WBS: 1.2.12QA: N/A

Civilian Radioactive Waste Management SystemManagement and Operating Contractor

Licensing Support System (LSS)Phase 2 Functional Requirements

DraftJune 1, 1995

Revision 0

Prepared for:

U.S. Department of EnergyOffice of Civilian Radioactive Waste Management

1000 Independence Avenue, S.W.Washington, DC 20585

Prepared by:

TRW Environmental Safety Systems Inc.2650 Park Tower Drive

Suite 800Vienna, VA 22180

Under Contract NumberDE-ACOI-91RW00134

Draft June 1, 1995

EXECUTIVE SUMMARY

The LSS rule in 10 CFR 2 Subpart J mandates the Licensing Support System as an electronicinformation system to facilitate the discovery process and the motions process of the licenseproceedings under the Civilian Radioactive Waste Management Program. It gives the U.S.Department of Energy the responsibility to design and develop the LSS, and the NuclearRegulatory Commission the responsibility to operate the system.

This document specifies the functional, performance, availability and security requirements ofthe Licensing Support System (LSS). It embodies the higher level requirements of the Phase 1LSS Requirements Document, and is intended to stand alone as a description of LSScapabilities which DOE will implement.

The LSS will provide automated search of document headers and full text, and retrieval ofdocument headers, text and electronic images in support of the discovery process. Access willbe provided at multiple locations (listed in Section 9), including public reading rooms. Inaddition dial-in access will be provided. The LSS will also facilitate the proceedings byproviding electronic messaging for the rapid delivery of filings (motions, service, etc.). Theofficial record material in the LSS will provide an electronic docket of the proceedings,including the daily transcripts generated during the hearings.

Most of the documentary material in the LSS will be submitted by LSS parties in electronicformat and imported into the LSS. In addition, the LSS will provide scanning and image-to-text conversion capability to allow the capture of material in paper format.

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Table of Contents

1.0 INTRODUCTION .......................................... 11.1 Purpose of Document: Clarify, Scope, and Bound Requirements .... ...... 11.2 Document Organization ........... j;.e ........................ 21.3 Relationship Between Requirements and SystemDesign .... ............ 31.4 Requirements Statement Format ............................... 3

2.0 ISS CONCEPT OF OPERATIONS .............................. 52.1 Introduction ............................................. 5

2.1.1 The ILSS Mission ........................ 52.1.2 Summary of LSS Functionality ..................... .52.1.3 ISS Users ........................ 6

2.2 LSS Completion and Turn-over to the NRC .............. . 92.3 1SS In Operation . ....................................... 10

3.0 PRIUMARY LSS FUNCTIONAL REQUIREMNT .................. . 153.1 Document Capture ................. ....................... 153.2 Document Storage .............. .......................... 193.3 Document Search and Retrieval ............................... 203.4 Electronic Message Transfer ................................. 233.5 Official Record Material .......... .......................... 25

4.0 SYSTEMADMINISTRATIONREQUIREMENTS ................... 264.1 System Administration ........... .......................... 264.2 End-User System Access .......... .......................... 27

5.0 SECURITY AND DATA INTEGRITY REQUIREMENTS .... .......... 285.1 System Security Admlnistration ............................... 285.2 System Security Enforcement ................................ 29

6.0 SS DATA REQUIREMENTS ......... .......................... 316.1 Key Data Elements ........ .............................. 316.1.1 Documentary Material ................. .................. 316.1.2 Electronic Messages ................. .................... 316.1.3 Authority Tables .................. ..................... 31

6.2 Data Formats ............................................. 316.2.1 Header Fields for Documentary Material ........ .. ............ 316.2.2 Header Fields for Official Record Material ......... ............ 36

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6.2.3 Text Format .................................6.2.4 Image Formats ...............................6.2.5 Iniport Formats ........... ................

7.0 LSS PERFORMANCE AND CAPACITY REQUIREMENTS ...

8.0 LSS RELIABILITY, AVAILABILITY AND MAINTAINABILITYREQiRbIE ................................

9.0 LSS FACILITIES, EQUIMENT AND COMMUNICATIONS . .9.1 LSS Sites and Their Respective Functions ...............9.2 LSS Retrieval Equipment ..........................9.3 Communications ................................

10.0 GUIDELINES FOR SYSTEM ARCHITECTURE AND DESIGN .

GLOSSARY .......................................

APPENDIX A: PHASE 1 LSS REQUIREMENTS ..............

APPENDIX B: ESTIMATED LSS DATA VOLUMES .........

APPENDIX C: LSS CONCEPT OF OPERATIONS .............

. 363637

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......... 45

... ...... 45

... ...... 45

......... 45

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........ A -1

........ B -1

........ C -I

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1.0 INTRODUCTION

The Civilian Radioactive Waste Management Program is based upon a strategy of emplacinghigh level radioactive waste in a permanent underground geologic disposal facility. Thelicense to construct this facility must be issued by the Nuclear Regulatory Commission (NRC)in a process described in 10 CFR 2 and related regulations. Subpart J of 10 CFR 2 mandatesthe Licensing Support System (LSS) as an electronic information system to facilitate thediscovery process and the motions process of the license hearings. It gives the U.S.Department of Energy the responsibility to design and develop the LSS, and the NuclearRegulatory Commission the responsibility to operate the system.

As part of their responsibility, DOE is issuing this system requirements document to identify,scope and bound the requirements of the LSS, allowing the design and development process toproceed. Accordingly, this document will serve as a vehicle to communicate the plannedfunctions and capabilities of the LSS to interested parties, including the LSS Advisory ReviewPanel, the NRC LSS Administrator and his staff, and the public.

1.1 Purpose of Document: Clarify, Scope, and Bound Requirements

This document addresses the following issues:

* The LSS Rule (10 CFR 2 Subpart 1) describes several key system requirements at a highlevel, but does not sufficiently scope and bound LSS requirements to allow systemdevelopment and implementation to proceed. The Licensing Support System Phase IFunctional Requirements document1 captures the system-relevant requirements at a highlevel, but not the detailed computer system requirements needed for system design.

* LSS system descriptions represented in DOE requirements documents in the 1990 timeframe2 have been overcome by technology, and are not considered appropriate as thecurrent system requirements specifications. 3 In addition, these documents were neverformally accepted by the LSSARP as representing the system requirements.

Licensing Support System Phase I Functional Requirements, Draft, February 28, 1995, TRW Environmental Safety Systems Inc.

2Licensing Support System System-Level Requirements Document, November 20, 1990, SAIC.

3Evaluation of Licensing Support System Options, January 16, 1996, TRW Environmental Safety Systems Inc., Section 3.4.

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* Numerous discussions and briefings related to LSS capabilities have taken place over thepast several years, including those at LSSARP meetings, briefings to the LSSAdministrator's staff, and less formal occasions. As a result, persons with an interest inthe LSS have formed concepts and opinions about what the system will or will not dowhich may be undocumented and inconsistent with the views of others.

* The need to make rapid forward progress on the implementation and development of theLSS cannot be met without rapid closure on a succinct list of system requirements. Thisdocument will serve as the vehicle to achieve closure on the system requirements andenable development to proceed.

By succinctly describing all aspects of the Licensing Support System in a single document, theDOE hopes to clarify the exact functions which the LSS will perform, reducing the possibilitythat the delivered system will not meet the expectations of the user community. It is importantto recognize that this document, which embodies the higher level requirements of the Phase 1LSS Requirements Document, is intended to stand alone as a description of LSS capabilitieswhich DOE will implement. In short, If a capability Is not described in this document, itis not planned for LSS implementation. If it Is described as a requirement in thisdocument, it Is planned for Implementation as part of the LSS.

1.2 Document Organization

This document begins with a concept of operations (Section 2), setting the context for theformal requirements which follow. Requirements are then presented in the followingcategories:

* Primary functional requirements (document capture, query and retrieval, electronicmessaging, and official records material functions.) (Section 3)

* System Administration requirements (Section 4)

* Functions necessary to assure security and data integrity (access control, data qualityprotection.) (Section 5)

* Key LSS data elements (the format of the LSS header, for example). (Section 6)

* Performance and capacity requirements (response time, storage capacity.) (Section 7)

* Reliability, Availability, and Maintainability Requirements (assuring system functions areavailable when needed.) (Section 8)

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* LSS site requirements (where the system will be located, and what capabilities will beavailable at each site.). (Section 9)

Finally, this document provides guidelines for system design (Section 10) which are intendedto ensure that the system is designed with flexibility to accommodate growth and technologyinsertion.

1.3 Relationship Between Requirements and System Design

An important goal of this document is to present LSS requirements at a sufficient level ofdetail to clarify the essential capabilities of the LSS without overly constraining design. Bynot overly constraining the design, this document encourages the integration of variousCommercial Off The Shelf (COTS) software and hardware components to provide the requiredcapabilities. Over specification of requirements, especially the details of the user interface(screen layout and displays) can severely limit the use of COTS products, and is thereforeavoided.

1A Requirements Statement Fonrat

The LSS Phase 2 requirements are written to stand alone as testable requirements, independentof the explanatory text of this document. Requirements are presented in the following format:

LSS2-nnn Short Tite. The LSS shall ...(Requirements statement). [LSSl-nnn]

Comment: Text of the comment.

Each Phase 2 requirement is identified by a unique alphanumeric sequence: LSS2-nnn, whereLSS2- indicates a Phase i LSS requirement, and Wn" is a digit from 0 to 9 which providesunique identification.

The bracketed requirement identifier at the end of the statement, [LSSl-nnn], references theparent requirement in the LSS Phase I requirements, which can be found in Appendix A.

The Short title is a meaningful tidtle which can be used in tables and summaries to refer to arequirement without repeating the entire requirement statement.

The requirement statement ('The LSS shall...') specifies the Phase 2 requirement.

The comment, which is optional, is used to clarify some requirements, sometimes givingexamples of designs which would fulfill the requirement. The comment is not a testablerequirement, but is intended to help the reader in correctly interpreting the requirement.

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In some cases a requirement is further broken down into sub-requirements, identified asfollows:

ISS2-nnn Stimmary Requirement. Summary requirement statement. [LSS1-nnn]

ISS2-nnn-1 First 5Euhrqpiirem-nt. Statement for first subrequirement. [USS1-nnn]

LSS2-mm-O2 SernndSubureqirement. Statement for second subrequirement. [LSS1-nnnl

During system testing, the parent requirement will be satisfied when all the subrequirementsare satisfied.

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2.0 LSS CONCEPT OF OPERATIONS

The LSS Concept of Operations describes what functionality the LSS is to provide, who theusers will be, when and where the LSS will be available, and how the LSS will be used. TheConcept of Operations does not specify system requirements nor dictate proceduralrequirements. It's purpose is to provide a better understanding of the anticipated use of theLSS, as a basis for understanding the stated requirements.

2.1 Introduction

2.1.1 The LSS Mission

The Nuclear Waste Policy Act (NWPA), as amended, requires NRC to review, and issue afinal decision approving or disapproving, DOE's license application for constructionauthorization of a geologic repository within three years of the date that the license applicationis submitted. In order to help NRC and the involved participants complete the licensingproceedings within the allotted three year time frame, the LSS electronic informationmanagement system is to:

* Expedite the document discovery process by replacing time-consuming manual searchesof the documentary materials, expected to be on the order of tens of millions of pages,with computerized full text searches, and

* Expedite filings, services, rulings, etc., by replacing long postal mailing times withelectronic messaging.

2.1.2 Sunmary of ISS Functionality

The LSS is to provide hardware and software for:

* The capture of documentary materials 4 submitted in electronic form by the participants5

* The capture of the official docket in electronic form, consisting of the official recordmaterials of the Licensing Proceedings, e.g., daily transcripts, list of exhibits, motionsfiled, depositions, etc.

* The electronic filing, service, and proof of service for motions, rulings, etc.,

4Documentary materials refer to more than just documents. A bibliographic header must be submitted for each document, item ofgraphic-oriented material, and for items such as physical samples. An image must be submitted only when the material is suitable forloaging. ASCI text must be submitted only when the material is suitable for conversion to text.

5'Participant' Is meant to be all-encompassing and includes any party, potential party, etc., which is granted LSS access otherthan 'public'.

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* The retrieval, display and print, of the headers, page images, and text of the documentarymaterials (for document discovery), using field-oriented and full text searches

* The retrieval, display and print, of the headers, page images, and text of the official recordmaterials, using field-oriented and full text searches

* The requesting of printed copies of headers, page images, and text of the documentarymaterials, and the official record materials.

2.1.3 ISS Users

The users of the LSS fall basically into 4 categories:

* The Participants,* The Presiding Officers and NRC Secretary,* The LSSA, System Administration and Capture personnel, and* The Public.

All users will access the LSS via controlled accounts, established by the LSSA's SystemAdministration personnel, where each account has it's own unique user-id and password6.

2.1.3.1 Participants

The 'participants' to the Licensing Proceedings will include the DOE, the NRC, the State ofNevada, and others, e.g., the affected units of local government and industry. All participantswill be provided equivalent access to the LSS. The LSSA will establish one or morecontrolled accounts per participant. If a participant organization has more than one account,then one or more account(s) will be considered the 'account(s) of the attorney(s) of record" towhich all services should be sent.

Participants will access the LSS via dedicated interactive retrieval stations at the locationsdefined in Section 9.0, Table 9-1, and remotely using their own computers, to:

* Perform document discovery via field-oriented and full text searches against the headersand/or text of the LSS documentary materials holdings,

* Perform field-oriented and full text searches against the headers and/or text of the officialdocket,

* Display or print the headers, page image(s), and page text(s), of the documentarymaterials or official record materials identified by searches,

6For further detauils, See Appendix C, Section C.1 System Administtion.

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* Request paper copies of the headers, page image(s), and page text(s) of documentarymaterials or official record materials, and

* File motions, serve other participants, etc., via electronic messages.

The participants will also have access to "candidate' official record materials.

2.1.3.2 Presiding Officers and NRC Secretary

The Pre-Licensing Application Presiding Officer (PLAPO) and the Presiding Officer (PO) areresponsible for overseeing the licensing proceedings prior to and after docketing of the LicenseApplication (LA), respectively. The Secretary of the NRC is responsible for establishing andmaintaining the official docket of the Licensing Proceedings in electronic form, and willdesignate to the LSSA, which and when, any 'candidate' 7 official record materials are to beadded to the official docket. As users, the Presiding Officers and Secretary will have accessequivalent to that of a participant, i.e., no special access/functionality is envisioned.

2.1.3.3 The LSSA, System Administration and Capture Personnel

The LSS Administrator (LSSA) is responsible for the certification of the LSS's contents, forensuring the administration, operations, and maintenance of the LSS, and for ensuring the LSSis available for access, as required. As a user, the LSSA will have access which includesaccess equivalent to that of a participant; the LSSA will have additional access to functionalityavailable to the LSS System Administration and Capture personnel, who will be authorized bythe LSSA to perform certain LSSA functions.

LSS System Administration personnel will be responsible for establishing and maintainingaccounts for all users, and for maintaining system availability, and data integrity. Theseresponsibilities include:

* Ensuring the LSS is on-line available as required,* Creating and maintaining all user accounts, including:

- user id's and passwords,- functional and data access definitions, and- suspending3/terminating accounts,

7See Appendix C, Section C.4 MAINTAINNG THE OFFICIAL DOCKET.

8See IOCFR2 Subpart J Sec.2.1012.

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* Servicing print requests,* Maintaining authority tables used in the validation of header field values,* Maintaining protected header field designations which prevent the editing of selected

header fields,* Maintaining the address book used in electronic messaging,* Reconfiguring capture stations,* Performing routine system maintenance of hardware,* Performing corrective system maintenance of hardware,* Performing data backups and recovery, as required,* Performing installation of hardware, as required, and* Performing installation of software upgrades, as required.

LSS Capture personnel will be responsible for capturing the documentary materials submittedto the LSSA, and capturing the 'candidate" and "approved" official record materials. Theseresponsibilities include:

* Importing documentary material submitted by the participants in electronic format, i.e.,bibliographic headers, page images, and page texts,

* Validating submitted bibliographic header data against LSS header valid-values lists,known as authority tables

* Creating headers for the documentary materials submitted,* Updating headers to correct errors, as appropriate,* Scanning to image, hard-copies which are to become part of the official docket,* Quality checking scanned page images,* Re-scanning and inserting page images which fail quality checks,* Converting images of pages to text,* Quality checking page texts which were converted from images,* Correcting and replacing page texts which fail quality checks,* Identifying documentary materials which are duplicates of existing LSS holdings,* Deleting documents which are duplicates, or not relevant.

2.1.3.4 The Public

The public will be provided access to the LSS via controlled public accounts, whose user-idsand passwords will be controlled by the LSSA's System Administration personnel. Publicaccess to the LSS will only be via dedicated interactive retrieval stations at designated publicaccess locations, as defined in Section 9.0, Table 9-1. The public will access the LSS to:

* Perform field-oriented and full text searches against the headers and/or text of the LSSdocumentary materials holdings,

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* Perform field-oriented and full text searches against the headers and/or text of theofficial docket,

* Display or print the headers, page image(s), and page text(s), of the documentarymaterials or official record materials identified by searches, and

* Request paper copies of the headers, page image(s), and page text(s) of documentarymaterials or official record materials.

The public will not have access to the LSS electronic messaging facilities. The public will nothave access to 'candidate" official record materials.

2.2 LSS Completion and Turn-over to the NRC

DOE is responsible for the design and development of the LSS. After completion of LSSdevelopment and subsequent acceptance testing, DOE will turn the system over to the NRC,which will be responsible for it's administration, operation, and maintenance.

At the time the DOE turns-over the LSS to the NRC:

* The LSS will be fully operational and all required capabilities will have been delivered,* DOE will have pre-loaded their existing documentary materials,* The LSSA will begin loading of non-DOE documentary materials which have been

submitted to the LSSA, including NRC's documentary materials,* The LSS will be available for access by all participants,* The LSS will be available for access by the public, and* DOE will request, and the LSSA will initiate, certification of the LSS.

DOE's current schedule for LSS completion, loading, turn-over to NRC, certification, andinitial operations is:

Months prior toSheiln1l Milestnne TA9 SnhmisVinn

* LSS Development Completed by DOE 36* LSS Installation Completed (except hearing room) 34* LSS Acceptance Testing Completed 28* LSS Loaded with DOE's existing documentary materials 20* LSS Turnover to NRC 20

[Denotes earliest participant or public access to a fully operational LSS]* LSS Certification Requested by DOE 20* LSS Certified 06

LA- License Application.

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* License Application Submitted 00

2.3 LSS In Operation

Since the LSS will be delivered with all required functionality, and since the LSSA, SystemAdministration and Capture personnel will have familiarity with the system as a result ofacceptance testing, the LSS is expected to go operational soon after the system is turned-overto the NRC.

Certification: The LSSA must complete loading of all participants' submitted documentarymaterials, and certify DOE's substantial compliance in submitting all of their existing relevantdocumentary materials at least six months prior to DOE's submission of the LicenseApplication.

Docketing of the License Application: After the LSSA has certified the LSS and DOE hassubmitted the License Application, the NRC will docket DOE's License Application. TheNRC will establish a docket number, and publish a hearing notice in the Federal Register.

Availability of Functionality: As previously indicated, the LSS will be delivered with allrequired functionality. However, the public may not be given access to the images andsearchable text of the documentary materials holdings prior to docketing of the LicenseApplication, and the official docket will not be initiated until docketing of the LicenseApplication. Once the official docket is initiated for that docket number, field-oriented andfull text search of the electronic docket's official record materials will be available.

The LSS Database: The LSS database will consist of the documentary materials, the officialdocket, and the 'candidate' official record materials, i.e., electronic filings, services, andproofs of service which have been transmitted by the participants and captured by the LSSA,but not yet 'approved" by the Secretary. The documentary materials will consist of thedocumentary materials pre-loaded by the DOE, and all participants' documentary materialsloaded by NRC Capture personnel. The official docket will consist of the "approved"electronic filings, services, and proofs of service, and all other official record materialsprovided by the Secretary and loaded by Capture personnel, e.g., transcripts, depositions, etc.

User Access: Each user will be able to access the LSS via their own personal account, using auserid and password combination. Each account, will have access to only that functionalityand data defined for that account by the LSSA, and established by System Administrationpersonnel. For further details, see Appendix C, Section C. 1 SYSTEM ADMINISTRATION.

Loading of Submitted Documents: LSS Capture personnel will load participant submissions,which must comply with LSS import format criteria. The bibliographic header, page images,

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and text for each item of documentary materials will be imported from electronic media.Bibliographic header fields will be imported into the LSS header, and field values will bevalidated against authority tables. LSS-specific header fields, such as the document indexer'sid will be entered by the Capture personnel; other fields, such as 'Date/Time Loaded intoLSS' should be automatically entered by the system. Page images and texts will be imported,when provided. The LSS header, page images, and text will be quality checked. Text andheader fields which are to be full-text searchable will be spell-checked, corrected, andsearchable text created. Each item will then be checked to determine if it is a duplicate, and ifnot will be committed to the LSS database. The item will then be available for search andretrieval by all users.

Items which cannot be properly indexed, fail quality checking, or are otherwise unacceptablewill be included in a Rejection List to be provided to each participant. For further details, seeAppendix C, Section C.2 LOADING DOCUMENTARY MATERIALS.

Unique ID on Each Item of Documentary Materials: Each item of documentary materialssubmitted by a participant must have an itemid in the bibliographic header, which is unique tothat item from that participant; DOE's unique id is the 'accession number'. This item id willnot be unique across more than one participants' submissions. Capture personnel will makeeach item submitted unique across all participants' submissions within the LSS by creating anLSS-unique *accession number* in the LSS header. For furither details, see Appendix C,Section C.2 LOADING DOCUMENTARY MATERIALS.

Verification of Documentary Materials: Participants are responsible for verifying that allcopies of their documentary materials were loaded into the LSS accurately and correctly, andwill use the search and retrieval techniques available for document discovery to accomplishthis. Participants have a set number of days from their date of submission to verify their data,as-loaded, and notify the LSSA if any errors are detected. Within this timeframe, Capturepersonnel may edit unprotected LSS header fields to correct errors. If edited, a date of lastmodification will be automatically entered in the LSS header by the system.

If the LSSA is notified of errors beyond the established timeframe, the participant will have tore-submit the item as a new, separate item. The bibliographic header submitted with the newitem will identify all bibliographic header fields which have been revised, within a commentsfield in the new bibliographic header. The capture personnel will load the new item, and willnot delete the original item, but will update it's LSS header to indicate a corrected versionexists.

Searching the Documentary Materials: Each user will be able to perform field-oriented andfull text searches against the documentary materials holdings of the LSS; however, publicaccounts are not required to have access to images and full text for searches, until docketing of

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the License Applicationl0. The LSSA may authorize access to images and the full text of thedocumentary materials holdings of the LSS for public accounts prior to docketing.

The search results will first be displayed as a summary list, e.g., a one-line subset of headerfields per item identified using the query criteria. The components of any item in the summarylist will then be displayable or printable by selecting the associated summary line and thecomponent to be displayed or printed, i.e., the header, page images, or page texts.

In addition, users may submit a request to print an item's header and images. In that event,System Administration personnel will service the request and mail the printed hard-copies tothe requester, as soon as possible.

For further details, See Appendix C, Section C.5 SEARCHING THE DOCUMENTARYMATERIALS.

Access to Privileged Documentary Materials: For privileged documentary materials, onlybibliographic headers will be submitted. The LSS header will still be accessible to all users.

If a participant's claim of privilege is denied, the participant will re-submit the item as a newitem with bibliographic header, page images, and page texts. The capture personnel will loadthe new item, and will not delete the original header denoting the item as privileged, but willupdate it to indicate a corrected version exists.

If a participant's claim of privilege is recognized, but the PO orders the item's submission, theLSSA will place the item in a Protective Order File, such as a secure, controlled file cabinet,or a designated stand-alone computer. The capture personnel will create a new LSS header forthe submitted item, load the bibliographic header fields submitted for that item, and completethe entry of the LSS header fields, including an indication that it has been placed in such aProtective Order File. The capture personnel will not delete the original LSS header, but willupdate it to indicate a corrected version exists. The new item's images and/or text will not beaccessible on-line via an LSS user's account, but may be accessible on-line via a stand-alonecomputer.

Electronic Messaging: Al Participants, the LSSA, the Presiding Officers, and the Secretarywill have access to electronic messaging to transmit and receive filings, services, etc.,electronically. Proofs of service will be provided for all such servings. All such filings,services, and proofs of service will be marked candidate' official record materials, until"approved" and designated as "official' by the Secretary. The LSSA is required to be copiedon all such items, and will provide these to Capture personnel for loading as "candidate"

10See IOCFR2 Subpart I Sec. 2.1007.

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official record materials. Capture personnel will create the LSS header for each item. Whenthe Secretary approves a 'candidate' official record materials, and so designates to the LSSA,Capture personnel will update the corresponding LSS header to reflect it as 'approved". Forfurther details, see Appendix C, Section C.3 ELECTRONIC MESSAGING.

Participants may also use the electronic messaging facilities for messages which are notdestined to become part of the official docket.

The Official Docket: The official docket for the Licensing Proceedings, i.e., the legal record,will be maintained in electronic form in the LSS. The NRC Secretary will ensure that theelectronic docket contains all the official record materials of the licensing proceedings. Theofficial record materials will include the electronic filings, services, and proofs of service'approved" by the Secretary and all other official record materials provided by the Secretaryand loaded by Capture personnel, e.g., transcripts, depositions, etc. For further details, seeAppendix C, Section C.4 MAINTAINING THE OFFICIAL DOCKET.

Support for Multiple Dockets: If the NRC determines that the issues are too complex/lengthyto be decided by a single licensing board within the allotted time frame, then a second boardmay be established to hear a subset of the issues, concurrent with the first board. This wouldbe known as a bifurcated hearing. Official record materials will have to be identifiable as towhich hearing they are associated, to provide retrievability specific to each hearing, or fromboth.

In addition, any proceedings resulting from appeals, hearings for licenses subsequent to theconstruction authorization such as the license to receive and possess waste, etc., will havenew, separate and distinct, docket numbers.

Searching the Official Docket: Once the electronic docket has been established, each userwill be able to perform field-oriented and full text searches against it. Though not yet part ofthe official docket, the "candidate' official record materials will also be searchable.

The functionality for displaying and printing the results of queries against the official docketwill be the same as for displaying and printing the results of queries against the documentarymaterials, and the same will be true of print requests.

For further details, see Appendix C, Section C.6 SEARCHING THE OFFICIAL DOCKET.

Remote Access: Users, particularly participants, will want to access the LSS from non-dedicated interactive retrieval stations, such as by dialing-in from computers in their offices,their hotel rooms during the licensing hearing(s), etc., for

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* Document discovery,* Generation, transmission, and reception of electronic messages,* Review of 'candidate' filings, services, and* Review of the electronic docket.

The LSS will provide dial-in facilities, such as modem pools, for such remote access. Forremote access, the LSS will support the full range of capabilities which would otherwise beavailable to users at LSSA-provided dedicated interactive retrieval stations. However, if largevolumes of text, or images in any volume are transferred to these remote locations,performance will be inhibited by the bandwidth utilized, i.e., a 28.8 baud modem mayincrease performance two-fold over a 14.4 baud modem, but will be extremely slow comparedto the dedicated links to the LSSA-provided dedicated interactive retrieval stations. Toprovide the best possible performance for remote access, any user will be able to 'turn-off"and "turn-on" image retrieval and display for their account at any time, regardless of theiraccess location.

LSS Access from the Hearing Room: During the Licensing Hearing itself (projected to last90 days, and starting some 24 months after docketing of the License Application), on-lineaccess to the LSS is to be provided in the hearing room to the Presiding Officer, allparticipants, and to witnesses while testifying. In addition, capture stations will also have tobe provided at the hearing site to capture hard-copies designated to become official recordmaterials, such as depositions, document exhibits not in the LSS documentary materialsholdings, and the electronic files of the daily transcripts.

Procedural Clocks: The LSS is not required to provide any mechanism(s) for setting theexpiration date for, or for automatically determining the expiration of any timeframe, e.g.,number days to respond to a motion filed, number of days to verify submitted materials, etc.All such clocks may be procedurally implemented.

Further details on many of the operational concepts discussed above are included InAPPENDIX C.

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3.0 PRMARY LSS FUNCTIONAL REQUTIREMENT

The primary LSS functional requirements are those directly associated with the purpose of thesystem: document capture, storage, search and retrieval, electronic message transfer, andofficial record material functions. Secondary functions, which include system administrationand security functions, are described in Sections 4 and S.

3.1 Document Capture [LSS1-004,LSS1-012,LSS1-013, LSS1-014]

The document capture functions allow the LSSA to import electronic data and capture paperdocuments to make them part of the documentary or official record file material within theLSS.

LSS2-001

LSS2-002

SRcan Paper to Tmage The LSS shall provide the capability to scan paperdocuments to create an electronic bit-mapped image, including 8-1/2 x11 inch single and double-sided pages, and single-sided pages up to Esized. [LSSl-006]

Tmpnrt Pilertmnic Dncwiment The LSS shall provide the capability toimport electronic documents which comply with LSS import format andmedia requirements into the system. [LSS1-0041

Comment: LSS import format and media requirements are specified inSection 6.2.5 of this document.

LSS2-002-1 Timprt Imam& The LSS shall provide the capability to import electronicimages which comply with LSS import format and media requirementsinto the system. [LSSI-004]

Comment: LSS import format and media requirements are specified inSection 6.2.5 of this document.

LSS2-002-2 Import Text The LSS shall provide the capability to import electronictext which complies with LSS import format and media requirementsinto the system. [LSS1-004]

Comment: LSS import format and media requirements are specified inSection 6.2.5 of this document.

15

Draft June 1, 1995

LSS2-002-3 Tmpnrt PRetrnnic Menage The LSS shall provide the capability toimport the text of an LSS electronic message into the system. [LSSl-004]

Comment: ISS electronic messages, which include electronic filings ofvarious types, will need to become part of the documentary material andto be searchable like other LSS documents. This requirement assuresthat the electronic text of the messages can be "captured' asdocumentary material without printing, scanning and reconverting thematerial to text. It is not anticipated that this material will be convertedto image, since it is fully and accurately represented in electronic textform.

LSS2-0024 Import leader The LSS shall provide the capability to import electronicbibliographic headers which comply with LSS import format and mediarequirements into the system. [LSS1-004]

Comment: LSS import format and media requirements are specified inSection 6.2.5 of this document.

LSS2-003

LSS2-003-1

LSS2-003-2

LSS2-004

CrAe_ Plaitmnin nder The LSS shall provide the capability to createan electronic LSS header. [LSSl-012, LSS1-021]

Enter Ruder Data The LSS shall provide the capability to create a newLSS header. [LSS1-0121

Anthnrity Tahle Chwcking The LSS shall allow the user to select fromauthority table lists of valid fields as a means of entering data into LSSheader fields, and shall prohibit the entry of invalid fields. [LSSI-021]

Convert Tmage tn Text The LSS shall provide the capability toautomatically convert a bit-mapped image which is compliant with LSSdata format requirements to computer readable text. The 1SS shallachieve text conversion accuracies that are achievable with the bestcommercial products available at the time of the LSS system design.[LSS -005]

Comment: LSS data format requirements are specified in Section 6.2 ofthis document.

16

Draft June 1, 1995

LSS2-OOS Prrprre Text far Search The LSS shall provide the capability toautomatically prepare text and header data for full text search. [LSS1-011]

Comment: This requirement addresses all pre-processing necessary toallow full text search to be performed. For most full text searchapplications, which rely on inverted indices for full text search, thisrequirement refers to building and updating the full text index. It isstated generically so as not to presume the method of search.

LSS2-006 Chnck fnr Dnipliate 1)nciuments The LSS shall provide the capabilityto automatically identify apparent duplicate documents in the systemduring the capture process. [LSS1-0231

Comment: The method of duplicate checking might compare LSS headerfields (or a subset thereof), full text, or a combination. The requirementrefers to "apparent duplicate documents" because it does not assume thatthe system can guarantee that a document is a duplicate. Rather, thesystem must provide a tool for identifying likely duplicates.

ISS2-007 Mark Gariment as SunperAePA The LSS shall provide the capability tomark a document as superseded by another document. [LSS1-009]

Comment: A document may be superseded by a corrected version of thedocument. This function allows a document in the LSS to be marked inthe document header as having been superseded. This "marking' is usedby the Identify document ay qiicprced function during retrieval.

LSS2-008 Assire finument Cnptnre QInlity The LSS shall provide the capabilityto check the quality of a document during the capture process, and tocorrect errors in the document. [LSS1-06, LSSl-012, LSS1-013, LSS1-021, LSS1-0221

Comment: The capture process ends when the document is available for*retrieval by general LSS users. This function and associatedsubfunctions must be allowed to operate on a separate station from othercapture functions so that a separate person can perform the qualitychecking steps.

17

Draft June 1, 1995

LSS2-008-1

ISS2-008-2

LSS2-008-3

ISS2-0084

LSS2-008-5

PrE-mCtnrm Quality Check - ITestMr The LSS shall provide the capabilityduring the capture process to visually check the completeness andaccuracy of the LSS header and to automatically check header fields forvalid entries as defined in LSS header authority tables, whether theheader was imported or created within the LSS. The LSS shall allowthis function to be performed at a separate station from the non-qualitycheck capture functions. [LSSl-012, LSS1-021]

Prt-.stnre Qality Check - Tmage The LSS shall provide the capabilityto visually check images for clarity, completeness and skew, whetherimported or created within the LSS. The LSS shall allow this functionto be performed at a separate station from the non-quality check capturefunctions. [LSSl-006, LSSI-0211

Pre-5Stnre Qumlity Check - Text The LSS shall provide the capability tovisually check document text for accuracy by comparing it with thedocument image, whether the text was imported or created within theLSS. The LSS shall allow this function to be performed at a separatestation from the non-quality check capture functions. [LSSI-013, LSS1-021]

Text Spell cheLk The LSS shall provide the capability to electronicallycheck the spelling of document text against a standard and customdictionary and to correct misspellings during the capture process. TheLSS shall allow this function to be performed at a separate station fromthe non-quality check capture functions. [LSS1-013, LSS1-021]

R ejeDed flndlment List The LSS shall provide the capability togenerate a list of documents which have failed any pre-store qualitycheck identifying the reason or reasons for failure. [LSS1-021]

I

Comment: This function will be used to inform submitters of electronicdocuments that documents must be resubmitted.

LSS2-008-6 nrrent T-TPenrer ffnrir (PrE-Stnre) The LSS shall provide the capabilityto edit header fields which are not protected, during the capture process,whether the header was imported or created within the LSS. [LSSI-012]

Comment: Some header fields may be protected from update through theProtedt Header PFi-ld function (Section 5).

18

Draft June 1, 1995

LSS2-008-7

LSS2-008-8

Re1anee Tmnga PT=ge The LSS shall provide the capability to replace,insert and delete image pages during the capture process, whether theoriginal or replacement images were imported or created within the LSS.LSSl-006]

Tnterantive Text enrre-tinn The LSS shall provide the capability tocorrect errors in document text during the capture process, whether thetext was imported or created within the LSS. LSS1-021, LSS1-022]

3.2 Document Storage

ISS2-009 Store t nrnwment ( Aink Text Tnmage Header) The LSS shall provide thecapability to store documentary material, whether imported, captured orcreated within the LSS, linking the document components (header, textand/or image) for subsequent retrieval. [LSSI-012, LSSI-013, LSSl-014]

Comment: The various forms of documentary material are defined inSection 6.

LSS2-009-1

LSS2-009-2

ISS2-009-3

LSS2-0094

Store r1wnument Header. The LSS shall provide the capability to store anLSS header for subsequent retrieval. [LSS1-012]

Stnre plniTinment Text The LSS shall provide the capability to storedocument text for subsequent retrieval. [LSS1-013]

5tore Dnimant Tmage The LSS shall provide the capability to storedocument images for subsequent retrieval. [LSS1-06, LSS1-014]

TUink Dlnniment Cnmponents The LSS shall provide the capability tologically link the header, text and image of a document, where available,for subsequent retrieval, whether these document components are storedat the same time or at different times. [LSS1-006, LSSI-012, LSS1-013,LSS1-014]

Comment: The system must allow the storage of a completeheader/text/image document all at once, as well as the initial storage of aheader, with later storage of the text and/or image. The linkage allowssubsequent retrieval of one or more document components (header, text,image) from a list of documents satisfying a query.

19

Draft June 1, 1995

LSS2-009-5 Prea1lele Orph.n Tmage/Text The LSS shall prevent the storage (forretrieval) of document images or text which are not associated with anLSS header. [LSS1-012, LSS1-013, LSS1-014]

Comments: Documentary material in the LSS must have a header toassure retrievability and data base integrity. 'Storage (for retrieval)"means storage in the documentary data base for purposes of retrieval.Temporary storage of text or image during the capture process, outsideof the retrieval data base is not prohibited by this requirement.

ISS2-010 rDefine Reanrdis Packge- The LSS shall provide the capability to definea records package which includes a listing of all documents in thepackage. [LSS-004]

3.3 Document Search and Retrieval[LSSI-008, LSS1-11, LSS1-012, LSS1-013]

LSS2-011 Query for Dndcument The LSS shall provide the capability to query thesystem for a list of all documents which meet the query criteria. [LSS1-012, LSSI-008]

LSS2-011-1

LSS2-011-2

LSS2-011-3

Query Rendert The LSS shall provide the capability to query the systemby specifying the values of one or more header fields to obtain a list ofall documents which satisfy the query. [LSS1-012, LSS1-008]

Qery Text. The LSS shall provide the capability to query the system byspecifying one or more character strings in the full text of the documentto obtain a list of all documents which satisfy the query. [LSS1-013]

Text (nery Par~mnters- The LSS shall provide the capability to specifysingle and multiple character wild cards as part of a full text query.[SS1-013]

Comment: Only very fundamental full text options which are availablethrough a wide variety of commercial products have been specified here,in order not to preclude the use of most COTS products.

ISS2-011-4 Q(n=ry Wender anti Text The LSS shall provide the capability to querythe system by specifying a combination of header field values andcharacter strings in the full text of the document to obtain a list of alldocuments which satisfy the query. [LSS1-012, LSS1-013]

20

Draft June 1, 1995

LSS2-011-5

ISS2-011-6

SacML usf...Query. The LSS shall provide the capability to save,retrieve, edit and/or re-execute a previously constructed query. [LSS1-012, LSS1-013]

Prnvide, Qmlery Stntim The LSS shall provide the user an indication ofthe query status during a full text query and allow the user to terminatequeries in process. [LSS1-012, LSSI-013J

Comment: It is always possible to construct a query which is so broadthat it results in an unmanageable results list. Users should be able todetermine that an ongoing query is too broad and terminate the query inprocess. Typically, status would be provided by a running total or list ofdocuments found which satisfy the query. Typically, a user wouldterminate a query if the running total becomes large, and enter a morespecific query to reduce the results list size.

LSS2-011-7 Qulery ols- The LSS shall provide interactive tools to assist the user inretrieving documents when the unique identifiers for the documents arenot known to the user, [LSSI-020]

Comment. Examples might include synonym processing, thesaurus,natural language queries, or other search aids. Because a variety ofapproaches are used in the commercial market, no one approach isspecified.

ISS2-012

LSS2-012-1

LSS2-012-2

ISS2-012-3

Display DolomenL The LSS shall provide the capability to display adocument. [LSSl-012, LSS1-013, LSSI-014, LSS1-0161

DisplaylHeader. The LSS shall provide the capability to display the LSSheader of a document. [LSS1-012]

Display TexL The LSS shall provide the capability to display one ormore pages of the text of a document. [LSSI-013]

ERan TesL The LSS shall provide the capability to export text selectedfrom a displayed document as ASCII text. [LSSl-013]

Comment: This requirements allows users to utilized text from LSSdocuments in other documents as well as electronic messages.

21

Draft June 1, 1995

LSS2-012-4 Inte pR~ earch Terms in Mneiument- The LSS shall provide the capabilityto readily locate the terms in the document which satisfy a full textquery. [LSSl-013]

Comment: This function is performed as the user is viewing thedocument. It is typically implemented by highlighting the search termsin the document and providing a 'go to next term' function which placesa cursor at the line or word of the search term.

LSS2-012-5

ISS2-012-6

LSS2-012-7

ISS2-012-8

TUsplay Image The LSS shall provide the capability to display theimages of a document, page by page, including full page views of theimages of 8-1/2 by 11 inch pages. [LSSI-014, LSSI-016J

Tmnige Viewing Tnnls The LSS shall provide image viewing tools forimage enlargement, reduction, scrolling and rotation. [LSSl-014, LSS1-016]

Display Tmnge nnd Text The LSS shall provide the capability toconcurrently display a page image of a document and it's associated text.[LSSI-013, LSS1-029]

Nn Tmnagea Optin. The LSS shall allow the user to view text and headerdata without retrieving or viewing the associated image data. [LSS1-012, LSS1-013]

Comment: This requirement is primarily to support dial-in users whomay wish to limit the retrieval of images over lower-bandwidthcommunications lines. It means simply that the user must be able tolook at text and headers without looking at images.

LSS2-012-9 Tdentify Comnment ao IneirsedeA. The LSS shall provide the capabilityto identify a document which has been marked as a superseded version.[LSS1-09]

Comment: The Mnrkc dw-unent as sperseded requirement allowsdocuments to be marked as superseded, meaning that a subsequentversion of the document has been put into the LSS. The IdentifyMrn-eiment ss Siiperlrce function enables users performing document

retrieval to see that a document has been marked.

22

DraftJune 1, 1995

LSS2-013

LSS2-013-1

LSS2-013-2

LSS2-013-3

LSS2-013-4

LSS2-014

Print lnncument The LSS shall provide the capability to print adocument at a local printer. [LSS1-012, LSS1-013, LSS1-014]

Print Healer The LSS shall provide the capability to print a documentheader at a local printer. [LSS1-012]

Print Text The LSS shall provide the capability to print from one pageto all of the text of a document at a local printer. [LSS1-013]

Print Stanintrd Tmage The LSS shall provide the capability to print fromone to all images of 8-1/2 by 11 inch (or smaller) pages of a document,at a local printer, on 8-1/2 by 11 inch paper. [LSS1-014]

Print Oferdi7 Tmsge. The LSS shall provide the capability to printone or more oversized page images, up to E sized, on a single sheet ofpaper at 100% of the size of the original image. [LSS1-014]

Request Paper Cay. The LSS shall provide the capability to submit anelectronic request for a paper copy of the header, images or text of adocument, including oversized images. [LSSl-0171

Comment: This function is primarily for dial-in users.

ISS2-015 Prn c Paer Ctiy Reqmpent The LSS shall provide the capability toreceive and read an electronic request for a paper copy of a documentand print the requested copy. [LSS1-0171

Comment: This is not anticipated to be a highly automated function.Automatic address label generation for example is not expected. TheLSSA will need to be able to receive requests, and print out therequested document. The rest of this function may be procedurallyimplemented.

3.4 Electronic Message Transfer [LSSI-003]

LSS2-016 Ceao.. Electrnin Message. The LSS shall provide the capability tocreate an electronic message. [LSS1-003]

Comment. The format of LSS electronic messages is described inSection 6.

23

DraftJune 1, 1995

LSS2-017

LSS2-018

LSS2-019

Store E1eetranic Mecssge. The LSS shall provide the capability to storean electronic message including messages which have been created oredited but not sent, sent messages, and received messages. [LSS1-003]

1PAit Electronic Message. The LSS shall provide the capability to edit anelectronic message which has been previously stored, prior to sending.[LSS1-003]

EIeLtronic Message Tmp/nrtLExport. The LSS shall provide the capabilityto import ASCII text into an electronic message during editing, andexport ASCII text from an electronic message. [LSS1-003]

Comments: This requirement allows users to use most commercial wordprocessors for text generation and to transfer text to and from the LSSelectronic message environment. Translation of specific vendor formats(non-ASCII) is not specified since these formats change over time.

LSS2-020

LSS2-021

LSS2-022

Addrecc E1ectronic Message. The LSS shall provide the capability toaddress an electronic message to one or more authorized LSS users bycreating an address list of individual user and/or user group names. TheLSS shall provide a list of valid address names for the user to selectfrom in order to address an electronic message. [LSSI-003]

Send Pleetrmnic Meqange. The LSS shall provide the capability toelectronically transmit an electronic message to users in the address list.[LSS1-03]

NsiWay Pjedrtniin Mesqnge. The LSS shall provide the capability toreceive and display an electronic message which was sent to the user'selectronic message address. [LSS1-003]

LSS2-023 Arknowledpge Message.Delivery. The LSS shall provide electronicacknowledgement of message delivery which identifies the recipientselectronic message name/address, and the date and time of delivery.[LSS1-024]

Comment: Message delivery means that the message is available for therecipient to read.

LSS2-024 Rep=t Mesage T)elivery Fail rA. The LSS shall provide a notice to thesender of an electronic message indicating when the system has failed to

24

Draft June 1, 1995

deliver the message, which identifies the intended recipient's electronicmessage nameladdress, and the date and time that the message was sentor the failure detected. LSSl -003]

LSS2-025 PAnLEFaetronic1Aessage. The LSS shall provide the capability to printan electronic message, including messages which have been created oredited but not sent, sent messages, and received messages. [LSS1-003]

3.5 Official Record Material

The following requirements pertain to the "Official Record File' which is discussed in 10 CFR2.1013(a)(2). This is effectively an electronic docket containing the official record of theproceedings. The phrase 'official record maferial" (not "file") is used in this document inorder to avoid the implication of a design. It is likely that the official record material will becataloged and stored and viewed just like documentary material, but with special header flagsto indicate that it is either candidate or approved official record material.

LSS2-026 nsignatp Official Rennrd Material. The LSS shall provide thecapability to designate material in the LSS as being Official RecordsMaterial. [LSS1-0041

Comment: As interpreted, this requirement does not mean that theofficial record material must be located in a physical file, but must belogically identified as being in the official record. This requirementassumes that information designated as official record material can berepresented in the same formats (header, text and image) as documentarymaterial. See Section 6 for information on formats.

LSS2-027

LSS2-028

Retrieve OfficiA Ramrd Miterial. The LSS shall provide the capabilityto retrieve, view and print official record material in the same manner asdocumentary material. [LSS1-004]

Import Tringeripts The LSS shall provide the capability to importtranscripts which are compliant with LSS import and media formatrequirements directly into the LSS for inclusion in the official recordmaterial. [LSS1-0261

Comment: LSS import format and media requirements are specified inSection 6 of this document.

25

Draft June 1, 1995

4.0 SYSTEM ADMINISTRATION REQUIREMENTS

4.1 System AdminIstration

LSS2-029

LSS2-030

LSS2-031

StaroliSystem. The LSS shall provide the capability to initialize thesoftware and hardware necessary to operate the LSS. [LSS1-018]

Shut LDwn aSystem. The LSS shall provide the capability to shut downthe software and hardware components of the LSS. ILSS1-0181

Comment. This function would be used, for example, for preventativemaintenance.

Bacpai Data. The LSS shall provide the capability to create incrementaland full backup copies of all LSS data, including documentary andofficial record material and electronic message data, on removablemedia, in a format that can be restored using the Restore data function.[LSS1-018]

LSS2-032

LSS2-033

LSS2-034

LSS2-035

Comment: Removable media is specified to enable off-site storage forpurposes of disaster recovery. Incremental backups mean partial database backups based on a time span, usually daily. Full backups meanbackups of the entire data base.

Restore Data. The LSS shall provide the capability to restore datacreated by the backup function to the operational system, includingpartial and full data recovery. [LSS1-018]

Mnnitnr ys=tem Statu . The LSS shall provide the capability to monitorthe status of essential system hardware and software components. gd[LSSl-018]

atse Rase Adminishtrtinn Thols. The LSS shall provide the capability toassess the availability, integrity and performance of the data basesassociated with the LSS, including those pertaining to the storage ofdocument headers, text and image data. (LSS-018]

Administrnte Addres onok. The LSS shall provide the capability to add,delete and edit addresses used for sending electronic messages, includingthe user names and user group names. (LSS 1-003]

26

Draft June 1, 1995

4.2 End-User System Access

LSS2-036

ISS2-037

LSS2-038

TLng-On I-TSS. The LSS shall provide the capability to initiate a usersession and gain access to the LSS system by providing an authorizeduser account name and associated authorized password. The LSS shallnot allow access to system functions without the initial entry of anauthorized account name and associated authorized password. [LSS 1-019]

I gOff I JISS. The LSS shall provide the capability to terminate aworking session on the LSS, leaving the station in a state where a newsystem logon is required to gain access to LSS functions. [LSS1-019]

Change Persnnal Passwnrd. The LSS shall provide a non-public user thecapability to change the user's authorized password provided that theuser has logged onto the system with an authorized password. [LSSl-019]

Comment: This requirement means that non-public LSS users canchange their password, but that users accessing the system through apublic reading room will not be allowed to change the password of theaccount they are using.

27

Draft June 1, 1995

5.0 SECURITY AND DATA INTEGRITY REQUIREMENTS

5.1 System Security Administration

LSS2-039 Crrmte/Mndify MTStr Aemiint The LSS shall provide the capability tocreate new user accounts, modify user accounts, and delete useraccounts, including the establishment of the account names andinitialization of the account password. [LSSl-019J

LSS2-040

LSS2-041

pt Fntiinnfinn1 Acres A.thnri72tinng* The LSS shall p 4-capability to establish and modify user access autlor s to systemfunctions. At a minimum, the LSS shall provideiscreet function-to-user access controls sufficient to enforce the allocations shown in Table9-7[uLSS1-019]

Comment: Not all LSS users can have access to all LSS functions. Thereferenced table defines categories of users and identifies the functionsneeded by each category.

5get Mlts Acov Authnri7ntinn . The LSS shall provide the capability toestablish and deny read, write and delete privileges for each of thefollowing types of information on a per-user account basis:

* Documentary material* Official record material (approved)* Official record material (candidate)* Header data* Text data* Image data

[LSSI-019]

PrIt.ct Header Field. The LSS shall provide the capability to designatespecified fields in the LSS header as protected from update. [LSSI-019J

Comment: This function would allow the LSSA to prevent update ofspecific fields in the LSS header. This restriction would apply to allheaders stored in the system as well as headers which have beenimported and are being processed by the capture functions. It isanticipated that certain fields, such as the unique identifier of thedocument (e.g. accession number) will be considered unalterable.

ISS2-042

28

Draft June 1, 1995

[SS2-043

Submitted documents which have these fields in error would be rejectedrather than corrected within the LSS.

Cnrrecit Dnmimentz in Error. The LSS shall provide the capability tocorrect previously stored documents. [U1SS1-021]

Comment: Previously stored means that the document is stored in theLSS and is available for retrieval.

LSS2-043-1 EIdit W-eTder FierIds (Post-Store). The LSS shall provide the capability toedit header fields of previously stored documents provided that the fieldsare not protected. [LSSI-021]

Comment: Some header fields may be protected from update through theProtect Header Field function.

LSS2-043-2

LSS2-043-3

LSS2-0434

Repl~ae Tmage Pages in Frmr - Pngt-Stnre. The LSS shall provide thecapability to replace images and insert missing images in documentswhich have been previously stored. [LSS1-006]

Tnteractive Text rnrretirnn - Post-stare. The LSS shall provide thecapability to correct errors in document text which has been previouslystored. [LSSI-021]

Dncyument Deletinn. The LSS shall provide the capability to deletedocuments (header, text and/or image) which are not part of the officialrecord file. This function shall require confirmation prior to execution.The LSS shall prevent the deletion of a header before the associated textor image have been deleted. [LSSI-O18]

Comment: This function will be available only to the systemadministration personnel for purposes of maintaining data base integrityand accuracy. Deletion means that the document is no longer availablefor retrieval and viewing using normal system functions. Thisrequirement does not preclude the use of Write Once Read Many(WORM) media.

5.2 System Security Enforcement

29

Draft June 1, 1995

ISS2-044

LSS2-045

LSS2-046

Rnfnreep FuInctinal Access Authoria7tion . The LSS shall prohibit useraccess to functions which the user has not been authorized to use throughthe 'Set functional access authorizations' function. [LSS1-019]

fnfnrre T).ta Aecess Authnri7atfins. The LSS shall prohibit user accessto data which the user has not been authorized to access through the "Setdata access authorizations' function. [LSSI-019]

Rnfhrtep Headlr Pit-I PrntI.iinng* The LSS shall prohibit the editing ofheader fields designated as protected by the Protect Header Fieldfunction, except for headers which are being created for the first timewithin the LSS. [LSS1-018, LSSI-019]

30

Draft June 1, 1995

6.0 LSS DATA REQUIREMENIS

In order to provide the functions described in Sections 3, 4 and 5, the LSS must supportcertain key data elements. These elements are described in Section 6.1. Specific data elementformats are defined in Section 6.2.

6.1 Key Data Elements

6.1.1 Documentary Material

LSS2-047 D 1rumentnrVMatedal. The LSS shall be capable of receiving,processing and storing documentary material of the types described inTable 6-1. [LSS1-012, LSSI-013, LSS1-014]

6.1.2 Electronic Messages

LSS2-048 E lkdmnin Mpssages. LSS electronic messages shall be free text formatwith message type designators which are definable by the systemmanager. [LSSI-003]

Comment: The free text format requirement is meant to clarify that theelectronic messages, which might include such types as orders,decisions, motions, issuances, and miscellaneous filings, do not requireunique message formats by message type. The format is free text.However the user must be able to identify the message type of a messagein order to support message display requirements.

6.1.3 Authority Tables

LSS2-049 A.tnrity Tahles. The LSS shall have an editable table or tables of validfield values for the LSS Header and any other header information in thesystem. [LSSI-019]

6.2 Data Formats

6.2.1 Header Fields for Documentary Material

LSS2-050 Docmmentary Ueader FieldS. The LSS header shall, at a minimum,include the fields and formats defined in Table 6-2. [LSS1-012, LSS1-027]

31

Dwft June 1, 199

Table 6-1. Documentary Material Data Elements

Requairementm Data Name Description Req.Identifier Rof.

rLSS2 7-1 Do n A) Do represented as text, image, LSS LSS1412LSS1-013

____________________________________________ LSSI-014

LSS2-047-2 Docunent (rype B) Documents for which text is not provided. These documents will be LSSI-012converted to text using LSS finctions unless they ar graphic-oriented LSSI-014

_ _ Idocuments.

LSS2-047-3 Document Type C) Graphic-oriented documents stored only as image, LSS header. These are LSSI-012documents which ae not suitable for conversion to text due to their graphic LSS-014nature or the lack of dat having significant retrieval value (such as columns

I of numbers).*

LSS2-047-4 Document (Type D) Non-image/text material represented only as LSS header, with item location LSSI-007described. LSS1-012

LSS2-047-S Document (Type O) LSS header for privileged, confidential or safeguards information. Points to LSS1-012physical location of these documents outside of the LSS. In the case of LSS1428|privileged information, the data is located in a protective order file, which is

___ _ .__ not vast of the LSS.

*As defined in 10 CFR 2, graphic oriented material includes: 'raw data, computer muns, computer programs and codes, field notes, laboratory notes, maps,diagrams and photographs which have been printed, scripted, hand written or otherwise displayed in any hard copy form. They may include: Calibrationprocedures, logs, guidelines, data and discrepancies; Gauge, meter and computer settings; Probe locations; Logging intervals and rates; Data logs in whatever formcaptured; Text dat sheets; Equations and sampling rates; Sensor dat and procedures; Data Descriptions; Field and laboratory noteboolk; Analog computer, meteror other device printouts; Digital computer print-outs; Photographs; Grphs, plots, strip charts, sketches; Descriptive material related to the information above."

32

Draft June 1, 195

Table 6-2. Minimum Header Flelds for LSS Documentary Material

ISS Field ymadator or Manatory or Multivalued MM[ Autoity Required FormatReq'd by Req'd by (max # of Field Tableldpat ISSA entries) ___h

LSS Accession Number N M N TBD N TBD

Participant Aesion Number M N Y (MD) 17 N AAA.99999999.9999

Irtle M N N 1000 N N

Author M Y Y 0) s Y TBD

Author Orgnizaion M N Y 200) 65 Y LAST NAME, FIRSTINITIAL MIDDLE

_ _I_ TIAL

Elactricigrm TBD N Y TBD TBD TBD

Docume Date M N N 8 N YYYYMMDD

Document Number R N Y (5) 30 N N

Version R N 50 so N N

Access Control Infomation R N Y (17D)) 3 Y N

Related Documents R Y (500) 17 Y AAA.99999999.9999

Related Reord Code R Y Y (500) 7 Y N

Spenal Class R N Y 50 Y N

Abstract (Field under consideration to be N N N 5000 N NdelgdM

33

Draftiune 1, 1995

ISS Field Mandatmy or Mndatory or Multivalued Max Autho Required FormatReq'd by Req'd by (mac # of Field Table_ _ _ _ _ _ _ LSSA entries) Length

Pacade ID Number R Y Y ( 50 N N

Document Type (Icludes package tvpes) M N Y (3) 40 Y N

Identifiers N N _ (5) 80 N N

Commets N N N 1000 N N

Media R N Y (5) 7 Y N

QA Record M N N I Y N

Traceability Number R R Y (10) 50 N N

Traceability Code R R Y (10) 5 Y N

Keywords N N Y (MD) TBD N N

NumberofImage N M N 6 N N

Electronic image koction N M TBD TBD N TBD

Searchable Text Referene Ifo R R TBD TBD TBD TBD

Physical Unit Location Refere Ifo: R R TBD TBD TBD TBD

Addressee R N Y (5S0) s0 Y LAST NAME, FIRSTINTIlAL MIDDLE

_ __ __ .INAL

Addressee Ornization R N Y (SL. . 65 Y TBD

34

Draft Jn 1, 199S

.SS Flel Mandatoy or Mandator or Miduited Max Authort Required FormatReq'd by Req'd by (max f of Field TablePardcp!at LSSA e ) Le-wh

Admini e and process Tracking N Y TBD TBD TBD TBDFields:

LSS Record Housekeeping no:

* Date Received at LSS* Date available in LSS* Date/time Loaded into LSS* Date/time of Last Modification* LSS Indexer IDo Station ID* QC ID* Subject and abstract cataloger ID* Cataloging QC ID* Processin tage Status* Verification ID* Change Trackling Lig

LSS Audit info N R TED TED TED TED

35

Draft June 1, 1995

_ A

_~~~~ ! __

6.2.2 Header Fields for Official Record Material

ISS2-051 Official Rpecnrd Materinl Tf-lednr Pieltds. The Official Record Materialshall, at a minimum, be described using applicable LSS documentarymaterial header fields (Table 6-2) plus the following descriptors:- Docket number- Record material type- Status ("candidate" or "approved" official record material)[LSS1-004]

Comment: This requirement is not intended to dictate the exact name ofthese descriptors, nor to mandate that they be physically distinct fromthe documentary material header fields. Docket number is necessarybecause the LSS may support multiple dockets. Record material typesinclude (for example) transcripts, exhibits, and motions. Status isrequired because material may be entered into the system prior to formalapproval as official record material.

6.2.3 Text Format

LSS1-052 Text Format. The text representation of material in the LSS shall bepage delimited ASCII text. [LSSl-013]

6.2.4 Image Formats

LSS1-053 Tmage fnrmat. The electronic image of documentary material in the LSSshall use the Aldus Tagged Image File Format (TIFF) version 6.0representation. [LSSl-006, LSS1-014]

Comment: The Aldus Tagged Image File Format is an industry standarddeveloped and put into the public domain by Aldus.

LSS1-054 Imagep Ges. The LSS shall capture, import, process and display bilevel(bitonal), and grey-level images of documentary material. The grey-level representation shall allow up to 256 shades of grey. [LSS1-014]

36

Draft June 1, 1995

TLSS1-055 lmage reiolutinn. The electronic image representation of documentarymaterial in the LSS shall be stored at the following minimumresolutions:

Bilevel (bitonal) imagesGrey-level images[LSSI-006, LSSI-014]

300 DPI150 DPI

LSS1-056 Tmagqec omprcssinn. Compression of electronic images shall use CCITTGroup 4 compression for bilevel images, and JPEG for grey-scaleimages. The JPEG compression ratio shall be selected such that animage can be printed at the original size without any degradationdetectable by the un-aided eye. [LSS1-014J

6.2.5 Import Formats

ISS1-057 Imprt Formtas. The LSS shall be designed to accept data for import onMPC-2 compliant CD-R and through electronic transfer. The physicalrecording format on the CD-R medium shall adhere to industrystandards, including:

IS010149 - "Information Data Interchange on Read-Only 120 mmOptical Data Disk' (1989),

ISO 9960 - "Information Processing - Volume and File Structure ofCD-ROM for Information Exchange' (1990),

ECMA 168 - 'Volume and File Structure for Read-Only and Write OnceOptical Disk Media for Information Exchange" (1992).

[LSS1-004]

Comment: The logical format of the data on the CD-R medium orelectronic transfer package will be defined by DOE during the LSSdesign.

37

Draft June 1, 1995

7.0 ISS PERFORMANCE AND CAPACITY REQUIRMENTS

ISS2O058 Storage sind Retrieval Capacity. The LSS shall provide an expandable storagecapacity capable of storing for retrieval up to 2,831 Gigabytes of data, including2,717 Gigabytes of images, 79 Gigabytes of documentary text, and 5 Gigabytesof header data, plus 30 Gigabytes of electronic and miscellaneous data. [LSS 1-003, LSS1-012, LSS1-013, LSS1-014, LSSI-015]

Comment:

This volume requirement is based on the following assumptions:

The anticipated maximum documentary material page count is30 million, of which:

28.4 million are letter size pages (captured as bilevel)1.5 million are E-size pages (captured as bilevel)0.1 million are E-size pages (captured as grey-scale)

Each letter size page is assumed to contain 2500 charactersEach Header Record consist of 2000 characters and one is createdfor every 13 pages (the presumed average document size) enteredinto the system.

In addition text indices and supporting data will require 50 GB oftext index and other supporting information.

It is not anticipated that the full storage capacity of the LSS willbe procured at one time. However for the system to meet thisrequirement, the design must demonstrate that storage and accesscomponents sufficient to accommodate this capacity can beincrementally added without system redesign. Ability to satisfythis requirement should be demonstrated though somecombination of engineering analysis, demonstrated expansioncapability, and/or comparison with existing systems of likedesign.

Appendix B provides additional information on page volumes.

38

Draft June 1, 1995

LSS2-059

LSS2-060

Ran±up. storage Capacity. The LSS shall provide the capability ofstoring and maintaining a backup copy of all data in the system. [LSS1-018]

Timing .. trings. The LSS shall meet the average response times shownin Table 7-1. The performance shall be achieved with 15 concurrentsearch and retrieval users active on the system. [LSS1-018J

Comment: Performance measurements shall measure the time from theWexecute command" key stroke (following any required data entry), tothe time that the requested data or system response first appears on thescreen. Time required for the end user to place removable media into thesystem, if required, will not be counted in retrieval times.

The performance indicated will be achievable at the Main Facility and atthe Supported Sites as indicated. These requirements apply only tocomponents under the control of the LSSA. They do not apply to dial-inusers or any sites not listed in Table 9-1.

39

Dnft June 1, 1995

Table 7-1. Response Time Requirements

eqieetFunctionl ResponseIdentifier Event Conditions Time

LSS24060-01 Retrieval of query results list Simple combined header field and full text quey, 60 secondsone word each. Database contains headers for atleast 5 million In=es of documents.

ISS2-060-02 Retrieval of header data for Database contains headers for at last 5 million 10 secondsdocument identified in query pages of documents.results list.

LSS2-060-03 Retrieval of text data for Database contains at leat 5 million pages of First page: 10 secondsdocument identified in quety documents. Each subseuent page:results list. 3 second at the Main Facility,

6 seconds at the Supported Sites

LSS24060-04 Retrieval of image dat for Database contains at least 5 million pages of First page: 30 secondsdocument identified in query documents. Each sbsequent page:results list. 6 seconds at the Main Fcility

9 seconds at the Supported Sites

LSS2-060-05 Document bilevel ing 8-112xl 1 inch paper. All prior data entry needed 30 paps per mimute for singlefor document scanning complete prior to initiation, sided, 15 pages per mimite forpaper loaded on scanner. double sided (30 blowvel images

I created)

40

Draft Jim 1, 1995

Requirement Function/ ResponseIdentifier Event Conditions Time

LSS2-060-06 New Document Access Measured from the time a new document (header, 24 hours.text and image) has been captured and stored in the Comment: This mea that anyLSS until it is available for retrieval and viewing at method of dissemination fromthe supported sites. the captre site(s) to the

retrieval sites must supportaccess to newly entereddocumets within 24 hours, onan ongoing basis. Weekly ormonthly updates to the readingrooms, for example, would not

l be acceptable.

LSS2460-07 Prepare Searchable Text Time to perform Rmare TaY for Samb fiunction. Less than 20 seconds, on(See Section 3.1) average, to add a document

consisting of 10 fill text pages,to an existing text base of 5milon poas.

LSS2-06048 Backup Daa Time to backup system daft or any type. 4 hous or less for eveay 3Incremental or full backup. taibytes.

41

Draft June 1, 1995

8.0 ISS RELIABILITY, AVAILABILITY AND MAINTAINABILITYREQUqRMI

LSS users will access the system from the Eastern to the Pacific time zones during normalworking hours, with some after hours usage. During the hearing phase there is expected to bean increase in after-hours usage, especially in electronic messaging and importing of officialrecord materials.

One of the key benefits of the LSS is that it reduces the time allotted for transmission ofmaterials:

"Whenever a party, potential party, or interested governmental participant, has theright or is required to do some act within a prescribed period after the service of anotice or other document upon it, one day shall be added to the prescribed period. Ifthe Licensing Support System is unavailable for more than four access hours of any daythat would be counted in the computation of time, that day will not be counted in thecomputation of time."

In order to avoid delays in the licensing process the LSS must be reliable and available forusers who access it for message transmission and document discovery. Since reliability andavailability necessarily require planned preventative maintenance and quick-response forunplanned maintenance, the LSS also must also be designed to be maintainable. The followingrequirements address these goals:

LSS2-061 Rennfigulrshle- Csiphre Suttions. The LSS shall provide reconfigurablehardware and software allocation for stations used in the capture process.Movement of functions from one station to another shall be achievable in30 minutes or less. [LSS-01 8]

Comment: This requirement means that capture functions can be movedfrom one station to another should a hardware failure occur on the firststation. It is not required that all hardware be redundant in the systemprovided that the availability requirements are met.

ISS2-062 Maintainability. All LSS workstations, servers, storage devices, on-sitecommunications, power and environmental control equipment shall beserviceable on-site within four hours of parts availability for component-level failures. [LSSI-018]

Comment: This document does not address the contractual mechanismsor requirements on service contractors such as parts availability and

42

Draft June 1, 1995

service personnel response time. This requirement pertains to the systemdesign, and means that no components should be used in the systemwhich cannot be serviced on-site during a four hour period once partsand service personnel are available. The intent of this requirement isthat, given a normal service contract, any component level failures of theLSS can be readily repaired on-site. Component-level failures' meanfailures that require the replacement of one or a few components ofhardware, as opposed to the catastrophic failure of all components (dueto fire, for example.)

LSS2-063 Equipment Access. All stationary hardware shall have a minimum ofthree feet of free access space in front of all equipment access panels, ormore space if required to open the panels completely. [LSS1-018]

Comment: Stationary hardware refers to large processors, storagedevices, air conditioning units, etc. which are not normally moved orcannot be easily moved by one person to provide access. Desktop PC's,monitors and equipment of similar size are not considered stationaryhardware.

LSS2-064 Availabiliiy. The functions of the LSS, other than those which requirehardware outside of the LSS (e.g. dial-in access) shall meet minimumspecified availability requirements using the following definitions:

Normal Enterprise Hours: The time span which includes 8 a.m. to 5p.m. Eastern time, and 8 a.m. to 5 p.m. Pacific time, in other words, 8a.m. - 8 p.m. Eastern time, 5 a.m. - 5 p.m. Pacific time.

Normal Site Hours: The time span which includes 8 a.m. to 5 p.m. at agiven site.

Extended hours: Normal hours plus three hours prior and three hoursafter normal hours. Extended Enterprise Hours include S a.m. to 11p.m. Eastern time, and 2 a.m. to 8 p.m. Pacific time. Extended SiteHours include 5 a.m. to 8 p.m. at a given site.

Sustained operations: continuous operations for days specified.Sustained operations, five days a week would imply continual operation,five days a week, 52 weeks a year. For acceptance test purposes,sustained operations would imply continual operations throughout thespecified availability test period.

43

Draft June 1, 1995

Comment: This document does not address the actual operational hoursof the LSS which will be determined by the LSSA and the operationscontracts let for the system. It pertains only to the capability of thesystem, as designed and implemented, to support these minimumavailability requirements. Presumably, these system availabilityrequirements will be demonstrated during system acceptance over adefined period of time. The actual system availability during operationsis a function of operational hours set by the LSSA, the performance ofthe operating contractors, as well as the system design andimplementation.

Planned maintenance/backup time. A time period during which nightlybackups and planned maintenance can be performed.

[LSSI-018, LSS1-025]

ISS2-064-01 R1erni. Me.ge Availghility. The Electronic Message Transferfunctions shall be capable of sustained operation at 90% availabilityduring Extended Enterprise Hours, seven days a weeks. [LSSl-018]

Comment: This requirement accommodates a six hour plannedmaintenance/backup time to assure long term system availability anddata protection, while supporting extended hours of user access.Electronic Message Transfer is expected to be heavily used duringextended hours during the hearing phase.

LSS2-064-02

LSS2-064-03

Csptitlire/Stnnge Av.ilabhility. The Document capture and storagefunctions shall be capable of sustained operation at 90% availabilityduring Extended Site Hours, seven days a week. LSSL-0181

Segrch/RetrievAl Availahility. The Document Search and Retrievalfunctions shall be capable of sustained operation at 90% availabilityduring Extended Site Hours, seven days a week. [LSS1-018]

44

Draft June 1, 1995

9.0 LSS FACILITIES, EQUIPMENT AND COMMUNICATIONS

9.1 LSS Sites and Their Respective Functions

LSS2-065 INS lnnatinas. The LSS functions shall be available at multiplelocations in accordance with Tables 9-1 and 9-2. [LSSI-010]

Comment: Table 9-1 maps LSS user types to LSS locations. Table 9-2shows which LSS functions are allocated to each user type. Note thatsome individuals will be assigned the functions of multiple user types.

Figure 9-1 shows the location of the LSS facilities.

9.2 LSS Retrieval Equipment

LSS2-066 RPetrPva1 Fqiiipment. The LSS shall allow the addition of equipment toaccommodate increased numbers of query and retrieval users up to themaximums shown in Table 9-3. [LSS-018]

9.3 Communications

The communications connectivity between the LSS sites is not specified in this document. Itis assumed that communications lines between the main facility and the sites listed in Table 9-1will be sized to meet the functional and performance requirements of the LSS. Allcommunications equipment and lines necessary to meet the functional and performancerequirements of this specification are considered part of the LSS system. Communication linesused by dial-in users are not considered part of the LSS system.

45

PWhite Flint, MDWashington, DC,Vienna, VA

Location To Be Determined:* Main Facility* Hearing Room

Figure 9-1 LSS Locations

TABLE 9-1

ALLOCATION OF USER TYPES TO ACCESS LOCATIONS

User Types

IIad It

12.I2 cI'uI

I0U.

i4

Access LocationsDOE Headquarters, Washington, D.C.DOE Project Office, Las Vegas, NVNRC Headquarters, White Flint, MDNRC Region 1 Office, King of Prussia, PANRC Region 2 Office, Atlanta, GANRC Region 3 Office, Glenn Ellyn, ILNRC Region 4 Office, Arlington, TXNRC Uranium Recovery Field Office, Denver, CO..Las Vegas, NVReno, NV ... . .Carson City, NVNye Couty, NVLincoln County, NVMain Facility (Loction TBD) .i:. .....Hearing Room (Location TBD)RemoteM&O L as VegasM &O VirgiiaE.s..._

TABLE 9-2

ALLOCATION OF FUNCTIONS TO USER TYPES

User Tlpes. . . . . .

IID0

I1

Q

III I

4IFunctionsScan Paper to linageImport Electronic DocumentSc Papert e R ''::''~~~~."0'.'...... .... ",,ER ,i'::'

Import ImageInport TextImport Electronic MessageImport Header

Create Electroc HeaderEnter Header DataEdit Header Data -: : - -:.

Authority Table CheckingConvert Image to Text :-... ... .

Prepare Text for SearchCheck for Duplicate DocumentsMark Document as SupersededAssure Document Capture QualityPre-Store Quality Check - HeaderPre-Store Quality Check - Imae:Pre-Store Quality Check - TextText Spell CheckRejected Document ListCorrect Header Errors (PreStore)Replace Inage PagesInteractive Text Correction

Includes parties and potental parties. Functions only available if user

TABLE 9-2

ALLOCATION OF FUNCTIONS TO USER TYPES (Cont'd)

User Types. . . . .

I

I ft.1*1

J4

baf:914W¢

I:D

I.m

FunctionsStore Document (Link Text, Image, Header)

StoreDocument HeaderStore Document Text

Str .... ..... _Store Document ImageLink Document ComponentsPreclude Orphan Image/Text

Define Records PackageQuery for Document ........ ..

Query HeaderQueiy TextText Query ParametersQuery Header and Text . .. .....Save/Reuse QueryProvide Query StatusQuery Tools

Display DocumentDisplay HeaderDisplay Text . . ..... .Export TextLcate Search Terms in Document

Display ImageImage Viewing ToolsDisplay linage and TextNo Image OptionIdentify Document as Superseded

* Includes partes and potental partes." Functons only avalable ffuser

TABLE 9-2

ALLOCATION OF FUNCTIONS TO USER TYPES (Cont'd)

User Times

II

II.I 'I

J4

tobf

6

IFunctions

Print DocumentPrint Header ... . .. .._Print TextPrint Standard ImagePrint Oversized g ..a ..

Request Paper CopyProces Papea Copy RequestCreate Electronic MessageStore Electronic Message ......... ..Edit Electronic MessageElectronic Message Import/ExportAddress Electronic MessageSend Electronic MessageDisplay Electronic MessageAdcowledge Message Delivery .5, ......

Report Message Delivery FailurePrint Electronic MessageDesignate Official Record MaterialRetrieve Official Reord Material ...... .. .Import TranscriptsStart Up System . . .._Shut Down SystemBackup DataRestore DataMonitor System Status . . .. .......

* Includes parfies and potential parties.' Functions only available if user

TABLE 9-2

ALLOCATION OF FUNCTIONS TO USER TYPES (Concluded)

User Types- . .- - . . .

I

JCA

.51

*1:6

r.12I92 IFunctions

Data Base Administration ToolsAdministrate Address Book - -.Log-On LSSLog-Off LSS . . ....Change Personal PasswordCreateModify User AccountSet Functional Access AuthorizationsSet Data Acess Au thorizations 7 ..Protect Header FieldCorrect Documents in Error ....---..

Edit Header Fields (Post-Store).Replace Image Pages in Error - Post-StoreInteractive Text Correction - Post-Store

Document Deletion . ....Enforce Functional Access AuthorizationsEnforce Data Acess AuthorzationsEnforce Header Field Protections

* Includes parfies and potential parties." Functions only available W user

TABLE 9-3ALLOCATION OF HARDWARE TO LOCATIONS

0

4)

il

I0-

I.

0

.IAccess Locations

DOE Headquarters, Washington, D.C. 10 2 1 1DOE Project Office, Las Vegas, NV 1531NRC Headquarters, White Flint, MD 20 5 1 1NRC Region 1 Office, King of Prussia, PA 3 2NRC Region 2 Office, Atlanta, GA 3 2NRC Region 3 Office, Glenn Ellyn, L 2 -NRC Region 4 Office, Arlington, TX 3 2NRC Uranium Recovery Field Office, Denver, CO 3 2Las Vegas, NV 10 2 1 2Reno, NV 10 2 i 2Carson City, NV 10 2 1 2Nye County, NV 10312Lincoln County, NV 10 2 1 2Main Facility (Location TBD) .10 5 .. ..Hearing Room (Location TBD) 20 4 1M&O Las Vegas TUT 1 2 ¶M&O Virginia 10 2 1 2 =

Draft June 1, 1995

10.0 GUIDELINES FOR SYSTEM ARCHITECTURE AND DESIGN

The following guidelines describe the desired characteristics of the LSS design. They are notphrased as hard requirements because evaluation of compliance may require subjectivejudgement or involve cost/benefit tradeoffs. However solutions with a high degree ofcompliance with these guidelines would be considered technically superior to other potentialLSS solutions.

LSS2-067

LSS2-068

LSS2-069

LSS2-070

Mndultlaesign. As a goal, the LSS will be designed using modulardesign techniques and well documented software interfaces which allownew software components to be integrated into the system withoutseriously impacting other software components. In particular the LSSsoftware for conversion of image to text will be replaceable withoutredesign of the other system components. [LSSI-001]

Gnove-mment/Indliistry Standard . As a goal, the LSS will adhere toestablished government and/or industry hardware and softwarestandards. [LSS 1-002]

TIser Interfaie. As a goal, the LSS user interface will utilize graphicaluser interface techniques which are commonly used in modemcommercial software. All user interface screens within major userfunctions, (such as capture, retrieval, and system administration) willprovide consistent presentations of user selectable functions, systemmessages, menus, and data presentation. [LSS1-022]

Reconfigure llnirwareSftware. As a goal, the LSS will provide thecapability to reconfigure software functions to similar hardwarecomponents within the system to provide flexibility in work flow andmaximize system availability. [LS1-018J

Comment: The requirement means, for example, that the various stagesof the capture process might be moved to one or more machines toaccommodate increases and decreases in staffing applied to a particularpart of the work flow. At one point, 3 people might be working on pre-capture quality checking, and on another day only one might berequired. The remaining two stations would be reconfigured to supportother capture functions. It also means that the software functions on astation which experiences hardware failure could be easily moved toanother station not originally used for those functions. Designs which

53

Draft June 1, 1995

allocated functions to specific hardware in an inflexible manner wouldnot meet this goal.

LSS2-071 MCdifihle- Ther Tnterf. As a goal, the LSS will be designed to allowrapid changes in user interface to accommodate user preferencesdiscovered during system pre-operational testing and during systemoperation. [LSS-001, LSS-022]

54

Draft June 1, 1995

GLOSSARY

Bibliographic HeaderSubset of the LSS header which is submitted by parties with their documentary material.

Bit-Mapped ImageElectronic representation of an image by individual pixels, or points of light, dark or color,arranged in row and column order.

Character StringOne or more sequential alphanumeric characters or spaces.

E Sized34 by 44 inches

LSS HeaderAs used in this document, LSS header refers to the fields which profile the documentarymaterial in the LSS as well as any fields used to profile the official record materials.

Official Record MaterialsMaterials designated as part of the official docket of the license proceedings and placed inthe LSS as such.

55

Draft June 1, 1995

APPENDIX A: PHASE 1 LSS REQUIREMENTS

LSS components shall be integrated using modular design techniques andwell-documented interfaces which allow new components to beintegrated into the system without seriously impacting other components.

LSS-OO1

LSS1-002

LSS1-003

LSS1-004

LSS1-005

LSSI-006

ISSI-007

LSS1-008

The LSS shall adhere to established government and/or industryhardware and software standards to the extent feasible.

The LSS shall provide an electronic information exchange function tofacilitate communications between authorized users. This function shallallow users to transmit and receive electronic documents (e.g. motions,filings, orders, decisions, etc.). Each user shall have a correspondingelectronic message center to receiver and store electroniccorrespondences.

The LSS shall be capable of accepting electronically formatteddocumentary materials. Within the LSS there must be a concept of arecords package and the records package grouping must be logicallyaccessible.

The LSS shall provide the capability to recognize characters from thedigital image of a document and convert these characters into a standardtext representation of the document. This optical character recognitionfunction shall achieve character recognition accuracies that areachievable with the best commercial products available at the time of theLSS system design.

The LSS shall have the capability to create a digital image of each pageof a document.

Documentary material not suitable for imaging and conversion to astandard text file shall be identified with a header that includes areference to the storage location of the material. This reference shall bedescriptive enough for users to identify the location of the material andhow to access the material.

The LSS shall include a function that allows document submitters toverify that document information entered into the LSS data base isidentical to the document information submitted to the LSSAdministrator.

Draft June 1, 1995

LSS1-009 The LSS shall provide a function to allow all users to detect thatsubsequent revisions to a document exist.

LSS1-010 The LSS shall be accessible from the following locations as a minimum:

S

6

6

6

S

S

S

S

S

S

S

S

DOE Headquarters, Washington DCDOE Project Office, Las Vegas NVNRC Headquarters, White Flint, MDNRC Region 1 Office, King of Prussia, PANRC Region 2 Office, Atlanta, GANRC Region 3 Office, Glenn Ellyn, ILNRC Region 4 Office, Arlington, TXNRC Uranium Recovery Field Office, Denver, COLas Vegas, NVReno, NVCarson City, NVNye County, NVLincoln County, NV

LSS1-11 The LSS shall provide one of two search and retrieval modes dependingupon whether a notice of hearing on the high-level waste licenseapplication has been issued:

Prior to Notice - Full-text search of each field in the bibliographicheaders and retrieval of the header and associated image.

After Notice is Issued - same as above plus full-text search of thestandard text files.

Given concurrence of the LSS Advisory Review Panel, the latter searchmode can be provided prior to the hearing notice.

LSS1-012

LSS1-013

The LSS shall be capable of electronically storing and retrieving thebibliographic headers in the system.

The LSS shall be capable of electronically storing and retrievingdocument text.

LSS1-014 The LSS shall be capable of electronically storing and retrieving thedigital image associated with each page in a document.

A-2

Draft June 1, 1995

LSS1-015

LSS1-016

LSS1-017

LSS1-018

LSS1-019

LSS1-020

LSS1-021

LSS1-022

Potential parties, interested governmental parties, and parties whoaccess the LSS from locations other than those listed in requirement[LSSI-010] and those specified by the Administrator shall be providedfull text search capability through dial-up access at the requester'sexpense.

Potential parties, interested governmental parties, and parties whoaccess the LSS from locations other than those listed in requirement[LSSI-010] and those specified by the Administrator shall be providedaccess to images at the requester's expense.

Potential parties, interested governmental parties, and parties whoaccess the LSS from locations in addition to those listed in requirement[LSS 1-010] shall be capable of electronically requesting a paper copy ofa document at the time of search.

The system shall provide the LSS Administrator with the necessary toolsto ensure LSS availability and the integrity of the LSS data base.

The system shall provide the LSS Administrator with the necessary toolsto ensure the security of the LSS. The electronic information exchangefunction shall provide password protection for all documents transmittedelectronically.

The LSS shall provide tools to assist the user in retrieving documentswhen the unique identifiers for the documents are not known to theusers. Examples might include synonym processing, thesaurus, naturallanguage queries, or other search aids.

The LSS must have capture functionality and the capability to validatematerial submitted in required electronic form.

The LSS shall provide a user interface that is consistent with theacceptable user interfaces available at the time of the LSS design.

LSS1-023

LSS1-024

The LSS shall have a function that assists the LSS Administrator inidentifying duplicate documents.

The electronic information exchange function shall provide for anelectronic acknowledgement that mail has been delivered to therecipient's electronic message center. The acknowledgement shall

A - 3

Draft June 1, 1995

include as a minimum, the name and address of the recipient and thedate the electronic mail was delivered.

LSS1-025

LSSI-026

LSS1-027

LSS1-028

LSS1-029

System Definition - - The totality of hardware, software,communications, data processes and procedures dedicated to providingdocument intake, storage, searching, retrieving, and delivery to the usersof the headers, text and images as detailed in the mission statementsfound in 10 CFR 2, Subpart J.

The system shall be able to load transcripts from proceedings andtranscripts from depositions.

The LSS will include the capability to catalog records packages and linkthe bibliographic headers for the records package and the bibliographicheaders for the components of the package.

The LSS must accommodate a protective order file, the access to whichis provided only under authorization by the presiding officer.

The LSS must be able to provide a mechanism that will allow retrievaland display of pages of text with the associated images.

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APPENDIX B: ESTIMAATED LSS DATA VOLUMES

OCRWM OCRWM NRC NRC Othes Others Total Page 90% Relevant 50% RelevantYear Pages/Year Cumulative Pages/Year Cumulative Pages/Year Cumulative Added Yearly Cumulative Cumulative

1994 580 k 6,905 k 59 k 550 k 18k 18k 657 k 6,782 k 4,020 k1995 750 k 7,655 k 59 k 654 k 23 k 41 k 832 k 78 I 4.522 k1996 1,351 k 9,005 k 65 k 760 k 42 k 82 k 1,457 k 8,947 k 5,345 k1997 1,682 k 10,687 k 71 k 891 k 52 k 134 k 1,804 k 10,644 k 6,369 k1998 1,970 k 12,657 k 78 k 1,046 k 61 k 195 k 2,109 k 12,632 k 7,569 k1999 2,013 k 14,670 k 86k 1,203 k 62 k 257 k 2,161 k 14,663 k 8,795 k2000 2,276 k 16,946 k 95 k 1,381 k 70 k 327 k 2,440 k 16,959 k 10,181 k2001 2,371 k 19,317 k 104 k 1,567 k 73 k 400 k 2,548 k 19,351 k 11,62S k2002 1,628 k 20,945 k 114 k 1,694 k 50 k 450 k 1,793 k 20,994 k 12,616 k2003 1,584 k 22,529 k 126 k 1,818 k 49 k 498 k 1,759 k 22,593 k 1 k2004 1,756 k 24,285 k 139 k 1,956 k 54 k 552 k 1,949 k 24,365 k 14,651 k2005 1,708 k 25,993 k 152 k 2,089 k 53 k 605 k 1,913 k 26,088 k 15,691 k2006 1,514 k 27,506 k 168 k 2,208 k 47 k 652 k 1,728 k 27,615 k 16,613 k2007 1,674 k 29,181 k 184 k 2,339 k 52 k 703 k 1,910 k 29,305 k 17,632 k2008 1,756 k 30,937 k 203 k 2,476 k 54 k 757 k 2,013 k 31,077 k 18,702 k2009 1,247 k 32,184 k 223 k 2,574 k 38 k 795 k 1,509 k 32,335 k 19,461 k2010 1,124 k 33,308 k 245 k 2,662 k 35 k 830 k 1,404 k 33,469k 20,146k

DraftJune 1, 1995

APPENDIX C: JISS CONCEPT OF OPERATIONS

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APPENDIX C

LSS CONCEPT OF OPERATIONS

(FURTHER DETAILS)

Preliminary Draft June 5, 1995

Table of Contents

C.O IRODUCTION ........................................ C-3

C.1 SYSTEM ADMINISTRATION .................................. C-3

C.2 LOADING DOCUMENTARY MATERIALS ........................ C-6

C.3 ELECTRONIC MESSAGING .................................. C-9

C.4 MAINTAINING THE OmCIALDOCKET ....... ................ C-12

C.5 SEARCHING THE DOCUMENTARY MATERIALS ..... ............ C-15

C.6 SEARCHING THE OMCLAL DOCKET ........ ................. C-17

C.7LSSA QC . ........................................ C-18

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C.O INTRODUCTION

This Appendix contains further clarifying details on the information provided in Section 2 LSSConcept of Operations, and like Section 2 does not specify system requirements nor dictateprocedural requirements. It's purpose is to provide a better understanding of the anticipateduse of the LSS, as a basis for understanding the stated requirements.

C.1 SYSTEM ADMINISTRATION

LSS System Administration personnel will be responsible for:

i) Ensuring the LSS is on-line available as required,ii) Creating and maintaining all user accounts, including:

- userid's and passwords,- functional and data access definitions, and- suspending/terminating accounts,

iii) Servicing print requests,iv) Maintaining authority tables used in the validation of header field values,v) Maintaining protected header field designations which prevent the editing of selected

header fields,vi) Maintaining the address book used in electronic messaging,vii) Reconfiguring capture stations,viii) Performing routine system maintenance of hardware,ix) Performing corrective system maintenance of hardware,x) Performing data backups and recovery, as required,xi) Performing installation of hardware, as required, andxii) Performing installation of software upgrades, as required.

Standard system administration functions which are not LSS-specific are not further described,e.g., routine and corrective maintenance, backups and recovery, and hardware and softwareinstalls. LSS-specific system administration functions are further described below.

User Accounts: System Administration personnel will establish each user's account with aunique, default password, and the user's functional and data access authorizations. Each userwill be expected to change the password to one of their own choosing during their first log-inusing the default password. All users, except public users, will be able to change theirpasswords; public users will not be allowed to change passwords on public accounts. Anelectronic messaging account, the name of which may be different than the LSS account name,will also be established for each user who is to have access to the electronic messaging

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facilities.

Functional Access Authorization: Subsequent to a successful log-in, the functionalityaccessible to a user will be restricted to that defined for that account, i.e., user-id. Functionsavailable to a user will either be:

- determined at log-in and unauthorized functions made unaccessible to that user, such as bydeactivating or 'greying out' options, or

- determined dynamically upon a user's attempt to utilize an option, and if the user is notauthorized, denying access.

Data Access Authorization: Subsequent to a successful log-in, the data accessible to a userwill be restricted to that defined for that account, i.e., userid. Data available to a user willhave to be determined dynamically upon a user's attempt to access data, and if the user is notauthorized, access to the data will be denied. Data access will be defined at least to the levelof read, write, and delete for the documentary materials and official record materials.

Log-In: Each user will have a separate account, and will have to enter their correct useridand password combination to gain access to the system. Passwords must be stored encrypted,and during log-in, user-entered passwords will be encrypted and compared to the storedencrypted password for the user-entered user-id. Access to the LSS will only be granted foran exact match, and the default for all log-in operations must be to deny access. For each log-in session, the functional and data access authorizations defined for that account will beenforced by the system.

Log-off: Each user will be expected to log-off the system, terminating their access, at the endof each log-in session. If the user does not log-off, the system will automatically terminate asession after some period of inactivity, to be defined by System Administration personnel.

Account Suspension: A participant's access may be suspended/terminated for non-compliance. If a participant's access is suspended/terminated, all accounts of that participantwill be suspended/terminated. A participant's access may subsequently be re-instated.

Authority Tables: System Administration personnel will maintain the authority tables for theLSS database headers. Each authority table will define the list, or range of, valid values forit's associated header field. These tables will have been initialized when the system is turned-over to the NRC, based on DOE's pre-load of it's documentary materials.

Designating Protected Header Fields: System Administration personnel will maintain thedesignations of which LSS header fields are to be protected. Protected fields will beuneditable, except for initial entry of a value into that field. The designation of which header

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fields are to be protected will have been initialized when the system is turned-over to the NRC,based on DOE's pre-load of it's documentary materials.

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Address Book: System Administration personnel will maintain the address book used inelectronic messaging. The address book will contain the definition of all valid individualaccount names for electronic messaging, and the definition of all group names, which will becomprised of multiple individual account names. The address book will not have beeninitialized when the system is turned-over to the NRC.

Capture Station Re-Configuration: It is assumed that all capture stations for capturepersonnel are configured identically, in both hardware and software. Capture stations foroperators devoted to quality checking will not have scanners attached, and therefore will notneed the software required for scanning. Those capture stations would likewise not need thesoftware tools needed for creation of searchable text. However, the volume of data, and thenumber of Capture personnel may vary on any given day, or hardware may fail, such as ascanner. To make optimum use of available hardware and operators, system administrationpersonnel need to be able to re-configure the software allocated to a particular capture stationto support any one or more capture functions on any given day.

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C.2 LOADING DOCUMENTARY MATERIALS

Capture personnel will load the documentary materials which will have been submitted by theparticipants in electronic form, and will also need to load documents submitted as hard-copy,e.g., document exhibits offered during the hearings. The Capture personnel may consist ofone or more operators authorized to import, index, scan, convert to text, quality check (QC),spell-check and correct, create searchable text, duplicate check, and commit to the database.The capture process would proceed as follows:

i) An "indexing' operator, based on functional access authorizations and operatingprocedures, will initiate a new LSS header and either import (if submitted inelectronic form), or manually enter (if otherwise provided), the bibliographic headerfields into the new LSS header. See Section 6.0 Table 6-2 for a complete descriptionof the minimum set of fields required to index the documentary materials.

ii) If manually entered, the operator will have access to the authority tables from whichto select valid values. Note: The operator will have to enter values into header fieldswhich would have been protected if imported.

iii) Each bibliographic header field will be validated against the appropriate authority table,either during the import or data entry process, or possibly afterwards upon command ofthe operator. For imported headers, if the operator identifies discrepancies in anyunprotected fields, the operator may edit those fields in accordance with establishedoperating procedures, which may include contacting the submitter. The system will notallow the operator to edit the protected header fields when their data is from importedbibliographic headers.

iv) The system will automatically fill-in fields such as "Date/Time Loaded into LSS".v) The operator will enter values for all other required fields, such as the unique id for

the item 'LSS Accession Number", 'Date Received at LSS", and 'LSS Indexer ID",and then for the optional fields, as appropriate. The operator will have access to theauthority tables from which to select valid values for these fields.

vi) If the operator is unable to complete the LSS header, the item will be rejected, andwill have to be resubmitted.

vii) Once the operator has completed the LSS header for an item, the operator will importthe page images (if submitted in electronic form) or scan the paper (if otherwiseprovided). If the page images or paper were not provided and should have been, orif any of the page images or hard-copy pages are not acceptable, the item will berejected, and will have to be resubmitted.

viii) If importing, once the operator has completed importing the page images, theoperator will import the page texts, if provided. If the page texts were not providedand should have been, or if any of the page texts are not acceptable, the item will berejected, and will have to be resubmitted.

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If scanning, once the operator has completed scanning, if the item is suitable forconversion to text, the operator will convert the page images to page texts via theappropriate image to text conversion tool. If any of the resultant page texts are notacceptable, they may be corrected, and if not correctable, the item will be rejectedand will have to be resubmitted.

ix) When the operator has completed loading all the appropriate elements' for an item(LSS header, image, text) the operator will mark the item as being 'ready for qualitycheck".

x) A QC operator, another or the same, based on functional access authorizations andoperating procedures, will quality check the item's LSS header, page images, andpage texts.

xi) The operator will ensure that the LSS header is complete and accurate. If theoperator identifies discrepancies in the header, the item will be rejected and returnedto the indexing operator's queue for re-loading, with a notation indicating why theitem was rejected.

xii) The operator will ensure that all page images are legible, not overly skewed, and thatthe complete page image was captured, including marginalia. If the operatoridentifies discrepancies in the page images, the item will be rejected and returned tothe indexing operator's queue for re-loading, with a notation indicating why the itemwas rejected.

xiii) The operator will ensure that the text is page delimited, that the page texts match theimages (especially for skewed pages), and that the page images and page texts areproperly synchronized. If the operator identifies discrepancies in the page texts, theitem will be rejected and returned to the indexing operator's queue for re-loading,with a notation indicating why the item was rejected.

xiv) When the operator has completed quality checking all the appropriate elements of theitem, and they have all passed, the operator will mark the item as being "qualitychecked".

xv) Once an item has successfully passed quality checking and prior to creation of LSS-searchable text, an operator, the same or another, will invoke the appropriate tool tospell-check, and correct2, the item's text and any header fields which are to be full-text searchable.

xvi) Once spelling errors have been corrected, the operator will invoke the appropriatetool to create the LSS-searchable text, e.g., the creation of inverted indices.

xvii) Once the searchable text has been created, an operator, the same or another, will

The "appropriate elements" will be based on whether the item is supposed to be just

header, header and image, header and image and text, etc.

2Uncorrected spelling errors may prevent an item from matching a user's full text search

criteria.

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invoke the appropriate tool to ensure that the item is not a duplicate of one already in

the system. If the item is a duplicate, the item will be rejected and returned to theindexing operator's queue for deletion with a notation indicating the item is aduplicate and is to be deleted; the indexing operator will subsequently delete the item.

xviii) When an item has been indexed, imaged, converted to text, quality checked, spell-checked, the searchable text has been created, and the item has been determined to bea non-duplicate, an operator, the same or another, will commit the item to the LSSdatabase.

In addition to the initial loading of an item, one or more operators will have to be able to:

i) Edit LSS headers, for items which fail the quality check or fail submitter verificationii) Scan one or more pages, to replace or insert page image(s) which fail the quality check

or fail submitter verificationiii) Convert image to text for those pages which are re-scanned, page text(s) which fail the

quality check or fail submitter verificationiv) Delete the page images, page texts, and LSS header for an item:

a) which has been determined to be a duplicate, orb) is to be removed from the system for some other reason, e.g., non-relevance.

Rejection List: In capturing documentary materials which are in electronic or non-electronicform, any items which cannot be properly indexed, imaged, converted to text, fail qualitychecking, are determined to be duplicates, or are otherwise unacceptable, will be included in aRejection List to be provided to each participant.

Deleting Documentary Materials: Deletion privileges will be restricted to authorized users.

In addition, the system will not allow any item to be deleted without a delete confirmation, andwill not allow the header to be deleted without first deleting all associated page images andpage texts.

Capture of Oversize Hard-Copy: Imaging of oversized Hpagesw requires specialized hardware

and software. Possibly these will not be on the same capture station as the scanner forstandard size pages (8.5 x 11 inches). Even if they are on the same capture station, if an item

of documentary material has both standard and oversized pages, those pages will have to bescanned separately, and any image of an oversized page will have to be imported or insertedinto it's appropriate place in the sequence of standard pages for that item, or vice versa.

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C.3 ELECTRONIC MESSAGING

Each non-public account established by the LSSA will have an "electronic mailbox' fromwhich to transmit and receive electronic messages. These facilities will also be used to sendand receive electronic messages which are not destined to become part of the official docket.

All electronic filings, services, rulings, etc., will be free-form text, i.e., there will be noautomated formatting of the body of a motion, ruling, order, etc., which is unique to that typeof transmission.

Electronic acknowledgements must be used as proof of service for all electronic services, andare to be automatically generated by the electronic messaging facilities and returned to thesender when the service has been placed in the receiver's electronic mailbox. Either thesystem (if possible) or the sender will provide the electronic acknowledgement to the LSSA,for entry as 'candidate' official record material.

All filings in the Licensing Proceeding are to be transmitted by the submitter to the PresidingOfficer, the participants, the LSS Administrator, and the Secretary. There will be noautomated mechanisms in the electronic messaging facilities for ensuring that filings, etc., arealways addressed and sent to the proper accounts, however, group names will be established inthe electronic messaging facilities to assist in addressing messages to all the appropriateaccounts. For instance, one group name might be established to include all the participantorganizations' "account(s) of attorney(s) of record", the LSSA, the Presiding Officer, and theSecretary, and another group name might be established to include just the Secretary and theLSSA.

The LSSA will ensure that all filings and electronic acknowledgements received by the LSSA,are entered as "candidate' official record materials to be available in header and text for field-oriented and full text search and retrieval. Headers will be created by the capture personnelfor these electronic messages.

A signed paper copy3 is required for each filing made subsequent to the docketing of theLicense Application. The Secretary will ensure that:

i) the signed hard-copy matches the 'candidate" header and text,ii) the signed-hard copy is imaged, andiii) the image(s), text(s), and header(s) for the service and proofs of service are designated as

official record materials, i.e., 'approved'.

3 See 1OCFR2 Subpart J Sec. 2.1013.

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When a participant serves an entity which does not have access to the electronic messagingfacilities of the LSS, that service will be in writing. Both the service and the proof of servicewill have to be provided to the LSSA and Secretary. The service and proof of service will bemade available for field-oriented and full text search and retrieval, and header informationanalogous to that provided for electronic transmissions will be entered.

Once a user has gained access to the LSS via log-in, the electronic messaging facilities of theLSS will be used to compose and transmit as follows:

i) Select access to the electronic messaging facilities,ii) Select an option to allow message composition, or an option to retrieve a previously

composed message for editingiii) Type-in the subject or title of the message in it's own field, or import, or possibly cut-

and-paste, the character string from another electronic message or document withinLSS or from another source,

iv) Select one or more accounts to send the message "TO:' from the address book, asystem-supplied list of valid LSS electronic messaging accounts, including groupnames,

v) Likewise select one or more accounts to send a copy of the message to, i.e., "CC:'(if supported by the system, otherwise all addressees will be in the "TO:" field)

vi) Type-in the text of the message, e.g., the motion, ruling, etc., or import, or possiblycut-and-paste, some or all of the text, from another electronic message or documentwithin LSS or from another source,

vii) Save the message without transmitting it, for future recall, editing, and transmission,or

viii) Select a send option,ix) The system will automatically generate the date and time the send option was selected

and add this to the message as the date and time of transmission,x) The system will automatically generate a separate electronic acknowledgement, as

proof of service, for each addressee to whom the message was addressed (either asTO: or CC:), when the system places the message in each addressee's 'mailbox"4

xi) The system will automatically return each electronic acknowledgement (for each suchaddressee) to the sender's mailbox, if requested

xii) The system will automatically generate a separate delivery failure notice, for eachaddressee to whom the system is unable to deliver the message

xiii) The system will automatically return each delivery failure (for each such addressee)to the sender's mailbox, if requested.

4 "Mailbox" is used to mean the addressee's electronic mailbox from which the user sendsmessages, and to which the user receives messages.

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The sender is responsible for:i) Including each participant organization's "account(s) of attorney(s) of record", the

PLAPO or PO, the LSSA, and the Secretary as addressees on every electronic filing,5

ii) Providing a follow-up hard-copy of each such filing to the Secretary for inclusion in theofficial record materials,6

iii) Ensuring each addressee for which an electronic delivery failure was received issuccessfully served either electronically or via postal mail, and in the latter case, that thehard-copy service and proof of service are provided to the Secretary for inclusion in theofficial record materials.

5See 10CFR2 Subpart J Sec. 2.1013.

See 1OCFR2 Subpart J Sec. 2.1013.

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C.4 MAINTAINING THE OFFICIAL DOCKET

The Secretary will ensure that the electronic docket contains all the official record materials ofthe licensing proceedings. Some of these materials will be generated within the LSS andtransmitted via the electronic messaging facilities, and some of these materials will begenerated external to the LSS, and will have to be captured from hard-copy or electronic file.An official docket typically includes:

* Filings, and services by the participants, electronic and non-electronic, and associatedproofs of service

* Rulings, directions, orders, decisions, and issuances of the Presiding Officer* Daily transcripts of the Licensing Hearing(s)* List of exhibits* Depositions* Subpoenas

"Candidate' Official Record Materials: All filings, services, and proofs of service viaelectronic messaging, will be considered 'candidate" official record materials, until"approved" by the Secretary. The initial loading of transcripts, depositions, etc., may also bedesignated as "candidate". All 'candidate" official record materials will be retrievable asheader and text, but will not be considered part of the official docket. When the Secretaryapproves an item of 'candidate" official record materials, and so designates to the LSSA,Capture personnel will update the corresponding header to reflect it as "approved", and it willthen be considered part of the official docket.

Externally Generated Materials: The Secretary will ensure that the following areincorporated into the official record materials, with headers and searchable text, and pageimages (if appropriate):

- The PO's directions and orders for any pre-hearing conferences, the conferences'transcripts, the PO's orders reporting the results of the conferences, and all proofs ofservice related to these.

- Hard-copy petitions for access or for leave to intervene, and associated rulings.- Daily transcripts of the Licensing Hearings.- Referrals of rulings to the Commissioners, the subsequent rulings by the Commissioners,

and any related proofs of service.- The Licensing Boards Initial Decision.- The construction authorization, if the Licensing Board's Initial Decision is to approve the

License Application.- The results of the NRC Commissioner's supervisory review(s) of the contested issues and

non-contested issues in the Licensing Proceedings, after the issuance of the Initial Decision

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by the Licensing Board.

List of Exhibits: The official record materials will include a list of all exhibits, showing wherein the transcript each was marked for identification and where it was received into evidence orrejected."7 Like documentary material, an exhibit may be a document, a physical sample, agraphic, etc. Each exhibit will have a header, and the list of all exhibit headers will comprisethe "list of exhibits'. All exhibits not previously submitted as documentary materials will beentered as documentary materials, after being presented. All exhibits will therefore beretrievable via a standard query using, at a minimum, the unique LSS documentary materialsitem id 'LSS Accession Number".

Transcripts: "Transcripts will be entered...on a daily basis in order to provide next-dayavailability..."' Transcripts will be stenographically reported, and provided to the LSSA inelectronic form (ASCII). Capture personnel will create a header for each day's transcript,designating it as "candidate", and import the text of the transcript, to be linked with thatheader. This 'candidate" official record materials must be made available with header andsearchable text, for participants' certification, within several hours of the close of the hearingfor that day. After the participants have all certified that day's transcript, the Secretary willapprove that transcript and so designate to the LSSA, and Capture personnel will update thecorresponding LSS header to reflect it as "approved".

Depositions: The capture personnel will create a header for each deposition, and import thetext of the deposition, to be linked with that header. This "candidate" official record materialwill be made available with header and searchable text. When the Secretary approves thatdeposition and so designates to the LSSA, Capture personnel will update the correspondingLSS header to reflect it as "approved".

Headers for Official Record Materials: Section 6.0 Table 6-2 contains a completedescription of the minimum set of fields required to index the documentary materials.For official record materials, the docket number, the data type (e.g., "transcript","deposition", 'exhibit", 'filing", "proof of service", etc.), and the status (e.g., "candidate" or"approved") will also need to be included in the LSS header. Other header fields fordocumentary materials may be re-used, but some information pertinent to the various officialrecord materials may have to be captured in the "Comments" field in the header. Forinstance, for an exhibit, in addition to docket number, status, and data type "exhibit", the

7See 1CFR2 Subpart J Sec. 2.1013.

See 1OCFR2 Subpart J Sec. 2.1013.

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following information' might be captured in a comments field in the header:

i) sequential exhibit identification, e.g., a number or letter,ii) date the exhibit was offered in the hearing, i.e., transcript date,iii) 'where" in that transcript the exhibit was marked for identification, e.g., page number

and line number,iv) whether the exhibit was received into evidence or rejected,v) the exhibit's unique LSS documentary materials item id "LSS Accession Number", if

the item was submitted and loaded into the LSS,vi) identification of the exhibit, if the exhibit is not an item in the LSS documentary

materials1 0,vii) location of the exhibit, if the exhibit is not an item in the LSS documentary materials,viii) date of approval.

Amending the Official Docket: The official docket can only be corrected by appendingamendments noting the error and correction. 'Approved" official record materials are not tobe edited nor deleted. 'Candidate" official record materials will be editable.

9 See lOCFR2 Subpart J Sec. 2.1013.

1 0Per 1OCFR2 Subpart J Sec. 2.1013 "...Absent good cause, all exhibits tendered...musthave been entered into the Licensing Support System before the commencement of that portion ofthe hearing in which the exhibit will be offered..."

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C.5 SEARCHING THE DOCUMENTARY MATERIAlS

The LSS will expedite document discovery via computerized field-oriented and/or full textsearches of the documentary materials holdings. Searches will employ combined field-orientedsearching against the header and free-text searching against some header fields and the text.For instance, a user will be able to search for all documents in the LSS with "Author=X",AND dated between "Document Date =Oct 10 1991 to Feb 20 1992" AND containing thecharacter string "Text =thermal".

Search Terms Spanning Words: Text queries will be able to span multiple words, e.g.,"Text=geo thermal".

Wild Cards: Text queries will support both single and multiple character wild cards. Forinstance, "Text-Lic*", would retrieve any documents with the strings "license" or"licensing", and "Text=*thermal", will return documentary materials with the strings"geothermal" and "geothermal". Note that the latter query would not return "geo thermal".

Search Tools: The LSS will provide interactive tools to assist the user in retrievingdocumentary materials when all the unique identifiers are not known to the user. For instance,text queries might automatically be expanded by the LSS to include LSSA defined synonymsfor terms, i.e., a search on "Text=DOE" might automatically be expanded to "Department ofEnergy" and "Dept of Energy" if these have been defined as synonyms, and all documentarymaterials with any of those character strings would be retrieved. This is only an example andthe Search Tools may be implemented differently, e.g., via natural language.

Query Status: The system will provide each user some periodic indication of the status oftheir queries in execution. For instance, periodically displaying as the query executes, eitherthe number of documents identified by the search criteria, ornthe percentage of items searchedin a known database partition.

Terminating Queries: A user will be able to terminate a query at any time, e.g., if the queryis running too long.

Saving and Re-Using Queries: Each user will be able to save a query, recall and edit it,resave it, and execute it at any time.

Results List: Execution of a search will yield a results list of documentary materials, with asubset of the header data for each item of documentary material identified by the search. Byselecting an item from the results list, the entire header, or the page images, or the page texts,of the document will be viewable. The header values or character strings within the header

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and text which satisfied the query will be identified within the header and/or text whendisplayed, such as by highlighting.

Corrected Version: If an item has been superseded by a corrected version, the system willindicate it in the results list.

Image and Text Page In-sync: Image pages and text pages will be automaticallysynchronized, unless 'turned-off" by the user. If the text is being displayed along side theimage, and synchronization is "turned-on", and the user jumps to and displays a new imagepage, then the text page will likewise be updated. If the text is not currently being displayed,the text will be displayed at the displayed image page whenever the text is displayed. The userwill be able to turn this feature on or off at any time.

Image Manipulation: The user will have the capabilities/tools for rudimentary imagemanipulation, including rotation, enlargement, reduction, and horizontal and vertical scrolling.For instance, a document may be submitted with all page images in portrait mode, but forreadability a user may desire to rotate an image page which has a table in landscape mode; orif the page image is oversized, it can be reduced to fit the entire image on the display, or it canbe viewed actual size by scrolling up, down, left and right, and viewing only that portionwhich will fit on the display.

Printing pages: All dedicated interactive retrieval stations will have the capability to printstandard size pages, up to 8.5 x 1I inches.

Printing Oversize Image Pages: Printing of oversized image pages requires specializedhardware and software which will not be available at all LSS access locations. Users will haveto submit a print request in order to obtain a full-size print of any oversized image page, up toWE'-size.

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C.6 SEARCHING THE OFFICIAL DOCKET

Users will be able to search all of the LSS official records materials, including the "candidate"official record materials. Since the LSS will be capable of supporting multiple dockets, if adocket number is not specified as part of a search, all official record materials will besearched, and the results may be for multiple dockets.

Searches will employ combined field-oriented and free-text searching. Users will be able toqualify the 'type" of official records materials to be searched, i.e.,

- search only transcripts,- search only depositions for a specific docket number,- search only (the list of) exhibits- search all official record materials related to filing "X"- search only proofs of service for filing "X"- search only "approved" transcripts,- search "approved" and "candidate" filings.

For instance, a user will be able to search:

- "Type = Transcript" AND "Docket= 101" AND "Status=approved" AND dated between"Document Date =Oct 10 2002 to Feb 20 2003" AND containing the character string"Text =objection".

- "Type = Deposition" AND dated between "Document Date =Oct 10 2002 to Feb 202003" AND containing the character string "Text =I can't recall".

- "Type = Exhibit" AND "Docket= 101" AND dated between "Document Range =Oct 10i002 to Feb 20 2003" AND containing the character string "Text =*porous*".

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PRliminary Daft June 5, 1995

C.7 LSSA QC

The LSSA may monitor participant submissions after the capture process, i.e., afterdocumentary material has been committed to the LSS database. This may include randomlysampling participant submissions for completeness, accuracy, and relevance. This will beaccomplished using the search and retrieval techniques available for document'discovery.

Non-relevance: Any documentary materials which are determined to be non-relevant will beremoved from the system by specifically authorized personnel, and the submitter notified.

Corrections of Committed Documentary Materials: In the event that an indexing error,imaging error, image to text conversion error, etc., goes undetected during quality checking,and an item is committed to the LSS database with one or more errors, specifically authorizedpersonnel will be able to correct the unprotected fields of the header only.

All other corrections to documentary material will be made by having the participant re-submitthe item, loading the item as new, and retaining the original item, updating it's header toindicate a corrected version exists.

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