to meet

the facility’s waste acceptance criteria.

(d) Appropriate National Environmental Policy Act (NEPA) review

must be completed. For actions taken under the Comprehensive
Environmental Response, Compensation, and Liability Act
(CERCLA), it is DOE’s policy to incorporate NEPA values into
the CERCLA documentation.

(e) Headquarters shall be notified of any exemption allowing use of a

non-DOE disposal facility and the Office of the Assistant Secretary
for Environment, Safety and Health (EH-1) shall be consulted prior
to the disposal facility exemption being executed.

(f) Host States and State Compacts where non-DOE facilities are
located shall be consulted prior to approval of an exemption to use
such facilities and notified prior to shipments being made.

(5) Environmental Restoration, Decommissioning, and Other Cleanup

Waste. Ensuring the management and disposal of radioactive waste
resulting from environmental restoration activities, including
decommissioning, meet the substantive requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual. Environmental
restoration activities using the CERCLA process (in accordance with
Executive Order 12580) may demonstrate compliance with the substantive
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual (including the Performance Assessment and performance
objectives, as well as the Composite Analysis) through the CERCLA
process. However, compliance with all substantive requirements of DOE
O 435.1 not met through the CERCLA process must be demonstrated.
Environmental restoration activities which will result in the off-site
management and disposal of radioactive waste must meet the applicable
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual for the management and disposal of those off-site wastes. Field
Elements performing environmental restoration activities involving
development and management of radioactive waste disposal facilities
under the CERCLA process shall:

(a) Submit certification to the Deputy Assistant Secretary for

Environmental Restoration that compliance with the substantive
requirements of DOE O 435.1 have been met through application
of the CERCLA process; and

(b) Submit the decision document, such as the Record of Decision, or

any other document that serves as the authorization to dispose, to

Vertical line denotes change.

DOE M 435.1-1 I-9
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the Deputy Assistant Secretary for Environmental Restoration for

approval.

(6) Radioactive Waste Acceptance Requirements. Ensuring development,

review, approval, and implementation of the radioactive waste acceptance
requirements for facilities that receive waste for storage, treatment, or
disposal. Radioactive waste acceptance requirements shall establish the
facility’s requirements for the receipt, evaluation, and acceptance of waste.

(7) Radioactive Waste Generator Requirements. Ensuring development,

review, approval, and implementation of a program for waste generation
planning, characterization, certification, and transfer. This program shall
address characterization of waste, preparation of waste for transfer,
certification that waste meets the receiving facility’s radioactive waste
acceptance requirements, and transfer of waste.

(8) Closure Plans. Ensuring development, review, approval, and

implementation of closure plans for radioactive waste management
facilities in accordance with the applicable requirements in the waste-type
chapters of this Manual.

(9) Defense-In-Depth. Ensuring defense-in-depth principles are incorporated

where potential uncertainties or vulnerabilities warrant their use when
reviewing and approving radioactive waste management activities and
documents. These principles advocate the use of multiple levels of
engineered and administrative controls to provide protection to the public,
workers, and the environment.

(10) Oversight. Ensuring oversight of radioactive waste management facilities,

operations, and activities is conducted. Oversight shall ensure radioactive
waste management program activities are conducted in accordance with a
radioactive waste management basis and meet the requirements of DOE O
435.1, Radioactive Waste Management, and this Manual.

(11) Training and Qualification. Ensuring a training and qualification

program is implemented for designated radioactive waste management
program personnel, and the training is commensurate with job duties and
responsibilities. Only those personnel who have been trained and qualified
shall design or operate safety (safety class and safety significant)
structures, systems, and components.

(12) As Low As Reasonably Achievable (ALARA). Ensuring ALARA

principles for radiation protection are incorporated when reviewing and
approving radioactive waste management activities.

(13) Storage. Ensuring all radioactive waste is stored in a manner that protects
the public, workers, and the environment in accordance with a radioactive
I-10 DOE M 435.1-1
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waste management basis, and that the integrity of waste storage is

maintained for the expected time of storage and does not compromise
meeting the disposal performance objectives for protection of the public
and environment when the waste is disposed.

(14) Treatment. Ensuring all radioactive waste requiring treatment is treated in

a manner that protects the public, workers, and the environment and in
accordance with a radioactive waste management basis.

(15) Disposal. Ensuring radioactive waste is disposed in a manner that protects

the public, workers, and the environment and in accordance with a
radioactive waste management basis. Reviewing specific transuranic or
low-level waste documentation including the performance assessment and
composite analysis, or appropriate CERCLA documentation, prior to
forwarding them to Headquarters for approval, and obtaining and ensuring
the facility is operated in accordance with the disposal authorization
statement. Conducting performance assessment and composite analysis
maintenance.

(16) Monitoring. Ensuring monitoring is conducted for all radioactive waste

management facilities as required. Ensuring that disposal facilities are
monitored, as appropriate, for compliance with conditions of the disposal
authorization statement.

(17) Material and Waste Declassification for Waste Management.

Ensuring, to the extent practical, radioactive material and waste generated
under a program that is classified for national security reasons is
declassified or rendered suitable for unclassified radioactive waste
management.

(18) Waste Incidental to Reprocessing. Ensuring that waste incidental to

reprocessing determinations are made by either the “citation” or
“evaluation” process described in Chapter II of this Manual. Ensuring
consultation and coordination with the Office of Environmental
Management for waste determined to be incidental to reprocessing
through the “evaluation” process.

(19) Waste with No Identified Path to Disposal. Ensuring a process is

developed and implemented for identifying the generation of radioactive
waste with no identified path to disposal, and reviewing and approving
conditions under which radioactive waste with no identified path to
disposal may be generated. Headquarters shall be notified of the decisions
to generate a waste with no identified path to disposal.

(20) Corrective Actions. Ensuring a process exists for proposing, reviewing,

approving, and implementing corrective actions when necessary to ensure
that the requirements of DOE O 435.1, Radioactive Waste Management,
DOE M 435.1-1 I-11 (and I-12)
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and this Manual are met, and to address conditions that are not protective
of the public, workers, or the environment. The process shall allow
workers, through the appropriate level of management, to stop or curtail
work when they discover conditions that pose an imminent danger or other
serious hazard to workers or the public, or are not protective of the
environment.

G. All Personnel. All personnel are responsible for:

(1) Problem Identification. Identifying and reporting radioactive waste

management facilities, operations, or activities that do not meet the
requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual, or that pose a threat to the safety of the public, workers, or the
environment.

(2) Shutdown or Curtailment of Activities. Stopping or curtailing work,

through the appropriate level of management, to prohibit continuation of
conditions or activities which pose an imminent danger or other serious
hazard to workers or the public, or are not protective of the environment.
DOE M 435.1-1 II-1
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CHAPTER II

HIGH-LEVEL WASTE REQUIREMENTS

A. Definition of High-Level Waste. High-level waste is the highly radioactive waste

material resulting from the reprocessing of spent nuclear fuel, including liquid waste
produced directly in reprocessing and any solid material derived from such liquid waste
that contains fission products in sufficient concentrations; and other highly radioactive
material that is determined, consistent with existing law, to require permanent isolation.

B. Waste Incidental to Reprocessing. Waste resulting from reprocessing spent nuclear fuel
that is determined to be incidental to reprocessing is not high-level waste, and shall be
managed under DOE’s regulatory authority in accordance with the requirements for
transuranic waste or low-level waste, as appropriate. When determining whether spent
nuclear fuel reprocessing plant wastes shall be managed as another waste type or as
high-level waste, either the citation or evaluation process described below shall be used:

(1) Citation. Waste incidental to reprocessing by citation includes spent nuclear fuel
reprocessing plant wastes that meet the description included in the Notice of
Proposed Rulemaking (34 FR 8712) for proposed Appendix D, 10 CFR Part 50,
Paragraphs 6 and 7. These radioactive wastes are the result of reprocessing plant
operations, such as, but not limited to: contaminated job wastes including
laboratory items such as clothing, tools, and equipment.

(2) Evaluation. Determinations that any waste is incidental to reprocessing by the

evaluation process shall be developed under good record-keeping practices, with
an adequate quality assurance process, and shall be documented to support the
determinations. Such wastes may include, but are not limited to, spent nuclear
fuel reprocessing plant wastes that:

(a) Will be managed as low-level waste and meet the following criteria:

1 Have been processed, or will be processed, to remove key

radionuclides to the maximum extent that is technically and
economically practical; and

2 Will be managed to meet safety requirements comparable to the

performance objectives set out in 10 CFR Part 61, Subpart C,
Performance Objectives; and

3 Are to be managed, pursuant to DOE’s authority under the Atomic

Energy Act of 1954, as amended, and in accordance with the
provisions of Chapter IV of this Manual, provided the waste will
be incorporated in a solid physical form at a concentration that
does not exceed the applicable concentration limits for Class C
low-level waste as set out in 10 CFR 61.55, Waste Classification;
II-2 DOE M 435.1-1
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or will meet alternative requirements for waste classification and

characterization as DOE may authorize.

(b) Will be managed as transuranic waste and meet the following criteria:

1 Have been processed, or will be processed, to remove key

radionuclides to the maximum extent that is technically and
economically practical; and

2 Will be incorporated in a solid physical form and meet alternative

requirements for waste classification and characteristics, as DOE
may authorize; and

3 Are managed pursuant to DOE’s authority under the Atomic

Energy Act of 1954, as amended, in accordance with the provisions
of Chapter III of this Manual, as appropriate.

C. Management of Specific Wastes. The following provide for management of specific

wastes as high-level waste in accordance with the requirements in this Chapter:

(1) Mixed High-Level Waste. Unless demonstrated otherwise, all high-level waste
shall be considered mixed waste and is subject to the requirements of both the
Atomic Energy Act of 1954, as amended, the Resource Conservation and
Recovery Act, as amended, DOE O 435.1, Radioactive Waste Management, and
this Manual.

(2) TSCA-Regulated Waste. High-level waste containing polychlorinated biphenyls,

asbestos, or other such regulated toxic components shall be managed in
accordance with requirements derived from the Toxic Substances Control Act, as
amended, DOE O 435.1, Radioactive Waste Management, and this Manual.

D. Complex-Wide High-Level Waste Management Program. A complex-wide program and

plan shall be developed as described under Responsibilities, 2.B and 2.D, in Chapter I of
this Manual.

E. Site-Wide Radioactive Waste Management Program. In addition to the items in Chapter I

of this Manual, documentation of the Site-Wide Radioactive Waste Management
Program shall include a description of the High-Level Waste Systems Engineering
Management Program to support decision-making related to nuclear safety, including
high-level waste requirements analysis, functional analysis and allocation, identification
of alternatives, and alternative selection and system control.

F. Radioactive Waste Management Basis. High-level waste facilities, operations, and

activities shall have a radioactive waste management basis consisting of physical and
administrative controls to ensure the protection of workers, the public, and the
environment. The following specific waste management controls shall be part of the
radioactive waste management basis:
DOE M 435.1-1 II-3
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(1) Generators. The waste certification program.

(2) Pretreatment and Treatment Facilities. The waste acceptance requirements and
waste certification program.

(3) Storage Facilities. The waste acceptance requirements and the waste certification
program.

G. Quality Assurance Program. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Product Quality. The requirements of RW-0333P, Quality Assurance

Requirements and Description, shall apply to those high-level waste items and
activities important to waste acceptance/product quality.

(2) Audits and Assessments. The evaluation and assessment requirements of RW–
0333P, Quality Assurance Requirements Document and Description, and
associated implementing procedures shall be met for high-level waste acceptance
and product quality activities, in addition to the assessment requirements of other
DOE directives and requirements identified in Chapter I of this Manual.

H. Contingency Actions. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Contingency Storage. For off-normal or emergency situations involving high-

level waste storage or treatment, spare capacity with adequate capabilities shall be
maintained to receive the largest volume of waste contained in any one storage
vessel, pretreatment facility, or treatment facility. Tanks or other facilities that are
designated for high-level waste contingency storage shall be maintained in an
operational condition when waste is present and shall meet all the requirements of
DOE O 435.1, Radioactive Waste Management, and this Manual.

(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the transfer
of waste to contingency storage shall be maintained in an operational condition
when waste is present and shall meet the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.

I. Corrective Actions. The following requirements are in addition to those in Chapter I of

this Manual.

(1) Order Compliance. Corrective actions shall be implemented whenever necessary

to ensure the requirements of DOE O 435.1, Radioactive Waste Management, and
this Manual are met.

(2) Operations Curtailment. Operations shall be curtailed or facilities shut down for
failure to establish, maintain, or operate consistent with an approved radioactive
waste management basis.
II-4 DOE M 435.1-1
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J. Waste Acceptance. of this Manual. The following requirements are in addition to those in
Chapter I

(1) Technical and Administrative. Waste acceptance requirements for all high-level
waste storage, pretreatment, or treatment facilities, operations, and activities shall
specify, at a minimum, the following:

(a) Allowable activities and/or concentrations of specific radionuclides;

(b) Acceptable waste form that ensures the chemical and physical stability of
the waste under conditions that might be encountered during transfer,
storage, pretreatment, or treatment;

(c) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be contained
in each facility’s waste acceptance documentation. Each exception request
shall be documented, including its disposition as approved or not
approved; and

(d) Pretreatment, treatment, storage, packaging, and other operations shall be

designed and implemented in a manner that will ultimately comply with
DOE/EM-0093, Waste Acceptance Product Specifications for Vitrified
High-Level Waste Forms, or DOE/RW-0351P, Waste Acceptance System
Requirements Document, for non-vitrified, immobilized high-level waste.

(2) Evaluation and Acceptance. The receiving facility shall evaluate waste for
acceptance, including confirmation that the technical and administrative
requirements have been met. A process for the disposition of non-conforming
wastes shall be established.

K. Waste Generation Planning. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Life-Cycle Planning. Prior to waste generation, planning shall be performed to

address the entire life cycle for all high-level waste streams.

(2) Waste with No Identified Path to Disposal. High-level waste streams with no
identified path to disposal shall be generated only in accordance with approved
conditions which, at a minimum, shall address:

(a) Programmatic need to generate the waste;

(b) Characteristics and issues preventing the disposal of the waste;

(c) Safe storage of the waste until disposal can be achieved; and
DOE M 435.1-1 II-5
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(d) Activities and plans for achieving final disposal of the waste (compliance
with DOE/EM-0093, Waste Acceptance Product Specifications for
Vitrified High-Level Waste Forms).

L. Waste Characterization. High-level waste shall be characterized using direct or indirect

methods, and the characterization documented in sufficient detail to ensure safe
management and compliance with the waste acceptance requirements of the facility
receiving the waste.

(1) Data Quality Objectives. The data quality objectives process, or a comparable
process, shall be used for identifying characterization parameters and acceptable
uncertainty in characterization data.

(2) Minimum Waste Characterization. Characterization data shall, at a minimum,

include the following information relevant to the management of the waste:

(a) Physical and chemical characteristics;

(b) Volume, including the waste and any solidification media;

(c) Radionuclides or source information sufficient to describe the approximate

radionuclide content of the waste; and

(d) Any other information which may be needed to demonstrate compliance

with the requirements of the DOE/EM-0093, Waste Acceptance Product
Specifications for Vitrified High-Level Waste Forms, or DOE/RW-0351P,
Waste Acceptance System Requirements Document, for non-vitrified,
immobilized high-level waste.

(3) Hazardous Characteristics. Waste characterization processes shall yield

sufficient chemical and physical data to clearly identify any hazardous
characteristics that may degrade the ability of structures, systems, and
components to perform their radioactive waste management function.

M. Waste Certification. A waste certification program shall be developed, documented, and

implemented to ensure that the waste acceptance requirements of facilities receiving
high-level waste for storage, pretreatment, treatment, and disposal are met.

(1) Certification Program. The waste certification program shall designate the
officials who have the authority to certify and release waste for shipment; and
specify what documentation is required for waste generation, characterization,
shipment, and certification. The program shall provide requirements for
auditability, retrievability, and storage of required documentation and specify the
records retention period.

(2) Certification before Transfer. High-level waste shall be certified as meeting the
waste acceptance requirements before it is transferred to the facility receiving the
waste.
II-6 DOE M 435.1-1
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(3) Maintaining Certification. High-level waste that has been certified as meeting
the waste acceptance requirements for transfer to a storage, pretreatment,
treatment, or disposal facility shall be managed in a manner that maintains its
certification status.

N. Waste Transfer. The following requirements are in addition to those in Chapter I of this
Manual.

(1) Authorization. High-level waste shall not be transferred to a storage, treatment,

or disposal facility until personnel responsible for the facility receiving the waste
authorize the transfer.

(2) Data. Waste characterization data and generation, storage, pretreatment,

treatment, and transportation information for high-level waste shall be transferred
with or be traceable to the waste.

(3) Records and Transfer Reporting. The records and transfer requirements for
canistered high-level waste forms shall comply with DOE/EM-0093, Waste
Acceptance Product Specification for Vitrified High-Level Waste Forms, or
DOE/RW-0351P, Waste Acceptance System Requirements Document, for non-
vitrified, immobilized high-level waste.

O. Packaging and Transportation. The following requirement is in addition to those in

Chapter I of this Manual.

(1) Canistered Waste Form. Immobilized high-level waste shall meet the
requirements of the DOE/EM-0093, Waste Acceptance Product Specifications
for Vitrified High-Level Waste Forms, or DOE/RW-0351P, Waste Acceptance
System Requirements Document, for non-vitrified, immobilized high-level waste.

P. Site Evaluation and Facility Design. The following requirements are in addition to
those in Chapter I of this Manual.

(1) Site Evaluation. Proposed locations for high-level waste facilities shall be
evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.

(a) Each site proposed for a new high-level waste facility or expansion of an
existing high-level waste facility shall be evaluated considering
environmental characteristics, geotechnical characteristics, and human
activities.

(b) Proposed sites with environmental characteristics, geotechnical

characteristics, or human activities for which adequate protection cannot
be provided through facility design shall be deemed unsuitable for the
location of the facility.
DOE M 435.1-1 II-7
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(2) Facility Design. The following facility design requirements, at a minimum,

apply:

(a) Safety (Safety Class and Safety-Significant) Structures, Systems, and

Components. Safety structures, systems, and components for high-level
waste storage, pretreatment, and treatment facilities shall be designated
and designed consistent with the provisions of DOE O 420.1, Facility
Safety; DOE 5480.22, Technical Safety Requirements; and DOE 5480.23,
Nuclear Safety Analysis Reports.

(b) Confinement. High-level waste systems and components shall be

designed to maintain waste confinement. The following requirements
apply to new or modifications to existing high-level waste systems,
ancillary systems, and components:

1 Secondary confinement systems shall be designed to prevent any

migration of wastes or accumulated liquid out of the waste system;
shall be capable of detecting, collecting, and retrieving releases
into the secondary confinement; and shall be constructed of, or
lined with, materials that are compatible with the waste(s) to be
placed in the waste system.

2 Tank and piping systems used for high-level waste collection,

pretreatment, treatment, and storage shall be welded construction,
except where remote configurations or periodic rerouting of high-
level waste streams require non-welded construction.

(c) Lifting Devices. The design of hoisting and rigging devices shall comply
with the following specific requirements.

1 Lifting devices that are designated as safety class or safety

significant shall be designed to prevent free fall of loads.

2 Loading and unloading systems for lifting devices that are

designated as safety class or safety significant shall be designed
with a reliable system of interlocks that will fail safely upon
malfunction.

(d) Ventilation.

1 Design of high-level waste pretreatment, treatment, and storage

facilities shall include ventilation through an appropriate filtration
system to maintain the release of radioactive material in airborne
effluents within the applicable requirements.

2 When conditions exist for generating gases in flammable and

explosive concentrations, ventilation systems or other measures
II-8 DOE M 435.1-1
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shall be provided to keep the gases in a non-flammable and non-

explosive condition. Where concentrations of explosive or
flammable gases are expected to approach the lower flammability
limit, measures shall be taken to prevent deflagration or
detonation.

(e) Consideration of Decontamination and Decommissioning. Areas in

new and modifications to existing high-level waste management facilities
that are subject to contamination with radioactive or other hazardous
materials shall be designed to facilitate decontamination. For such
facilities a proposed decommissioning method or a conversion method
leading to reuse shall be described.

(f) Maintenance Exposure Reduction. Remote maintenance features and

other appropriate techniques to maintain as low as reasonably achievable
(ALARA) personnel exposures shall be incorporated into each high-level
waste facility.

(g) Facilities for Receipt and Retrieval of High-Level Waste.

1 Designs for storage facilities shall incorporate features to facilitate

retrieval capability.

2 High-level waste receipt and retrieval systems shall be designed to

complement the existing storage facilities for safe storage and
transfer of high-level waste.

(h) Structural Integrity. Designs for new tanks shall contribute to the
confinement requirement at Section II.P.(2)(b) of this Manual by:

1 Incorporating features to avoid critical degradation modes at the

proposed site where practicable, or minimize degradation rates for
the critical modes; and

2 Incorporating features to facilitate execution of the Structural

Integrity Program required by Section II.Q.(2) of this Manual.

(i) Instrumentation and Control Systems. Engineering controls shall be

incorporated in the design and engineering of high-level waste treatment
storage, pretreatment, and treatment facilities to provide volume inventory
data and to prevent spills, leaks and overflows from tanks or confinement
systems.

(j) Volume Monitoring Systems. Monitoring and/or leak detection

capabilities shall be incorporated in the design and engineering of high-
level waste storage, pretreatment, and treatment facilities to provide rapid
detection of failed confinement and/or other abnormal conditions.
DOE M 435.1-1 II-9
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Q. Storage. The following requirements are in addition to those in Chapter I of this

Manual and also apply to facilities intended for management of high-level waste
awaiting pretreatment, treatment or disposal, unless stated otherwise.

(1) Operation of Confinement Systems.

(a) Confinement systems shall be operated and maintained so as to preserve

the design basis.

(b) Secondary confinement systems, where provided, shall be operated to

prevent any migration of wastes or accumulated liquid out of the waste
confinement systems.

(2) Structural Integrity Program.

(a) Leak-Tight Tanks In-Service. A structural integrity program shall be

developed for each high-level waste storage tank site to verify the
structural integrity and service life of each tank to meet operational
requirements for storage capacity. The program shall be capable of:

1 Verifying the current leak-tightness and structural strength of each

tank in service;

2 Identifying corrosion, fatigue, and other critical degradation

modes;

3 Adjusting the chemistry of tank waste, calibrating cathodic

protection systems, wherever employed, and implementing other
necessary corrosion protection measures;

4 Providing credible projections as to when structural integrity of

each tank can no longer be assured; and

5 Identifying the additional controls necessary to maintain an

acceptable operating envelope.

(b) In-Service Tanks that Have Leaked or Are Suspect. For each high-
level waste storage tank in-service that is known to have leaked, or is
suspect, a modified structural integrity program shall be developed and
implemented to identify the safe operational envelope. The modified
program shall be capable of:

1 Verifying the structural strength of each tank in-service which has

leaked or is suspect;

2 Identifying corrosion, fatigue and other critical degradation modes;

II-10 DOE M 435.1-1
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3 Adjusting the chemistry of tank waste, calibrating cathodic

protection systems, wherever employed, and implementing other
necessary corrosion protection measures;

4 Determining which of the tanks that have leaked or are suspect

may remain in service by identifying an acceptable safe operating
envelope;

5 Providing credible projections as to when the acceptable safe

operational envelope can no longer be assured; and

6 Identifying the additional controls necessary to maintain the

acceptable safe operational envelope.

When physical activities, as part of a structural integrity program, pose

additional vulnerabilities, alternative measures shall be implemented to
provide an acceptable storage operational envelope.

(c) Other Storage Components. The structural integrity of other storage

components shall be verified to assure leak tightness and structural
strength.

(3) Canistered Waste Form Storage. Canisters of immobilized high-level waste

awaiting shipment to a repository shall be:

(a) Stored in a suitable facility;

(b) Segregated and clearly identified to avoid commingling with low-level,

mixed low-level, or transuranic wastes; and

(c) Monitored to ensure that storage conditions are consistent with DOE/EM–
0093, Waste Acceptance Product Specifications for Vitrified High-level
Waste Forms, or DOE/RW-0351, Waste Acceptance System Requirements
Document, for non-vitrified immobilized high-level waste. Facilities and
operating procedures for storage of vitrified high-level waste shall
maintain the integrity of the canistered waste form.

R. Treatment. Treatment shall be designed and implemented in a manner that will

ultimately comply with DOE/EM–0093, Waste Acceptance Product Specifications for
Vitrified High-level Waste Forms, or DOE/RW-0351P, Waste Acceptance System
Requirements Document, for non-vitrified, immobilized high-level waste.

S. Disposal. Disposal of high-level waste must be in accordance with the provisions of the
Atomic Energy Act of 1954, as amended, the Nuclear Waste Policy Act of 1982, as
amended, or any other applicable statutes.

T. Monitoring. High-level waste pretreatment, treatment, storage, and transportation

facilities shall be monitored for chemical, physical, radiological, structural, and other
DOE M 435.1-1 II-11
7-9-99

changes that could indicate failure of system confinement, integrity, or safety, and which
could lead to abnormal events or accidents. Parameters that shall be sampled or
monitored, at a minimum, include: temperature, pressure (for closed systems),
radioactivity in ventilation exhaust and liquid effluent streams, flammable or explosive
mixtures of gases, level and/or waste volume, and significant waste chemistry parameters
for non-immobilized high-level waste. Facility monitoring programs shall also include
physical inspections to verify that control systems have not failed.

U. Closure. The following requirements for closure of deactivated high-level waste

facilities and sites are in addition to those in Chapter I of this Manual.

(1) Decommissioning. Deactivated high-level waste facilities/sites shall meet the

decommissioning requirements of DOE O 430.1A, Life-Cycle Asset Management
and the requirements of DOE 5400.5, Radiation Protection of the Public and the
Environment, for release; or

(2) CERCLA Process. Deactivated high-level waste facilities/sites shall be closed in

accordance with the CERCLA process as described in Section I.2.F.(5); or

(3) Closure. Deactivated high-level waste facilities/sites shall be closed in

accordance with an approved closure plan as specified below. Residual
radioactive waste present in facilities to be closed shall satisfy the waste
incidental to reprocessing requirements of this Chapter.

(a) Facility/Site Closure Plans. A closure plan shall be developed for each
deactivated high-level waste facility/site being closed that defines the
approach and plans by which closure of each facility within the site is to
be accomplished. This plan shall be completed and approved prior to the
initiation of physical closure activities, and updated periodically to reflect
current analysis and status of individual facility closure actions. The plan
shall include, at a minimum, the following elements:

1 Identification of the closure standards/performance objectives to be

applied from Chapter III or IV, as appropriate;

2 A strategy for allocating waste disposal facility performance

objectives from the closure standards identified in the closure plan
among the facilities/units to be closed at the site;

3 An assessment of the projected performance of each unit to be

closed relative to the performance objectives allocated to each unit
under the closure plan;

4 An assessment of the projected composite performance of all units

to be closed at the site relative to the performance objectives and
closure standards identified in the closure plan; and
II-12 DOE M 435.1-1
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5 Any other relevant closure controls including a monitoring plan,

institutional controls, and land use limitations to be maintained in
the closure activity.

V. Specific Operations. Specific requirements are provided for the operation of lifting
devices and facilities for receipt and retrieval of high-level waste.

(1) Operation of Lifting Devices. Hoisting and rigging activities shall be conducted
in accordance with the guidance provided in the DOE Standard “Hoisting and
Rigging” (DOE-STD-1090-96).

(2) Operation of Facilities for Receipt and Retrieval of High-Level Waste. High-
level waste receipt and retrieval systems shall be operated and maintained
consistent with high-level waste system features incorporated in the facilities.
Strategies for retrieval of waste shall be analyzed to ensure that structural and
radiological impacts are consistent with the facility design basis.
DOE M 435.1-1 III-1
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CHAPTER III

TRANSURANIC WASTE REQUIREMENTS

A. Definition of Transuranic Waste. Transuranic waste is radioactive waste containing

more than 100 nanocuries (3700 becquerels) of alpha-emitting transuranic isotopes per
gram of waste, with half-lives greater than 20 years, except for:

(1) High-level radioactive waste;

(2) Waste that the Secretary of Energy has determined, with the concurrence of the
Administrator of the Environmental Protection Agency, does not need the degree
of isolation required by the 40 CFR Part 191 disposal regulations; or

(3) Waste that the Nuclear Regulatory Commission has approved for disposal on a
case-by-case basis in accordance with 10 CFR Part 61.

B. Management of Specific Wastes. The following provide for management of specific

wastes as transuranic waste in accordance with the requirements in this Chapter:

(1) Mixed Transuranic Waste. Transuranic waste determined to contain both a

hazardous component subject to the Resource Conservation and Recovery Act
(RCRA), as amended, and a radioactive component subject to the Atomic Energy
Act of 1954, as amended, shall be managed in accordance with the requirements
of RCRA and DOE O 435.1, Radioactive Waste Management, and this Manual.

(2) TSCA-Regulated Waste. Transuranic waste containing polychlorinated

biphenyls, asbestos, or other such regulated toxic components shall be managed in
accordance with requirements derived from the Toxic Substances Control Act, as
amended, DOE O 435.1, Radioactive Waste Management, and this Manual.

(3) Pre-1970 Transuranic Waste. Transuranic waste disposed of prior to

implementation of the 1970 Atomic Energy Commission Immediate Action
Directive regarding retrievable storage of transuranic waste is not subject to the
requirements of DOE O 435.1, Radioactive Waste Management, and this Manual.

C. Complex-Wide Transuranic Waste Management Program. A complex-wide program and

plan shall be developed as described under Responsibilities, 2.B and 2.D, in Chapter I of
this Manual.

D. Radioactive Waste Management Basis. Transuranic waste facilities, operations, and

activities shall have a radioactive waste management basis consisting of physical and
administrative controls to ensure the protection of workers, the public, and the
environment. The following specific waste management controls shall be part of the
radioactive waste management basis:

(1) Generators. The waste certification program.

III-2 DOE M 435.1-1
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(2) Treatment Facilities. certification program. The waste acceptance requirements

and the waste

(3) Storage Facilities. The waste acceptance requirements and the waste certification
program.

(4) Disposal Facilities. The performance assessment, disposal authorization

statement, waste acceptance requirements, and monitoring plan.

E. Contingency Actions. The following requirements are in addition to those in Chapter I of

this Manual.

(1) Contingency Storage. For off-normal or emergency situations involving liquid

transuranic waste storage or treatment, spare capacity with adequate capabilities
shall be maintained to receive the largest volume of liquid contained in any one
storage tank or treatment facility. Tanks or other facilities that are designated
transuranic waste contingency storage shall be maintained in an operational
condition when waste is present and shall meet the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.

(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the transfer
of liquid waste to contingency storage shall be maintained in an operational
condition when waste is present and shall meet the requirements of DOE O 435.1,
Radioactive Waste Management, and this Manual.

F. Corrective Actions. I of this Manual. The following requirements are in addition to those
in Chapter

(1) Order Compliance. Corrective actions shall be implemented whenever necessary

to ensure the requirements of DOE O 435.1, Radioactive Waste Management, and
this Manual are met.

(2) Operations Curtailment. Operations shall be curtailed or facilities shut down for
failure to establish, maintain, or operate consistent with an approved radioactive
waste management basis.

G. Waste Acceptance. The following requirements are in addition to those in Chapter I of

this Manual.

(1) Technical and Administrative. Waste acceptance requirements for all

transuranic waste storage, treatment, or disposal facilities, operations, and
activities shall specify, at a minimum, the following:

(a) Allowable activities and/or concentrations of specific radionuclides;

(b) Acceptable waste form and/or container requirements that ensure the
chemical and physical stability of waste under conditions that might be
encountered during transportation, storage, treatment, or disposal;
DOE M 435.1-1 III-3
7-9-99

(c) Restrictions or prohibitions on waste, materials, or containers that may

adversely affect waste handlers or compromise facility or waste container
performance;

(d) Requirement to identify transuranic waste as defense or non-defense, and

limitations on acceptance; and

(e) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be contained
in each facility’s waste acceptance documentation. Each exception request
shall be documented, including its disposition as approved or not
approved.

(2) Evaluation and Acceptance. The receiving facility shall evaluate waste for
acceptance, including confirmation that technical and administrative requirements
have been met. A process for the disposition of non-conforming wastes shall be
established.

H. Waste Generation Planning. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Life-Cycle Planning. Prior to waste generation, planning shall be performed to

address the entire life cycle for all transuranic waste streams.

(2) Waste with No Identified Path to Disposal. Transuranic waste streams with no
identified path to disposal shall be generated only in accordance with approved
conditions which, at a minimum, shall address:

(a) Programmatic need to generate the waste;

(b) Characteristics and issues preventing the disposal of the waste;

(c) Safe storage of the waste until disposal can be achieved; and

(d) Activities and plans for achieving final disposal of the waste.

I. Waste Characterization. Transuranic waste shall be characterized using direct or

indirect methods, and the characterization documented in sufficient detail to ensure safe
management and compliance with the waste acceptance requirements of the facility
receiving the waste.

(1) Data Quality Objectives. The data quality objectives process, or a comparable
process, shall be used for identifying characterization parameters and acceptable
uncertainty in characterization data.

(2) Minimum Waste Characterization. Characterization data shall, at a minimum,

include the following information relevant to the management of the waste:
III-4 DOE M 435.1-1
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(a) Physical and chemical characteristics;

(b) Volume, including the waste and any stabilization or absorbent media;

(c) Weight of the container and contents;

(d) Identities, activities, and concentrations of major radionuclides;

(e) Characterization date;

(f) Generating source;

(g) Packaging date; and

(h) Any other information which may be needed to prepare and maintain the
disposal facility performance assessment or demonstrate compliance with
applicable performance objectives.

J. Waste Certification. A waste certification program shall be developed, documented, and

implemented to ensure that the waste acceptance requirements of facilities receiving
transuranic waste for storage, treatment, or disposal are met.

(1) Certification Program. The waste certification program shall designate the
officials who have the authority to certify and release waste for shipment; and
specify what documentation is required for waste generation, characterization,
shipment, and certification. The program shall provide requirements for
auditability, retrievability, and storage of required documentation and specify the
records retention period.

(2) Certification before Transfer. Transuranic waste shall be certified as meeting

waste acceptance requirements before it is transferred to the facility receiving the
waste.

(3) Maintaining Certification. Transuranic waste that has been certified as meeting
the waste acceptance requirements for transfer to a storage, treatment, or disposal
facility shall be managed in a manner that maintains its certification status.

K. Waste Transfer. A documented process shall be established and implemented for

transferring responsibility for management of transuranic waste and for ensuring
availability of relevant data. The following requirements are in addition to those in
Chapter I of this Manual.

(1) Authorization. Transuranic waste shall not be transferred to a storage, treatment,

or disposal facility until personnel responsible for the facility receiving the waste
authorize the transfer.
DOE M 435.1-1 III-5
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(2) Data. Waste characterization data, container information, and generation, storage,
treatment, and transportation information for transuranic waste shall be
transferred with or be traceable to the waste.

L. Packaging and Transportation. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Packaging.

(a) Transuranic waste shall be packaged in a manner that provides

containment and protection for the duration of the anticipated storage
period and until disposal is achieved or until the waste is removed from
the container.

(b) Vents or other mechanisms to prevent pressurization of containers or

generation of flammable or explosive concentrations of gases shall be
installed on containers of newly-generated waste at the time the waste is
packaged. Containers of currently stored waste shall meet this requirement
as soon as practical unless analyses demonstrate that the waste can
otherwise be managed safely.

(c) When transuranic waste is packaged, defense waste shall be packaged

separately from non-defense waste, if feasible.

(d) Containers of transuranic waste shall be marked such that their contents
can be identified.

(2) Transportation. To the extent practical, the volume of waste and number of
transuranic waste shipments shall be minimized.

M. Site Evaluation and Facility Design. The following requirements are in addition to
those in Chapter I of this Manual.

(1) Site Evaluation. Proposed locations for transuranic waste facilities shall be
evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.

(a) Each site proposed for a new transuranic waste facility or expansion of an
existing transuranic waste facility shall be evaluated considering
environmental characteristics, geotechnical characteristics, and human
activities.

(b) Proposed sites with environmental characteristics, geotechnical

characteristics, and human activities for which adequate protection cannot
be provided through facility design shall be deemed unsuitable for the
location of the facility.
III-6 DOE M 435.1-1
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(2) Facility Design. The following facility requirements and general design criteria,
at a minimum, apply:

(a) Confinement. Transuranic waste systems and components shall be

designed to maintain waste confinement.

(b) Ventilation.

1 Design of transuranic waste treatment and storage facilities shall

include ventilation, if applicable, through an appropriate filtration
system to maintain the release of radioactive material in airborne
effluents within the requirements and guidelines specified in
applicable requirements.

2 When conditions exist for generating gases in flammable or

explosive concentrations in treatment or storage facilities,
ventilation or other measures shall be provided to keep the gases in
a non-flammable and non-explosive condition. Where
concentrations of explosive or flammable gases are expected to
approach the lower flammability limit, measures shall be taken to
prevent deflagration or detonation.

(c) Consideration of Decontamination and Decommissioning. Areas in new

and modifications to existing transuranic waste management facilities that
are subject to contamination with radioactive or other hazardous materials
shall be designed to facilitate decontamination. For such facilities a
proposed decommissioning method or a conversion method leading to
reuse shall be described.

(d) Instrumentation and Control Systems. Engineering controls shall be

incorporated in the design and engineering of transuranic waste treatment
and storage facilities to provide volume inventory data and to prevent
spills, leaks, and overflows from tanks or confinement systems.

(e) Monitoring. Monitoring and/or leak detection capabilities shall be

incorporated in the design and engineering of transuranic waste storage,
treatment, and disposal facilities to provide rapid identification of failed
confinement and/or other abnormal conditions.

N. Storage. The following requirements are in addition to those in Chapter I of this

Manual.

(1) Storage Prohibitions. Transuranic waste in storage shall not be readily capable
of detonation, explosive decomposition, reaction at anticipated pressures and
temperatures, or explosive reaction with water. Prior to storage, pyrophoric
materials shall be treated, prepared, and packaged to be nonflammable.
DOE M 435.1-1 III-7 (and III-8)
7-9-99

(2) Storage Integrity. Transuranic waste shall be stored in a location and manner
that protects the integrity of waste for the expected time of storage and minimizes
worker exposure.

(3) Container Inspection. A process shall be developed and implemented for

inspecting and maintaining containers of transuranic waste to ensure container
integrity is not compromised.

(4) Retrievable Earthen-Covered Storage. Plans for the removal of transuranic

waste from retrievable earthen-covered storage facilities shall be established and
maintained. Prior to commencing waste retrieval activities, each waste storage site
shall be evaluated to determine relevant information on types, quantities, and
location of radioactive and hazardous chemicals as necessary to protect workers
during the retrieval process.

O. Treatment. Transuranic waste shall be treated as necessary to meet the waste acceptance
requirements of the facility receiving the waste for storage or disposal.

P. Disposal. Transuranic waste shall be disposed in accordance with the requirements of 40

CFR Part 191, Environmental Radiation Protection Standards for Management and
Disposal of Spent Nuclear Fuel, High-Level and Transuranic Radioactive Wastes.

Q. Monitoring. The following requirements are in addition to those in Chapter I of this

Manual.

(1) All Waste Facilities. Parameters that shall be sampled or monitored, at a

minimum, include: temperature, pressure (for closed systems), radioactivity in
ventilation exhaust and liquid effluent streams, and flammable or explosive
mixtures of gases. Facility monitoring programs shall include verification that
passive and active control systems have not failed.

(2) Stored Wastes. All transuranic wastes in storage shall be monitored, as

prescribed by the appropriate facility safety analysis, to ensure the wastes are
maintained in safe condition.

(3) Liquid Waste Storage Facilities. For facilities storing liquid transuranic waste,
the following shall also be monitored: liquid level and/or waste volume, and
significant waste chemistry parameters.
DOE M 435.1-1 IV-1
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CHAPTER IV

LOW-LEVEL WASTE REQUIREMENTS

A. Definition of Low-Level Waste. Low-level radioactive waste is radioactive waste that is

not high-level radioactive waste, spent nuclear fuel, transuranic waste, byproduct
material (as defined in section 11e.(2) of the Atomic Energy Act of 1954, as amended),
or naturally occurring radioactive material.

B. Management of Specific Wastes. The following provide for management of specific

wastes as low-level waste in accordance with the requirements in this Chapter:

(1) Mixed Low-Level Waste. Low-level waste determined to contain both source,
special nuclear, or byproduct material subject to the Atomic Energy Act of 1954,
as amended, and a hazardous component subject to the Resource Conservation
and Recovery Act (RCRA), as amended, shall be managed in accordance with the
requirements of RCRA and DOE O 435.1, Radioactive Waste Management, and
this Manual.

(2) TSCA-Regulated Waste. Low-level waste containing polychlorinated biphenyls,

asbestos, or other such regulated toxic components shall be managed in
accordance with requirements derived from the Toxic Substances Control Act, as
amended, DOE O 435.1, Radioactive Waste Management, and this Manual.

(3) Accelerator-Produced Waste. Radioactive waste produced as a result of

operations of DOE accelerators is low-level waste and shall be managed in
accordance with DOE O 435.1, Radioactive Waste Management, and this Manual,
and all applicable Federal or State requirements.

(4) 11e.(2) and Naturally Occurring Radioactive Material. Small quantities of

11e.(2) byproduct material and naturally occurring radioactive material may be
managed as low-level waste provided they can be managed to meet the
requirements for low-level waste disposal in Section IV.P of this Manual.

C. Complex-Wide Low-Level Waste Management Program. A complex-wide program and

plan shall be developed as described under Responsibilities, 2.B and 2.D, in Chapter I of
this Manual.

D. Radioactive Waste Management Basis. Low-level waste facilities, operations, and

activities shall have a radioactive waste management basis consisting of physical and
administrative controls to ensure the protection of workers, the public, and the
environment. The following specific waste management controls shall be part of the
radioactive waste management basis:

(1) Generators. The waste certification program.

(2) Treatment Facilities. certification program. The waste acceptance requirements

and the waste
IV-2 DOE M 435.1-1
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(3) Storage Facilities. The waste acceptance requirements and the waste certification
program.

(4) Disposal Facilities. The performance assessment, composite analysis, disposal

authorization statement, closure plan, waste acceptance requirements, and
monitoring plan.

E. Contingency Actions. The following requirements are in addition to those in Chapter I of

this Manual.

(1) Contingency Storage. For off-normal or emergency situations involving high

activity or high hazard liquid low-level waste storage or treatment, spare capacity
with adequate capabilities shall be maintained to receive the largest volume of
liquid contained in any one storage tank or treatment facility. Tanks or other
facilities that are designated low-level waste contingency storage shall be
maintained in an operational condition when waste is present and shall meet the
requirements of DOE O 435.1, Radioactive Waste Management, and this Manual.

(2) Transfer Equipment. Pipelines and auxiliary facilities necessary for the transfer
of high activity or high hazard liquid low-level waste to contingency storage shall
be maintained in an operational condition when waste is present and shall meet
the requirements of DOE O 435.1, Radioactive Waste Management, and this
Manual.

F. Corrective Actions. I of this Manual. The following requirements are in addition to those
in Chapter

(1) Order Compliance. Corrective actions shall be implemented whenever necessary

to ensure the requirements of DOE O 435.1, Radioactive Waste Management, and
this Manual are met.

(2) Operations Curtailment. Operations shall be curtailed or facilities shut down

for failure to establish, maintain, or operate consistent with an approved
radioactive waste management basis.

G. Waste Acceptance. The following requirements are in addition to those in Chapter I of

this Manual.

(1) Technical and Administrative. Waste acceptance requirements for all low-level
waste storage, treatment, or disposal facilities, operations, and activities shall
specify, at a minimum, the following:

(a) Allowable activities and/or concentrations of specific radionuclides.

(b) Acceptable waste form and/or container requirements that ensure the
chemical and physical stability of waste under conditions that might be
encountered during transportation, storage, treatment, or disposal.
DOE M 435.1-1 IV-3
7-9-99

(c) Restrictions or prohibitions on waste, materials, or containers that may

adversely affect waste handlers or compromise facility or waste container
performance.

(d) The following are additional waste acceptance requirements that shall be
specified in low-level waste disposal facility waste acceptance
requirements:

1 Low-level waste must contribute to and not detract from achieving

long-term stability of the facility, minimizing the need for long-
term active maintenance, minimizing subsidence, and minimizing
contact of water with waste. Void spaces within the waste and, if
containers are used, between the waste and its container shall be
reduced to the extent practical.

2 Liquid low-level waste or low-level waste containing free liquid

must be converted into a form that contains as little freestanding
liquid as is reasonably achievable, but in no case shall the liquid
exceed 1 percent of the waste volume when the low-level waste is
in a disposal container, or 0.5 percent of the waste volume after it
is processed to a stable form.

3 Low-level waste must not be readily capable of detonation or of

explosive decomposition or reaction at anticipated pressures and
temperatures, or of explosive reaction with water. Pyrophoric
materials contained in waste shall be treated, prepared, and
packaged to be nonflammable.

4 Low-level waste must not contain, or be capable of generating by

radiolysis or biodegradation, quantities of toxic gases, vapors, or
fumes harmful to the public or workers or disposal facility
personnel, or harmful to the long-term structural stability of the
disposal site.

5 Low-level waste in a gaseous form must be packaged such that the

pressure does not exceed 1.5 atmospheres absolute at 20 C.

(e) The basis, procedures, and levels of authority required for granting
exceptions to the waste acceptance requirements, which shall be contained
in each facility’s waste acceptance documentation. Each exception request
shall be documented, including its disposition as approved or not
approved.

(2) Evaluation and Acceptance. The receiving facility shall evaluate waste for
acceptance, including confirmation that the technical and administrative
requirements have been met. A process for the disposition of non-conforming
wastes shall be established.
IV-4 DOE M 435.1-1
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H. Waste Generation Planning. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Life-Cycle Planning. Prior to waste generation, planning shall be performed to

address the entire life cycle for all low-level waste streams.

(2) Waste with No Identified Path to Disposal. Low-level waste streams with no
identified path to disposal shall be generated only in accordance with approved
conditions which, at a minimum, shall address:

(a) Programmatic need to generate the waste;

(b) Characteristics and issues preventing the disposal of the waste;

(c) Safe storage of the waste until disposal can be achieved; and

(d) Activities and plans for achieving final disposal of the waste.

I. Waste Characterization. Low-level waste shall be characterized using direct or indirect

methods, and the characterization documented in sufficient detail to ensure safe
management and compliance with the waste acceptance requirements of the facility
receiving the waste.

(1) Data Quality Objectives. The data quality objectives process, or a comparable
process, shall be used for identifying characterization parameters and acceptable
uncertainty in characterization data.

(2) Minimum Waste Characterization. Characterization data shall, at a minimum,

include the following information relevant to the management of the waste:

(a) Physical and chemical characteristics;

(b) Volume, including the waste and any stabilization or absorbent media;

(c) Weight of the container and contents;

(d) Identities, activities, and concentrations of major radionuclides;

(e) Characterization date;

(f) Generating source; and

(g) Any other information which may be needed to prepare and maintain the
disposal facility performance assessment, or demonstrate compliance with
applicable performance objectives.
DOE M 435.1-1 IV-5
7-9-99

J. Waste Certification. A waste certification program shall be developed, documented, and

implemented to ensure that the waste acceptance requirements of facilities receiving low-
level waste for storage, treatment, and disposal are met.

(1) Certification Program. The waste certification program shall designate the
officials who have the authority to certify and release waste for shipment; and
specify what documentation is required for waste generation, characterization,
shipment, and certification. The program shall provide requirements for
auditability, retrievability, and storage of required documentation and specify
the records retention period.

(2) Certification before Transfer. Low-level waste shall be certified as meeting

waste acceptance requirements before it is transferred to the facility receiving the
waste.

(3) Maintaining Certification. Low-level waste that has been certified as meeting
the waste acceptance requirements for transfer to a storage, treatment, or disposal
facility shall be managed in a manner that maintains its certification status.

K. Waste Transfer. A documented process shall be established and implemented for

transferring responsibility for management of low-level waste and for ensuring
availability of relevant data. The following requirements are in addition to those in
Chapter I of this Manual.

(1) Authorization. Low-level waste shall not be transferred to a storage, treatment,

or disposal facility until personnel responsible for the facility receiving the waste
authorize the transfer.

(2) Data. Waste characterization data, container information, and generation, storage,
treatment, and transportation information for low-level waste shall be transferred
with or be traceable to the waste.

L. Packaging and Transportation. The following requirements are in addition to those in

Chapter I of this Manual.

(1) Packaging. If containers are used:

(a) Low-level waste shall be packaged in a manner that provides containment

and protection for the duration of the anticipated storage period and until
disposal is achieved or until the waste has been removed from the
container.

(b) When waste is packaged, vents or other measures shall be provided if the
potential exists for pressurizing or generating flammable or explosive
concentrations of gases within the waste container.

(c) Containers of low-level waste shall be marked such that their contents can
be identified.
IV-6 DOE M 435.1-1
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(2) Transportation. To the extent practical, the volume of waste and number of low-
level waste shipments shall be minimized.

M. Site Evaluation and Facility Design. The following requirements are in addition to
those in Chapter I of this Manual.

(1) Site Evaluation. Proposed locations for low-level waste facilities shall be
evaluated to identify relevant features that should be avoided or must be
considered in facility design and analyses.

(a) Each site proposed for a new low-level waste facility or expansion of an
existing low-level waste facility shall be evaluated considering
environmental characteristics, geotechnical characteristics, and human
activities, including for a low-level waste disposal facility, the capability
of the site to demonstrate, at a minimum, whether it is:

1 Located to accommodate the projected volume of waste to be

received;

2 Located in a flood plain, a tectonically active area, or in the zone

of water table fluctuation; and

3 Located where radionuclide migration pathways are predictable

and erosion and surface runoff can be controlled.

(b) Proposed sites with environmental characteristics, geotechnical

characteristics, and human activities for which adequate protection cannot
be provided through facility design shall be deemed unsuitable for the
location of the facility.

(c) Low-level waste disposal facilities shall be sited to achieve long-term

stability and to minimize, to the extent practical, the need for active
maintenance following final closure.

(2) Low-Level Waste Treatment and Storage Facility Design. The following
facility requirements and general design criteria, at a minimum, apply:

(a) Confinement. Low-level waste systems and components shall be

designed to maintain waste confinement.

(b) Ventilation.

1 Design of low-level waste treatment and storage facilities shall

include ventilation, if applicable, through an appropriate filtration
system to maintain the release of radioactive material in airborne
effluents within the requirements and guidelines specified in
applicable requirements.
DOE M 435.1-1 IV-7
7-9-99

2 When conditions exist for generating gases in flammable or

explosive concentrations, ventilation systems or other measures
shall be provided to keep the gases in a non-flammable and non-
explosive condition. Where concentrations of explosive or
flammable gases are expected to approach the lower flammability
limit, measures shall be taken to prevent deflagration or
detonation.

(c) Consideration of Decontamination and Decommissioning. Areas in

new and modifications to existing low-level waste management facilities
that are subject to contamination with radioactive or other hazardous
materials shall be designed to facilitate decontamination. For such
facilities a proposed decommissioning method or a conversion method
leading to reuse shall be described.

(d) Instrumentation and Control Systems. Engineering controls shall be

incorporated in the design and engineering of low-level waste treatment
and storage facilities to provide volume inventory data and to prevent
spills, leaks, and overflows from tanks or confinement systems.

(e) Monitoring. Monitoring and/or leak detection capabilities shall be

incorporated in the design and engineering of low-level waste treatment
and storage facilities to provide rapid identification of failed confinement
and/or other abnormal conditions.

(3) Low-Level Waste Disposal Facility Design. The following facility requirements
and general design criteria, at a minimum, apply:

(a) Confinement. Low-level waste systems and components shall be

designed to maintain waste confinement.

(b) Ventilation.

1 Design of low-level waste disposal facilities shall include

ventilation, if applicable, through an appropriate filtration
system to maintain the release of radioactive material in
airborne effluents within the requirements and guidelines
specified in applicable requirements.

2 When conditions exist for generating gases in flammable or

explosive concentrations, ventilation systems or other
measures shall be provided to keep the gases in a non-
flammable and non-explosive condition. Where
concentrations of explosive or flammable gases are expected
to approach the lower flammability limit, measures shall be
taken to prevent deflagration or detonation.
IV-8 DOE M 435.1-1
7-9-99

(c) Stability. Low-level waste disposal facilities shall be designed to achieve

long-term stability and to minimize to the extent practical, the need for
active maintenance following final closure.

(d) Control of Water. Low-level waste disposal facilities shall be designed to

minimize to the extent practical, the contact of waste with water during
and after disposal.

N. Storage and Staging. The following requirements are in addition to those in Chapter I of
this Manual.

(1) Storage Prohibitions. Low-level waste in storage shall not be readily capable of
detonation, explosive decomposition, reaction at anticipated pressures and
temperatures, or explosive reaction with water. Prior to storage, pyrophoric
materials shall be treated, prepared, and packaged to be nonflammable.

(2) Storage Limit. Low-level waste that has an identified path to disposal shall not
be stored longer than one year prior to disposal, except for storage for decay, or as
otherwise authorized by the Field Element Manager.

(3) Storage Integrity. Low-level waste shall be stored in a location and manner that
protects the integrity of waste for the expected time of storage and minimizes
worker exposure.

(4) Waste Characterization for Storage.

(a) Low-level waste that does not have an identified path to disposal shall be
characterized as necessary to meet the data quality objectives and
minimum characterization requirements of this Chapter, to ensure safe
storage, and to facilitate disposal.

(b) Characterization information for all low-level waste in storage shall be

maintained as a record in accordance with the requirements for Records
Management in Chapter I of this Manual.

(5) Container Inspection. A process shall be developed and implemented for

inspecting and maintaining containers of low-level waste to ensure container
integrity is not compromised.

(6) Storage Management. Low-level waste storage shall be managed to identify and
segregate low-level waste from mixed low-level waste.

(7) Staging. Staging of low-level waste shall be for the purpose of the accumulation
of such quantities of waste as necessary to facilitate transportation, treatment, and
disposal. Staging longer than 90 days shall meet the requirements for storage
above and in Chapter I of this Manual.
DOE M 435.1-1 IV-9
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O. Treatment. Low-level waste treatment to provide more stable waste forms and to improve
the long-term performance of a low-level waste disposal facility shall be implemented as
necessary to meet the performance objectives of the disposal facility.

P. Disposal. Low-level waste disposal facilities shall meet the following requirements.

(1) Performance Objectives. Low-level waste disposal facilities shall be sited,

designed, operated, maintained, and closed so that a reasonable expectation exists
that the following performance objectives will be met for waste disposed of after
September 26, 1988:

(a) Dose to representative members of the public shall not exceed 25 mrem
(0.25 mSv) in a year total effective dose equivalent from all exposure
pathways, excluding the dose from radon and its progeny in air.

(b) Dose to representative members of the public via the air pathway shall not
exceed 10 mrem (0.10 mSv) in a year total effective dose equivalent,
excluding the dose from radon and its progeny.
2
(c) Release of radon shall be less than an average flux of 20 pCi/m /s (0.74
2
Bq/m /s) at the surface of the disposal facility. Alternatively, a limit of 0.5
pCi/1 (0.0185 Bq/l) of air may be applied at the boundary of the facility.

(2) Performance Assessment. A site-specific radiological performance assessment

shall be prepared and maintained for DOE low-level waste disposed of after
September 26, 1988. The performance assessment shall include calculations for a
1,000 year period after closure of potential doses to representative future
members of the public and potential releases from the facility to provide a
reasonable expectation that the performance objectives identified in this Chapter
are not exceeded as a result of operation and closure of the facility.

(a) Analyses performed to demonstrate compliance with the performance

objectives in this Chapter, and to establish limits on concentrations of
radionuclides for disposal based on the performance measures for
inadvertent intruders in this Chapter shall be based on reasonable activities
in the critical group of exposed individuals. Unless otherwise specified,
the assumption of average living habits and exposure conditions in
representative critical groups of individuals projected to receive the
highest doses is appropriate. The likelihood of inadvertent intruder
scenarios may be considered in interpreting the results of the analyses and
establishing radionuclide concentrations, if adequate justification is
provided.

(b) The point of compliance shall correspond to the point of highest projected
dose or concentration beyond a 100 meter buffer zone surrounding the
IV-10 DOE M 435.1-1
7-9-99

disposed waste. A larger or smaller buffer zone may be used if adequate

justification is provided.

(c) Performance assessments shall address reasonably foreseeable natural

processes that might disrupt barriers against release and transport of
radioactive materials.

(d) Performance assessments shall use DOE-approved dose coefficients (dose

conversion factors) for internal and external exposure of reference adults.

(e) The performance assessment shall include a sensitivity/uncertainty

analysis.

(f) Performance assessments shall include a demonstration that projected

releases of radionuclides to the environment shall be maintained as low as
reasonably achievable (ALARA).

(g) For purposes of establishing limits on radionuclides that may be disposed

of near-surface, the performance assessment shall include an assessment
of impacts to water resources.

(h) For purposes of establishing limits on the concentration of radionuclides

that may be disposed of near-surface, the performance assessment shall
include an assessment of impacts calculated for a hypothetical person
assumed to inadvertently intrude for a temporary period into the low-level
waste disposal facility. For intruder analyses, institutional controls shall be
assumed to be effective in deterring intrusion for at least 100 years
following closure. The intruder analyses shall use performance measures
for chronic and acute exposure scenarios, respectively, of 100 mrem (1
mSv) in a year and 500 mrem (5 mSv) total effective dose equivalent
excluding radon in air.

(3) Composite Analysis. For disposal facilities which received waste after September
26, 1988, a site-specific radiological composite analysis shall be prepared and
maintained that accounts for all sources of radioactive material that may be left at
the DOE site and may interact with the low- level waste disposal facility,
contributing to the dose projected to a hypothetical member of the public from the
existing or future disposal facilities. Performance measures shall be consistent
with DOE requirements for protection of the public and environment and
evaluated for a 1,000 year period following disposal facility closure. The
composite analysis results shall be used for planning, radiation protection
activities, and future use commitments to minimize the likelihood that current
low- level waste disposal activities will result in the need for future corrective or
remedial actions to adequately protect the public and the environment.

(4) Performance Assessment and Composite Analysis Maintenance. The

performance assessment and composite analysis shall be maintained to evaluate
DOE M 435.1-1 IV-11
7-9-99

changes that could affect the performance, design, and operating bases for the
facility. Performance assessment and composite analysis maintenance shall
include the conduct of research, field studies, and monitoring needed to address
uncertainties or gaps in existing data. The performance assessment shall be
updated to support the final facility closure. Additional iterations of the
performance assessment and composite analysis shall be conducted as necessary
during the post-closure period.

(a) Performance assessments and composite analyses shall be reviewed and

revised when changes in waste forms or containers, radionuclide
inventories, facility design and operations, closure concepts, or the
improved understanding of the performance of the waste disposal facility
in combination with the features of the site on which it is located alter the
conclusions or the conceptual model(s) of the existing performance
assessment or composite analysis.

(b) A determination of the continued adequacy of the performance assessment

and composite analysis shall be made on an annual basis, and shall
consider the results of data collection and analysis from research, field
studies, and monitoring.

(c) Annual summaries of low-level waste disposal operations shall be

prepared with respect to the conclusions and recommendations of the
performance assessment and composite analysis and a determination of
the need to revise the performance assessment or composite analysis.

(5) Disposal Authorization. A disposal authorization statement shall be obtained

prior to construction of a new low-level waste disposal facility. Field Elements
with existing low-level waste disposal facilities shall obtain a disposal
authorization statement in accordance with the schedule in the Complex-Wide
Low-Level Waste Management Program Plan. The disposal authorization
statement shall be issued based on a review of the facility’s performance
assessment, composite analysis, performance assessment and composite analysis
maintenance, preliminary closure plan, and preliminary monitoring plan. The
disposal authorization statement shall specify the limits and conditions on
construction, design, operations, and closure of the low-level waste facility based
on these reviews. A disposal authorization statement is a part of the radioactive
waste management basis for a disposal facility. Failure to obtain a disposal
authorization statement by the implementation date of this Order shall result in
shutdown of the disposal facility.

(6) Disposal Facility Operations. The disposal facility design and operation
must be consistent with the disposal facility closure plan and lead to
disposal facility closure that provides a reasonable expectation that
performance objectives will be met. Low-level waste shall be disposed in
such a manner that achieves the performance objectives stated in this
IV-12 DOE M 435.1-1
7-9-99

Chapter, consistent with the disposal facility radiological performance

assessment. Additional requirements include:

(a) Operating procedures shall be developed and implemented for low-level

waste disposal facilities that protect the public, workers, and the
environment; ensure the security of the facility; minimize subsidence
during and after waste emplacement; achieve long-term stability and
minimize the need for long-term active maintenance; and meet the
requirements of the closure/post-closure plan.

(b) Permanent identification markers for disposal excavations and monitoring

wells shall be emplaced.

(c) Low-level waste placement into disposal units shall minimize voids
between waste containers. Voids within disposal units shall be filled to the
extent practical. Uncontainerized bulk waste shall also be placed in a
manner that minimizes voids and subsidence.

(d) Operations are to be conducted so that active waste disposal operations

will not have an adverse effect on any other disposal units.

(e) Operations shall include a process for tracking and documenting low-level
waste placement in the facility by generator source.

(7) Alternate Requirements for Low-Level Waste Disposal Facility Design and
Operation. Requirements other than those set forth in this Section for the design
and operation of a low-level waste disposal facility may be approved on a specific
basis if a reasonable expectation is demonstrated that the disposal performance
objectives will be met.

Q. Closure. The following requirements are in addition to those in Chapter I of this Manual.

(1) Disposal Facility Closure Plans. A preliminary closure plan shall be developed
and submitted to Headquarters for review with the performance assessment and
composite analysis. The closure plan shall be updated following issuance of the
disposal authorization statement to incorporate conditions specified in the
disposal authorization statement. Closure plans shall:

(a) Be updated as required during the operational life of the facility.

(b) Include a description of how the disposal facility will be closed to achieve
long-term stability and minimize the need for active maintenance
following closure and to ensure compliance with the requirements of DOE
5400.5, Radiation Protection of the Public and the Environment.

(c) Include the total expected inventory of wastes to be disposed of at the

facility over the operational life of the facility.
DOE M 435.1-1 IV-13
7-9-99

(2) Disposal Facility Closure. Closure of a disposal facility shall occur within a five-
year period after it is filled to capacity, or after the facility is otherwise
determined to be no longer needed.

(a) Prior to facility closure, the final inventory of the low-level waste disposed
in the facility shall be prepared and incorporated in the performance
assessment and composite analysis which shall be updated to support the
closure of the facility.

(b) A final closure plan shall be prepared based on the final inventory of
waste disposed in the facility, the plan implemented, and the updated
performance assessment and composite analysis prepared in support of the
facility closure.

(c) Institutional control measures shall be integrated into land use and
stewardship plans and programs, and shall continue until the facility can
be released pursuant to DOE 5400.5, Radiation Protection of the Public
and the Environment.

(d) The location and use of the facility shall be filed with the local authorities
responsible for land use and zoning.

R. Monitoring. The following requirements are in addition to those in Chapter I of this

Manual.

(1) All Waste Facilities. Parameters that shall be sampled or monitored, at a

minimum, include: temperature, pressure (for closed systems), radioactivity in
ventilation exhaust and liquid effluent streams, and flammable or explosive
mixtures of gases. Facility monitoring programs shall include verification that
passive and active control systems have not failed.

(2) Liquid Waste Storage Facilities. For facilities storing liquid low-level waste, the
following shall also be monitored: liquid level and/or waste volume, and
significant waste chemistry parameters.

(3) Disposal Facilities. A preliminary monitoring plan for a low-level waste disposal
facility shall be prepared and submitted to Headquarters for review with the
performance assessment and composite analysis. The monitoring plan shall be
updated within one year following issuance of the disposal authorization
statement to incorporate and implement conditions specified in the disposal
authorization statement.

(a) The site-specific performance assessment and composite analysis shall be

used to determine the media, locations, radionuclides, and other
substances to be monitored.
IV-14 DOE M 435.1-1
7-9-99

(b) The environmental monitoring program shall be designed to include

measuring and evaluating releases, migration of radionuclides, disposal
unit subsidence, and changes in disposal facility and disposal site
parameters which may affect long-term performance.

(c) The environmental monitoring programs shall be capable of detecting

changing trends in performance to allow application of any necessary
corrective action prior to exceeding the performance objectives in this
Chapter.
DOE M 435.1-1 Attachment 1
7-9-99 Page 1

DEFINITIONS

As used in the DOE 435.1 directives, the following terms have the meanings indicated.

1. AUTHORIZATION BASIS. Those aspects of the facility design basis and operational
requirements relied upon by DOE to authorize operation. They are considered to be
important to the safety of the facility operations. The authorization basis is described in
documents such as the facility Safety Analysis Report and other safety analysis; Hazard
Classification Documents, Technical Safety Requirements, DOE-issued safety evaluation
reports, and facility-specific commitments made in order to comply with DOE Orders or
policies. [Adapted from: DOE Glossary, DOE 5480.21 and DOE 5480.23]

2. BYPRODUCT MATERIAL. (1) Any radioactive material (except special nuclear

material) yielded in or made radioactive by exposure to the radiation incident to the
process of producing or utilizing special nuclear material, and (2) the tailings or wastes
produced by the extraction or concentration of uranium or thorium from any ore
processed primarily for its source material content. [Source: Atomic Energy Act of 1954,
as amended, section 11(e)]

3. CANISTERED WASTE FORM. High-level waste form in a sealed canister. [Source:

EMWAPS, DOE/EM-0093]

4. CLOSURE. Deactivation and stabilization of a radioactive waste facility intended for

long-term confinement of waste. [No other source of definition identified]

5. COMPOSITE ANALYSIS. An analysis that accounts for all sources of radioactive

material that may contribute to the long-term dose projected to a hypothetical member of
the public from an active or planned low-level waste disposal facility. The analysis is a
planning tool intended to provide a reasonable expectation that current low-level waste
disposal activities will not result in the need for future corrective or remedial actions to
ensure protection of the public and the environment. [Adapted from: Revised Interim
DOE Policy on Management Direction and Oversight of Low-Level Radioactive Waste
Management Disposal]

6. CONFINEMENT. The control or retention of radioactive materials within a designated

boundary. Primary confinements are process enclosures and other spaces normally
containing radioactive material. Secondary confinement surrounds one or more primary
confinement systems. [Adapted from: DOE 6430.1A]

7. CONTAINER. See WASTE CONTAINER.

8. DEACTIVATED HIGH-LEVEL WASTE FACILITY. A high-level waste facility that

has been put into a stable condition through the removal of readily retrievable hazardous
and radioactive materials to protect the worker, public health and safety, and the
environment, thereby limiting the long-term cost of surveillance and maintenance. A
facility in a deactivated status has not had all necessary decontamination performed, e.g.,
Attachment 1 DOE M 435.1-1
Page 2 7-9-99

removal of contamination remaining in fixed structures and equipment after deactivation.

[Adapted from: DOE O 430.1A]

9. DEFENSE-IN-DEPTH. The practice of using physical systems and administrative

systems in a structure of mutual reenforcement to avoid exposure of the public, the
workforce, and the environment to nuclear radiation and to radioactive materials.
[Source: DNFSB/TECH6]

10. DEPARTMENTAL ELEMENTS. First-tier organizations at Headquarters and in the

Field. First-tier at Headquarters is the Secretary, Deputy Secretary, Under Secretary, and
Secretarial Officers (Assistant Secretaries and Staff Office Directors). First-tier in the
Field is Managers of the eight Operations Offices, Managers of the three Field Offices,
and the Administrators of the Power Marketing Administrations. Headquarters and Field
Elements are described as follows: (1) Headquarters Elements are DOE organizations
located in the Washington, DC, Metropolitan Area; and (2) Field Elements is a general
term for all DOE sites (excluding individual duty stations) located outside of the
Washington, DC, Metropolitan Area. [Source: DOE Glossary]

11. DESIGN BASIS. Information that identifies the specific functions to be performed by a
structure, system, or component of a facility, and the specific values or range of values
chosen for controlling parameters as reference bounds of design. These values may be (1)
restraints derived from generally accepted “state of the art” practices for achieving
functional goals, or (2) requirements derived from analyses (based on calculations and/or
experiments) of the effects of a postulated accident for which a structure, system, or
component must meet its functional goals. [Adapted from: 10 CFR Part 50]

12. DISPOSAL. Emplacement of waste in a manner that ensures protection of the public,
workers, and the environment with no intent of retrieval and that requires deliberate
action to regain access to the waste. [Adapted from: DOE 5820.2A]

13. DISPOSAL AUTHORIZATION STATEMENT. Documentation authorizing operation

(or continued operation) of a low-level waste disposal facility resulting from the DOE
Headquarters review and acceptance of the facility’s performance assessment, composite
analysis, and other information and evaluations. The disposal authorization statement
constitutes approval of the performance assessment and composite analysis, authorizes
operation of the facility, and includes conditions the disposal facility must meet.
[Adapted from: Revised Interim DOE Policy Management Direction and Oversight of
Low-Level Radioactive Waste Management and Disposal]

14. DISPOSITION. Those activities that follow generation of a waste and which constitute
completion of the life cycle of management of the waste, including, but not limited to,
stabilization, deactivation, disposal, decommissioning, dismantlement, and/or reuse.
[Adapted from: DOE O 430.1]

15. EFFLUENT. Any treated or untreated air emission or liquid discharge at a DOE site or
from a DOE facility. [Source: DOE 5400.1]
DOE M 435.1-1 Attachment 1
7-9-99 Page 3

16. FACILITY. See RADIOACTIVE WASTE MANAGEMENT FACILITY.

17. FIELD ELEMENT. See DEPARTMENTAL ELEMENTS.

18. FIELD ELEMENT MANAGER. See DEPARTMENTAL ELEMENTS.

19. GENERATOR. Organizations within DOE or managed by DOE whose act or process
produces radioactive waste or, for the purposes of the generator requirements in this
Order and Manual, transfer radioactive waste to a treatment, storage, or disposal facility.
[Adapted from: 40 CFR Part 270]

20. GRADED APPROACH. A process by which the level of analysis, documentation, and
actions necessary to comply with a requirement are commensurate with (1) the relative
importance to safety, safeguards, and security; (2) the magnitude of any hazard involved;
(3) the life cycle stage of a facility; (4) the programmatic mission of a facility; (5) the
particular characteristics of a facility; and (6) any other relevant factor. [Source: 10 CFR
830.3]

21. HAZARD. A source of danger (i.e., material, energy source, or operation) with the
potential to cause illness, injury, or death to personnel or damage to an operation or to the
environment (without regard for the likelihood or credibility of accident scenarios or
consequence mitigation). [Source: DOE M 411.1-1]

22. HIGH-LEVEL WASTE. High-level waste is the highly radioactive waste material
resulting from the reprocessing of spent nuclear fuel, including liquid waste produced
directly in reprocessing and any solid material derived from such liquid waste that
contains fission products in sufficient concentrations; and other highly radioactive
material that is determined, consistent with existing law, to require permanent isolation.
[Adapted from: Nuclear Waste Policy Act of 1982, as amended]

23. LESSONS LEARNED. The process for communicating a “good work practice” or
innovative approach that should be implemented or an adverse work practice or
experience that should be avoided. [Adapted from: DOE M 232.1-1A]

24. LIFE CYCLE. The life of a waste from generator planning through generation, storage,
treatment, and disposal. [Adapted from: DOE O 430.1A]

25. LOW-LEVEL WASTE. Low-level radioactive waste is radioactive waste that is not high-
level radioactive waste, spent nuclear fuel, transuranic waste, byproduct material (as
defined in section 11e.(2) of the Atomic Energy Act of 1954, as amended), or naturally
occurring radioactive material. [Adapted from: Nuclear Waste Policy Act of 1982, as
amended]

26. MAINTENANCE. Day-to-day work, including preventive and predictive maintenance,

that is required to maintain and preserve plant and capital equipment in a condition
suitable for it to be used for its designated purpose. [Source: DOE O 430.1A]
Attachment 1 DOE M 435.1-1
Page 4 7-9-99

27. MIXED WASTE. Waste that contains both source, special nuclear, or by-product
material subject to the Atomic Energy Act of 1954, as amended, and a hazardous
component subject to the Resource Conservation and Recovery Act. [Adapted from:
Federal Facility Compliance Act of 1992]

28. NATURALLY OCCURRING RADIOACTIVE MATERIAL (NORM). Naturally

occurring materials not regulated under the Atomic Energy Act of 1954, as amended
whose composition, radionuclide concentrations, availability, or proximity to man have
been increased by or as a result of human practices. NORM does not include the natural
radioactivity of rocks or soils, or background radiation. [Adapted from: January 1997
Draft Part N, Regulation and Licensing of Naturally Occurring Radioactive Material,
Conference of Radiation Control Program Directors, Inc.]

29. NEAR SURFACE DISPOSAL. Disposal of radioactive waste on or near the earth’s
surface. The term encompasses a wide range of methods, including disposal in earthen
trenches several meters deep, disposal in engineered structures constructed on or below
the surface, and disposal in structures or rock caverns tens of meters below the earth’s
surface. Near surface disposal does not include disposal in a deep geologic repository.
[Adapted from: IAEA Safety Standard No. 111-S-3]

30. NECESSARY AND SUFFICIENT PROCESS. The sets of standards which are the
product of the “Necessary and Sufficient Process” of DOE M 450.3-1. That process
establishes the sets of agreed upon standards to ensure adequate protection of the safety
and health of workers and the public and the protection of the environment against the
hazards associated with performing the work of the Department of Energy. [Adapted
from: DOE G 450.3-1]

31. OVERSIGHT. The responsibility and authority assigned to line management to assess the
adequacy of DOE and contractor performance. Independent Oversight refers to the
responsibility and authority assigned to the Assistant Secretary for Environment, Safety
and Health to independently assess the adequacy of DOE and contractor performance.
[Adapted from: DOE M 411.1-1]

32. PERFORMANCE ASSESSMENT. An analysis of a radioactive waste disposal facility

conducted to demonstrate there is a reasonable expectation that performance objectives
established for the long-term protection of the public and the environment will not be
exceeded following closure of the facility. [Adapted from: DOE 5820.2A]

33. PROGRAM SECRETARIAL OFFICER. Head of a Departmental Element who has

responsibility for a specific program or facility(ies). These include the Assistant
Secretaries for Defense Programs, Energy Efficiency and Renewable Energy,
Environmental Management, and Fossil Energy; and the Directors of the Offices of
Civilian Radioactive Waste Management, Science, and Nuclear Energy; and (2) a
Cognizant Secretarial Officer is a DOE official at the Assistant Secretary level who is
responsible for the assignment of work, the institutional overview of any type of facility,
or both, and the management oversight of a laboratory. [Source: DOE M 232.1-1A]
DOE M 435.1-1 Attachment 1
7-9-99 Page 5

34. RADIOACTIVE MIXED WASTE. See MIXED WASTE.

35. RADIOACTIVE WASTE. Any garbage, refuse, sludges, and other discarded material,
including solid, liquid, semisolid, or contained gaseous material that must be managed for
its radioactive content. [Adapted from: 40 CFR Part 240]

36. RADIOACTIVE WASTE MANAGEMENT BASIS. The radioactive waste management

controls applied to DOE facilities, operations, and activities to provide near- and long-
term protection of public, workers, and the environment. The radioactive waste
management basis consists of controls and analyses such as facility waste certification
programs, facility waste acceptance requirements, low-level waste disposal facility
closure plans, performance assessments, composite analyses, and other facility-specific
processes, procedures, and analyses made to comply with DOE O 435.1 and its Manual.
[No other source of definition identified]

37. RADIOACTIVE WASTE MANAGEMENT FACILITY/OPERATIONS/ACTIVITIES.

All land, structures, other appurtenances, and improvements on the land which generate,
treat, store, or dispose of radioactive waste, and the operations and activities associated
therewith. [Adapted from: DOE 5820.2A]

38. RECORD. A completed document or other medium that provides objective evidence of
an item, service, or process. [Source: 10 CFR 830.3]

39. RELEASE. Any discharging, dumping, emitting, emptying, escaping, injecting, leaching,
leaking, pouring, pumping, spilling of radioactive substances into the environment
including abandoning any type of receptacle containing radioactive substances, but does
not include disposal in a permitted disposal facility. [Adapted from: DOE Glossary]

40. RELEASE OF WASTE. The exercising of DOE’s authority to release property that has
been declared waste from its control after confirming that residual radioactive material on
the waste has been determined to meet the guidelines for residual radioactive material in
accordance with DOE 5400.5, Radiation Protection of the Public and the Environment,
and other applicable radiological requirements. [Adapted from: DOE 5400.5]

41. SITE. A geographic entity comprising leased or owned land, buildings, and other
structures required to perform program activities. [Source: DOE O 430.1A]

42. SOURCE MATERIAL. (1) Uranium or thorium, or any combination thereof, in any
physical or chemical form or (2) ores which contain by weight one-twentieth of one
percent (0.05%) or more of (i) uranium, (ii) thorium or (iii) any combination thereof.
Source material does not include special nuclear material. [Source: 10 CFR Part 40]

43. SPECIAL NUCLEAR MATERIAL. (1) Plutonium, uranium enriched in the isotope 233
or in the isotope 235, and any other material which is determined, pursuant to the
provisions of section 51 [of the Atomic Energy Act of 1954, as amended], to be special
nuclear material, but does not include source material; or (2) any material artificially
Attachment 1 DOE M 435.1-1
Page 6 7-9-99

enriched by any of the foregoing, but does not include source material. [Source: Atomic
Energy Act of 1954, as amended]

44. SPENT NUCLEAR FUEL. Fuel that has been withdrawn from a nuclear reactor
following irradiation, the constituent elements of which have not been separated by
reprocessing. Test specimens of fissionable material irradiated for research and
development only, and not production of power or plutonium, may be classified as waste,
and managed in accordance with the requirements of this Order when it is technically
infeasible, cost prohibitive, or would increase worker exposure to separate the remaining
test specimens from other contaminated material. [Adapted from: DOE 5820.2A]

45. STAGING. Storing waste for the purpose of accumulation to facilitate transportation
transfer, treatment and/or disposal. [Adapted from: Surplus Plutonium Disposition Draft
Environmental Impact Statement, July 1998]

46. STORAGE. The holding of radioactive waste for a temporary period, at the end of which
the waste is treated, disposed of, or stored elsewhere. [Adapted from: 40 CFR Part 260]

47. STORAGE FOR DECAY. Storage of radioactive waste for a period of time sufficient for
radionuclide(s) of concern to be reduced in concentration, by radioactive decay, to a level
of lower concern. [Source: DOE 5820.2A]

48. SYSTEMS ENGINEERING. A total systematic approach for the development of systems
in response to a defined need. It involves a comprehensive, structured and disciplined
approach to all life-cycle phases. Systems Engineering employs a multi-discipline team to
iteratively define and refine solutions to problems throughout the system life cycle.
Preferred alternatives are selected based on cost, schedule, performance and risk.
Management of risk is integral to the process. Progressive verification, from individual
components up through the total system, is required. [Source: EIA-632, Systems
Engineering]

49. TRANSURANIC WASTE. Transuranic waste is radioactive waste containing more than
100 nanocuries (3700 becquerels) of alpha-emitting transuranic isotopes per gram of
waste, with half-lives greater than 20 years, except for: (1) high-level radioactive waste;
(2) waste that the Secretary of Energy has determined, with the concurrence of the
Administrator of the Environmental Protection Agency, does not need the degree of
isolation required by the 40 CFR Part 191 disposal regulations; or (3) waste that the
Nuclear Regulatory Commission has approved for disposal on a case-by-case basis in
accordance with 10 CFR Part 61. [Source: WIPP Land Withdrawal Act of 1992, as
amended]

50. TREATMENT. Any method, technique, or process designed to change the physical or
chemical character of waste to render it: less hazardous; safer to transport, store, or
dispose of; or reduce its volume. [Source: DOE 5820.2A]
DOE M 435.1-1 Attachment 1
7-9-99 Page 7 (and Page 8)

51. WASTE ACCEPTANCE CRITERIA (WAC). Waste acceptance criteria are the technical
and administrative requirements that a waste must meet in order for it to be accepted at a
storage, treatment, or disposal facility. [Adapted from: DOE 5820.2A]

52. WASTE ACCEPTANCE REQUIREMENTS. Waste acceptance requirements are waste

acceptance criteria, and all other requirements that a facility receiving radioactive waste
for storage, treatment, or disposal must meet to receive waste (e.g., waste acceptance
program requirements, receiving facility operations manual). [Adapted from: DOE O
5820.2A]

53. WASTE CHARACTERIZATION. The identification of waste composition and

properties, by review of acceptable knowledge (which includes process knowledge), or
by nondestructive examination, nondestructive assay, or sampling and analysis, to
comply with applicable storage, treatment, handling, transportation, and disposal
requirements. [Adapted from: DOE Glossary (“Characterization” definition) and Federal
Register, Vol. 62, No. 224]

54. WASTE CERTIFICATION. A process by which a waste generator affirms that a given
waste or waste stream meets the waste acceptance criteria of the facility to which the
generator intends to transfer waste for treatment, storage, or disposal. [Adapted from:
DOE 5820.2A]

55. WASTE CONTAINER. A receptacle for waste, including any liner, shielding, or
material that is intended to accompany the waste in disposal. [Adapted from: DOE
5820.2A]

56. WASTE MANAGEMENT. The planning, coordination, and direction of those functions
related to generation, handling, treatment, storage, transportation, and disposal of waste,
as well as associated surveillance and maintenance activities. [Source: DOE 5820.2A]

57. WASTE STREAM. A waste or group of wastes from a process or a facility with similar
physical, chemical, or radiological properties. [Adapted from: DOE 5820.2A]
U.S. Department of Energy PAGE CHANGE
Washington, D.C.
DOE M 435.1-1 Chg 1

06-19-01

SUBJECT: RADIOACTIVE WASTE MANAGEMENT MANUAL

1 PURPOSE. To transmit revised pages to DOE M 435.1-1, RADIOACTIVE WASTE

MANAGEMENT MANUAL, dated 7-09-99.

2 EXPLANATION OF CHANGE. To remove in DOE M 435.1-1, RADIOACTIVE

WASTE MANAGEMENT MANUAL, the requirement that Headquarters is to be
notified and the Office of Environment, Safety and Health consulted for exemptions for
use of non-DOE treatment facilities. This change decreases paperwork and time
necessary to process exemptions for the use of non DOE treatment and storage facilities.
Exemptions will still be required for the use of non-DOE waste management facilities,
but only disposal exemptions will require Headquarters notification and EH consultation.

3 FILING INSTRUCTIONS.

Remove Dated Insert Dated

I-9 & I-10 7-09-99 I-9 & I-10 6-19-01

After filing the attached pages, this transmittal may be discarded.

BY ORDER OF THE SECRETARY OF ENERGY

FRANCIS S. BLAKE
Deputy Secretary