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MANAGING DATA FOR LONG-TERM STEWARDSHIP
WORKING DRAFT

March 1998

Working Draft Report Prepared by
ICF Kaiser Consulting Group

Image of Document Storage ACKNOWLEDGMENTS

Managing Data for Long-term Stewardship was prepared by ICF Kaiser Consulting Group for EG& G Technical Services of West Virginia under DOE Prime Contract No. DE-AC-95MC31346. This Working Draft Report was conducted by a diverse team composed of federal and contractor representatives from DOE Headquarters (the EM Office of Strategic Planning and Analysis); the Federal Energy Technology Center; ICF Kaiser Consulting Group; Project Performance Corporation; Pacific Northwest National Laboratory, Washington; Sandia National Laboratory, New Mexico; and JK Research Associates, Inc. Key assistance also was provided by the DOE Rocky Flats Field Office, Kaiser-Hill team, and the Rocky Flats Local Impacts Initiative.

Project direction was provided by Robert E. Hegner, Ph. D of the ICF Kaiser Consulting Group and Steven Livingstone of the EM Office of Strategic Planning and Analysis. For further information, contact: Dr. Hegner at 202-863-7027 (email: rhegner@ icfkaiser. com) or Mr. Livingstone at 202-586-9874(email: steven. livingstone@ em. doe. gov).

TABLE OF CONTENTS

TABLE OF CONTENTS

 
ABSTRACT
TABLE OF CONTENTS
LIST OF FIGURES
LIST OF TABLES
ACRONYMS
1.0 INTRODUCTION
 1.1 Background
  1.1.1 Importance of Addressing the Needs for Stewardship Data
  1.1.2 Other Related Initiatives
 1.2 Methodology
 1.3 Organization of the Report
PART I IDENTIFYING STEWARDSHIP DATA NEEDS
2.0 ASSESSING STEWARDSHIP DATA NEEDS
 2.1 Future Activities Requiring Stewardship Data
 2.2 Types of Data Needed
 2.3 Matching Data Types to the Needs of Selected Future Users
3.0 CURRENT REQUIREMENTS AND PRACTICES
 3.1 The Life-Cycle of Information
 3.2 General Model for Information Management at DOE Sites
 3.3 Data Generation
 3.4 Data Preservation
  3.4.1 Physical Control of Information
  3.4.2 Contextual Information
   3.4.2.1 Indexing
   3.4.2.2 Metadata
 3.5 Future Access
4.0 GAPS AND RESULTING CONSEQUENCES
 4.1 Generation of Stewardship Data
 4.2 Preservation of Stewardship Data
 4.3 Future Access to Stewardship Data
 4.4 Summary

TABLE OF CONTENTS

TABLE OF CONTENTS (CONTINUED)

 
PART II POTENTIAL SOLUTIONS
5.0 POTENTIAL SOLUTIONS
 5.1 Develop Criteria for Identifying Stewardship Data
 5.2 Modify Existing Records Retention Schedules
 5.3 Develop Metadata for Stewardship Data
 5.4 Develop a System to Access Stewardship Data
  5.4.1 Elements of a Stewardship Data System
  5.4.2 Practices and Processes
  5.4.3 Institutional Framework for Stewardship Data
6.0 RECOMMENDATIONS
 6.1 General Recommendations
 6.2 Recommendations for Data Generation
 6.3 Recommendations for Data Preservation
 6.4 Recommendations for Future Access
 6.5 Recommendations for Establishing a New Stewardship Data Entity
APPENDICES
Appendix A: List of Requirements Regarding Data Generated, Preserved, and Accessed
Appendix B: Selected DOE Records Retention Schedules for Information Pertaining to Stewardship Data
Appendix C: Information Needs Associated with DOE Property Transfer: Requirements and Practices
Appendix D: Pilot Test to Identify Stewardship Data
Appendix E: Analysis of Costs and Benefits of Stewardship Aspects

LIST OF FIGURES AND TABLES

LIST OF FIGURES

Figure 1-1.Overview of Methodology
Figure 3-1.Life-Cycle of Information
Figure 3-2.Conceptual Model of the Paths Information About DOE Sites Take: Generation, Preservation and Future Access
Figure 5-1.Estimated Percentage of Records Created and Stored in Electronic Format

LIST OF TABLES

Table 2-1.Future Activities Related to Long-term Stewardship
Table 2-2.Types of Data Needed to Support Future Stewardship Activities
Table 2-3.Relationships Between Data Types and the Needs of Selected Future Users
Table 3-1.Examples of Federal Metadata Standards
Table 4-1.Overview of How Well Existing Requirements and Practices Address Generation, Preservation, and Accessibility of Stewardship Data
Table 5-1.Gaps, Issues, and Potential Solutions
Table 5-2.Data Fields Included in a Metadata Form that Meet FGDC Core Elements

ACRONYMS

ACRONYMS

AEA Atomic Energy Act
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act
CROs Community Reuse Organizations
DOE Department of Energy
EM DOE Office of Environmental Management
ERD Environmental Records Database
FGDC Federal Geographic Data Committee
FIMAD Facility for Information Management Analysis and Display
FOIA Freedom of Information Act
GILS Government Information Locator Service
GIS Geographic Information System
IM Information Management
LANL Los Alamos National Laboratory
NARA National Archives and Records Administration
NEDI National Environmental Data Index
NEPA National Environmental Policy Act
NOAA National Oceanic & Atmospheric Administration
NRC Nuclear Regulatory Commission
NTS Nevada Test Site
OAP Openness Advisory Panel
OSTI Office of Scientific and Technical Information
R&DResearch and Development
RCRA Resource Conservation and Recovery Act
RFCA Rocky Flats Cleanup Agreement
RM Records Management
SEAB Secretary of Energy Advisory Board

ABSTRACTS

ABSTRACT

As U. S. Department of Energy (DOE) sites move beyond active environmental cleanup to long-term stewardship, changes in information needs must be addressed. This report is an initial effort to inform DOE policy makers, advisory boards, and stakeholders about the significance of this issue. Failure to provide for these changes can delay and/ or increase the costs of site closure and transfer, and compromise the ability to protect human health and the environment. A project team conducted a preliminary review and analysis to assess whether current requirements and practices clearly identify the data that must be retained to ensure effective long-term stewardship and whether they would remain accessible to future generations.

FINDINGS
  1. Most types of information needed for long-term stewardship are already being generated for other purposes.
  2. Requirements do not specifically identify what constitutes stewardship data or how to define this discrete subset.
  3. Information management requirements and practices are not coordinated with property transfer requirments.
  4. Information that has stewardship value is being lost, destroyed, or maintained in formats that may not be useful to future stewards.
  5. Some data will not be preserved as long as necessary for stewardship purposes.
  6. Some data will be preserved adequately but may not be able to be located, or will not be accompanied by enough descriptive information to be usable.
  7. Most records of facilities and site infrastructure are required to be destroyed when facilities are demolished or infrastructure is declared obsolete.
  8. DOE has already begun to pay increased cleanup costs because critical data have been lost.
  9. Knowledge that archived information about DOE sites exists may be lost.
  10. Future users may not know where to search for all relevant information, causing delays in action or the potential for unnecessary risk.
  11. Even when such knowledge is preserved, and users know where information is located, it may take too long or be too expensive to gain access to stewardship data.

The findings and other conclusions contained in this report are based on the best professional judgment of the project team. The report has not been formally concurred upon by the U. S. Department ofEnergy and does not represent official DOE policy or guidance. The Office of Strategic Planning andAnalysis (EM-24) is forwarding this contractor's report as a working draft to serve as an information resource to federal employees and stakeholders who are examining stewardship and/ or information management issues.


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