APPENDIX D

APPENDIX D: PILOT TEST TO IDENTIFY STEWARDSHIP DATA

This appendix presents the results of a pilot test to identify stewardship data available in a DOE site document index database. The pilot test was a preliminary feasibility exercise to see whether information of stewardship value can be identified from existing information indexes and to identify barriers that may prevent more diagnostic selections. The pilot test was conducted on a records management database from the Rocky Flats Environmental Technology Site (RFETS), hereafter referred to as the focus site. The methodology, results, and conclusions from the pilot test are presented below.

D.1 Methodology

The pilot test was conducted in three steps:

1. Develop criteria to identify stewardship data.
2. Develop queries to search for the stewardship data available in the site database.
3. Query the site database.

These steps are further described in the following sections.

D.1.1 DEVELOP CRITERIA TO IDENTIFY STEWARDSHIP DATA

To develop criteria to identify stewardship data, experts from a wide range of disciplines developed a variety of scenarios that were likely to be encountered during stewardship, identified the decisions needed to be made for each scenario and the data required to make the decisions, and criteria to identify the appropriate data (refer to Figure D-1). To focus the efforts and to simulate real situations in which a future steward may want to access stewardship data, the experts conducted the pilot test in the following functional areas:

• Barriers/ buffers
• Compliance oversight
• Natural resource management
• Community planning
• Emergency response

An example of a stewardship functional area scenario with the corresponding decisions and information needs (for the barriers/ buffers functional area) is shown in Table D-1.

Scenarios in Which Data Would be Used	Decisions that Would Need to be Made Under the Scenario	Information Needed to Support the Decision	Criteria to Identify Information
Monitoring indicates that the site is not performing as expected in original closure plan.	Is nonperformance significant? Should monitoring be altered? Is a remedial action necessary?	Applicable standards (regulatory and performance) Monitoring results Closure plan and supporting documentation (data packages)	Confine requested information to publicly available, published (referenceable) material.

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

APPENDIX D

To identify the information needed to support the decisions and the resulting criteria, the functional area experts reviewed the 12 stewardship data types defined in Chapter 2 of this report. For each of the stewardship data types, the functional area experts identified the information required to support the data type (see Table D-2). For each information requirement, the functional area experts also identified a temporal reference, stating when they believe the information is likely to have been generated. For example, some of the information may have been generated in the past (and hence be the subject of a search of currently available records) and some of the information will be developed only in the future. The temporal reference for each information requirement is also shown in Table D-2.

Data Type and Specific Information to Support Stewardship	Temporal Reference
Hazards and Controls
A.Existing hazards.This information includes the location, type, condition, and vulnerability (e.g., to fire, rain, earthquakes) of radioactive and chemical hazards left onsite after cleanup is complete. This information also includes the likelihood that these hazards will migrate or otherwise move either within the site or to offsite areas. At the point of site closure/ transfer, this information essentially provides a "baseline" of the state of each onsite hazard at the start of long-term stewardship. A few examples are listed below.
Site map(s) that provide locations of hazards. Hazard vulnerabilities to external events (fire, rain, flood, etc.). Likelihood of movement, vulnerability to external events. Given a 'natural' accident (fire, flood, earthquake, etc.) what impact would that have on the persistent hazard? Relationship between a physically located external event and all of the 'nearby' hazards that would be directly affected. If an external event has occurred, what is the likelihood of it causing a 'larger' event because of a persistent hazard? Link location, external event, persistent hazard. Records related to dispersion pathways and the progress of releases along each pathway. Location, direction, etc. of the hazard, especially if there's an exposure risk. Generally these are input parameter for dispersion or other models. Normally this is real time data. However, may use historic data for modeling purposes, especially for groundwater, etc. Knowledge of relationships between persistent and external hazards. Will a flood cause a different bigger hazard? Link between external event and persistent hazard, especially vulnerability information. Existing inventories of hazardous materials above and below ground. Information provides simple, lay description of short term and long term hazards remaining at site. Emergency type for a co-dependent event. Instructions for first responders. Is it explosive, does it create an exposure hazard. Information about likelihood and magnitude of potential emergency events. Information summarizes "final" site conditions and future monitoring commitments. Information is authoritative, clearly delineates post-DOE roles and responsibilities as they related to above hazards. Documentation of breakthrough in risk assessment science. Confine requested information to publicly available, published (referenceable) material. Baseline Hazard Identification at Closure. Record copy of Site Closure documentation including details of basis for determining remaining hazards at closure. Shipments of materials to/ from other DOE/ DOD sites (e.g., irradiated fuel from one site shipped to another). Environmental monitoring data for onsite and offsite environmental media (air, soil, groundwater, surface water, vegetation, animals (wild species) foodstuffs (crops, meat, milk, eggs, etc.).	Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Future Future Past/Future Past/Future
B.Past and present releases and accidents.This information includes reports and other related data on past and present releases and accidents; radioactive and chemical contaminants or materials released during these events; who or what was known or suspected to be exposed to these contaminants of materials; and any documented or suspected exposure levels. A few examples are listed below.
Occupational health standards and requirements in effect throughout the life of the site. Occupational health standards change over time. A complete historical record may be difficult to assemble. Medical records for workers. Exposure records for workers. Facility use patterns (work locations, activity patterns, shift records, job task assignments).	Past/Future Past/Future Past/Future Past/Future

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Data Type and Specific Information to Support Stewardship	Temporal Reference
Hazards and Controls (continued)
Personnel records, e.g., dates of employment. Individual perspectives on the work -workers survey comments, worker interviews, management interviews, Congressional input. Information summarizes or otherwise relates staff, management, or stakeholder attitudes or concerns related to site operations. Radiological Control Records. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Radiological Incident Reports. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Records of releases (both "planned" and accidental) to the environment from site activities prior to site closure. Records related to all accidental releases of contaminants which affected occupational workers. Reportable Events. Record Copy, Approved by Management, Most Recent Version, Publicly Available. HEPA Filter Characterization Records. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Discharge point analysis dye tests. Record Copy, Approved by Management, Most Recent Version, Publicly Available.	Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future
C. Disposition of historical hazards. This information pertains to site hazards that existed in the past but were removed or otherwise mitigated to a point that allows unrestricted future uses. It also includes legal or other supporting documentation to demonstrate that the hazards are no longer present onsite or the extent to which historical hazards were mitigated to baseline conditions at the start of long-term stewardship. A few examples are listed below.
Facility/hazard name or geographic location(s). Is there a physical location associated with each hazard? I.e., can we construct an electronic map (GIS) that contains the locations of facilities or geographic areas where a hazard resides. Characterization about the hazard itself. Would the hazard itself, without the intervention of an external accident (fire, flood, etc.) have a likelihood of causing a response? I. e., is the hazard itself explosive, flammable, undergo wind borne dispersion, etc.? Previous inventories of hazardous materials above and below ground. Copies of annual site environmental reports. Shipments of materials to/from other DOE/DOD sites (e.g., irradiated fuel from one site shipped to another). Environmental monitoring data for onsite and offsite environmental media (air, soil, groundwater, surface water, vegetation, animals (wild species) foodstuffs (crops, meat, milk, eggs, etc.).	Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future
D. Information regarding existing barriers and other active or passive mechanisms for preventing exposures. This information includes the location, type, condition, and vulnerability (e.g., to fire, rain, earthquakes) of barriers and other protective mechanisms. This information includes knowledge of which specific barriers/protective mechanisms are required for each existing hazard. This information also includes schedules for maintenance or other related actions required to ensure adequate protections remain in place. A few examples are listed below.
Consequences of the barrier failure relative to the status of the resources. Information would include exposure scenarios, exposure estimates and effects analyses. Restrictions on land uses within the sire, including buffer zones and easements. Information would include maps of buffer zones, restrictions on easements and access, and monitoring data relative to status of the buffer areas. Assessment of the effectiveness of protective barriers and buffers. Approved post-closure monitoring plans. Approved barrier/buffer maintenance plans. Record copy of post-closure compliance agreements. Assessments of the effectiveness of monitoring systems and buffer/barrier performance. Record copy of reports evaluating the effectiveness of the site monitoring systems and the performance of engineered barriers/ administrative buffers.	Past/Future Past/Future Future Future

APPENDIX D

Data Type and Specific Information to Support Stewardship	Temporal Reference
Gerations and Activities
E. Process history. This information includes current and historical data on what activities occurred onsite, where these activities occurred, when these activities were conducted; and what infrastructure was used to support these activities. It includes the processes that occurred onsite, the materials used for these processes, and the products and wastes produced. This information includes a general history of the site; its historical mission(s); its role in the design, testing, production, and dismantlement of U.S. nuclear weapons; and any post-Cold War missions or activities at the site. A few examples are listed below.
Site process history and products. Detailed processing histories for all facilities including: 1) type and quantity of chemical used in processes; 2) nuclear and chemical reactor operating histories; and 3) timing of chemical and radionuclide releases. Quality assurance and chemical or radiochemical analysis protocols to support effluent and environmental monitoring data. Summary information on past site activities with pointers to additional specific information -environmental annual reports, site annual reports, history of site operations. Information summarizes site activities over time inlay terms. System Diagrams. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Vendor information for facility equipment. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Preventative and corrective maintenance records. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Facility effluent monitoring plans, data and records. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Operating Procedures. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Authorization Basis, or BIO. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Characterization studies or reports. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Construction prints. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Functional diagrams. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Listing of personnel familiar with facility. Record Copy, Approved by Management, Most Recent Version, Publicly Available. One life diagrams. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Operating histories. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Operating permits and documentation. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Satellite accumulation area or 90-day storage records. Record Copy, Approved by Management, Most Recent Version, Publicly Available.	Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future
F. Historical infrastructure. This information also includes what buildings, facilities, pipelines, and other infrastructure existed onsite; where they were located; and what they were used for. It also includes how onsite land areas were used. A few examples are listed below.
Utilities diagrams and prints. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Road diagrams and prints. Record Copy, Approved by Management, Most Recent Version, Publicly Available.	Past/Future Past/Future
G. Post-closure/ transfer operations and infrastructure. Information pertaining to the operation of the site after closure including policies and procedures, post-closure monitoring data, compliance reports, land use during stewardship, remaining buildings/ facilities, processes, pipelines, infrastructure, and effluent monitoring. A few examples are listed below.
Status of hazardous materials containment systems. Knowledge about performance of new technologies relative to the hazards at the site. Record Copy baseline hazard identification report.	Future Future

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Data Type and Specific Information to Support Stewardship	Temporal Reference
G. Post-closure/transfer operations and infrastructure(continued). Information pertaining to the operation of the site after closure including policies and procedures, post-closure monitoring data, compliance reports, land use during stewardship, remaining buildings/facilities, processes, pipelines, infrastructure, and effluent monitoring. A few examples are listed below.
Monitoring capabilities (i.e., new instrumentation). Monitoring data required by reports. Access to record copy monitoring data or official monitoring databases. Monitoring record keeping, and reporting requirements under permits, agreements, regulations, etc. Required information will be identified in permits, agreements, and other compliance vehicles. Records including original data and associated QA/ QC information. Past compliance monitoring. Policy statements and program documentation. Information describes stewardship practices and policies. Records of information disclosed by DOE to the stewardship entity and/ or future site occupants. While the relevant records are principally needed for the period preceding execution of the stewardship agreement, any post-execution written communication between DOE and the stewardship entity is also of potential interest and value. Records related to DOE's compliance with site/ facility closure agreements. Resources used in the monitoring network-which resources and where are the monitoring stations/areas located. Information would include monitoring program descriptions, maps of monitoring sites and media, monitoring schedules, and monitoring data trends. Stewardship agreement between site steward and DOE. Role of DOE vs. the site steward (if the steward is a different entity) in the litigation. Technical support information upon which the policies and procedures were based. Record copies of technical reports that are referenced in and provide the basis and rationale for the policies and procedures. Additional data not otherwise specified in applicable requirements (law, regulations, Order, etc.). Identified emergency response action levels. Need for emergency response. Necessary mitigating actions to assure protection and human health and the environment. Records related to the negotiation of the agreement between the stewardship entity and DOE. While the relevant records are principally needed for the period preceding execution of the stewardship agreement, any post-execution written communication between DOE and the stewardship entity is also of potential interest and value. Anonymous feedback from site workers concerning safety. Original copies of the anonymous feedback by workers concerning safety at the site. Access to monitored information for specific hazard. Link between monitoring, reporting and the specific hazard. Any additional data, including models, supporting compliance monitoring reduction. Active policies and procedures for site during stewardship. Record copy of past and present stewardship policies and procedures. Identification of an internal event. This would be the measurement of the hazard being the sole cause of an event, e.g., a contaminant reaching the groundwater table. Assessments of air, water, and soil monitoring programs. Record copy of reports evaluating the effectiveness of the site monitoring systems and the performance of engineered barriers/ administrative buffers. Assessments of the effectiveness of policies and procedures. Record Copy of reports assessing effectiveness of policies and procedure. Correspondence file between DOE and the stewardship entity. While the relevant records are principally needed for the period preceding execution of the stewardship agreement, any post-execution written communication between DOE and the stewardship entity is also of potential interest and value. Effects of the proposed action on the site-monitoring network. Information will include the media being monitored and the locations of the monitoring stations. Emergency response plans to various types of hazards. Approved plans, publicly available.	Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future Future

APPENDIX D

Data Type and Specific Information to Support Stewardship	Temporal Reference
Regulatory/ Legal Framework
H. Regulatory framework (past and present). This information includes any compliance agreements, regulations, site closure agreements, permits, or other legal requirements associated with long-term stewardship activities at the site. A few examples are listed below.
Copies of all relevant environmental permits, licenses, and authorizations (including Congressional and Presidential authorization). Record Copy, Approved by Management, Most Recent Version, Publicly Available. Records related to past enforcement actions taken against DOE and documents related to response actions taken by DOE. Changes to the applicable regulations. Confine requested information to publicly available, published (referenceable) material. Facility Radiological Release (termination of license) documentation. Record Copy, Approved by Management, Most Recent Version, Publicly Available. Public comments on site activities-comment summaries from EISs, CERCLA interactions, etc..	Past/Future Past/Future Past/Future Past/Future Past/Future
I. Requirements specific to transfer/ closure and post transfer/ closure. This information includes any specific monitoring, maintenance, or reporting requirements established as a part of site closure agreements. This information also includes specific reporting schedules established for monitoring or other data. A few examples are listed below.
Copy of site closure agreements and any individual agreements related to closure of individual facilities. Clear definition of the frequency, format and content of required reports. Record copy of Post-Closure Compliance Agreements. Record copies of all required compliance reports already submitted. Record of Decision (ROD). Confine requested information to publicly available, published (referenceable) material. Distribution lists (including organizational entities and addresses) for all reports. Description of any side agreements that were made in order to gain site closure acceptance (These may include things like public outreach programs, local economic development activities, and medical surveillance of local populations). Data modeling requirements. Confine requested information to publicly available, published (referenceable) material. Barriers/ buffer performance criteria. Record copy of post-closure compliance agreements. Applicable standards (regulatory and performance. Confine requested information to publicly available, published (referenceable) material. Applicable monitoring requirements (law, regulation, Order, permit, etc). Copies of all relevant environmental permits, licenses, and authorizations (including Congressional and Presidential authorization). Closure plan and supporting documentation (data packages). Confine requested information to publicly available, published (referenceable) material.	Future Future Future Future Future Future Future Future Future Future Future
J. Real Estate records. Real property records related to acquisition of the site, easements and other access rights onsite and offsite through public/private property, mineral rights, and water rights. This information includes legal agreements and associated documentation to allow appropriate access to offsite monitoring stations, pumps, or other active or passive control systems. This information also includes specific schedules for data collection, maintenance, and related tasks. A few examples are listed below.
Real property records relating to encumbrances added during DOE's occupation of the site. The local DOE real property office should have the necessary records. Real property records are also maintained by the local county auditor. Real property records relating to encumbrances dating from the steward's takeover of the site. The local DOE real property office should have the necessary records. Real property records are also maintained by the local county auditor. Real property records relating to pre-existing encumbrances. The local DOE real property office should have the necessary records. Real property records are also maintained by the local county auditor.	Past/Future Future Past

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Data Type and Specific Information to Support Stewardship	Temporal Reference
J. Real Estate records (continued). Real property records related to acquisition of the site, easements and other access rights onsite and offsite through public/private property, mineral rights, and water rights. This information includes legal agreements and associated documentation to allow appropriate access to offsite monitoring stations, pumps, or other active or passive control systems. This information also includes specific schedules for data collection, maintenance, and related tasks. A few examples are listed below.
Survey records. The local DOE real property office should have the necessary records. Real property records are also maintained by the local county auditor. Real property records related to acquisition of a site. The local DOE real property office should have the necessary records. Real property records are also maintained by the local county auditor	Past Past
Site Characteristics/Settings
K. Information about cultural and natural resources. This information includes the location, type, and condition of onsite natural resources (including minerals, land and water resources, and habitats/ species of concern), including resources of particular importance to Native American Tribes. It also includes the vulnerability of these resources to a variety of hazards, including residual radioactive and chemical hazards, other manmade hazards, and natural hazards. This information also includes relevant laws, regulations, and agreements regarding protection and/ or permitted uses of these resources. A few examples are listed below.
Locations of resources that have the potential to be developed. Maps of present distributions of groundwater quality and flow, surface water quality and flow, economically valuable resources, ecological habitats, protected species, cultural or archaeological sites. Consequences of proposed actions relative to the status of the resource. Information would include exposure scenarios, exposure estimates and effects analyses, or risk analysis codes. Input from Natural Resource Trustees as well as stakeholders. Most likely this information would not be developed onsite. Trends in the resource (condition and contaminant burdens). Information on resource wold include quality, contaminant concentrations, population processes for as many years in the past as are available. Locations of protected and utilized resources within the site and its buffers. Maps of resent distributions of groundwater quality and flow, surface water quality and flow, economically valuable resources, ecological habitats, protected species, cultural or archaeological sites. Specifics of what damages have been identified and information related to activities that might have had the potential to damage those resources. Information summarizes environmental contamination from site activities or how contamination was mitigated; information summarizes site state at closure. Maps of existing resources. maps of present distributions of groundwater quality and flow, surface water quality and flow, economically valuable resources, ecological habitats, protected species, cultural or archaeological sites. Information regarding species, distribution, trends in historical status, and status at closure of threatened and endangered species. Information describes species, distribution, trends in historical status, or status at clo-sure of threatened and endangered species. Indicators of resource health or status. Information on resource would include quality, contaminant concentrations, population processes. Existing and past resource usage. Mining records, water withdrawals, fisheries, hunting areas. Descriptions of the existing cultural and natural resources. Information would describe and summarize surface and groundwater flows, rates, quality, and uses; geology and mineral resources; soils; land use; ecological resources.	Past/Future Past/Future Past/Future Past/Future Past/Future Past Past Past Past Past Past
L. Geophysical and political information. This information includes site topography, site hydrogeology, geotechnical hazards, physical hazards, site boundaries, political boundaries, agricultural distribution patterns, and public exposure data. A few examples are listed below.
Results of tracer and dispersion studies. Special diet data for sensitive population in surrounding areas (elderly, children, Native American, ethnic groups, etc.). Public exposure data (consumption data or wild animals, domesticated animals, locally grown foodstuffs, regionally produced foodstuffs). Population demographics. Census data.	Past Past

APPENDIX D

Data Type and Specific Information to Support Stewardship	Temporal Reference
L. Geophysical and political information (continued).This information includes site topography, site hydrogeology, geotechnical hazards, physical hazards, site boundaries, political boundaries, agricultural distribution patterns, and public exposure data. A few examples are listed below.
Offsite public use patterns (public access locations, activity patterns, residency records). Agricultural production for surrounding areas by location (crop types, harvest times, production quantities, storage practices). Agricultural distribution patterns. Surface water conditions (flow rates, stage data, etc.). Meteorological/ climatological data summaries. Summary documents and meteorological monitoring data for site and facilities. Meteorological data from onsite monitoring stations (wind speed, direction, stability, etc.). Meteorological data from onsite monitoring stations (wind speed, direction, stability, etc.). Meteorological data from offsite monitoring stations (wind speed, direction, stability, etc.). Groundwater transport models. Contaminant transport models used for the site. Groundwater transport data (flow, direction, water levels data, etc). The effect of new development on the hydrology, the buffers, and the monitoring network. Confine requested information to publicly available, published (referenceable) material.	Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future Past/Future

D. 1.2 DEVELOP QUERIES TO SEARCH FOR STEWARDSHIP DATA After developing the criteria to identify stewardship data, the functional area experts developed queries to search a document index data base for stewardship data. The site database used was the Environmental Records Database (ERD) from the focus site. The ERD, active through 1995, is a compilation of over 30 record indexing databases from across the site and has over 408,000 records. A list of the databases included in ERD is shown in Table D-3. The databases were included in the ERD because of their environmental data value.

Name	Description	Summary
Environmental Record Database (ERD)	The ERD is a compilation of over 30 record indexing databases from across the site and has over 408,000 records. Databases included in the ERB were chosen due to their environmental data value. The system has migrated overtime and is currently maintained in FileMaker Pro.	Summary: Databases included in the ERD are: Procedure Tracking and Document Tracking System, RF Correspondence Control System, Env. Master File, Rocky Flats Dbase, Marcus Church Dbase, Records Mgmt. Dbase, Master Records Inventory, CERCLA Administrative Records, ERM Project File Center Dbase, Rockwell (Grand Jury Investigation) Dbase, EPA Dbase, ChemRisk, Woodward Clyde System, Doty Database, RAC Dbase, CDPH& E Dbase, Solar Ponds Files, RCRA Permitting and Compliance Library, Summary of Root Cause Analysis, Lessons Learned, Hazspills, and RCRA Regulatory Programs Permitting Files. Data Status: In most cases, data is current through 7/1/95. Current system is inactive. Document Availability: Most documents are available from Records Management at the site or from other site document custodians.

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Name	Description	Summary
Rockwell (Criminal Grand Jury Investigation)	Contains records seized by the FBI and EPA agents and records produced in response to Grand Jury Investigations. The database contains approximately 150,000 documents that focus mainly on the activities that occurred at the site from 1984 to 1989. The database is owned and operated by Rockwell International.	Summary: The database is primarily used for litigation defense by Rockwell International. Many of the documents within the system have been optically scanned. Data Status: The database focus mainly on the activities that occurred at the Site from 1984 to 1989. Current system is inactive. Document Availability: Documents are available through an attorney's office in Denver.
Marcus Church	Contains documents associated with monitoring data, reports and scientific studies dealing within offsite environmental issues. Approximately 35,000 documents are in the system.	Summary: The database was developed in support of the Church-McKay litigation against the DOE, DOW Chemical and Rockwell International. Data Status: The database focuses mainly on the years 1952 -1981. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the Federal Records Center.
Cook	Contains documents collected in support of a class action lawsuit (class members are people who reside or work within a certain radius of the site) against Dow Chemical and Rockwell International in 1990.	Summary: The database was developed in support of the class action lawsuit against DOW Chemical and Rockwell International. Along with information that is associated with potential impact to health or decreases in property value, the system contains records of building history for several buildings constructed from the early 1950s through the early 1970s. Data Status: The database focus mainly on the years of 1952-1990. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. However, not all documents are available due to poor quality originals.
Rocky Flats	Contains documents for future possible litigation purposes. The majority of these documents deal with organizational information. The system also contains security, safety and health information for the period of collection.	Summary: The database was developed for future litigation support and on a variety of subjects. Data Status: The database contains pre-1990 documents. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the Federal Records Center.
Environmental Master File (EMF)	The EMF contains records associated with the environmental history of the site and the surrounding lands. The database contains approximately 28,000 documents and has been used to support environmental projects and litigation activities.	Summary: The database was developed to retain a historical log of environmental activities at and around the site. Data Status: The database focus mainly on the years of 1952 to the late 1980s. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available for some documents. Hard copies are available from the both the site contractor and from the Federal Records Center.
Woodward Clyde	This system contains environmental documents collected in characterizing the environmental baseline conditions of the operable units identified at the site.	Summary: The database was developed for site characterization and delineation of operable units. Information contained in the database include the site history, nature of contamination at the site, and environmental conditions of the site in 1992. Data Status: Data has not been updated since origination. Current system is inactive.

APPENDIX D

Name	Description	Summary
(continued)	(continued)	Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the Federal Records Center.
ChemRisk	This system contains documents collected during 1991 and 1992 for the dose reconstruction/ toxicological review performed by the Colorado Department of Health. The system contains approximately 2,000 documents.	Summary: The dose reconstruction project included the collection of onsite and offsite monitoring data, routine and accidental releases of radionuclides and non-radioactive chemicals, environmental management procedures, and waste stream characterizations. Data Status: The database focus mainly on the years of 1951 to 1989. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the Site contractor.
Doty	This system contains documents collected for the generation of the Historical Release Report in June, 1992. The system contains approximately 5,700 documents.	Summary: The Historical Release Report (HRR) contains information regarding spills, releases and/ or accidents involving hazardous substances; potential cumulative effects of inside-building releases on the environment beneath buildings; and known/ potential environmental impacts outside the site. Data Status: The database contains documents collected during 1991 and 1992. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the site contractor.
RAC	The system contains documents collected in support of the Phase II Dose Reconstruction study started by ChemRisk. Documents contained within this system came from the same collection of documents, which were available to the Doty and ChemRisk efforts. Approximately 1,100 documents are in the database.	Summary: Contains historical public exposures (estimate of offsite exposures, doses and potential health risks). Data Status: Not known, but it is expected that the information in the database has not been updated nor maintained since generation of the RAC report in the early 1990s. Current system is inactive. Document Availability: Not known.
EPA	The system contains documents collected in response to EPA CERCLA 104(e) Requests for Information.	Summary: Information contained in the system include information regarding plutonium in the air ducts, and shipments of contaminated wastes. Data Status: The database contains information regarding shipments to the Lowry Landfill covering the years 1952 through the early 1980s. Current system is inactive. Document Availability: Documents were optically scanned and full text retrieval is available. Hard copies are available from the Site contractor.
CDPH& E	The system contains miscellaneous documents requested by the CDPH& E and used in a cancer incidents study. Approximately 180 documents are in the database.	Summary: Collection of miscellaneous documents requested by the CDPH& E for a cancer incidents study. Information includes original land selection documentation, Church-McKay land litigation, and Industrial Hygiene records. Data Status: Current system is inactive. Document Availability: Hard copies are available from the Site Contractor.

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Name	Description	Summary
Records Management Database (RMDB)	The RMDB is the site's primary system for locating and retrieving inactive, unclassified site records. Approximately 60 million pages of inactive unclassified records are tracked by the system. The system resides on a mainframe using Oracle software.	Summary: The RMDB is used to index and retrieve inactive records that have been sent to Records Management for low-cost storage. The RMDB has been active since October 1993 and contains records from a variety of dates. Nearly 6,000 cubic feet of records and 3,000 reels of microfilm were indexed in FY 96. Data Status: Current system is active. Document Availability: Database is an indexing system only. Documents can be retrieved via formal search requests of the Site contractor.
Master Records Inventory (MRI)	The MRI contains data from a sitewide records inventory that was conducted from June 1993 through August 1995.	Summary: The MRI contains a variety of active record information assessed from June 1993 through August 1995. Contents of the MRI provide history, use and function of the record series at the Site. The system has been used heavily by Site efforts including the epidemiology study, transition environmental database report, operating records audit, and the dose reconstruction study. Data Status: It is stated that the inventory ended in August of 1995. It is not known whether the system has been maintained. Current system is inactive. Document Availability: Documents indexed in the MRI are retained by the record originator as the system was designed to track active records.
Master Records Turnover Instruction (RTI) Database	The RTI is used by Records Management to retain all records turnover instructions that have been written for site records collections.	Summary: The RTI is essentially a controlled procedure that identifies the pertinent information fields that need to be captured for cost effective and efficient record retrieval. The RTI acts as a guide for data entry personnel to enter individual records into the Records Management Database. Data Status: Current system is active. Document Availability: n/a
Plantwide Procedures and Manuals Tracking Database (PADT)	The PADT is used to track distribution of all documents controlled by the centralized Document Control organization. The PADT resides on a main-frame running on Oracle software.	Summary: The PADT consist of an index that tracks the distribution of all site policies, plans, manuals, and procedures formally controlled by the Site. The system is linked to the RMDB in order to link data on inactive records for electronic transfer. Data Status: Current system is active. Document Availability: Controlled documents can be obtained through the Site contractor.
Rocky Flats Correspondence Control System (RFCC)	The RFCC has been used at the site since 1993 to track incoming and out-going external correspondences. The RFCC resides on a mainframe running on Oracle software.	Summary: The RFCC is an index of all external correspondences controlled by the Site contractor. It is primarily used to identify commitments to actions, dates or resources for the Site contractors identified in correspondences to and from the Department of Energy. Data Status: Current system is active. Document Availability: Hard copy files are available from the Site contractor.
Building 706 Technical Library, Technical Reports Database	The Technical Library database provides an index of approximately 64,000 classified documents. The system is run on a FileMaker Pro database.	Summary: The Technical Library provides an index of classified technical reports that were used for production support at the site. Data Status: Current system is inactive. Document Availability: Hard copies are available through the Site contractor.

APPENDIX D

The queries developed to search for stewardship data are based on the fields available in the ERD. The fields available in the ERD are shown in Table D-4.

The queries used to search the database are lists of keywords, developed by each functional area expert based on their information requirements (as discussed in the above section). Such searches most likely represent the method by which stewards would try to identify information in a database. Through iterative searching, functional area experts devel-oped lists of keywords expected to encompass the majority of documents of interest to their functional area. The final keyword queries developed for the functional areas are presented in Table D-5.

One functional area, buffers/barriers, was further investigated. The keyword queries developed for buffers/barriers were grouped into sub-topics. These sub-topics and their corresponding keyword queries are shown in Table D-6. Each subtopic was then individually queried through the ERD database.

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

Functional Area	Final Keyword Query	Number of Records Selected
Barriers/Buffers	Checking for the word anywhere within Keywords, Comments and Title and not accepting data source "RMDB" Like "*electronic database*" Or Like "*soil*" Or Like "*soils*" Or Like "*surface water*" Or Like "*hydrology*" Or Like "*geology*" Or Like "*landfill*" Or Like "*pond*" Or Like "*ponds*" Or Like "*ditch*" Or Like "*NEPA*" Or Like "*environment*" Or Like "*monitoring*" Or Like "*groundwater*" Or Like "*ecology*" Or Like "*ecological*" Or Like "*EcMP*" Or Like "*SED*" Or Like "*RFEDS*" Or Like "*RI/FS*" Or Like "*RI*" Or Like "*FS*" Or Like "*ROD*" Or Like "*(ROD)*" Or Like "*RCRA*" Or Like "*CERCLA*" Or Like "*closure plan*" Or Like "*EIS*" Or Like "*(EIS)*" Or Like "*map*" Or Like "*meteorology*" Or Like "*weather*" Or Like "*sampling wells*" Or Like "*remedial investigation*"	85,659
Natural Resources	Checking for the word anywhere within Title and no screening of document types Like "*ecolog*" or like "*cultur*" or like "*groundwater*" or like "*geolog*" or (like "*transport*" and like "*model*") or like "*archaeolog*" or like "*endangered*" or like "*mineral*" or like "*mining*" or like "*monitor*" or like "*meteorol*" or like "*weather*" or like "*radiol*"	14,388
Community Planning	Only searching Title Like "*land use*" or like "*site development*" or like "*sitewide eis*" or like "*site wide eis*" or like "*sitewide environmental impact statement*" or like "*site wide environmental impact statement*"	514
Emergency Response	Checking for the word anywhere within Title and no screening of document types Like "*earthquake*" Or Like "*fire*" Or Like "*firefight*" Or Like "*flood*" Or Like "*floodplain*" Or Like "*emergency response*" Or Like "*disaster*"	3,924
Compliance	There was no "final query set by subject expert" for the Compliance sub-ject area. It is believed that the expert's query attempts may have been too restrictive and failed to find more than a minimal set of possible database entries. A set of records provided by the expert as a sample of query results had chromium in most of the records. A representative query for chromium was put together and results comparable to other subject areas, at least in number, were obtained. Checking for the word anywhere within Title and no screening of document types Like "* chromium*"	470

¹The keyword searches were conducted using queries in an MS Access 97 database. Like "something" is the format of a basic query in Access, where something is the keyword (criteria) being searched. Access is sensitive to format. For example; l like "radiation" must match the entire field l like "radiation*" matches a field starting with radiation l like "* radiation" matches a field ending in radiation; l like "* radiation*" finds radiation anywhere in the field. Note that "* radiation*" would also also match both Irradiation whereas "* radiation *" (radiation with a blank on each side) would match radiation only.

APPENDIX D

Buffer	Barrier Sub-topic Queries
ElecDB	Like "* electronic database*" Or Like "* SED *" Or Like "* RFEDS*"
Soil	Like "* soil *" Or Like "* soils *"
SurfWater	Like "* surface water*" Or Like "* pond *" Or Like "* ponds *" Or Like "* ditch*"
Hydro	Like "* hydrology*" Or Like "* groundwater*"
Geology	Like "* geology*"
Landfill	Like "* landfill*"
Acts	Like "* NEPA *" Or Like "* RCRA*" Or Like "* CERCLA*"
Enviro	Like "* environment*"
Ecolog	Like "* ecology*" Or Like "* ecological*"
Monitor	Like "* monitoring*" Or Like "* EcMP*" Or Like "* sampling wells*"
Investigate	Like "* RI/ FS*" Or Like "* RI *" Or Like "* FS *" Or Like "* remedial investigation*"
Plans	Like "* ROD *" Or Like "* (ROD) *" Or Like "* closure plan*" Or Like "* EIS *" Or Like "* (EIS) *"
Map	Like "* map *"
Weather	Like "* meteorology*" Or Like "* weather*"
Note: SED = Surface Environmental Database, RFEDS = Rocky Flats Environmental Database System, and EcMP = Ecological Monitoring Program.

D. 1.3 QUERY THE SITE DATABASE

After developing the criteria to identify stewardship data and the queries to search for the data, the functional experts queried the database to identify stewardship data. First, the functional area experts analyzed the completeness of the data available in the database. For each of the fields in the ERD database, the functional area experts identified the number of records that contained data. The functional area experts also identified how many records were contained in each of the 30 databases. Second, the functional area experts identified stewardship data by determining how many times a record was selected by the keyword queries, i. e., conducting a "triage" on the records selected by the keyword queries (Figure D-2).

PILOT STUDY TO IDENTIFY STEWARDSHIP DATA

D.2 Results of Stewardship Pilot Study

The results of the stewardship pilot study include an analysis of the completeness of the data available in the site database and a summary of the records identified as stewardship data. These results are presented in the following sections.

D.2.1 COMPLETENESS OF INFORMATION AVAILABLE IN SITE DATABASE

As discussed above, the ERD contains 15 fields and 406,060 records. For each of the fields (except for the Record ID field, which is the unique number for each record and was populated for every record), the number of records with data for the field was counted and summarized (see Table D-7). As shown, the Data Source and Title/ Description fields are completed for each record, although a small percentage of the records have a value of "N/ A." Six other fields are completed for more than half of the records (Keywords, Authors, Addressees, Reference Numbers, Publication Date 1, and Location).

Of the populated fields, the only really useful field was Title. This field was really a combination title/abbreviated abstract for each record. The quality of this field varied widely. Some records contained detailed abstracts outlining specific contents. On the other hand, many of the entries in the title field were of little or undeterminable value.