REVIEW OF 

U.S. DEPARTMENT OF ENERGY 

ACTIVITIES TO PRESERVE 

RECORDS CREATED BY 

THE YUCCA MOUNTAIN 

REPOSITORY PROJECT

August 2013

A Report to Congress 

and the Secretary of Energy

United States

Nuclear Waste Technical Review Board

U.S. Nuclear Waste Technical Review Board

Report to Congress and the Secretary of Energy

Review of U.S. Department of Energy Activities to 

Preserve Records Created by the 

Yucca Mountain Repository Project 

August 2013
ii Activites to Preserve Records Created by the Yucca Mountain Repository Project 

U.S. Nuclear Waste 

Technical Review Board

Rodney C. Ewing, Ph.D., Chairman

University of Michigan

Ann Arbor, Michigan

Jean M. Bahr, Ph.D.

University of Wisconsin

Madison, Wisconsin

Steven M. Becker, Ph.D.

Old Dominion University 

Norfolk, Virginia 

Susan L. Brantley, Ph.D.

Pennsylvania State University 

University Park, Pennsylvania 

Sue B. Clark, Ph.D.

Washington State University 

Pullman, Washington 

Efi Foufoula-Georgiou, Ph.D.

University of Minnesota 

Minneapolis, Minnesota 

Gerald S. Frankel, Sc.D.

Ohio State University 

Columbus, Ohio 

Linda K. Nozick, Ph.D.

Cornell University 

Ithaca, New York 

Kenneth Lee Peddicord, Ph.D., P.E.

Texas A&M University 

College Station, Texas 

Paul J. Turinsky, Ph.D.

North Carolina State University 

Raleigh, North Carolina 

Mary Lou Zoback, Ph.D.

Stanford University 

Stanford, California 
Report to Congress and the Secretary of Energy iii

U.S. Nuclear Waste 

Technical Review Board Staff

EXECUTIVE STAFF

Nigel Mote Executive Director

Debra L. Dickson Director of Administration

SENIOR PROFESSIONAL STAFF

Bruce E. Kirstein Bret W. Leslie

Daniel S. Metlay Roberto T. Pabalan

Gene W. Rowe Karyn D. Severson

INFORMATION TECHNOLOGY STAFF

William D. Harrison Systems Administrator

ADMINISTRATIVE & SUPPORT STAFF

Davonya S. Barnes Information Systems Specialist

Linda J. Coultry Program Management Specialist

v

con281

UNITED STATES

NUCLEAR WASTE TECHNICAL REVIEW BOARD

2300 Clarendon Boulevard, Suite 1300

Arlington, VA 22201

August 2013

The Honorable John Boehner

Speaker 

United States House of Representatives

Washington, DC 20515

The Honorable Patrick J. Leahy

President Pro Tempore

United State Senate

Washington, DC 20510

The Honorable Ernest J. Moniz

Secretary

U.S. Department of Energy

Washington, DC 20585

Dear Speaker Boehner, Senator Leahy, and Secretary Moniz:

Congress created the U.S. Nuclear Waste Technical Review Board in the 1987 

amendments to the Nuclear Waste Policy Act (NWPA) (Public Law 100-203) to evaluate the 

technical and scientific validity of activities undertaken by the Secretary of Energy to implement 

the NWPA. In accordance with provisions of the Law directing the Board to report its findings, 

conclusions, and recommendations to Congress and the Secretary of Energy, the Board submits 

this Report, Review of U.S. Department of Energy Activities to Preserve Records Created by the 

Yucca Mountain Repository Project. The purpose of the Report is to inform Congress and the 

Secretary about the Board’s evaluation of Department of Energy (DOE) activities related to 

archiving and preserving materials developed by the Yucca Mountain Project (YMP). 

For almost 30 years, DOE studied a site at Yucca Mountain in Nevada for its suitability 

as the location of a deep geologic repository for disposal of spent nuclear fuel (SNF) and highlevel radioactive waste (HLW). DOE’s site investigations and the development of a Yucca 

Mountain license application created enormous amounts of technical and scientific information.

In 2010, funding for the YMP was eliminated, and DOE notified the Nuclear Regulatory 

Commission of its intention to withdraw the Yucca Mountain license application, which had 

been submitted in 2008. Also in 2010, responsibility for archiving and preserving Yucca 

Mountain scientific and engineering information was transferred to DOE’s Office of Legacy 

Management (LM). 

Report to Congress and the Secretary of Energy 
vi 

con281 2 

The Board began evaluating DOE activities related to archiving and preserving Yucca 

Mountain data and information in 2010, as part of its ongoing technical and scientific review. 

The following year, in a Report accompanying the Fiscal Year 2012 Energy and Water 

Development Appropriations bill, the House Appropriations Committee directed the Board to 

“give support to” DOE as it archived and preserved scientific data, documents, and materials 

from the YMP. 

Based on the results of a limited number of retrieval “spot checks” undertaken by the 

Board and its ongoing review, the Board finds that:

• Yucca Mountain documents have been preserved and can be accessed and retrieved. 

• With significant time and effort, LM personnel can search and retrieve relevant 

e-mail records. 

• LM does not have the capability to load and execute most of the analytical software 

used on the YMP. 

• Some boxes of YMP records being stored by LM contain physical objects, but the 

inventories of the contents vary in how detailed they are. Consequently, it is unclear 

what measures might be needed to preserve them or to create searchable databases for 

the objects.

• LM has used approved National Archive and Records Administration schedules to 

identify what YMP records should be preserved permanently and what records should 

be preserved temporarily. 

• The general public can access preserved records held by LM, but only through a

Freedom of Information Act request. 

Based on its findings, the Board makes the following recommendations:

1. A retrieval exercise, similar to the one conducted in August 2012, should be repeated 

in three years to assess the level of record preservation and retrieval capability at 

that time. 

2. Policy-makers should evaluate how much priority should be given to archiving and 

preserving YMP documents and physical materials. Without a continuing 

commitment of resources, it is unclear whether the current level of effort in this area 

can be sustained over time. 

3. Additional project documents may still be forwarded to LM to be archived and 

preserved. Such records should be added to the Yucca Mountain Records 

Information System if they are determined to contain new technical information.

4. DOE should consider providing web access to the foundational documents developed 

as part of the YMP. These records may be of scientific, technical, and historical 

value and deserve to be easily accessible by the general public.

5. In the cases of boxes of physical objects being stored by LM for which inventories are 

limited and/or not included in a searchable database, DOE policy-makers should 

evaluate whether to undertake additional efforts to develop informative inventories 

that could be placed into searchable databases.

Activites to Preserve Records Created by the Yucca Mountain Repository Project 
vii

con281 3 

6. Although not the responsibility of LM, materials from geologic investigations, such as 

rock cores and materials from experimental studies, such as metal coupons used in 

corrosion investigations, may have future value to ongoing DOE projects and may 

find application in broader scientific and technical studies. This report does not 

address or evaluate the fate of these materials; however, the Board recommends that 

an external review be initiated to determine what types of materials exist, where they 

are located, and what their potential value might be. Such a review should provide 

recommendations to DOE policy-makers on whether and how materials judged to be 

valuable should be preserved and made accessible.

We hope that Congress and the Secretary find the Board’s findings and recommendations 

in the Report useful, and the Board looks forward to continuing its ongoing technical and 

scientific review of DOE activities related to managing and disposing of SNF and HLW.

Sincerely,

Rodney C. Ewing

Chairman

Report to Congress and the Secretary of Energy 

ix

Executive Summary

T

he Nuclear Waste Policy Act of 1982 (NWPA) authorized the U.S. Department of 

Energy (DOE) to investigate sites for a deep-mined geologic repository to dispose 

of high-level radioactive waste and spent nuclear fuel. In 1987 Congress amended 

the NWPA to direct DOE to characterize only a site at Yucca Mountain, located about 80 

miles northwest of Las Vegas, Nevada. The 1987 law also created the U.S. Nuclear Waste 

Technical Review Board (NWTRB or Board), an independent federal agency charged with 

“evaluating the technical and scientific validity” of the work undertaken by the Secretary 

of Energy to implement the NWPA.

The purpose of this Report to Congress and the Secretary of Energy is to document the 

Board’s oversight of DOE’s activities to archive and preserve materials developed by the 

Yucca Mountain Project (YMP). 

For nearly 30 years, DOE studied Yucca Mountain as a potential repository site and completed significant engineering design work. In June 2008, DOE submitted a license application to the U.S. Nuclear Regulatory Commission (NRC) to construct a repository and 

associated surface facilities. Hearings before the NRC Atomic Safety and Licensing Board 

(ASLB) started in the fall of that year. In February, 2010, funding for the YMP was eliminated in the President’s Budget for Fiscal Year 2011, which also announced that the YMP 

would be terminated. At the same time, DOE notified the ASLB that it intended to withdraw the Yucca Mountain license application. On July 29, 2010, responsibility for archiving 

and preserving Yucca Mountain scientific and engineering information was internally 

transferred from the unit in charge of the YMP, the Office of Civilian Radioactive Waste 

Management (OCRWM), to the Office of Legacy Management (LM). On September 30, 

2010, OCRWM ceased all its activities. A year later, the NRC Commissioners decided to 

halt the Yucca Mountain licensing proceedings. As of July, 2013, that decision is under 

review before the U.S. Court of Appeals for the District of Columbia Circuit.

DOE’s investigation of the Yucca Mountain site and its development of a license application generated massive amounts of technical and scientific information as well as extensive 

analyses of that information. As public records, proper archiving and preservation of that 

material is required by law. In addition, the possibility remains that either the Appeals 

Court might order NRC to resume hearings on the license application or a new administration might choose to reactivate the application. Finally, the data gathered, the samples 

collected, and the analyses undertaken by the YMP could prove to be of scientific value 

beyond their worth in supporting an application to construct a deep-mined geologic 

repository at Yucca Mountain. Thus, the responsibilities given to LM are consequential.

As part of the NWTRB’s ongoing technical and scientific review of DOE activities related 

to implementing the NWPA, the Board began to monitor events as they unfolded in the 

spring of 2010, considering, among other things, the question of what would be the fate of 

the materials developed for the Yucca Mountain license application. DOE recognized the 

Report to Congress and the Secretary of Energy 
x 

importance of properly archiving and preserving critical information from the YMP. DOE 

also appreciated how the decision to cease work on the YMP and the effort to withdraw the 

license application created an environment where DOE’s management of YMP-generated 

information might be closely scrutinized by other interested and affected parties. For this 

reason, DOE approached the Board in May, 2010, and proposed that the Board, as a disinterested party, formally oversee LM’s efforts to archive and preserve YMP documents and 

materials. At that time, DOE notified the ASLB that it was in discussions with the 

NWTRB about how the Board might to carry out that task.

The following year, in a Report accompanying the Fiscal Year 2012 Energy and Water 

Development Appropriations bill, the House Appropriations Committee directed the 

Board to “give support to” DOE as it archived and preserved scientific data, documents, 

and materials from the YMP. Now that LM has mostly completed its acceptance of records 

from OCRWM, this Report to Congress and the Secretary of Energy responds to the 

House Appropriations Committee’s request and presents findings and recommendations 

from the Board’s evaluation of DOE’s archival and preservation efforts.

LM’s primary responsibility is to archive and preserve materials created by the YMP during its nearly 30-year lifetime. These materials take the form of electronic databases and 

retrieval systems, analytical software, and physical objects, such as maps, videotapes, welllogs, and other items, some of which cannot be digitized. The two most important databases and retrieval systems are the Records Information System (RIS) and the E-mail 

Warehouse. The former holds the central information generated by the YMP; the latter 

stores the Lotus Notes e-mails sent and received by YMP personnel. Together these databases and systems contain more than 62 million records. 

Additional physical items, such as geologic cores, rock samples, and experimental materials, such as metal coupons from corrosion investigations, are not the responsibility of LM 

but instead are the responsibility of DOE’s Office of Nuclear Energy (NE). Preservation of 

these physical materials falls outside DOE’s request to the Board to oversee LM activities. 

Because such items are an important component of the scientific information produced by 

the YMP, however, they are discussed in a separate section of this report. 

 LM also must implement DOE’s commitment, made in the President’s Budget for Fiscal 

Year 2011 and later confirmed to the ASLB, to archive and preserve a special collection of 

records: the Licensing Support Network document collection (LSNdc). The LSNdc contains 

3.65 million documents, comprising more than 34 million pages of information. Until 

early August, 2011, this material could be accessed through a web-based, NRC-operated 

portal, the Licensing Support Network (LSN), which was developed to facilitate the legal 

process of discovery during the license application proceeding.

Although there is considerable overlap between the internal YMP records and the LSNdc, 

one is neither a subset nor a superset of the other. The internal YMP databases hold confidential information, such as attorney-client communications, litigation work products, and 

“house-keeping” requirements. The LSNdc contains copyrighted documents and other 

materials that, while relevant to DOE’s license application, were not created by the YMP. 

As part of its review, the Board designed a spot-checking exercise to determine whether 

records could be retrieved from storage. It is important to state precisely the limitations of 

this exercise. Given the vast number of records being archived and preserved, the Board 

could only ask LM to retrieve a very small fraction of the documents. The Board requested 

Activites to Preserve Records Created by the Yucca Mountain Repository Project 
xi

records spanning a wide range of technical work undertaken over the years by the YMP, 

but this does not represent a statistically significant sampling of the documents that have 

been archived and preserved. 

As long as the YMP was active and the license application was still being litigated through 

NRC’s adjudicatory hearing process, YMP-generated information and analyses were publicly available either from an easily accessible DOE website or, more comprehensively, 

through the LSN. Subsequently very few of the key YMP documents can be found on DOE 

websites. Thus, LM’s preservation of YMP records remains DOE’s primary mechanism for 

ensuring that those documents will be available in the future—at least in principle—to 

government officials, scientists, engineers, historians, and other interested parties.

Based on the results of its review, including the spot-checking retrieval exercise, the Board 

finds that:

1. Yucca Mountain documents have been preserved and can be accessed and retrieved. LM 

has developed a computer program that integrates the primary electronic database, 

the RIS, with records of data collected during the course of the YMP. In the Board’s 

view, this new system, the Yucca Mountain Record Information System (YMRIS), has 

improved significantly the functionality of search and retrieval operations. In particular, the Board has a high degree of confidence that documentary material developed by 

the YMP and included in the LSNdc can be accessed and retrieved.

2. With significant time and effort, LM personnel can search and retrieve e-mails from 

the E-mail Warehouse. Because of the level of effort involved, the Board staff could 

not directly test LM’s capability to access electronic messages. Board staff members, 

however, were shown how LM responded to congressional requests for YMP e-mails. 

A small set of e-mails deemed necessary to support the ASLB hearing on the Yucca 

Mountain license application was captured in the RIS database and included in the 

LSNdc. Board staff members were able to readily access a sample of these messages 

through the YMRIS. 

3. LM does not have the capability to load and execute most analytical software. This 

software was used by YMP personnel to analyze data and support modeling activities. LM cannot run most of the analytical software to recreate some of these analyses, 

although both the inputs and outputs used by the software have been archived and 

preserved. 

4. Some boxes being stored by LM contain physical objects, such as videotapes, well logs, 

and maps. However, LM has only a general understanding of the contents of the boxes. 

When activity ceased on the YMP, OCRWM personnel began transferring boxes with 

physical objects to LM for storage. The contents of those boxes were inventoried, and 

the inventories were provided to LM. The amount of detail in the inventories varies 

greatly. For this reason, it is unclear what measures might be needed to preserve the 

physical objects from the YMP for extended periods or to provide searchable databases 

for these objects.

5. LM has used schedules approved by the National Archives and Records Administration 

(NARA) to identify YMP records that should be preserved permanently and YMP records 

that should be preserved temporarily, that is, for periods ranging from 10 to 100 years. 

Report to Congress and the Secretary of Energy 
xii 

Temporary records will be held by LM. Permanent records will be transferred to NARA 

no sooner than 30 years from the time that the YMP is conclusively shut down either 

as the result of a non-appealable court decision or by definitive executive or legislative 

actions. The procedures used by NARA for obtaining access to those records under its 

control can be cumbersome. Thus, examining even permanent YMP records may be difficult in the future.

6. The general public can access written records held by LM. However, to do so individuals or organizations must file a Freedom of Information Act request. Only four such 

requests from external parties have been received by LM since it took over responsibility for archiving and preserving YMP-generated material. 

Based on its findings, the Board recommends the following:

1. A retrieval exercise, similar to the one conducted in August 2012, should be repeated in 

three years to assess the level of record preservation and retrieval capability at that time. 

2. Policy-makers should evaluate how much priority should be given to archiving and 

preserving YMP documents and physical materials. Without a continuing commitment of resources, it is unclear whether the current level of effort in this area can be 

sustained over time. 

3. Additional project documents may still be forwarded to LM to be archived and preserved. Such records should be added to the YMRIS if they are determined to contain 

new technical information.

4. DOE should consider providing web access to the foundational documents developed 

as part of the YMP. These records may be of scientific, technical, and historical value 

and deserve to be easily accessible by the general public.

5. In the cases of boxes of physical objects being stored by LM for which inventories are 

limited and/or not included in a searchable database, DOE policy-makers should evaluate whether to undertake additional efforts to develop informative inventories that 

could be placed into searchable databases.

6. Although not the responsibility of LM, materials from geologic investigations, such 

as rock cores and materials from experimental studies, such as metal coupons used 

in corrosion investigations, may have future value to ongoing DOE projects and may 

even find application in broader scientific and technical studies. This report does not 

address or evaluate the fate of these materials; however, the Board recommends that 

an external review be initiated to determine what types of materials exist, where they 

are located, and what their potential value might be. Such a review should provide 

recommendations to DOE policy-makers on whether and how materials judged to be 

valuable should be preserved and made accessible.

Activites to Preserve Records Created by the Yucca Mountain Repository Project 
xiii

Acronyms And 

Abbreviations

AASG American Association of State Geologists

AMR Analysis/Modeling Report

ASLB Atomic Safety and Licensing Board

Board U.S. Nuclear Waste Technical Review Board

CFR Code of Federal Regulations

CR Condition Report

DIRS Document Input Reference System

DOE U.S. Department of Energy

EBS Engineered barrier system

FEP Features, events, and processes

GROA Geologic Repository Operations Area

GSA Geological Society of America

HLW High-level radioactive waste

LA Yucca Mountain license application 

 (to construct and operate a repository)

LA-SAR License Application Safety Analysis Report

LM U.S. Department of Energy Office of Legacy Management

LMBC Legacy Management Business Center in Morgantown, West Virginia

LSN Licensing Support Network

LSNdc Licensing Support Network document collection

NARA National Archives and Records Administration

NE U.S. Department of Energy Office of Nuclear Energy

NRC U.S. Nuclear Regulatory Commission

NSHE Nevada System of Higher Education

NWPA Nuclear Waste Policy Act of 1982

NWTRB U.S. Nuclear Waste Technical Review Board

OCR Optical Character Recognition

OCRWM DOE Office of Civilian Radioactive Waste Management

Report to Congress and the Secretary of Energy 
xiv 

Acronyms And AbbreviAtions Continued

Activites to Preserve Records Created by the Yucca Mountain Repository Project 

PDF/A Portable Document Format, version A

PCSA Pre-closure Safety Analysis

QA Quality assurance

RIS Records Information System

RSF Records Storage Facility

RIMA Records Inventory Management Application

SAR Safety Analysis Report

SMF Sample Management Facility

SNF spent nuclear fuel

SNL Sandia National Laboratories

TAD Transportation/aging/disposal

TDMS Technical Data Management System

TechLib Index of hardcopy books and articles held by the YMP Technical Library

TSPA Total System Performance Assessment

TSPA-LA Total System Performance Assessment License Application

TSPA-VA Total System Performance Assessment Viability Assessment

U.S.C. United States Code

USGS U.S. Geological Survey

YMP Yucca Mountain Project

YMRIS Yucca Mountain Records Information System
xv

Contents

executive summAry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Acronyms And AbbreviAtions . . . . . . . . . . . . . . . . . . . . . . .xiii

purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

bAckground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

types of records developed As pArt of

the yuccA mountAin project . . . . . . . . . . . . . . . . . . . . . . . . .4

doe Activities to preserve records from

the yuccA mountAin project . . . . . . . . . . . . . . . . . . . . . . . . .6

boArd stAff members visit to

the legAcy mAnAgement business center . . . . . . . . . . . . . . . . .9

Description of Record-Retrieval Exercise . . . . . . . . . . . . . .9

Results of Record-Retrieval Exercise . . . . . . . . . . . . . . . . 11

physicAl mAteriAls from the yuccA mountAin project

thAt Are outside the responsibility of

the office of legAcy mAnAgement . . . . . . . . . . . . . . . . . . . .13

boArd findings And recommendAtions . . . . . . . . . . . . . . . . .14

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

Appendix 1 

Office of Legacy Management Chronology of Activities

for Preserving Yucca Mountain Project Records . . . . . . . .18

Report to Congress and the Secretary of Energy 
xvi Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 2

Yucca Mountain Project Electronic Databases and 

Retrieval Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Appendix 3 

Standards and Procedures Used by the Office of 

Legacy Management to Preserve Yucca Mountain 

Project Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23

Appendix 4

Tables of Retrieval Exercise Tasks. . . . . . . . . . . . . . . . . .27

Table 1. Task 1 Records and Tasks . . . . . . . . . . . . . .28

Table 2. Task 2 Records and Tasks. . . . . . . . . . . . . .29

Table 3. Task 3 Records and Tasks. . . . . . . . . . . . . .30

Table 4. Task 4 Records and Tasks. . . . . . . . . . . . . .32

Table 5. Task 5 Records and Tasks. . . . . . . . . . . . . .33

Table 6. Task 6 Records and Tasks. . . . . . . . . . . . . .34

Table 7. Task 7 Records and Tasks . . . . . . . . . . . . . .36

Table 8. Task 8 Records and Tasks. . . . . . . . . . . . . .38

Table 9. Task 9 Records and Tasks . . . . . . . . . . . . . .39

Table 10. Task 10 Records and Tasks . . . . . . . . . . . .42

Table 11. Task 11 Records and Tasks ............43

Table 12. Task 12 Records and Tasks ............44

Table 13. Task 13 Records and Tasks ............48

Appendix 5

Yucca Mountain Project Record 

Retrieval Demonstration ........................50
Appendix 6 

Retrieval of Physical and E-Mail Warehouse Records ....58

Retrieved Boxes of YMP Physical Materials ........58

E-Mail Warehouse Retrieval ..................61

Objective .............................62

Criteria ...............................62

Software Used. . . . . . . . . . . . . . . . . . . . . . . . . .62

Search Process .........................62

Result Matrix. . . . . . . . . . . . . . . . . . . . . . . . . . . . .69

Report to Congress and the Secretary of Energy xvii

Report to Congress and the Secretary of Energy 1

purpose

The purpose of this Report to Congress and the Secretary of Energy is to document the 

U.S. Nuclear Waste Technical Review Board’s (Board or NWTRB) oversight of the U.S. 

Department of Energy’s (DOE) activities to archive and preserve materials developed by 

the Yucca Mountain Project (YMP). The report is divided into six major sections: (1) a discussion of the background that triggered those activities; (2) a description of the types of 

scientific and technical information developed by the YMP; (3) a description of steps being 

taken by DOE to archive and preserve YMP information; (4) the oversight of those actions 

by the Board; (5) preservation of physical items outside of LM’s control; and (6) Board findings and recommendations related to current and future YMP data archival and preservation activities.

bAckground

In 1982, the Congress passed the Nuclear Waste Policy Act (NWPA), which created the 

Office of Civilian Radioactive Waste Management (OCRWM) within DOE. OCRWM was 

responsible for locating, constructing, and operating a deep-mined geologic repository for 

the disposal of high-level radioactive waste (HLW) and spent nuclear fuel (SNF). Pursuant 

to this legislation, OCRWM studied several potential repository sites across the country in 

the mid-1980s. In 1987, Congress amended the NWPA and directed DOE to investigate 

Yucca Mountain in Nevada as the sole site to be considered for the location of a permanent 

repository. The 1987 law also created the NWTRB, an independent federal agency charged 

with “evaluating the technical and scientific validity” of the work undertaken by the 

Secretary of Energy to implement the NWPA.

For nearly 30 years, DOE studied Yucca Mountain as a potential repository site and completed significant engineering design work. On June 3, 2008, DOE submitted a license 

application to the U.S. Nuclear Regulatory Commission (NRC) to construct a repository 

and associated surface facilities at the site. Hearings before the NRC Atomic Safety and 

Licensing Board (ASLB) started in the fall. In February, 2010, funding for the YMP was 

eliminated in the President’s Budget for Fiscal Year 2011, which also announced that the 

YMP would be terminated. At the same time, DOE notified the ASLB that it wished to 

withdraw the Yucca Mountain license application. On July 29, 2010, responsibility for 

archiving and preserving Yucca Mountain scientific and engineering information was 

internally transferred from OCRWM to DOE’s Office of Legacy Management (LM).1

 On 

September 30, 2010, OCRWM ceased all its activities.2

 A year later, the NRC 

Commissioners decided to halt Yucca Mountain licensing proceedings.3

 As of July, 2013, 

that decision is under review before the U.S. Court of Appeals for the District of Columbia 

Circuit.

1 Memorandum from David K. Zabransky, Office of Civilian Radioactive Waste Management, to John 

E. Davenport, Office of the Chief Information Officer, “Transfer of Office of Civilian Radioactive Waste 

Management (OCRWM) Records Custodianship to the Office of Legacy Management (LM),” July 29, 

2010.

2 See “Memorandum of Understanding: Closure of RW and Maintenance of the Yucca Mountain Site,” 

initiated by Kristina Johnson, Under Secretary of Energy, September 16, 2010. That memorandum distributed OCRWM’s responsibilities among five Program Secretarial Offices—Nuclear Energy, Environmental 

Management, General Counsel, National Nuclear Security Administration, and Legacy Management.

3 NRC Commissioners, “Memorandum and Order,” CLI-11-07, September 9, 2011; ASLB, “Memorandum 

(Suspending Adjudicatory Proceeding),” ASLPB No. 09-892-HLW-CAB04, September 30, 2012.
2 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

DOE’s investigation of the Yucca Mountain site and its development of a license application generated massive amounts of technical and scientific information as well as extensive 

analyses of that information. As federal records, proper archiving and preservation is 

required by the Federal Records Act.4

 In addition, the possibility remains that either the 

Court of Appeals might order the NRC to resume licensing hearings or a new administration might choose to reactivate the license application. Finally, the data gathered, the samples collected, and the analyses undertaken by the YMP could prove to have scientific 

value beyond their role in supporting an application to construct a deep-mined geologic 

repository at Yucca Mountain. Thus, the responsibilities given to LM with respect to preserving YMP records and information are consequential.

As part of the its ongoing technical and scientific review of DOE activities related to implementing the NWPA, the Board began to monitor events as they unfolded in the spring of 

2010, considering, among other things, the question of the fate of the materials developed 

by the YMP. DOE recognized the importance of ensuring that critical information from 

the YMP was properly archived and preserved. DOE also appreciated how the decision to 

cease work on the YMP and the effort to withdraw the license application created an environment where its management of the YMP-generated information might be closely scrutinized by other interested and affected parties. 

For this reason, DOE approached the Board in May, 2010, and proposed that the Board, as 

a disinterested party, formally oversee LM’s efforts to archive and preserve YMP-generated 

documents and materials. In addition, DOE notified the ASLB that it was in discussions 

with the Board about how this oversight function might be carried out.

[DOE has] contacted the Nuclear Waste Technical Review Board (NWTRB) 

about the NWTRB’s interest in providing independent oversight of DOE’s 

actions in preserving the scientific information that has been developed by 

OCRWM. The NWTRB could thus review the planned disposition of the relevant scientific information before its disposition in accordance with [National 

Archives and Records Administration] NARA approved schedules.5

The following year, in its Report on the FY 2012 Energy and Water Development 

Appropriations bill, the House Appropriations Committee’s Subcommittee on Energy and 

Water Development directed that:

The NWTRB should also provide support to the Department of Energy’s ... efforts to 

archive and preserve all Yucca Mountain-related documents and physical materials of 

scientific value.6

4 Records include all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United 

States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or 

because of the informational value of the data in them (44 U.S.C. 3301). Many of the key terms, phrases, 

and concepts in this statutory definition of records are defined in 36CFR1222.12.

5 Department of Energy, “U.S. Department of Energy Answers to ASLB Questions from Order Dated 

April 21, 2010,” May 24, 2010, p. 37.

6 House of Representatives, Committee on Appropriations, “Report on Energy and Water Development 

Appropriations Bill, 2012,” 112-118, 112th Congress, 1st Session, June 24, 2011, p. 191.
Report to Congress and the Secretary of Energy 3

Now that LM has mostly completed its acceptance of records from OCRWM, this Report 

to Congress and the Secretary of Energy responds to the House Appropriations 

Committee’s request and presents findings and recommendations from the Board’s evaluation of DOE efforts to archive and preserve YMP records.

LM’s primary responsibility is to archive and preserve materials created by the YMP during its 30-year lifetime. These materials take the form of electronic databases and retrieval 

systems, analytical software, and physical objects, such as maps, well logs, and videotapes, 

some of which cannot be digitized. 

In addition, LM must implement DOE’s commitment, made in the President’s Budget for 

Fiscal Year 2011 and later confirmed to the ASLB, to archive and preserve one specific collection of records: the Licensing Support Network data collection (LSNdc). The LSNdc 

contains 3.65 million documents, comprising more than 34 million pages of information. 

Until early August 2011, this material could be accessed through a web-based, NRCoperated portal, the Licensing Support Network (LSN), which was developed to facilitate 

the legal process of discovery during the license application proceeding.7

Although there is considerable overlap between internal YMP records and the LSNdc, one is 

neither a subset nor a superset of the other. The internal YMP databases hold confidential 

information, such as safeguards and security reports, proprietary business information, 

communications protected by attorney-client privilege, deliberative process/pre-decisional 

memoranda, litigation work products, and “house-keeping” requirements. In contrast, the 

LSNdc was completely open to the public but contained copyrighted documents and other 

materials that, while relevant to DOE’s license application, were not created by the YMP.8

The decision to cease all YMP activities initiated transition efforts within DOE.9

 (These are 

set forth in Appendix 1.) To begin with, LM prepared a plan that governed the transfer of 

the internal YMP records. Specifically, the plan identifies

... transition tasks and provides a roadmap for the current and final custodians 

for the various categories of records information. The plan presents an approach 

to transition information maintained by OCRWM and will be updated as 

needed. The planned approach is to produce a seamless transition of current 

operations by preserving OCRWM institutional knowledge and support 

systems.10

According to the plan, LM undertook to operate, maintain, and archive key OCRWM electronic databases; take custody of the record copy and store other electronic databases; convert remaining physical records into electronic files; and oversee the physical transfer of 

7 The rules governing participation in the license application proceeding obligated all parties to make 

electronically available, through the LSN, information relevant to the positions they anticipated taking in 

the hearing. The requirements for each party’s document collection are laid out in 10CFR2.1011.

8 In the LSNdc, privileged information was displayed only as a bibliographic header.

9 Some of the events described in this and the following section are based on information supplied to the 

Board by LM. The Board has not verified the chronology independently. But, based on the Board’s oversight activities during the last two and a half years, the listing of events appears to be generally accurate.

10 Office of Legacy Management, “Office of Civilian Radioactive Waste Management (OCRWM) Records 

Management Transition Plan,” June 2010, p. 5.
4 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

records from Las Vegas and other YMP sites to an LM facility in Morgantown, West 

Virginia. LM also developed arrangements for archiving and preserving the LSNdc.11

As long as the YMP was active and the license application was still being litigated through 

NRC’s adjudicatory hearing process, YMP-generated information and analyses were publicly 

available either from an easily accessible DOE website or, more comprehensively, through the 

LSN.12 Subsequently very few of the key YMP documents can be found on DOE websites. 

Thus, LM’s preservation of YMP records remains DOE’s primary mechanism for ensuring 

that these documents will be available in the future—at least in principle—to government 

officials, scientists, engineers, historians, and other interested parties.

types of records developed As 

pArt of the yuccA mountAin project

Over a nearly 30-year period, DOE characterized the Yucca Mountain site to determine 

whether it was suitable for developing a deep-mined geologic repository for HLW and 

SNF. DOE also undertook engineering studies to support a proposed design for such a 

facility and its associated surface structures. These investigations covered a very wide variety of areas, including subsurface geology, earthquake and volcanic risk assessment, water 

infiltration, localized corrosion, coupled thermo-mechanical model behavior, radionuclide 

transport in the site’s unsaturated and saturated zones, operational parameters, and quantitative risk assessment. Most of this work was conducted under a rigorous quality assurance (QA) program. 

At its height, the YMP brought together roughly 400 federal personnel and 2,500 contractor employees. These individuals were located primarily in Nevada and Washington D.C., 

although many of them worked out of offices and laboratories scattered from New Mexico 

to Chicago and from California to New York. The types of information developed within 

such a large organization reflected the diversity of its participants: scientists, engineers, 

administrators, and auditors. 

The overwhelming number of YMP records resides in several dozen internal electronic databases and retrieval systems. (These records are described in greater detail in Appendix 2.) 

These systems, which could only be accessed by YMP personnel, served a variety of functions including:

•	 Managing the production, revision, and accessibility of complex technical documents

•	 Ensuring that YMP personnel used consistent assumptions, data, and methodologies

•	 Archiving internal communications, especially e-mail traffic

•	 Tracking the location, acquisition information, and technical details of physical samples, such as corrosion coupons and geologic cores

11 Office of Legacy Management, “Office of Civilian Radioactive Waste Management (OCRWM) DOE 

Licensing Support Network Collection Transition Plan," Version 1.0, June 2010.

12 On July 26, 2011, the Administrator of the LSN notified the ASLB that, due to a lack of funds, the LSN 

would be shut down on August 5, 2011. See Memorandum from Daniel J. Glaser to Thomas Moore, Paul 

Ryerson, and Richard Wardwall, “Shutdown of the Licensing Support Network,” July 26, 2011. The ASLB 

subsequently ordered all parties to the Yucca Mountain license application proceeding to furnish NRC 

with PDF/A copies of all the documents contained in their respective collections. Those files are accessible, 

with great difficulty, through NRC’s ADAMS electronic database.
Report to Congress and the Secretary of Energy 5

•	 Organizing housekeeping functions, such as the Corrective Action Program and the 

physical whereabouts of internally produced and copyrighted reference documents.

During the eight-month period from February to September, 2010, when OCRWM was 

preparing to cease all its activities, officials from that unit identified those electronic databases and retrieval systems for which preservation and continued operation were deemed 

most critical. These 17 legacy systems were collectively designated “Priority-1.” For the 

purposes of this report, the two most important systems are the Records Information 

System (RIS) and the E-mail Warehouse. The former holds the central information generated by the YMP; the latter stores the Lotus Notes e-mails sent and received by YMP personnel. Together they contain more than 62 million records. In addition to the Priority-1 

systems, the YMP created a wide variety of other databases and data sets. They include the 

Information Exchange Drawings (IED), the Reference Information Base (RIB), the index of 

hard copy books and articles held by the YMP (TechLib) and the Technical Data 

Management System.

A second category of YMP material is analytical software. These programs, which could 

only be run by YMP personnel, were used to analyze, synthesize, and abstract data and 

information gathered in the field or in laboratories.13 Some of this software was obtained 

commercially, some consisted of propriety programs previously developed by YMP participants, such as DOE’s national laboratories, and some were created within the YMP as it 

operated.

A third category of material comprises physical objects produced by the YMP, such as 

source documents submitted by YMP scientists and engineers, reference materials, computer storage media of various types, and other worker documents. Also included in this 

category are maps, photographs, well logs, and videotapes of boreholes and fractures. Some 

of these materials cannot be digitized and thus cannot be stored in electronic databases. 

Other materials have simply not been scanned. 

Additional physical items, such as rock cores and samples, and experimental materials, 

such as metal coupons from corrosion investigations, are not the responsibility of LM but 

instead are the responsibility of DOE’s Office of Nuclear Energy (NE). Preservation of 

these physical materials falls outside DOE’s request that the Board oversee LM activities. 

However, because such items are an important component of the scientific information 

produced by the YMP, they are discussed in a separate section of this report.14

The table below summarizes the status—both before and after OCRWM ceased its activities—of each of the three categories of internal YMP documents and records. It also provides information on the status of the LSNdc, which is now the responsibility of LM.

13 Because the software had to be validated and tested rigorously, it was colloquially termed “QA software.” 

14 Cores and rock samples are mainly stored in the Sample Management Facility (SMF) located on the 

Nevada National Security Site. Corrosion coupons and other experimental samples are stored at Sandia 

National Laboratories (SNL). Some geologic materials and samples may still be held by contractor and 

national laboratories that participated in the YMP.
6 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

STATUS OF YUCCA MOUNTAIN RECORDS 

BEFORE AND AFTER OCRWM CEASED ITS ACTIVITIES

TYPE OF RECORD BEFORE OCTOBER 1, 2011 AFTER SEPTEMBER 30, 2011

Electronic databases and 

retrieval systems

Files resided in Las Vegas, NV, and were 

maintained by OCRWM. Access to some or all of 

the electronic databases and retrieval systems 

was limited to YMP personnel.

All Priority-1 electronic databases and retrieval 

systems were shipped to Morgantown, WV, and are 

being preserved by LM. Electronic access to some 

or all of the databases and retrieval systems is 

limited to LM personnel.

Analytical software

Accessed by YMP personnel in the course of their 

day-to-day activities. Software typically resided 

on individual computers and workstations. 

Because the software had to be validated and 

tested rigorously, it was colloquially termed “QA 

software.”

Original software media, diskettes and CDs have 

been sent to Morgantown, WV, where they are 

stored in fire-resistant file cabinets. The computers 

and workstations that had run the software have 

been disposed of.

Physical objects (other than 

rock cores and experimental 

samples)

This material was placed in the Records Storage 

Facility (RSF) in Las Vegas, NV. OCRWM 

personnel tracked the objects’ location.

The material was placed in boxes and shipped to 

Morgantown, WV, where it is currently being 

stored. Inventories of the contents of each box vary 

in their level of detail.

LSNdc Generally accessible through the LSN until August 

5, 2011.

PDF/A files have been provided to the NRC. 

Interested parties can access these files, with some 

difficulty, through NRC’s ADAMS system or through 

a Freedom of Information Act request to LM.

doe Activities to preserve records 

from the yuccA mountAin project

The archiving and preservation of YMP records must comply with the rules and regulations established by the National Archive and Records Administration (NARA). 

(Appendix 3 lists the applicable rules and regulations.) “Permanent records” will be kept 

by LM for at least 30 years after a non-appealable court decision or definitive executive or 

legislative actions about the YMP has been rendered, at which time the records will be 

transferred to NARA for preservation. “Temporary records” will be held by LM and will be 

managed according to NARA-approved disposition schedules. 

Of the two million records held in the updated RIS (the Yucca Mountain Records 

Information System [YMRIS]) and the 60 million messages in the E-mail Warehouse, only 

220,000 are classified as permanent federal records. All records contained in the myriad 

other electronic databases and retrieval systems are deemed temporary. The analytical 

software used by the YMP is considered temporary, although both the inputs and outputs 

from that software have been classified as permanent. Most physical objects under LM’s 

control are considered temporary records.15 Finally, LM has recommended to NARA that 

15 A small, but indeterminate, number of photographs, organization charts, and non-scientific records 

that are boxed and stored in Morgantown, WV, will also be classified as permanent.
Report to Congress and the Secretary of Energy 7

the LSNdc be preserved for 100 years, but that the LSNdc Support Materials collection be 

preserved for only 10 years.16

Regardless of their classification, all of the YMP records that have been placed in LM’s custody have been handled consistently.17 In June, 2010, DOE instructed all participant organizations not to destroy or dispose of any documents or copies of documents related to the 

YMP. DOE also requested that hard copies of all YMP documents be indexed, boxed, and 

submitted to OCRWM at DOE’s Hillshire facility in Las Vegas, Nevada.18 

Pursuant to DOE instructions, participating contractor and national laboratory organizations and the U.S. Geological Survey (USGS) submitted YMP records to DOE’s Hillshire 

facility outside of Las Vegas where the records were scanned and entered into the RIS. All 

YMP electronic databases and retrieval systems, except for the RIS and the E-mail 

Warehouse, were shut down and sent to the Legacy Management Business Center (LMBC) 

in Morgantown, West Virginia, in July, 2011.19

When responsibility for the custody and management of all YMP records was transferred 

from OCRWM, LM began moving boxed hard copies of documents and boxed physical 

objects to the LMBC.20 Consistent with NARA requirements, redundant copies of important YMP electronic databases and retrieval systems, the E-mail Warehouse, requisite 

computer hardware, and regular backup tapes of LM computer systems also are maintained in the LM Grand Junction Office in Colorado. 

Three members of the Board staff visited the Hillshire facility on September 17, 2010, to 

observe DOE activities related to collecting, classifying, and archiving YMP records and 

closeout materials. During this visit, LM staff members presented an overview of DOE 

plans, conducted a tour of the document storage areas, explained what activities were ongoing at the site, and carried out a live session to “test” RIS access to YMP technical documents. LM personnel successfully located and retrieved from the RIS the dozen or so 

documents that members of the Board staff spontaneously requested at the time of their 

visit to the Hillshire facility. 

LM informed Board staff that numerous hard copies of documents and boxed physical 

objects already had been shipped in eight semi-trailer trucks to the LMBC. Board personnel were shown several rooms containing boxes of YMP documents that LM personnel 

identified as closeout materials that had been sent to the Hillshire facility by YMP partici16 The support materials document the screening process to select records for inclusion in the LSNdc and 

to identify privileged records that will be labeled with a bibliographic header.

17 The two transition plans referenced in footnotes 10 and 11 provided the framework for LM’s subsequent 

management of YMP records.

18 See, for example, Letter from Susan Jones (OCRWM) to Evaristo Bonano (Sandia National Laboratories) dated June 18, 2010, and Letter from Spencer Peterson (OCRWM) to Kenneth Skipper (U.S. Geological Survey) dated June 22, 2010.

19 The LMBC is a 59,000-square-foot, level-III security, federal facility. It includes a 31,000-square-foot 

records storage facility (RSF) with the capacity to store up to 154,000 cubic feet of records. The RSF, which 

stores other federal records in addition to those from YMP, was approved for the storage of federal agency 

records by NARA in December, 2009. The LMBC facility certification granted by NARA is governed by 

standards detailed in 36CFR1234 - Facility Standards for Records. These requirements specify the minimum structural, environmental, property, and life-safety standards that a federal RSF must meet when 

the facility is used for storing federal records.

20 Although the vast majority of records have been transferred, some material may still be held at the USGS 

offices in Denver. LM has told the Board that it is working to secure those records. 
8 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

pants in response to DOE’s June, 2010, order. LM maintained that no YMP records or documents received at the Hillshire facility had been discarded.

LM staff had sorted the materials held at the Hillshire facility into three categories:

•	 Materials that were being scanned and entered into the RIS and the LSNdc. LM staff 

members estimated there were 200 boxes of materials in this category.

•	 Derivative discovery documents, which are hard copies of documents with handwritten comments. LM staff members estimated there were 500 boxes of derivative discovery documents.

•	 Recycle boxes of materials that contain printed reports, written correspondence, and 

other miscellaneous papers typical of material kept in the offices of YMP personnel. LM staff members estimated there were 190 boxes of recycle materials. Board 

staff spot-checked a very small number of those boxes, which contained newspaper 

advertisements, personal notes, and hard-copies of YMP documents. The documents 

observed by Board staff had been given accession numbers, indicating that this material could be retrieved from the RIS. 

When all activity on the YMP ceased at the end of September, 2010, the National Nuclear 

Security Administration assumed responsibility for managing the physical site at Yucca 

Mountain, including basic site operations and maintenance. DOE’s Office of 

Environmental Management was given responsibility for site remediation and closure. 

Following final closure of the physical site, long-term surveillance responsibility will 

transfer to LM. 

During 2011, LM continued to receive YMP records at the Hillshire facility and enter them 

into the RIS. This activity continued until April 12, 2012, when the RIS was closed to 

accepting new records. Throughout this period, YMP electronic databases and retrieval 

systems, analytical software, and physical objects were transferred to the LMBC from the 

Hillshire facility, contractor and national laboratory participants, the USGS, federal record 

centers, and commercial storage. 

In July, 2011, LM provided the Board with an inventory of YMP records. The inventory, 

which consists of a large Excel spreadsheet file, includes a list of YMP records contained in 

the RIS,21 an account of what is known concerning the YMP physical objects that are 

stored in boxes,22 and a list of YMP electronic databases23 that have been transferred from 

OCRWM to LM. At a public meeting of the Board held on September 13, 2011, LM officials 

provided a briefing on LM’s mission and preservation activities.24

In the meantime, LM upgraded hardware systems at the LMBC to accommodate the electronic databases and retrieval systems inherited from the YMP. YMP files and data on 

compact discs, along with optical media linked to source documents, were imported as 

21 File “NWTRB_RISweb_Listing.xlsx,” dated 7/18/2011 and received on CD August 2, 2011.

22 File “lmbcympholdings.pdf,” titled “LM Business Center Yucca Mountain Project Holdings,” 316 pp., 

dated 7/18/2011 and received on CD August 2, 2011. An updated list of LM physical holdings was provided 

to the Board on August 15, 2012.

23 File “YMP Legacy Systems.doc.” This single page Word document included a bullet list of 17 electronic 

database systems. This document was received by e-mail on July 11, 2011.

24 A record of presentations and discussion can be found on the Board web site (http://www.nwtrb.gov/) 

under the heading, “Meetings.”
Report to Congress and the Secretary of Energy 9

electronic records. A copy of the LSNdc was created in PDF/A format and provided to the 

NRC.25

Beginning in 2012, LM completed its efforts to integrate the RIS with optical media used 

to store data and other information, such as QA reports, collected during the characterization of the Yucca Mountain site. In the Board’s view, the resulting YMRIS is more efficient 

at retrieving YMP information than the original RIS. 

In sum, by the summer of 2012 at the West Virginia facility, LM had YMRIS up and running, had moved the TechLib and the E-mail Warehouse onto LM platforms, and had 

placed the 14 other Priority-1 systems on warm standby mode, allowing for rapid access to 

the information they contain.

boArd stAff members visit to 

the legAcy mAnAgement business center

On August 21 and 22, 2012, three members of the Board staff visited the LMBC. The 

primary purpose of this visit was to witness and document the retrieval of technical YMP 

records by LM staff. 

It is important to state precisely the limitations of this exercise. Given the vast number of 

records being preserved by LM, Board staff could only ask LM to retrieve a small fraction 

of the total. The records requested by Board staff did span a wide range of technical work 

undertaken over the years by the YMP. But it would be hard to argue that these documents 

were “representative” or a statistically significant sample size. 

YMP records occupy slightly less than 10 percent of the total space at the LMBC (see 

Figure 1). In addition, YMP analytical software is kept in concrete-lined, fire-resistant file 

cabinets (see Figure 2). Although the official NARA format for archiving and preserving 

records is in electronic form, hard copies of some of the records as well as physical objects 

are stored in well-marked standardized boxes (see Figure 3). 

Description of Record-Retrieval Exercise 

The record-retrieval exercise conducted in August, 2012, was designed to access YMP 

records and databases that covered:

1. The entire history of the YMP, ranging from the 1980s to 2010 when the YMP ceased 

all activity;

2. The breadth of important YMP document types, including documents authored by 

contractors, national laboratories personnel, and other YMP participants as well as 

Analysis Model Reports, high-level abstractions, calculations, software documentation, technical quality assurance procedures, data, and e-mails; and

3. A range of complete and incomplete identifying information.

25 In October 2012, Board staff communicated with the State of Nevada to learn what the State was doing 

to make the LSNdc documents accessible and searchable (the State obtained a PDF/A copy of these documents from DOE). The copy contains eight terabytes of data. All the documents are in searchable PDF 

form, but the size of the LSNdc database makes it impractical to index and difficult to implement search 

and retrieval functions for any particular YMP records. 
10 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

In advance of their visit to the LMBC, Board staff members prepared a preliminary list of 

131 retrieval tasks. Many tasks involved retrieving multiple records that met the pre-established search criteria. Appendix 4 of this report contains 13 tables that specify, among 

other things, what records were selected for retrieval and their relationship to other YMP 

records and to the Yucca Mountain license application. Since the YMRIS is the most complete and comprehensive collection of YMP historical technical data and records, it was 

searched for all electronic records listed in the tables. Other electronic databases and 

retrieval systems were searched as appropriate.

Out of the 131 planned retrieval tasks, Board staff members provided LM staff with preliminary information on 90 tasks in advance. Table 3, Table 7, part of Table 12, and a new 

Table 13 in Appendix 4 were presented to LM for the first time when Board staff members 

arrived at the LMBC. 

Figure 1. Locational Map of YMP Holdings at the LMBC

Figure 2. File Cabinets Holding Analytical Software
Report to Congress and the Secretary of Energy 11

Results of Record-Retrieval Exercise

LM personnel were able to retrieve virtually all the records sought as part of the retrieval 

exercise. Retrieved records were either downloaded as electronic files or the search results 

were saved to a hard drive. In some cases, LM personnel took photographs of opened boxes 

of physical retrieval materials.26 The results of each numbered retrieval task are included in 

the tables provided in Appendix 4. More information about the search and retrieval process can be found in Appendix 5.

 In preparation for the visit by Board staff members, LM staff loaded hard drives with the 

90 records that had been identified prior to the exercise. In the presence of Board staff 

members, LM staff then completed the 41 additional retrieval tasks. Hard copies of the 

requested records were located in storage boxes and brought to Board staff for verification. 

The results of these additional searches were also placed on a hard drive and provided to 

the Board.

During the two-day retrieval exercise, hundreds of YMP documents were successfully 

retrieved and verified. LM personnel, however, were unable to retrieve 18 requested records 

that were held in the E-mail Warehouse. To have retrieved these records would have 

required a major programming effort, which Board staff did not believe was warranted, 

given that e-mails with technical content were preserved in the RIS.27 (See Appendix 6 for a 

detailed discussion of the programming effort.) Board staff members asked LM to carry 

out 13 new e-mail searches using YMRIS. In the end, out of 126 retrieval tasks attempted, 

LM successfully completed all but two. 

26 Board staff took additional photographs of materials such as field notebooks and borehole videotapes.

27 LM had, in fact, undertaken a similar effort to obtain documents requested by Congress. Board staff 

members were shown the results of those searches. 

Figure 3. Boxed Physical Objects
12 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

LM personnel were able to quickly search and retrieve selected records. Moreover, Board 

staff observed that source data could be easily retrieved electronically by selecting a tab 

tied to the original report. In conducting this exercise, Board staff members saw first-hand 

the increased functionality that was gained when LM migrated the RIS to the more sustainable YMRIS platform.

LM is currently unable to activate any of the analytical software used by YMP workers to 

perform modeling and calculations because the computers and workstations needed to run 

this software have not been transferred to Morgantown.28 Conceivably, if the same analytical capabilities are required in the future, new versions of the software might carry out the 

calculations and modeling exercises using the original input which are being permanently 

archived and preserved, and comparing the new outputs with the original outputs, which 

are also being permanently archived and preserved.

Several categories of YMP records could not be identified conclusively from LM’s inventories of physical objects placed in boxes. To better understand what those boxes held, Board 

staff worked with LM personnel to inspect a random selection of boxes. Appendix 6 

includes photographs of these boxed materials and summarizes the results of these inspections. To assure appropriate preservation, LM may need to take action to preserve the various types of media observed, including photographs, maps, well logs, and videotapes.

In addition to the items retrieved during the spot-checking exercise, the Board subsequently requested well-log records for one of the boreholes drilled by the YMP in the early 

1990s. Within 24 hours, LM staff members located 16 boxes containing Yucca Mountain 

well logs. For one borehole, LM staff members copied the first page of 3-D velocity logs, 

caliper logs, electric logs, fluid density logs, density borehole compensated gamma ray logs, 

neutron logs, section gauge logs, induction logs, and sonic logs. The majority of these logs 

were in the strip-chart format.

28 LM personnel indicated prior to the visit that they could not activate many YMP analytic software packages because these packages require legacy hardware and legacy software to run. The Board believes it may 

be possible for LM to install and run this YMP software, but doing so could require significant resources. 

In fact, both of the two failed searches involved activating analytical software.
Report to Congress and the Secretary of Energy 13

physicAl mAteriAls from the yuccA mountAin project 

thAt Are outside the responsibility of the office of 

legAcy mAnAgement

While site characterization work was underway at Yucca Mountain, rock cores and rock 

samples were kept in the climate-controlled SMF located on the Nevada National Security 

Site. Before YMP activity ceased, data from those samples had been collected and stored 

in various electronic systems. Metal samples (coupons) from corrosion tests were actively 

maintained at Sandia National Laboratories and Lawrence Livermore National Laboratory, 

the two laboratories where corrosion tests were conducted. 

NE is currently responsible for the geologic core and rock samples, which are being stored 

inside the SMF; however, since OCWRM ceased its activities, all climate control at that 

facility has been turned off and no active maintenance of the rock cores and samples is 

taking place. Sandia National Laboratories is the current custodian of most of the corrosion coupons and other experimental samples; these stored materials, likewise, are not 

being actively maintained.

Some of the most significant scientific advances made by the YMP were in understanding 

water movement through a thick unsaturated (vadose) zone in fractured volcanic rock. 

Much of this increased understanding came from samples, cores, in situ subsurface tests, 

and electronic well logging (the geophysical equivalent to core sampling) in boreholes 

drilled directly into fractured volcanic rock. These samples, cores, well logs, and subsurface test results yielded critical data for the development and testing of conceptual and 

numerical models of coupled thermal hydrologic processes, which in turn provided the 

basis for the YMP performance assessment. The data form an invaluable archive for 

researchers investigating the hydrology of arid areas, waste management, and contaminant 

migration in fractured volcanic rock. For example, these data are highly significant for 

ongoing DOE efforts to assess potential radionuclide migration from various underground 

test areas in the nearby Nevada National Security Site.

These samples may also provide critical information on subsurface properties that could be 

useful for a host of other important geologic studies. A number of professional geoscience 

organizations, including the Geological Society of America (GSA) and the American 

Association of State Geologists (AASG), have pointed to the value of such materials in 

addressing technical and scientific questions of national interest. In particular, the GSA 

has noted that samples and data sets provide fundamental references for basic and applied 

research as well as opportunities for reanalyzing data in ways that can generate new 

knowledge. The AASG has made the point that critical questions of national interest can 

be informed by geologic data, including issues related to climate change, carbon sequestration, water supply, and the identification and prediction of natural hazards. 

An evaluation of the potential value of these materials by organizations other than DOE, 

such as the USGS, state geological surveys, and academic institutions that maintain 

archives of geologic materials, could provide the basis for recommendations on the preservation and accessibility of the geologic samples. Depending on the strategy proposed, these 

organizations could provide useful information on proper preservation procedures as well 

as realistic cost estimates.
14 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

boArd findings And recommendAtions

Based on the results of its review, including the spot-checking retrieval exercise, the Board 

makes a number of findings:

1. Yucca Mountain documents have been preserved and can be accessed and retrieved. 

LM has developed a computer program that integrates the primary electronic database, the RIS, with records of data collected during the course of the YMP. In the 

Board’s view, this new system, the Yucca Mountain Record Information System 

(YMRIS), has improved significantly the functionality of search and retrieval operations. In particular, the Board has a high degree of confidence that documentary material developed by the YMP and included in the LSNdc can be accessed and retrieved.

2. With significant time and effort, LM personnel can search and retrieve e-mails from 

the E-mail Warehouse. Because of the level of effort involved, the Board could not 

directly test LM’s capability to access electronic messages. Board staff members, 

however, were shown how LM responded to congressional requests for YMP e-mails. 

A small set of e-mails deemed necessary to support the ASLB hearing on the Yucca 

Mountain license application was captured in the RIS database and included in the 

LSNdc. Board staff members were able to readily access a sample of these messages 

through the YMRIS. 

3. LM does not have the capability to load and execute most analytical software. This 

software was used by YMP personnel to analyze data and support modeling activities. LM cannot run most of the analytical software to recreate some of these analyses, 

although both the inputs and outputs used by the software have been archived and 

preserved. 

4. Some boxes being stored by LM contain physical objects, such as videotapes and 

maps. However, LM has only a general understanding of the contents of the boxes. 

When activity ceased on the YMP, OCRWM personnel began transferring boxes with 

physical objects to LM for storage. The contents of those boxes were inventoried, and 

the inventories were provided to LM. The amount of detail in the inventories varies 

greatly. For this reason, it is unclear what measures might be needed to preserve the 

physical objects from the YMP for extended periods or to provide searchable databases 

for these objects.

5. LM has used schedules approved by the National Archives and Records 

Administration (NARA) to identify YMP records that should be preserved permanently and YMP records that should be preserved temporarily, that is, for periods 

ranging from 10 to 100 years. Temporary records will be held by LM. Permanent 

records will be transferred to NARA no sooner than 30 years from the time that the 

YMP is conclusively shut down either as the result of a non-appealable court decision 

or by definitive executive or legislative actions. The procedures used by NARA for 

obtaining access to those records under its control can be cumbersome. Thus, examining even permanent YMP records may be difficult in the future.

6. The general public can access written records held by LM. However, to do so individuals or organizations must file a Freedom of Information Act request. Only four such 

requests from external parties have been received by LM since it took over responsibility for archiving and preserving YMP-generated material.
Report to Congress and the Secretary of Energy 15

Based on its findings, the Board recommends the following:

1. A retrieval exercise, similar to the one conducted in August, 2012, should be repeated 

in three years to assess the level of record preservation and retrieval capability at that 

time. 

2. Policy-makers should evaluate how much priority should be given to archiving and 

preserving YMP documents and physical materials. Without a continuing commitment of resources, it is unclear whether the current level of effort in this area can be 

sustained over time. 

3. Additional project documents may still be forwarded to LM to be archived and preserved. Such records should be added to the YMRIS if they are determined to contain 

new technical information.

4. DOE should consider providing web access to the foundational documents developed 

as part of the YMP. These records may be of scientific, technical, and historical value 

and deserve to be easily accessible by the general public.

5. In the cases of boxes of physical objects being stored by LM for which inventories are 

limited and/or not included in a searchable database, DOE policy-makers should evaluate whether to undertake additional efforts to develop informative inventories that 

could be placed into searchable databases.

6. Although not the responsibility of LM, materials from geologic investigations, such 

as rock cores and materials from experimental studies, such as metal coupons used 

in corrosion investigations, may have future value to ongoing DOE projects and may 

even find application in broader scientific and technical studies. This report does not 

address or evaluate the fate of these materials; however, the Board recommends that 

an external review be initiated to determine what types of materials exist, where they 

are located, and what their potential value might be. Such a review should provide 

recommendations to DOE policy-makers on whether and how materials judged to be 

valuable should be preserved and made accessible.

Report to Congress and the Secretary of Energy 17

Appendices

Appendix 1

The Office of Legacy Management Chronology of Activities 

for Preserving Yucca Mountain Project Records

Appendix 2

Yucca Mountain Project Electronic Databases 

and Retrieval Systems

Appendix 3

Standards and Procedures Used by the Office of Legacy 

Management to Preserve Yucca Mountain Project Records

Appendix 4

Tables of Retrieval Exercise Tasks

Appendix 5

Yucca Mountain Project Record Retrieval Demonstration

Appendix 6

Retrieval of Physical and E-mail Warehouse Records
18 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 1 

the office of legAcy mAnAgement chronology of

Activities for preserving yuccA mountAin project records

This appendix provides a chronology of activities undertaken by LM that are related to the 

preservation of YMP records. This chronology was provided to the Board by LM and is 

complete as of September 2012. The Board believes that the account provided here is generally accurate but has not verified these activities independently.

Date YMP Record Preservation Activity/Accomplishment

March 2010

LM is notified of the planned YMP transition. LM initiates transition-planning efforts. Personnel make initial LM visit to 

the YM Summerlin campus in Las Vegas, Nevada, to assess scope and logistics for records, IT, and property transfer 

activities.

April 2010 LM personnel review the RIS and LSNdc functionality during a visit to the Summerlin campus.

May 2010

LM personnel complete a detailed review of property at the Summerlin campus. Personnel identify property for transfer 

to the LMBC and to the LM Grand Junction, Colorado, office for beneficial reuse. Property also is identified for transfer 

to the DOE Hillshire facility for ongoing records transfer activities.

June 2010

The YM Records Management Transition Plan and the LSN Collection Transition Plan are approved. YMP records and 

processing equipment are transferred from the Summerlin campus Building 1 to the Hillshire facility for further 

processing and to the LMBC for ongoing storage.

July 2010

DOE OCRWM Freedom of Information Act responsibilities are officially transferred to LM. LM transfers electronic 

media from Building 1 to the LMBC to meet media dual-storage requirements. LM support personnel box the Technical 

Information Center library materials located in Building 1 of the Summerlin campus. The boxed materials are prepared 

for shipment to the LMBC for storage. OCRWM relocates YMP operational IT equipment from the Sahara commercial 

data center to the Hillshire facility ahead of turnover to LM.

Board staff visits the Hillshire facility to observe transition operations. The visit includes a facility tour, a demonstration 

of RIS search and retrieval capabilities, and a review of the derivative discovery and recycle material boxes stored on 

site.

September 2010

LM assumes ownership of some OCRWM information systems and discontinues external access to the RIS. However, 

some OCRWM information systems have proprietary software licenses that are retained by DOE-NE. The existing LM 

cyber security program plan is amended to allow a network “enclave” for YMP systems. The segregation of the LM 

network and the YMP legacy networks is initiated. LM initiates a validation exercise of the archive tapes received 

from OCRWM and produces a set of backup tapes in the LM standard format. An interim directive issued by the LM 

contractor program manager authorizes contractor personnel to follow YMP records processes used by OCRWM.

November 2010

LM arranges for approximately 760 cubic feet of YMP records to be transferred from the Riverside Federal Records 

Center to the LMBC. An additional 825 cubic feet of records is transferred to the Hillshire facility for processing before 

being forwarded on to the LMBC. LM establishes a secure terminal service connection to provide authorized 

personnel from the DOE Office of the General Counsel (OGC) with RIS access in the DOE Forrestal Building in 

Washington, DC. LM renews and extends YMP IT system support contracts through FY2011. IT personnel also install a 

storage array network at the LMBC to expand data storage capacity for YMP computer systems.

December 2010

LM purchases additional scanners to augment throughput for RIS backlog data entry at the Hillshire facility. Efforts are 

initiated at the Hillshire facility to process the backlog of records into the RIS. Personnel followed established YMP 

processes and ensured that processing quality control measures were followed.

January 2011

LM records personnel coordinate the transfer of four cubic feet of YMP records from the Suitland (Maryland) Federal 

Records Center to the LMBC. LM decides to develop an enhanced RIS system, YMRIS, as an interim system for 

maintaining the RIS records until they can be migrated to the LM electronic recordkeeping system (ERKS).

February 2011

Records personnel package YMP recycle material at the Hillshire facility for shipment to the LMBC. LM support 

contractor adds additional incumbent IT staff members to support YMP transition activities. LM initiates plans to vacate 

the Hillshire facility by the end of FY2011 as specified in the YMP Records Management Transition Plan. Options are 

considered for migrating legacy IT systems to LMBC computer systems.
Report to Congress and the Secretary of Energy 19

Appendix 1 Continued

Date YMP Record Preservation Activity/Accomplishment

March 2011

Records personnel complete efforts to process the backlog of YMP records into the RIS. More than 16,000 RIS 

documents are entered as part of this effort. LM initiates project to relocate YMP legacy infrastructure to the LMBC. 

LM initiates efforts to apply enhanced optical character recognition (OCR) to all RIS files.

April 2011 IT personnel complete a virus scan of the YMP E-mail Warehouse, identifying thousands of infected files to quarantine.

May 2011

Records personnel initiate transfer of five shipments of YMP records totaling approximately 5,400 cubic feet from the 

Recall commercial storage facility in Las Vegas to the LMBC. Indexing of USGS YMP records is completed and records 

are transferred to the LMBC for storage. LM agrees to maintain the YMRIS system in fully operational state with the 

remaining Priority-1 systems loaded on LM servers on warm standby. These systems are viewed as important to 

preserving the science of the YMP and supporting litigation. Efforts are initiated to reinstate and extend related 

software maintenance and support contracts for the systems.

July 2011

Records personnel initiate transfer of more than 750 cubic feet of record material at the Hillshire facility to the LMBC. 

The effort to apply OCR to all RIS files is completed. The floor plan and HVAC systems of the existing LMBC 

Consolidated Data Center (which houses computer systems) are upgraded to accommodate YMP IT infrastructure. 

Records staff completes effort to index more than 750 cubic feet of YMP correspondence files with aids for finding files 

loaded to the LM ERKS.

August 2011

Formal written notification is provided to the DOE Office of Chief Information Officer (OCIO) to recognize the official 

transfer of custodianship over YMP records to LM. Personnel complete the transfer of the consolidated YMP IT 

infrastructure from the Hillshire facility to the LMBC Consolidated Data Center. An additional backup server is installed 

at the LMBC to support YMP archive tape verification. LM provides the NRC with a PDF/A copy of DOE’s LSN 

collection of documents that were publicly available through the NRC portal.

September 2011

LM provides the Board with an update on past and current transition-related efforts, including the migration of both 

physical and electronic records. LM contractor personnel in Las Vegas relocate from the Hillshire facility to a smaller 

office at Town Center Drive. IT personnel ship five racks of IT equipment from the Hillshire facility to the LM Grand 

Junction office for preservation until revised OGC guidance is received. Personnel also recall all media from the Iron 

Mountain commercial storage facility to transfer to the LM Grand Junction office and LMBC.

October 2011

LM completes a project to migrate RIS data submittals from optical media (CD-ROMs and DVDs) to online storage. 

More than 20,000 datasets totaling 6 terabytes are migrated. Records personnel initiate efforts to identify permanent 

records in the RIS and to identify permanent and non-transitory records in the E-mail Warehouse.

November 2011

Thirty cabinets of Q software and related materials are transferred from the YMP Management and Operating 

Contractor to the LMBC. IT personnel complete an effort to convert all 1.8 million RIS documents to archival-quality 

PDF files using OCR.

January 2012 LM approves a plan for a technology refresh of the E-mail Warehouse infrastructure through FY2012.

March 2012 IT personnel complete the migration of the legacy YMP RISweb to the YMRIS system, including the optical media data.

May 2012 IT personnel initiate planning to fully archive the legacy RISweb.

June 2012

LM is notified of an additional volume of YMP records maintained in a Las Vegas commercial storage facility. Efforts 

are initiated to transfer this material to the LMBC. Records and IT personnel complete successful acceptance testing of 

the new YMRIS.

July 2012

Records personnel complete efforts to index Q software with aids for finding records uploaded to the LM ERKS. 

Twenty-four cubic feet of material previously stored at the Yucca Mountain work site are processed. The material is 

transferred to the LMBC for storage. IT personnel initiate an audit of the YMRIS collection, comparing it with the RIS 

archive media. LM vacates the Town Center Drive office ahead of lease termination.

September 2012

LM completes the identification of permanent records in YMRIS for transfer to NARA. LM staff identified approximately 

209,000 records grouped according to 12 categories with permanent disposition requirements. LM completes the 

identification of permanent records in the E-mail Warehouse for transfer to NARA. More than 9,000 records with 

permanent disposition requirements are identified. LM personnel also work to complete the identification of nontransitory records in the E-mail Warehouse.
20 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 2

yuccA mountAin project electronic dAtAbAses 

And retrievAl systems

The YMP generated and managed a diverse set of records. Those that are archived and 

preserved by LM fall into three categories. (Geologic samples and experimental specimens 

comprise a fourth category, however these are the responsibility of NE.) The three categories of LM records are as follows:

1. Electronic databases and retrieval systems that were organized, controlled, preserved, 

and, prior to the cessation of OCRWM’s activities, provided access to information by 

YMP participants; 

2. Analytical software (including both software developed in-house and commercial 

software), manipulated data and performed analysis, and modeling work. Some of the 

software was formally qualified as part of the YMP quality assurance program.

3. Physical objects, such as maps, photographs, and videos. These objects were retrieved 

from the Records Processing Center (RPC) and were placed in boxes, inventoried, and 

shipped to the LMBC.

This Appendix describes the first category of LM records. 

As YMP activity began to cease in the spring and summer of 2010, OCRWM personnel 

identified 17 “Priority-1” databases and systems. LM agreed to keep those databases and 

systems readily accessible so that DOE personnel could retrieve information for ongoing 

activities, such as YMP close-outs, litigation support, and reporting. Each of the 17 

Priority-1 electronic records is described below.

1. Records Information System – an electronic database providing on-line retrieval of 

YMP technical data and federal inclusionary records created over the history of the 

OCRWM program.

2. Email Warehouse - the electronic repository of all YMP Lotus Notes email messages 

and their attachments sent by project workers.

3. Technical Data Management System – the system of databases containing the technical 

data generated and used by the YMP, as well as the following database indices:

a. Automated Technical Data Tracking – a database that indexes key information 

about YMP data such as the qualification status, supersession information, and 

links to actual datasets in other Technical Data Management System databases.

b. Yucca Mountain Project Geographic Information – a database that contains spatial 

data sets managed as part of a Geographic Information System that tied YMP data 

to spatial coordinates including environmental, geological, hydrological, meteorological, natural resource, transportation, and other data.

c. Yucca Mountain Project Model Warehouse - an online archive of software-generated data (input and output files) and supporting information.

d. Site and Engineering Properties - database that controlled and managed the storage and reporting of scientific and engineering YMP data.
Report to Congress and the Secretary of Energy 21

Appendix 2 Continued

e. Technical Data Parameter Dictionary - organized listing of technical data parameter names approved for YMP use that defined the parameter category, specific 

technical parameter name, and provided other descriptive information.

f. Reference Information Base – a dictionary of data parameter terms, such as rock 

properties, that provided a categorized summary of YMP technical project data. 

The dictionary could be searched by type or parameter name. The Reference 

Information Base was intended to be the single-source reference for locating project consensus or “best” data of a particular type.

4. Requirements Traceability Network – an information system that was used to document the flow of requirements down from high-level documents (e.g., laws, policies, 

directives) to implementing documents.

5. Technical Library – a library database of all submitted hard copies of purchased 

document “references,” including books, journal articles, and any other copyrighted 

references.

6. Document Input Reference System – an administrative tool used to verify that document references are available in the RIS, the Technical Library, or the Technical 

Data Management System. The database contains no documents; each reference 

entry includes a unique number and contextual citation information, such as a short 

description and the location of quoted/referenced text in the referenced document.

7. Controlled Document Information System – a database designed to control the distribution of documents and approved changes to documents. The Controlled Document 

Information System also retains a master copy of all approved YMP documents in 

their electronic native form.

8. Corrective Action System – a database created to track the status and resolution of all 

issues or conditions identified and reported by YMP personnel including technical 

error reports, nonconformance conditions, deficiency reports, employee concerns, and 

root cause corrective action reports.

9. CM Synergy SCM repositories that have been exported to a Windows file share – the 

Software Configuration Management system is a control database for YMP software. 

It is managed by the M&O contractor and lists qualified OCRWM software by name, 

version, software tracking number, and associated computer hardware and operating 

system requirements.

10. Curatorial Sample Inventory and Tracking System – a database that includes descriptions and a custodial record history of all core, rock samples, and other geologic materials kept at the SMF. 

11. Curatorial Sample Inventory and Tracking System Web Interface – an on-line web version for the Curatorial Sample Inventory and Tracking System
22 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 2 Continued

12. License Applications Contentions – a database that contains issues of law or fact that 

allege the license application or Yucca Mountain Environmental Impact Statement (as 

adopted by NRC) does not meet statutory or regulatory requirements, and, in the case 

of the license application, address the point that “nonconformance would be contrary 

to providing reasonable assurance of adequate protection of the public health and 

safety.”

13. License Applications Completions / Request for Additional Information Response 

System – a database that includes submissions to NRC regarding a license application 

to construct and operate a geologic repository at Yucca Mountain as well as specific 

NRC requests for additional information that were sent to DOE together with DOE’s 

responses to those requests.

14. Lessons Learned / Operating Experiences – a database of lessons learned submitted 

by YMP employees for the purpose of improving safety and quality, and sharing best 

practices—both internal best practices and best practices incorporated from external 

sources, such as DOE’s Lessons Learned Database, the Institute of Nuclear Power 

Operations, and NRC.

15. Lotus Notes Applications and Databases – an independent Management and Operating 

Contractor database that collects and controls all engineering work products, including information on collaboration, version control, and reviewer comment resolution.

16. SOFTLIB File Share – a file share that consists of the Group Drive File Share and the 

Home Drives File Share, both of which are non-record Windows file systems used by 

various YMP groups that contain unstructured, unauthenticated data.

17. Training Server – a database of YMP employees that lists both training requirements 

and details about training course completion.
Report to Congress and the Secretary of Energy 23

Appendix 3 

stAndArds And procedures used by the office of legAcy

mAnAgement to preserve yuccA mountAin project records

The information in this appendix was provided by LM. The Board has not verified the correctness of this information.

Standards and Procedures—Consistent with LM’s responsibility to preserve, protect, and 

share records and information, the work of the LM records management program is governed by the following NARA requirements, DOE directives, and LM procedures:

•	 United States Code (U.S.C.) 552, Freedom of Information Act

•	 5 U.S.C. 552a, Privacy Act

•	 44 U.S.C. Chapter 29-31, Records Management

•	 44 U.S.C. Chapters 36, E-Government Act of 2002

•	 10 Code of Federal Regulations (CFR) 1004, Freedom of Information, DOE Guidance

•	 10 CFR 1008, Records Maintained on Individuals (Privacy Act), DOE Guidance

•	 36 CFR Chapter XII – Subchapter B, Records Management

•	 41 CFR 201-6, Management and Use of Information and Records

•	 DOE Order 206.1, Department of Energy Privacy Act Program

•	 DOE Order 243.1, Records Management Program

•	 DOE Order 243.2, Vital Records

•	 DOE Order 471.6, Information Security

•	 LM Policy 200.1-2, Electronic Mail Records

•	 LM Policy 243.1, Records Access and Retrieval Policy

•	 LM Policy 243.2, Capturing Yucca Mountain Project Site Records Information System 

and Licensing Support Network Relevant Records

•	 LM Procedure 200.1, Vital Records

•	 LM Procedure 200.1-1, File Plan

•	 LM Procedure 200.1-3, Processing Litigation Requests

•	 LM Procedure 200.1-5, Records Disaster Prevention, Mitigation, and Recovery

•	 LM Procedure 200.1-6, Comprehensive Environmental Response, Compensation, and 

Liability Act Administrative Record Processing

•	 LM Procedure 200.2, Electronic Records

•	 LM Procedure 200.2-1, Electronic Recordkeeping Systems and Electronic Information 

Systems

•	 LM Procedure 200.2-2, Processing Internal Inactive Records for Storage
24 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 3 Continued

•	 LM Procedure 200.3, Classified, Sensitive, and Proprietary Document Handling

•	 LM Procedure 200.4, Records Management

•	 LM Procedure 200.4-1, Records Management Self Assessment

•	 LM Procedure 200.4-2, Donation of Temporary Federal Records and Nonrecords

•	 LM Procedure 243.1, Records Inventory

•	 LM Procedure 243.2, Preservation of Web Site-Related Records

•	 LM Procedure 243.3, Digitizing Records

•	 LM Procedure 243.4, LM Business Center Records Operations

•	 LM Procedure 243.5, Processing Requests for Yucca Mountain Project Site 

Information

•	 LM Procedure 341.1, Energy Employees Occupational Illness Compensation Act 

Processing

•	 LM Procedure 513.1, Freedom of Information Act and Privacy Act Records

•	 LM Procedure 1350.1, Audiovisual Records

•	 LMS Procedure, LMS/YMP/S08591-0.0, Yucca Mountain Records Management 

(adopted Yucca Mountain procedures AP-SEC-001, Identification, Protection, 

Distribution, and Use of Sensitive Unclassified and Classified Information; 

RM-PRO-6001, Managing Licensing Support Network Relevant Records; 

Memorandum: Compliance with U.S. Nuclear Regulatory (NRC) Regulatory Issue 

Summary (RIS) 2000-18, October 23, 2009; RM-PRO-1002, Processing Records; 

DOE/RW-0333P, Revision 21, Section 17 – Quality Assurance Requirements and 

Description, and AP-17.1Q, Records Management)

LMBC Certification—The LMBC was approved for use as an agency federal records storage facility by NARA in December 2009. New facility certification is governed by compliance with standards in 36 Code of Federal Regulations (CFR) 1234 - Facility Standards for 

Records (previously known as 36 CFR 1228, Subpart K). The CFR specifies the minimum 

structural, environmental, property, and life-safety standards that a records storage facility 

must meet when the facility is used for the storage of federal records.

Rationale for Scheduling YMP Records—A records disposition schedule is a document 

that provides mandatory instructions for what to do with records (and non-record materials) that are no longer needed for current government business; it also provides authority 

for the final disposition of recurring or nonrecurring records. All DOE records are scheduled for disposition using NARA approved DOE disposition schedules; requirements are 

codified in 36 CFR Chapter XII – Subchapter B, Part 1225 – Scheduling Records. OCRWM 

records were scheduled using the existing Yucca Mountain File Plan (a file plan is a comprehensive outline—specific to a project, organization, or function—that defines the project’s or organization’s records series, file organization, records custodians, active file 

locations, file transfer instructions, file retention and disposition instructions, and other 
Report to Congress and the Secretary of Energy 25

Appendix 3 Continued

project- or organization-specific instructions intended to provide guidance for effective 

records management). LM records management personnel cross-walked the Yucca 

Mountain File Plan to current DOE approved schedules. In instances where there was not 

an approved existing DOE disposition schedule, LM prepared an SF-115, Request for 

Records Disposition Authority, and submitted it to NARA for approval (e.g., SF-115s were 

prepared for the LSN and LSN supporting documents). 

DOE Philosophy of Record Disposition Determination—The following guidance comes 

from the DOE Research and Development Records Schedule N1-434-96-9 and 

N1-434-07-01:

All R&D records must be evaluated and assigned one of the following three levels, unless 

otherwise indicated in the schedule. Records retired under this schedule will not be 

accepted by a Federal records center without an appropriate disposition level designation. 

The three levels and their associated dispositions are: 

Level I: Projects that received national or international awards of distinction; active 

participation of nationally or internationally prominent investigators; research, which 

resulted in a significant improvement in public health, safety, or other vital national 

interests; scientific endeavors that were the subject of widespread national or international media attention and/or extensive congressional, DOE or other Government 

agency investigation; show the development of new and nationally or internationally 

significant techniques which are critical for future scientific endeavors or made a significant impact on the development of national or international scientific, political, 

economic, or social priorities. 

Level I Disposition Instructions: Permanent. Cutoff after project/program completion, 

cancellation or termination or in 5 year blocks. Retire to a Federal Records Center 

(FRC) within 2 years after termination of project/program. Transfer to the National 

Archives and Records Administration (NARA) 30 years after termination of project/

program. (N1-434-96-9) 

Level II: Research that leads to the development of a “first-of-its-kind” process or 

product, improved an existing process, product or application, or has implications for 

future research. 

Level II Disposition Instructions: Cutoff files after project/program completion, cancellation or termination, or in 5 year blocks. Retire to the FRC within 2 years after termination of project/program. Destroy 25 years after termination of the project/

program. (N1-434-96-9) 

Level III: Research projects/programs that do not fall into Level I or II.

Level III Disposition Instructions: Cutoff files after project/program completion, cancellation or termination, or in 5 year blocks. Retire to the FRC within 2 years after termination of project/program. Destroy 10 years after termination of project/program. 

(N1-434-96-9) 
26 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 3 Continued

Description of How the Public Can Request YMP Records—The public may request 

access to YMP records through the Freedom of Information Act and Privacy Act.

The Freedom of Information Act, which is found in 5 U.S.C. 552, is a law that gives a person the right to obtain federal agency records unless the records (or parts of the records) 

are protected from disclosure by any of the nine exemptions contained in the law. A 

Freedom of Information Act request can be submitted in writing to: FOIA Officer, United 

States Department of Energy, 1000 Independence Avenue, SW, Washington, DC 20585, 

Phone (202) 586-5955. A request can also be filed electronically at: 

http://energy.gov/doe-headquarters-foia-request-form.

The Privacy Act (5 U.S.C. 552a) provides safeguards against unwarranted invasions of privacy through the misuse of records by federal agencies by restricting disclosure of personally identifiable records maintained by agencies; granting individuals increased rights of 

access to records maintained about them; granting individuals the right to seek amendment of records maintained about them upon a showing that the records are not accurate, 

relevant, timely or complete; and establishing a code of “fair information practices” that 

requires agencies to comply with statutory norms for record collection, maintenance, use, 

and dissemination. Information requested from DOE under the Privacy Act must be in 

writing, and sent to the same address as FOIA requests (above).
Report to Congress and the Secretary of Energy 27

Appendix 4

tAbles of retrievAl exercise tAsks

This appendix lists all of the retrieval tasks formally provided to LM for purposes of this 

review. For retrieval tasks that were identified prior to the visit by Board staff, LM staff organized and attempted to perform all the searches ahead of time, except for E-mail Warehouse 

searches; these records were placed on a hard drive. In a review of these tasks by Board staff, 

only three tasks (2h, 9g, and 9j) resulted in failure to initially pull up the target records. In the 

tasks presented upon the Board staff’s visit, LM staff only failed once (on task 3l) to retrieve the 

target record. With help from Board staff, however, the targeted record in each of these cases 

was eventually found and successfully retrieved. For retrieval tasks in which some document 

ID information had not been provided to LM staff prior to the visit, LM had no difficulties 

finding and retrieving requested records from the information provided. 

As noted previously, two retrieval attempts related to YMP QA software were unsuccessful. For task 2e, the physical NUFT software was missing (the labeled folder was empty). 

Task 6m was to retrieve, install, and test the installation of UDEC 3.1 software. The identified UDEC software CDs were successfully retrieved, but the necessary hardware (computer CPU and security dongle) and operating system were not available to install and test 

the software. LM staff had indicated prior to the Board staff’s visit that LM staff could not 

activate software. Since many YMP software packages require both legacy hardware and 

software to run, the Board’s assumption is that installing and running this software may 

be possible, but would require significant resources.

During the visit, Board staff requested a walk-through demonstration to document how 

YMP electronic and physical documents are retrieved. Task 2a (“Multiscale 

Thermohydrologic Model,” ANL-EBS-MD-000049 REV 03 ADD 02, DOC.20080201.0003) 

was chosen for this purpose. 

Due to the time required, it was not practical to conduct e-mail searches of the YMP 

E-mail Warehouse during the Board staff’s visit. Tasks 3m and 3n were not completed: in 

both cases, the desired e-mail was not found in the RIS. However, it is likely that LM staff 

could locate the requested e-mails and their attachments could be located in the E-mail 

Warehouse. The Board staff has verified that the E-mail Warehouse exists; moreover, LM 

staff has demonstrated a satisfactory ability to search and retrieve e-mail from it. 
28 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

tAbles of retrievAl exercise tAsk

Table 1. Task 1 Records and Tasks

A key portion of the YMP license application (LA) concerns the results of efforts to model the behavior of the entire repository system after 

closure using the “total system performance assessment” (TSPA) model. The LA Safety Analysis Report is the first item to be spot-checked 

and appears on line 1a in the table below. In particular, the TSPA model predicts the expected radionuclide dose to the reasonably 

maximally exposed individual over a long time scale from packages of nuclear waste stored in the repository (the TSPA report is 1b). 

The LA describes the Engineered Barrier System (EBS) as one of three containment barriers important to waste isolation. The waste 

isolation capability of the EBS depends on EBS components not being breached for thousands of years. Describing those repository 

features (e.g., geologic rock types, waste package materials), events (e.g., volcanic activity, human intrusion), and processes (e.g., 

corrosion of metal waste packages, sorption of radionuclides on rock surfaces), that are significant and should be included in the TSPA is 

the subject of the features, events, and processes (FEPs) report in 1c. For example, the rock emplacement drift (tunnel) is identified as an 

EBS feature important to waste isolation, as is the drip shield placed to protect the waste packages. An example of a disruptive event 

considered important is seismic ground (earthquake) motion that damages the rock emplacement drift and results in damage to the metal 

drip shield. The FEPs report was prepared in accordance with the approved procedure, Scientific Analyses and Calculations (1d).

The TSPA systematically analyzes credible future scenarios to predict what can happen, how likely is it to happen, and what the resulting 

consequences would be. A scenario is a well-defined sequence of events and processes designed to represent one possible future condition

of the repository system. The LA explains how TSPA calculations are developed for four important classes of scenarios. For example, one of 

the scenario classes focuses on seismic events: it is designed to account for all possible futures in which seismic events occur. Physical 

processes and their consequences are organized into a number of “model abstractions” that are used to develop the inputs that feed the 

TSPA model. For example, the Seismic Consequence Abstraction model (1e) examines the nature and probability of site seismic activity 

and the possible consequences of seismic activity on repository features. Another example of an abstraction is the In-Package Chemistry 

Abstraction, which focuses on the impact of in-drift waster and gas chemistry on waste form and package degradation (1f).

Task 

ID# YMP Record I.D. No. Identifying Information Record Type Search Locations

1a DOE/RW-0573 REV 0 Yucca Mountain Repository License Application: 

Safety Analysis Report, June 2008

document, 

analysis report

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

1b

MDL-WIS-PA-000005 REV 00 ADD 01

DOC.20080312.0001

Total System Performance Assessment Model/

Analysis for the License Application

(final and complete LA version with all addendums)

document, 

technical 

report

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

1c

ANL-WIS-MD-000027 REV 00

DOC.20080307.0003

Features, Events, and Processes for the Total System 

Performance Assessment: Analyses

(final and complete LA version with all addendums)

document, 

analysis report

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

1d

SCI-PRO-005, Rev. 9, ICN 0

DOC.20080221.0004

Scientific Analyses and Calculations

QA procedure for preparing technical documents

document, 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

1e

MDL-WIS-PA-000003 REV 03

DOC.20070928.0011

Seismic Consequence Abstraction

(final and complete LA version with all addendums)

document, 

abstraction

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

1f ANL-EBS-MD-000037 REV 04 

In-Package Chemistry Abstraction

(final and complete LA version with all addendums)

document, 

abstraction

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.
Report to Congress and the Secretary of Energy 29

Table 2. Task 2 Records and Tasks

The TSPA and model abstractions are built from a number of technical basis documents that address specific processes acting on 

repository features or scenarios. These documents include science analysis/modeling reports (AMRs) and engineering calculations. 

Abstractions consist of statistical or mathematical generalizations from more detailed AMR models of physical and chemical processes. 

One example of an AMR is the Multiscale Thermohydrologic Model (2a), which predicts the temperature, gas-and-liquid fluxes, and 

relative humidity conditions in the repository drifts and near-field host rock. Modeling reports describe the simulation model of interest 

with its inputs, outputs, and appropriate use. For example, outputs from the Multiscale Thermohydrologic Model include predictions of 

waste package, drip shield, and drift wall temperatures over time and rock dryout of the drifts during active ventilation. 

Documents, data, and software are maintained in separate, controlled databases, each of which is checked below. Records 2b through 

2g are all associated with the Multiscale Thermohydrologic Model AMR in 2a. Record 2b is a previous version, revision 02 of the report 

(historical). The records package (2c) is the complete submission of the final AMR (2a) to the records center including checker and review 

copies of the AMR, QA software programs used to run model calculations (2d, 2e), source (input) data fed to the software programs (2f), 

and output data produced by the software program (2g). This AMR provides direct inputs to the TSPA model and LA. The Software 

Baseline Report (2h) is a list of all the QA software that is approved (like NUFT, 2d) for use with YMP modeling reports and calculations.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

2a

ANL-EBS-MD-000049 REV 03 ADD 02

DOC.20080201.0003

Multiscale Thermohydrologic Model

(final and complete LA version with all addendums)

(July 2005 version)

document, 

AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS. As a demonstration, the physical report documents were also 

retrieved.

2b

ANL-EBS-MD-000049 REV 02

DOC.20041014.0008

Multiscale Thermohydrologic Model document, 

AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

2c

Records package associated with 1a electronic RIS

Spot-check results: Record 1a (License Application was not submitted as a records package). Typo, 2a intended. Record 

package retrieved in person (DBR).

2d

NUFT v3.0s, STN: 10088-3.0s-02

Nonisothermal Unsaturated-saturated Flow and 

Transport model (NUFT) 

(for solving subsurface contaminant-transport 

problems)

QA software

RIS 

SCM

Spot-check results: Documentation on NUFT retrieved from RIS. No SCM system for lead laboratory QA software was 

transferred to LM.

2e

NUFT v3.0s, STN: 10088-3.0s-02 NUFT Software CDs QA software, 

CDs

Software 

Library

Spot-check results: In the SNL QA FireKing cabinets, file folders for NUFT v3.0s were found, but they were empty (CDs not 

transferred to LM). NUFT v2.0 CDs were found in the FireKing cabinets.

2f DTN: LB03023DKMGRID.001

UZ 3-D Site Scale Model Grids, 02/26/2003

(3D mesh element/connection data: Grid_LA_3D.

mesh)

(3D mesh vertices data: grid2002.grd) 

data, source 

electronic files 

for NUFT 

v3.0s

RIS TDMS

Spot-check results: Documentation on DTN CDs retrieved from RIS. Data retrieved from TDMS.

2g

DTN: LL030602723122.027 Multiscale Thermohydrologic Model Output to 

TSPA and WAGDEG for Upper Infiltration Case

data, output 

electronic file, 

NUFT v3.0s

RIS TDMS

Spot-check results: Documentation on DTN files retrieved from RIS. Data retrieved from TDMS.

2h

LLR.20090309.0161 Software Baseline Report

(final LA version with all addendums) document

RIS

CDIS

Spot-check results: Initially not found, but located with help from Bruce Kirstein (BEK) in RIS and CDIS.
30 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 3. Task 3 Records and Tasks 

One process that could affect repository performance is the production of heat from the decay of radionuclides contained in waste 

packages. In the Yucca Mountain LA, the assumption is that some of this heat will be actively removed from the repository using forced 

ventilation of the emplacement drifts prior to closure. However, air and drift rock within the repository would continue to heat up after the 

repository is closed and forced ventilation ends. The Ventilation Model and Analysis Report is the AMR that models and calculates the 

transfer in and around a ventilated emplacement drift. For the period before repository closure, this AMR determines temperature 

conditions in the drift host rock. 

Records 3b and 3c are associated with the Ventilation Model and Analysis Report AMR in 3a. The analytic model used in this AMR is 

implemented in an Excel spreadsheet (3b). One example of important input data used in this AMR (and all TSPA products) is the 

Information Exchange Drawing (IED) data produced by YMP engineers (3c). An IED was used to document and control the identification 

and to exchange information across the organizational boundary between the engineering contractor responsible for YMP pre-closure 

functions and the scientific groups responsible for post-closure and scientific investigation functions. The AMR in 3a provides inputs to the 

Multiscale Thermohydrologic Model and Drift Degradation Analysis AMRs.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

3a

ANL-EBS-MD-000030 REV 04

Ventilation Model and Analysis Report

(October 2004)

(final and complete LA version with all addendums)

document, AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

3b

DTN: MO0307MWDAC8MV.000

Analytical-LA-Coarse Ventilation Model

an implementation of the ventilation conceptual model

(find the DTN preserving this model and data)

model and data, 

Excel 

spreadsheet

RIS TDMS

Spot-check results: Documentation on DTN files retrieved from RIS. Data retrieved from TDMS.

3c

800 IED-WIS0-00203-000-00B

ENG.20040202.0011

D&E / PA/C IED Typical Waste Package Components 

Assembly

waste package heat decay data for an entire drift

(find reference in ANL-EBS-MD-000030 REV 04) 

IED document

data, input to 3a 

model

RIS

Spot-check results: Retrieved from RIS.

The above IED of waste package decay heat data is produced by an engineering calculation (3d). This engineering calculation is the 

source of all assembly decay-heat information used to derive waste-package decay heats. The associated records package (3e) includes 

information about the three CDs referenced in and submitted with this report (3f). Apparently, these data were not submitted to the TDMS 

so there is no DTN record for the data, which means the CDs, part of calculation 3d, are the sole source of the data. Record 3g is the 

engineering calculation that represents different YMP source term data, 3h is the records package submitted with this report, and 3i 

consists of electronic data submitted on a CD in support of the report in 3g. 

3d

CAL-MGR-MD-000001 REV 00

Waste Packages and Source Terms for the Commercial 

1999 Design Basis Waste Streams

(source of all the assembly decay-heat information used to 

derive waste-package decay heats)

document,

calculation

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

3e

Records package associated with 

CAL-MGR-MD-000001 REV 00 document RIS

Spot-check results: Retrieved from RIS.

3f

The 3 data CDs associated with calculation 

CAL-MGR-MD-000001 REV 00 (3f) data on CDs boxes

Spot-check results: CDs were migrated to online system – content retrieved.

3g

000-00C-MGR0-03500-000-00B

ENG.20080130.0002

Source Terms for HLW Glass Canisters

January 2008

document, 

engineering 

design

RIS

Spot-check results: Retrieved from RIS.
Report to Congress and the Secretary of Energy 31

tAble 3 Continued

3h

Records package associated with 

000-00C-MGR0-03500-000-00B document RIS

Spot-check results: Retrieved from RIS.

3i

Electronic files on CD, see Attachment A

000-00C-MGR0-03500-000-00B data boxes

Spot-check results: CDs were migrated to online system – content retrieved

Records 3j through 3n test general search and retrieval functionality of the e-mail database and the RIS.

3j

Search in Fields: From: or To: “” [not restricted]

Dates: “1 Apr 2003” to “31 Dec 2003”

Subject keywords: “MSTHM” OR “gas” OR “pressure” OR 

“MDL-NBS-HS-000007” OR “Mountain-Scale”

(total number and listing of hits)

documents and 

correspondence

RIS, e-mail 

database

Spot-check results: Listing of 7487 hits found in RIS. E-mail Warehouse impractical to search.

3k

Search in Fields: From: or To: “Kirstein”

Dates: “1 Apr 2003” to “31 Dec 2003”

Subject keywords: “MSTHM” OR “gas” OR “pressure” OR 

“MDL-NBS-HS-000007” OR “Mountain-Scale”

(total number and listing of hits)

documents and 

correspondence

RIS, e-mail 

database 

Spot-check results: Listing of 41 hits found in RIS. E-mail Warehouse impractical to search.

3l

Search in Fields: From: “Kirstein” To: “Schreiner”

Date: “1 May 2003”

Subject keywords: “MSTHM” OR “CSO”

(retrieve associated e-mail and attachments)

documents and 

correspondence 

with attachments

RIS, e-mail 

database 

Spot-check results: No hits initially in RIS. E-mail Warehouse impractical to search. E-mail located in RIS with help of BEK.

3m

Search in Fields: From: “Buscheck” To: “Andrews”

Date: “13 June 2003”

Subject keywords: “gas pressures”

(retrieve associated e-mail and attachments)

documents and 

correspondence 

with attachments

RIS, e-mail 

database 

Spot-check results: No hits in RIS. E-mail Warehouse impractical to search. Not found, likely to exist in the E-mail Warehouse.

3n

Search in Fields: From: “Howard” To: “Williams”

Date: “25 June 2003”

Subject keywords: “Path Forward on Model Validation”

(retrieve associated e-mail and attachments)

documents and 

correspondence 

with attachments

RIS, e-mail 

database 

Spot-check results: No hits in RIS. E-mail Warehouse impractical to search. Not found, likely to exist in the E-mail Warehouse.
32 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 4. Task 4 Records and Tasks

A number of calculations, modeling efforts, and reports were produced by the YMP that are now historical information. These are records 

that once contained key information on the YMP, but the approaches or data used to generate the information were subsequently 

replaced or superseded. An example of an important historical document is the Total System Performance Assessment – Viability 

Assessment (TSPA-VA). Volume 3 of the five-volume TSPA-VA report included a description of the TSPA (item 4a in the table below). The 

technical basis document for the TSPA-VA is item 4b. 

An independent review of the TSPA-VA was commissioned by Clark County, Nevada, and was carried out by S. Cohen & Associates; 

item 4c is their report. The DOE also requested an independent review, which was conducted by a peer review panel of experts who 

produced a final report. The response of the Management and Operations Contractor to the peer review comments comprises the 

response report (4d). The Board reviewed DOE technical activities related to developing the TSPA-VA and some of the expert review 

comments were referenced in the TSPA-VA (4f). Some externally published references are a record in the RIS. 

An example of historical data that supported the TSPA-VA is the host rock thermal conductivity data (4f). These data were submitted as a 

DTN; a question of interest now is whether the DTN can be retrieved in the RIS or TDMS. Related to the 4f data is a YMP memorandum 

regarding the data (4g). A historical AMR that supported the TSPA-VA was the Mountain-Scale Coupled-Processes (TH/THC/THM) 

Models report (4h).

Task 

ID# Record YMP I.D. No. Identifying Information Record Type

Search 

Locations

4a DOE/RW-0508

Viability Assessment of a Repository at Yucca Mountain, 

Volume 3, Total System Performance Assessment, 

December 1998, DOE

document, 

analysis 

report

RIS

Spot-check results: Retrieved from RIS.

4b

B00000000-01717-4301-00001 Rev 01

Total System Performance Assessment-Viability Assessment 

(TSPA-VA) Analyses Technical Basis Document

CRWMS M&O Contractor, dated 11/13/1998

document, 

analysis 

report

RIS

Spot-check results: Retrieved from RIS.

4c

Review of Total System Performance Assessment in the 

U.S. Department of Energy Viability Assessment for the 

Yucca Mountain Site

Clark County, Nevada, May 28, 1999

document, 

technical 

review

RIS

Spot-check results: Retrieved from RIS.

4d

Comment Response on the Final Report: Peer Review of 

the Total System Performance Assessment-Viability 

Assessment (TSPA-VA), DOE TSPA-VA Peer Review Panel

report author: Martha W. Pendleton 

August 5, 1999

document, 

response 

to review

RIS

Spot-check results: Retrieved from RIS.

4e

MOL.20030501.0066

or HQO.19970505.0022

Report to the U.S. Congress and The U.S. Secretary of 

Energy, January to December 1996, 1997

Nuclear Waste Technical Review Board (NWTRB)

external 

document 

reference

RIS

Spot-check results: Retrieved from RIS.

4f

DTN: SNT-05071897001.002 System Performance Assessment Data: Base Case Thermal 

Property Data for TSPA-VA data RIS TDMS

Spot-check results: Data and documentation retrieved from RIS. Data retrieved from TDMS.

4g

MOL.19980518.0229

Nicholas D. Francis (memo) to Distribution, April 16, 1997, 

“The base-case thermal properties for TSPA-VA modeling,” 

Sandia National Laboratories, 19 pages. 

document, 

e-mail 

memo

RIS 

Spot-check results: Retrieved from RIS.

4h

MDL-NBS-HC-000007

REV01C

Mountain-Scale Coupled-Processes (TH/THC/THM) 

Models

November 2003

document, 

Technical 

Model 

Report

RIS or

paper copy

Spot-check results: Retrieved from RIS.
Report to Congress and the Secretary of Energy 33

Table 5. Task 5 Records and Tasks

A second example of a TSPA model abstraction is the Abstraction of Drift Seepage, item 5a, which predicts groundwater flow into the 

emplacement drifts. Part of the basis for this abstraction is the AMR Seepage Model for PA Including Drift Collapse (5b). Both 5a and 5b 

are referenced in the LA-SAR. The 5b analysis requires input data concerning the amounts of groundwater seepage estimated to arrive at 

the drift. Groundwater seepage, in turn, is determined using future climate analysis (5c), water infiltration model simulations (5d), and 

groundwater flow in the unsaturated zone (UZ, 5e). 

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

MDL-NBS-HS-000019 REV 01 Abstraction of Drift Seepage document, RIS 

5a DOC.20041103.0003 Nov. 2004 version and complete final LA version abstraction CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

5b

MDL-NBS-HS-000002 REV 03

DOC.20040922.0008

Seepage Model for PA Including Drift Collapse

(final LA version with all addendums)

document, AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

5c

ANL-NBS-GS-000008 REV 01

DOC.20040908.0005

Future Climate Analysis document RIS

Spot-check results: Retrieved from RIS.

5d

MDL-NBS-HS-000023 REV 01 ADD 01

DOC.20080201.0002

Simulation of Net Infiltration for Present-Day and 

Potential Future Climates document, AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

5e

DOC.20080108.0003 

DOC.20080114.0001

UZ Flow Models and Submodels

MDL-NBS-HS-000006 REV 03 ADD 01

document, AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.
34 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 6. Task 6 Records and Tasks

Scientific models are used to predict when EBS components may be breached. One of the important components is the drip shield that 

protects waste packages in the drift. An earthquake is a natural event that could significantly affect the drip shield and packages. For 

example, an earthquake could cause rocks in the roof of the drift emplacement tunnel to dislodge and damage the drip shield. The AMR 

that addresses this possibility is the Drift Degradation Analysis (6a), which documents efforts to model and analyze the behavior of the 

rock mass that surrounds the emplacement drifts over time. The AMR includes data on rockfall and change in drift tunnel geometry. The 

predictions made in AMR 6a are used in documents 5a and 5b. 

Records 6b through 6k are all associated with the Drift Degradation Analysis (6a). Records 6b and 6c include two types of input data 

used in 6a. 6b consists of data from an engineering calculation and 6c contains USGS data. In addition, a condition report (CR) was 

issued related to a possible problem with the data in 6a; this report was labeled CR 5281. 6d discusses the final resolution of CR 5281 

and 6e consists of the CR documentation as entered into the YMP Corrective Actions Program (CAP) system electronic database. Record 

6f is a key engineering report, referenced in 6a, that provides data and describes the technical basis for the modeling approach used in 

the AMR. Record 6g provides an example of data produced from 6a. Record 6h consists of a sample e-mail, with attachment, that 

provides direct input data to 6a.

Records 6i to 6m relate to a qualified software program, UDEC 3.1, that was used extensively in 6a. Record 6i is the RIS entry for the 

software qualification package, 6j consists of supporting reports for qualifying the software, and 6k is the software procedure used to QA 

the drift degradation analysis. Record 6l gives the location of this software in the SCM library. Record 6m describes the task of activating 

this QA software and verifying that it has been installed correctly (according to relevant report documentation).

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search 

Locations

6a

ANL-EBS-MD-000027 REV 03

DOC.20040915.0010

Drift Degradation Analysis

(final and complete LA version with all addendums) document, AMR

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

6b

DTN: MO0311RCKPRPCS.003 Values of rock mass strength, see Appendix A, calculation 

file, rock mass strength v2.xls, worksheet “Intact Strength” data, input RIS TDMS

Spot-check results: Documentation on data files retrieved from RIS. Data retrieved from TDMS (has different file name).

6c

DTN: GS021008314224.002 Lithophysal abundance, data from Tptpll unit in ECRB 

(ANL-EBS-MD-000027 REV 03, see Appendix O) USGS data, input RIS TDMS

Spot-check results: Data and documentation retrieved from RIS. Data retrieved from TDMS.

6d

MOL.20050711.0025

Resolution of CR 5281

“CR Record Report for Traceability to Lithostratigraphic Unit 

for Laboratory Samples”

resolution of 

Condition Report (CR) RIS 

Spot-check results: Retrieved from RIS.

6e

CR 5281

Retrieve CR 5281

“CR Record Report for Traceability to Lithostratigraphic Unit 

for Laboratory Samples”

(from Corrective Action System, CAP) 

Condition Report (CR) CAP

Spot-check results: Retrieved from CAP system.

6f

800-K0C-SS00-00200-000-

00A

ENG.20041111.0001

Lithophysal Rock Mass Mechanical Properties of the 

Repository Host Horizon

November 2004

document, 

engineering report 

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

6g

DTN: 

MO0407MWDDSLCR.000

Drip Shield Load in Collapsed Lithophysal Rock, 

07/21/2004

data, output from 

AMR RIS TDMS

Spot-check results: Documentation on DTN files retrieved from RIS. Data retrieved from TDMS.
Report to Congress and the Secretary of Energy 35

tAble 6 Continued

E-mail from D. Buesch to D. Kicker and D. Rigby, March 10, 

2003, with attachment

6h

MOL.20030314.0188 “Hydrogeologic Properties of Features in Crystallized 

Topopah Spring Tuff.”

correspondence 

w/enclosure RIS 

(direct input ANL-EBS-MD-000027 REV 03)

Spot-check results: Retrieved from RIS.

Software Qualification Package for UDEC v3.1 

6i

MOL.20021105.0241 STN: 10173-3.1-00, sub-release 3.10.109 

and list of supplements to records package

records package RIS

Spot-check results: Retrieved from RIS.

MOL.20021105.0244

6j

10173-SDR-3.1-00;

MOL.20021105.0245

Software Definition Report (SDR) and Software 

Implementation Report (SIR) for UDEC V3.1

software reports

SDR and SIR

RIS

10173-SIR-3.1-00

Spot-check results: Retrieved from RIS.

6k AP-SI.1Q, Rev 3/ICN 4 (used for 6j reports) software procedure RIS

Spot-check results: Retrieved from RIS.

6l

STN: 10173-3.1-00 UDEC v3.1, sub-release 3.10.109 QA software SCM

Spot-check results: Documentation on UDEC retrieved from RIS. No SCM system for M&O QA software was transferred to LM, but 

LM has created a detailed inventory of M&O QA software and UDEC v3.1 was found in the inventory.

6m

STN: 10173-3.1-00

Activate and validate installation of

UDEC v3.1, sub-release 3.10.109

QA software Software 

Library

Spot-check results: Installation software CDs found in QA software in the FireKing cabinets. LM cannot activate and install the 

UDEC v 3.1 since the specified hardware platform, the operating system, and the hardware dongle (key) are not available.
36 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 7. Task 7 Records and Tasks 

At one time during work on the YMP, YMP technical documents referenced a number of different sources of information on underground 

mechanical and thermal rock parameters. Record 7a consists of a document that was produced, in response to an NRC request, to collect 

the best rock parameter data in one report. Records 7b through 7l are associated with this report. The LA-SAR, TSPA documents, and YMP 

AMRs all reference the rock data contained in 7a.

Item 7b is the Document Input Reference System (DIRS) report, which lists all references cited in 7a. The references are identified using a unique 

document identifier called a DIRS number. The DIRS electronic database tracks all documents referenced in YMP technical documents. The 

database includes information on quality status and version control, along with a pointer to the location of cited text in the referenced 

document. Item 7c is the records package submitted with 7a, while item 7d consists of unique data that were submitted on CDs as part of 7c. 

Item 7e is the latest version of the engineering report cited in the LA-SAR. An earlier version of this report (item 7a) is cited by some of the 

AMRs used to support the license application. Records 7f through 7l are associated with 7e. Item 7f consists of data that were 

summarized in 7e and used by YMP technical documents but not submitted to the TDMS. Item 7g is an IED created from 7e output data. 

Item 7h is an engineering report that contains direct data inputs to record 7e. Item 7i is the TWP used to develop record 7e. Item 7j is the 

DIRS report associated with 7e. Item 7k provides an example of software used in 7a and 7e. Item 7l consists of information concerning 

corrections made to software 7k. Item 7m provides information on the main tunnel as constructed.

Records 7n through 7r test the general search and retrieval functionality of the e-mail database and the RIS.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

7a

800-K0C-WIS0-00400-000-00A

ENG.20040108.0001

Subsurface Geotechnical Parameters Report

December 2003

(reference used extensively in LA AMR:

ANL-EBS-MD-000027 REV 03)

document, engineering 

report

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

7b

MOL.20040322.0130 DIRS report of technical product 

800-K0C-WIS0-00400-000-00A document, DIRS report RIS 

DIRS

Spot-check results: Retrieved from RIS. Retrieved from DRIS.

7c

Records package for 

800-K0C-WIS0-00400-000-00A records package RIS

Spot-check results: Retrieved from RIS. 

7d

Data CDs containing the only source of 

a set of UDEC v3.1 and PFC2D v2.0

verification runs 

(800-K0C-WIS0-00400-000-00A, Attachment VIII

 and report records package)

data, validation input 

and output files for 

software, CDs

boxes

Spot-check results: CDs were migrated to online system – content retrieved. Physical disks also retrieved from boxes..

7e

ANL-SSD-GE-000001 REV 00

ENG.20070115.0006

Subsurface Geotechnical Par

January 2007

(reference used extensively in

ameters Report

 LA documents)

document, engineering 

report

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

7f

Find summary files static rock test data (Excel)

(not submitted as DTNs, only a part of this version 

of the Technical Report,

ANL-SSD-GE-000001 REV 00, 

January 2007, see CD listing in Appendix H)

(part of record submittal package)

data, Excel 

Spreadsheets

[latest YMP data for use 

by all YMP documents 

and models]

RIS or

CDs

Spot-check results: CDs were migrated to online system – content retrieved.

7g

800-IED-MGR0-00402-000-00A

ENG.20070108.0001 

IED Geotechnical and Thermal Parameters II

(data source in ANL-SSD-GE-000001 REV 00) IED document RIS 

Spot-check results: Retrieved from RIS.

7h

800-K0C-SS00-00800-000-00A

ENG.20051108.0007 

Intact Rock Mechanical Properties of Yucca 

Mountain Stratigraphic Units

document, engineering 

calculation

RIS

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.
Report to Congress and the Secretary of Energy 37

tAble 7 Continued

7i

DOC.20061004.0001

Technical Work Plan for Subsurface Geotechnical 

Parameters Report

(used to develop 

TWP-SSD-GE-000001 REV 00)

document, TWP RIS

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

7j

DIRS report of technical product 

ANL-SSD-GE-000001 REV 00 document, DIRS report RIS 

DIRS

Spot-check results: Retrieved from RIS. Retrieved from DIRS.

7k

STN: 10828-2.0-01 PFC2D V2.0 QA software RIS 

SCM

Spot-check results: Documentation on PFC2D retrieved from RIS. No SCM system for M&O QA software was transferred to LM, 

but LM has created a detailed inventory of M&O QA software and PFC2D v2.0 was found in the inventory. Physical hardware 

dongle (key) also located.

7l

MOL.20040322.0118

E-mail from John Leem to distribution, 

engineering LOTUS NOTE database

Subject: CR for PFC FISH TANK

correspondence memo RIS

Spot-check results: Retrieved from RIS, CR #1137.

7m

800-KMC-SSD0-00800-000-000

ENG.20050825.0005 ESF As-Built Configuration document RIS

Spot-check results: Retrieved from RIS.

7n

Search in Fields:

From (Author): “Rigby”

Dates: “1 Feb 2003” to “30 Sep 2004”

(total number and listing of hits)

documents and 

correspondence

RIS, e-mail 

database

Spot-check results: Listing of 25 hits found in RIS. E-mail Warehouse impractical to search.

7o

Search in Fields:

To: “Rigby”

Dates: “1 Feb 2003” to “30 Sep 2004”

(total number and listing of hits)

correspondence e-mail 

database

Spot-check results: Listing of 22 hits found in RIS. E-mail Warehouse impractical to search.

7p

Search in Fields:

From: or To: “Rigby”

Dates: “1 Feb 2003” to “30 Sep 2004”

Subject keywords (or): “uncertainty” “KTI” “RDTME” 

“LLR” “data” “CR” “CIRS” “CAR” “subsurface” 

“database” “problems” “issues” “comments”

(retrieve e-mail and documents up to first 10)

documents and 

correspondence & 

attachments

RIS, e-mail 

database

Spot-check results: Listing of first 10 hits found in RIS using Subject keyword “subsurface.” E-mail Warehouse impractical to search.

7q

Search in Fields: 

From: or To: “Rigby” 

Dates: “1 Feb 2003” to “30 Sep 2004” 

Subject keywords (or): “porosity” “lithophysal” 

“density” “geophysics” “Tptpll” “Tptpul” “slot” 

(retrieve e-mail and documents up to first 10)

documents and 

correspondence & 

attachments

RIS, e-mail 

database

Spot-check results: Listing of first 10 hits from total of 22 hits found in RIS. E-mail Warehouse impractical to search. LSNds also 

searched and hits found. 

7r

Search in Fields:

From (Author): “Buesch”

Dates: “1 Jan 2002” to “31 Dec 2008”

Subject keywords (or): “notebook” “notebooks” 

“log” “logs” “borehole” “video” “abundance” 

“drift” “data”

(total number and listing of hits)

documents and 

correspondence

RIS, e-mail 

database

Spot-check results: Listing of 155 hits found in RIS. E-mail Warehouse impractical to search.
38 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 8. Task 8 Records and Tasks

The Nevada System of Higher Education (NSHE), formerly known as the University and Community College System of Nevada, received 

dedicated funding from DOE as part of a DOE cooperative agreement to collect scientific field and laboratory data, conduct scientific 

research, and develop scientific work products in support of the YMP. These work products were submitted to the YM Records Processing 

Center. Much of this research yielded qualified data and included scanned copies of the supporting field and laboratory notebooks. The 

technical report in 8a is an example of NSHE’s YMP work, 8b consists of one laboratory notebook associated with 8a, and 8c consists of 

data submitted as part of 8a.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search 

Locations

Influence of Lithophysal Geometry on the Uniaxial 

Compression of Tuff-Like Rock, document, 

8a

MOL.20070705.0171 Technical Report TR-07-001, Task ORD-FY04-013 NSHE QA 

report

RIS

(report produced by UNLV for DOE)

Spot-check results: Retrieved from RIS.

8b

MOL.20070313.0125

Retrieval of above report

“LOG E: QA PATTERN C CIRCULAR”

 (see records package submitted)

document, 

NSHE 

laboratory 

notebook

RIS

Spot-check results: Retrieved from RIS.

8c

DTN: MO0311UCC018LM.001

Uniaxial Compression Tests Results

Submittal date: 11/19/2003

NSHE data RIS TDMS

Spot-check results: Data and documentation retrieved from RIS. Data retrieved from TDMS.
Report to Congress and the Secretary of Energy 39

Table 9. Task 9 Records and Tasks

The documents in this table cover other major types of data and analysis associated with the YMP. 

The preclosure safety analysis (PCSA) is a systematic safety examination of the YMP. It evaluates potential natural and operational 

hazards for the preclosure period—that is, for the 30- to 100-year period of operations before permanent repository closure. The PCSA 

relates primarily to the Geologic Repository Operations Area (GROA) and is described in Chapter 1 of the LA-SAR. The following records 

are associated with the PCSA and referenced in the LA-SAR:

Records 9a – 9d represent examples of PCSA site characterization documents needed to design surface waste handling facilities for the 

repository. They provide data on surface hydrology (9a), seismic features (9b), geotechnical characteristics (9c), and geochemistry (9d).

Record 9e discusses the types of waste forms and packages that would likely be received at the GROA (9e), including transportation, 

aging, and disposal (TAD) canisters. Record 9f consists of the TAD performance specification, 9g is the TAD design basis report, and 9h is 

the expected source term study for TAD containers. Record 9i describes the Initial Handling Facility, a major surface facility of the GROA 

that would be designed to receive naval SNF canisters and DOE HLW canisters

One major purpose of the PCSA is to identify potential hazards and initiating events in the GROA that could potentially cause individuals 

to be exposed to radiation. Record 9i lays out exposure hazards and event sequences associated with the Initial Handling Facility. 

Significant event sequences are based, in part, on an evaluation of potential external events such as earthquakes, floods, and aircraft 

crashes (9j). Record 9k evaluates the integrity of various DOE SNF canisters subject to these event sequences. Other documents estimate 

probabilistic dose consequences during normal operations; for example, record 9l examines GROA worker doses. Record 9m provides 

atmospheric dispersion factors for calculating general public offsite exposures in the event of a surface release. Record 9n discusses the 

preclosure repository nuclear criticality safety program and related evaluations.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search 

Locations

9a

000-00C-CD04-00100-000-00A

ENG.20040504.0005

Hydrologic Engineering Studies for the North Portal Pad 

and Vicinity

document

engineering

RIS 

Spot-check results: Retrieved from RIS.

9b

MDL-MGR-GS-000003 REV 01

DOC.20041111.0006

Development of Earthquake Ground Motion Input for 

Preclosure Seismic Design and Postclosure Performance 

Assessment of a Geologic Repository at Yucca 

Mountain, NV

document RIS 

Spot-check results: Retrieved from RIS.

9c

TDR-MGR-GE-000010 REV 00

DOC.20080206.0001

Technical Report: Geotechnical Data for a Geologic 

Repository at Yucca Mountain, Nevada document RIS

Spot-check results: Retrieved from RIS.

9d

ANL-EBS-MD-000074

DOC.20070911.0004

DOC.20070824.0001

DOC.20080109.0005

Analysis of Dust Deliquescence for FEP Screening

Rev 01 August 2005

Rev 01, ACN 01 August 2007

Rev 01, ACN 02 January 2008

documents RIS

Spot-check results: DOC.20070911.0004 and DOC.20070824.0001 retrieved from RIS.

9e

000-PSA-MGR0-01800-000-00A

ENG.20071106.0001

Waste Form Throughputs for Preclosure Safety Analysis document RIS

Spot-check results: Retrieved from RIS.

9f

WMO-TADCS-000001

DOC.20080331.0001

Transportation, Aging and Disposal Canister System 

Performance Specification document RIS

Spot-check results: Retrieved from RIS.

9g

000-3DR-MGR0-00300-000-002

ENG.20080229.0007

Basis of Design for the TAD Canister-Based Repository 

Design Concept document RIS

Spot-check results: Screening for LA document located, not the original report. Report located with help of DBR.
40 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

tAble 9 Continued

9h

000-30R-GGDE-00100-000-00A

ENG.20060831.0007

TAD Source Term and Dose Rate Evaluation document RIS

Spot-check results: Retrieved from RIS.

9i

51A-PSA-IH00-00100-000-00A 

ENG.20080207.0005

Initial Handling Facility Event Sequence Development 

Analysis document RIS

Spot-check results: Retrieved from RIS.

9j

000-00C-MGR0-00500-000-00C 

ENG.20080219.0001

External Events Hazards Screening Analysis document RIS

Spot-check results: Draft version of report initially located. Final report located with help of DBR.

9k

000-PSA-WHS0-00100-000-000 

REV 00

ENG.20040719.0001

U.S. Department of Energy Spent Nuclear Fuel Canister 

Survivability document RIS

Spot-check results: Retrieved from RIS.

9l

000-PSA-MGR0-01400-000-00C 

ENG.20080327.0010

GROA Worker Dose Calculation document RIS

Spot-check results: Retrieved from RIS.

9m

000-00C-MGR0-02800-000-00B 

ENG.20070813.0003

General Public Atmospheric Dispersion Factors document RIS

Spot-check results: Retrieved from RIS.

9n

TDR-MGR-NU-000002 REV 01

ENG.20080307.0007

Preclosure Criticality Safety Analysis document RIS

Spot-check results: Retrieved from RIS.

The YMP design philosophy is to ensure access for the retrieval of waste packages throughout the preclosure period. Record 9o discusses 

preliminary planning approaches for waste package retrieval. Plans for decontaminating GROA facilities, which incorporated operational 

and design considerations to facilitate future decontamination, are discussed in record 9p.

The natural analogues report (9q) looks at other ash-flow rock units around the world that have similar geologic features to the Topopah 

Spring tuff found at Yucca Mountain. 

The DOE planned to construct a new rail line to connect the GROA to commercial rail lines within the state of Nevada. Construction of the 

rail line is outside the scope of the LA, but record 9r contains planning information for the rail line and 9s is a supporting geotechnical 

report. 

9o

800-30R-HER0-00100-000-007

ENG.20080109.0010

Concepts for Waste Retrieval and Alternate Storage of 

Radioactive Waste document RIS

Spot-check results: Retrieved from RIS.

9p

000-30R-MGR0-03000-000 

REV 002

ENG.20080312.0029

Yucca Mountain Repository Concept of Operations document RIS

Spot-check results: Retrieved from RIS.

9q

TDR-NBS-GS-000027 REV 01

DOC.20040524.0008

Natural Analogue Synthesis Report document RIS

Spot-check results: Retrieved from RIS.
Report to Congress and the Secretary of Energy 41

tAble 9 Continued

9r

MOL.20080603.0004

Yucca Mountain Project Rail Line, Calente Rail Corridor 

– Plan of Development

March 4, 2008

document RIS 

Spot-check results: Retrieved from RIS.

9s

ENG.20070905.0016

Geotechnical Report Volume 1. Caliente Rail Corridor

Vendor Document V0-CY05-NHC4-00197-00009-001

July 16, 2007

document RIS 

Spot-check results: Retrieved from RIS.

Record 9t explains the decisional basis for changing from a “cold” repository design (Enhanced Design Alternative I or EDA-I) to a “hot” 

design (EDA-II), which is the design choice described in the DOE-LA. 

Record 9u describes planned site characterization activities (as of 1992) including surface, in situ, and laboratory studies for the YMP. 

Record 9v discusses corrosion mechanisms and potential risks to waste package integrity from barrier failures.

Task 9w is a search of the RIS for records pertaining to YMP system integration programs.

9t

B00000000-01717-4600-00123 

REV 01 ICN 01

MOL.19990908.0319

License Application Design Selection Report 

August 1999

document RIS 

Spot-check results: Retrieved from RIS

9u DOE/RW-0313P

Yucca Mountain Site Characterization Project Plan

January 1992

document RIS 

Spot-check results: Retrieved from RIS.

9v

ANL-EBS-MD-000003 REV 02

DOC.20041004.0001

General Corrosion and Localized Corrosion of Waste 

Package Outer Barrier, October 2004 document RIS 

Spot-check results: Retrieved from RIS.

9w

Search the RIS document titles and subject line

for “system integration program”

(provide total number of hits and a listing)

document 

search RIS 

Spot-check results: Listing of 165 hits found in RIS. All documents retrieved.
42 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 10. Task 10 Records and Tasks

A number of quality procedures were developed and used in the course of the YMP to qualify data, develop technical work projects 

and manage software. Records 10a through 10g represent a selection of important science and engineering procedures used as part 

of the YMP.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

10a

DOC.20040805.0003

Scientific Analyses

AP-SIII.9Q, Rev. 1, ICN 6

 (major revisions from 2002 to 2005)

document, science 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Rev 0 ICN 0, Rev 1 ICN 0 and ICN 6). Retrieved from CDIS.

10b

DOC.20040805.0005

Models

AP-SIII.10Q, Rev. 2, ICN 6

(major revisions from 2002 to 2005)

document, science 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Rev 0 ICN 1, Rev 1 ICN 0, Rev 2 ICN 0 and ICN 6). Retrieved from CDIS.

10c

DOC.20030827.0013

Design Calculations and Analyses

AP-3.12Q, Rev 2, ICN 1

(major revisions from 2002 to 2005)

document, 

engineering 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Rev 1 ICN 1, Rev 2 ICN 0 and ICN 1). Retrieved from CDIS.

10d

Scientific Analyses

LP-SIII.9Q-BSC 

(latest version)

document, 

engineering 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Rev 1 ICN 1). Retrieved from CDIS.

10e

Software Management

LP-SI.11Q-BSC

(latest version)

document, 

engineering 

procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Rev 0 ICN 2). Retrieved from CDIS.

10f

DOC.20040226.0001

Submittal and Incorporation of Data to the Technical Data 

Management System

AP-SIII.3Q, Rev. 2, ICN 1

document, science 

procedure

RIS 

CDIS

(and locate the latest version)

Spot-check results: Retrieved from RIS (Rev 2 ICN 1 and Rev 4 ICN 3). Retrieved from CDIS.

10g DOE/RW-033P

Quality Assurance Requirements and Description (QARD), 

Revision 17

(and major revisions from 2002 to 2005)

quality procedure

RIS 

CDIS

Spot-check results: Retrieved from RIS (Revs 11, 12, 13, 14, 15, 16, and 17). Retrieved from CDIS.
Report to Congress and the Secretary of Energy 43

Table 11. Task 11 Records and Tasks

Key guidance documents that were developed for the purpose of understanding and conducting uncertainty analyses on the YMP are 

represented in records 11a through 11c.

Task 

ID#

Record YMP I.D. 

No. Identifying Information Record Type Search Locations

11a

MOL.20020109.0064 

Letter from N.H. Williams (BSC) to S.J. Brocoum (DOE), 

November 19, 2001

“Contract No. DE-AC08-01RW12101 – Uncertainty Analyses and 

Strategy Letter Report,” REV 00, 

Activity #SA0114 

document, 

letter w/

enclosure

RIS 

(YMP Uncertainty Guidance)

Spot-check results: Retrieved from RIS.

11b

MOL.20020904.0002

Guidelines for Developing and Documenting Alternative Conceptual 

Models, Model Abstractions, and Parameter Uncertainty in the Total 

System Performance Assessment for the License Application

TDR-WIS-PA000008 REV 00 ICN 01

document

RIS 

CDIS

(YMP Uncertainty Guidance)

Spot-check results: Retrieved from RIS. Retrieved from CDIS.

11c

Scientific Processes Guidelines Manual

MIS-WIS-MD-000001 REV 01

(YMP Uncertainty Guidance)

document

RIS 

CDIS

Spot-check results: Retrieved from RIS. Retrieved from CDIS.
44 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 12. Task 12 Records and Tasks

E-mail correspondence between YMP personnel included important discussions of technical subjects and work products. The purpose of 

task 12 is to test the ability to search for YMP e-mails based on a variety of search criteria. Specific search criteria are indicated in the 

table (Task IDs 12a through 12w). The same criteria (as far as possible) were also used to test the search functionality of records (not 

limited to e-mail) in the RIS. The majority of YMP e-mail traffic is not captured in the RIS, however a technical work product (captured in 

the RIS) would typically involve e-mail traffic. The tasks in this table cover searches for available YMP records that meet the search criteria 

and expand the scope of technical subject matter beyond that covered in other retrieval tables. 

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search 

Locations

Search in Fields:

12a

 From: “van luik” OR “vanluik”

Dates: “1 Jan 1998” to “31 Dec 1998”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12b

 From: “Nancy Williams” To: “William Boyle”

Dates: “1 Jan 2003” to “31 Dec 2003”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse. No 

hits found in LSNdc.

Search in Fields:

12c

 From: “Coppersmith” To: “Younker”

Dates: “1 Jan 1999” to “31 Dec 1999”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12d

 From: “Kirsten” To: “Schreiner”

Dates: “1 Jan 2003” to “31 Dec 2003”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12e

 From: “Buscheck” To: “Andrews”

Dates: “1 Jan 2002” to “31 Dec 2002”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.
Report to Congress and the Secretary of Energy 45

tAble 12 Continued

Search in Fields:

12f

 From: “Whitcraft” To: “Lucas”

Dates: “1 Jan 2005” to “31 Dec 2005”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12g

 From: “Rusinko” To: “Lucas”

Dates: “1 Jan 2005” to “31 Dec 2005”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12h

 From: “Buesch” To: “Rigby”

Dates: “1 Jan 2002” to “31 Dec 2005”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12i

 From: or To: “” [not restricted]

Dates: “1 Jan 2007” to “31 Dec 2007”

Subject keywords: “dust deliquescence”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12j

 From: or To: “” [not restricted]

Dates: “1 Jan 2004” to “31 Dec 2006”

Subject keywords: “alloy 22” AND “corrosion”

documents and 

correspondence

RIS, e-mail 

database

 (total number and listing of hits)

Spot-check results: Listing of 4648 hits found in RIS. E-mail Warehouse impractical to search.

Search in Fields:

12k

 From: or To: “” [not restricted]

Dates: “1 Jan 1992” to “31 Dec 1997”

Subject keyword: “DOE/RW-0313P”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Spot-check results: Listing of 290 hits found in RIS. E-mail Warehouse impractical to search.
46 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

tAble 12 Continued

Search in Fields:

 From: or To: “” [not restricted]

12l

Dates: “1 Jan 1994” to “31 Dec 1995”

Subject keywords: “site characterization project 

plan”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Spot-check results: Listing of 199 hits found in RIS. E-mail Warehouse impractical to search.

Search in Fields:

 From: or To: “” [not restricted]

12m

Dates: “1 Jan 1986” to “31 Dec 1998” 

Subject keywords: “OCRWM Transportation 

Program”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Spot-check results: Listing of 1190 hits found in RIS. E-mail Warehouse impractical to search.

Search in Fields:

12n

 From: or To: “” [not restricted]

Dates: “1 Jan 1998” to “31 Dec 2007” 

Subject keywords: “national transportation”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Spot-check results: Listing of 5272 hits found in RIS. E-mail Warehouse impractical to search.

Search in Fields:

12o

 From: “Mark Board” To: “Ming Lin”

Dates: “1 Jan 2001” to “31 Dec 2002”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12p

 From: “Rigby” To: “Elayer” OR “Rael”

Dates: “1 Jan 2003” to “31 Dec 2005”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12q

 From: “Davidsavor” To: “Grant”

Dates: “1 Jan 2003” to “31 Dec 2005”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.
Report to Congress and the Secretary of Energy 47

tAble 12 Continued

Search in Fields:

12r

 From: “Kirstein” To: “Younker”

Dates: “1 Jan 2003” to “31 Dec 2003”

Subject keywords: “” [not restricted]

correspondence e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

12s

From: or To: “” [not restricted]

Dates: “1 Jan 1996” to “31 Dec 2007” 

Subject keywords: “fast flow”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

 From: or To: “” [not restricted]

12t

Dates: “1 Jan 2006” to “31 Dec 2009” 

Subject keywords: “canister-based repository 

design concept”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

 From: or To: “” [not restricted]

12u

Dates: “1 Jan 2006” to “31 Dec 2009” 

Subject keywords: “volcanic hazard analysis 

update”

documents and 

correspondence

RIS, e-mail 

database

(total number and listing of hits)

Retrieval task canceled as E-mail Warehouse is impractical to search. Search “hits” are probable in the E-mail Warehouse.

Search in Fields:

 From: or To: “” [not restricted]

12v

Dates: (“1 Jan 1998” to “31 Dec 1998”) 

OR (“1 Jan 2001” to “31 Dec 2002”)

documents and 

correspondence

RIS, e-mail 

database

Subject keywords: “model uncertainty”

(total number and listing of hits)

Spot-check results: RIS search canceled. E-mail Warehouse impractical to search.

Search in Fields:

From: or To: “” [not restricted]

12w

Dates: “1 Jan 1984” to “31 Dec 1992”

Subject: “Nevada Agency for Nuclear 

Projects” AND

documents and 

correspondence

RIS, e-mail 

database

(“finding” OR “comment” OR “review”)

(total number and listing of hits)

Spot-check results: RIS search canceled. E-mail Warehouse impractical to search.
48 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Table 13. Task 13 Records and Tasks – Added E-mail Searches of RIS

Because it turned out to be impractical to search the E-mail Warehouse, Board staff decided to add some e-mail searches of the RIS by 

name (as author and receiver) with no date or subject keywords indicated. Four other specific e-mail searches in the RIS were also added.

Task 

ID# Record YMP I.D. No. Identifying Information Record Type Search Locations

13a

Search in Fields: From: or To: “Board” e-mail RIS

Spot-check results:

Author: listing of 2 hits found.

Receiver: listing of 48 hits found.

13b

Search in Fields: From: or To: “Boyle” e-mail RIS

Spot-check results:

Author: listing of 125 hits found.

Receiver: listing of 313 hits found.

13c

Search in Fields: To: “Brownstein” e-mail RIS

Spot-check results:

Receiver: listing of 97 hits found.

13d

Search in Fields: From: or To: “Duan” e-mail RIS

Spot-check results:

Author: listing of 16 hits found.

Receiver: listing of 87 hits found.

13e

Search in Fields: From: or To: “Lechel” e-mail RIS

Spot-check results:

Author: listing of 160 hits found.

Receiver: listing of 219 hits found.

13f

Search in Fields: From: or To: 

“Summerson” e-mail RIS

Spot-check results:

Author: listing of 9 hits found.

Receiver: listing of 196 hits found.

13g

Search in Fields: From: or To: “Van Luik” e-mail RIS

Spot-check results:

Author: listing of 870 hits found.

Receiver: listing of 73 hits found.

13h

Search in Fields: From: or To: “Voegele” e-mail RIS

Spot-check results:

Author: listing of 37 hits found.

Receiver: listing of 140 hits found.

13i

Search in Fields: From: or To: “Younker” e-mail RIS

Spot-check results:

Author: listing of 25 hits found.

Receiver: listing of 111 hits found.
Report to Congress and the Secretary of Energy 49

tAble 13 Continued

13j

MOL.20050214.0005

From L.E. Kokajko (NRC) to J.D. Ziegler 

(DOE/ORD) January 11, 2005, 

“Pre-Licensing Evaluation of Agreements 

in ‘Technical Basis Document Number 4, 

Mechanical Degradation and Seismic 

Effects and Three Other Associated 

Agreements.”

e-mail RIS

Spot-check results: Retrieved from RIS.

From B.E. Rusinko (BSC) to Distribution

13k

MOL.20050906.0347 August 23, 2005, “Contract No. 

DE-AC28-01RW12101 - Minutes of June 

21, 2005 Geotechnical Data Issues and 

Concerns Meeting.”

e-mail RIS

Spot-check results: Retrieved from RIS.

From R.E. Fray (BSC) to Distribution, 

13l

MOL.20051118.0072 October 6, 2005, “Contract No. 

DE-AC28-01RW12101 - Minutes of 

September 15, 2005 Geotechnical Data 

Issues and Concerns Meeting.”

e-mail RIS

Spot-check results: Retrieved from RIS.

From M.L. Johnson (BSC) to Distribution, 

13m

CCU.20061102.0006 November 2, 2006, “Contract No. 

DE-AC28-01RW12101 - Minutes of 

December 8, 2005 Geotechnical Data 

Issues and Concerns Meeting” 

e-mail RIS

Spot-check results: Retrieved from RIS.
50 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 5

yuccA mountAin project record retrievAl demonstrAtion

Board staff requested that LM staff search and retrieve a typical document. Board staff 

captured that effort by taking screen shots of each stage of the activity. For this demonstration, the Board selected the electronic and physical record identified in Task 2a (Appendix 4): “Multiscale Thermohydrologic Model,” ANL-EBS-MD-000049 REV 03 ADD 02, 

DOC.20080201.0003. 

To retrieve physical holdings from the YMP records collection, LMBC personnel searched 

both the YMRIS and the LM Records Inventory Management Application (RIMA). 

LMBC personnel first searched for the relevant YMP accession number in the YMRIS 

database.
Report to Congress and the Secretary of Energy 51

The accession number search produced a YMRIS result set with an entry for the 

requested report.

The YMRIS search result provides detailed information about the document.
52 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

The YMRIS record detail location tab provides a Storage ID Number (150179081) for 

the report.

LM personnel then transferred the Storage ID Number to the LM RIMA software to locate 

the corresponding LM box number for the LMBC records storage area. YMRIS Storage ID 

Numbers are entered in the LM RIMA RM Comments field.
Report to Congress and the Secretary of Energy 53

The LM RIMA query results in a match for an LMBC holding with the barcode 

LM00105819.

The LMBC box profile describes where the physical box containing the requested YMP 

report is located. The box title; the LM box grouping, the accession number; and the storage box type (a standard NARA storage box in this case) appear under the box tab. 
54 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Selecting the location field gives the LMBC shelf location of the box and indicates any past 

storage or retrieval activity associated with the box. This information documents the chain 

of custody for the materials in the box.

The LM RIMA classification tab provides the records retention code for the box. In this 

case, the box contains input/source documents for electronic records.
Report to Congress and the Secretary of Energy 55

Once LM personnel confirm that the OmniRIM search result is identical to the storage 

box associated with the requested YMP report, LM personnel enter a check-out request for 

the box.
56 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

The request process generates an LM Box Request Report. This report is used by storage 

personnel to retrieve the box. A handheld barcode scanner is used to track box request 

activity. The report’s reference barcodes are used to scan the box to the temporary custody 

of the requestor. 
Report to Congress and the Secretary of Energy 57

LMBC personnel then retrieves the box from the location indicated in the LM RIMA system. The box identification number LM00105819 from RIMA matches that of the retrieved 

box (Figure A-1).

Figure A-1. Retrieved Box of YMP Documents

After opening the box, the desired physical report is located; Board staff confirm the accuracy of the search and retrieval process.
58 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Appendix 6 

retrievAl of physicAl And e-mAil WArehouse records

Retrieved Boxes of YMP Physical Materials

Board staff randomly selected three boxes from each of the categories of materials identified in the list below provided by LM. LM staff retrieved those boxes, which were opened 

and inspected by Board staff.

“Title” Group Name No. of boxes

1. YMP Technical Information Library 1,444

2. Vault and Photo Materials 1,160

3. R&D Project Case Files – YM 676

4. Scanned Hardcopies 252

5. OCRWM 26

6. Shutdown Non-Record Recycle Documents 1,893

7. YMP, Source Documents 4,905

LM staff took pictures of all retrieved boxes and samples of their contents.

1. YMP Technical Information. LM staff pulled three boxes (Numbers 1, 34, and 69) 

from this category with barcode accession number YMP-10-0001. The boxes were correctly labeled; they contained material from the Technical Information Center Library. 

The box barcode labels for all three boxes indicate that this material is classified as permanent, according to DOE Schedule N1-434-YMP-1, with a disposition (preservation) 

date of 100 years.

2. Vault and Photo Materials. LM staff pulled three boxes from this category with barcode accession numbers YMP-10-0012 (YMP Vault – Microfilm), box 200; YMP-11-

0013 (YMP Vault – One of Kind Non-Electronic Media), box 2; and YMP-11-0030 

(YMP Mission Photos/Negatives), box 2. The contents of these boxes included material 

from the “Vault,” which was formerly under the control of the USGS. Two examples of 

USGS “Vault” material are shown in Figures A-2 and A-3. The box barcode labels for 

all three boxes indicate that this material is classified according to DOE Schedule R&D 

– 1 A2 and ADM 21-1 1A with a disposition date of 25 years.

3. R&D Project Case Files. LM staff pulled three boxes from this category with barcode 

accession numbers YMP-10-0241, box 25; YMP-11-0053, box 25; and YMP-2012-0013 

(Borehole Videos), box 2. The contents indicate that this material had been managed 

by the USGS while the project was active. An example is shown in Figure A-4. These 

videotapes contain important scientific data that are not digitized and captured in the 

RIS. The box barcode labels for all three boxes indicate that this material was classified 

according to DOE Schedule R&D – 1 A2 and ADM 01-43 A1, with a disposition date 

of 25 years.
Report to Congress and the Secretary of Energy 59

Figure A-2. 

Box YMP-10-0012 Contains 

Microfilm Media

Figure A-3. 

Box YMP-11-0030 Held YM Site 

Photographs and Other Materials
60 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Figure A-4. 

Box YMP-2012-0013 

Showing Analog 

Borehole Videotapes

4. Scanned Hard Copies of Records. LM staff pulled three boxes from this category 

with barcode accession numbers YMP-10-0006, box 104; YMP-11-0008, box 7; and 

YMP-11-0044, box 25. Their contents consisted of a variety of YMP records that were 

processed by the RPC and apparently scanned into the RIS. The box barcode labels for 

two or three boxes indicate that this material is classified according to ADM 20-2 A4, 

with a disposition date of zero years (since the primary records are the scanned RIS 

records and not these paper records).

5. OCRWM. LM staff pulled three boxes at random from this category with barcode 

accession number YMP-10-0014, boxes 1, 13, and 26. Each box contained a variety 
Report to Congress and the Secretary of Energy 61

of computer backup media (tapes and CD-ROMs), meaning that none of the boxes 

contained primary records that would not have been captured in other databases. The 

barcode labels for all of these boxes indicate that this material is classified according to 

GRS-24 4 B, with a disposition date listed for zero years.

6. Shutdown Non-Record Recycle Documents. LM staff pulled three boxes at random 

from this category with barcode accession numbers YMP-11-0045, box 25; YMP11-0051, box 25; and YMP-11-0052, box 25. The title on each box was “Non-Record 

Recycle Documents that Fall Under a YM Shutdown/Transition Destruction Freeze.” 

The contents consisted of a variety of documents apparently from the shelves of former 

YMP workers – these were determined by OCRWM and LM staff to not be important 

YMP records. The barcode labels for all these boxes indicate that this material is classified according to NRM-YMP with no disposition dates listed.

7. YMP, Source documents. LM staff pulled three boxes at random from this category 

with barcode accession numbers YMP-11-0073, box 25; YMP-11-0111, box 25; and 

YMP-11-0054, box 25. The full title on each box was “YMP Source documents used 

to create electronic records.” The contents consisted of a variety of YMP paper documents that were submitted and processed by the RPC. The box barcode labels indicate 

that this material is classified according to ADM 20-2 A 4 with disposition date of zero 

years.

In addition to the boxes that fell into these seven categories, other boxes held material that 

had been placed into recycling containers at the Hillshire facility. As noted in the text, 

Board staff visited the Hillshire facility in September 2010 and were shown those boxes, 

which on inspection consisted of printed reports, correspondence and other miscellaneous 

content that came from the offices of YMP workers. During the LMBC visit, Board staff 

asked LM staff to locate three boxes of these “recycle materials.” LM staff pulled boxes with 

barcode accession numbers YMP-11-0051, box 101; YMP-11-0052, box 236; and YMP-11-

0051, box 73. None of these boxes contained YMP records that would be important to 

retain; rather, they appeared to contain the same kinds of documents that had previously 

been seen by Board staff at the Hillshire facility.

E-Mail Warehouse Retrieval

As noted in the text, Board staff originally had included 18 e-mail searches in the spotchecking exercise. LM staff indicated that carrying out these searches would require significant resources. Board staff concluded that pursuing their original plan would be too 

onerous. That conclusion was based in large part on LM’s experience fulfilling a congressional request to search and retrieve a number of e-mails stored in the E-Mail Warehouse. 

The latter effort began on April 14, 2011, and was completed on April 27, 2011. The search 

and retrieve process is documented below. (Personal information has been either redacted 

or disguised.)

DOCUMENTATION OF PROGRAMMING STEPS REQUIRED TO 

RESPOND TO A CONGRESSIONAL REQUEST FOR E-MAILS
62 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

Objective

The purpose of the exercise was to search and collect all e-mails—sent and received—that 

were filed in the E-Mail Warehouse by specific YMP personnel during the period from 

4/15/2010 through 7/30/2010 using predefined search terms. Once located, the requested 

messages and attachments would be converted to three separate PDF packages.

Criteria

Names: 

John Doe 1

Jane Doe 1

John Doe 2

John Doe 3

John Doe 4

John Doe 5

Jane Doe 2

Jane Doe 3

John Doe 6

Search Terms: 

1. ("withdraw" OR "withdrawal") AND ("license" OR “LA” OR “application”) 

2. (“shutdown” OR “shut down” OR “closeout” OR “close out” OR “terminate”)

3. (“zero” AND “budget”)

Search Time Frame: 

Starting date: April 15, 2010 

Ending date: July 30, 2010

Software Used

Software Client: Lotus Notes 8.5.2, Windows XP

Server: Domino 7.0.3, Windows 2003

Search Process

Responding to the congressional search request involved first collecting all sent and 

received e-mails from all individuals listed above into one result container using scheduled 
Report to Congress and the Secretary of Energy 63

agent. The “search this view” option from the Lotus Notes client was then used to manually create the full-text index and perform the search based on the terms listed above.

1. Determine the User Names/Aliases

To gather all sent and received e-mails, LM staff first assembled all the names and 

aliases possibly used by the individuals and verified that these names existed in the 

Domino address books for the search date range. The list included standard Notes 

account names, mail addresses, short names, and alternate names. The table below 

contains all the possible names and aliases for the search.

John Doe 1(a) John Doe 3(b) John Doe 5(f) Jane Doe 3(d)

John Doe 1(b) John Doe 3(c) John Doe 5(g) Jane Doe 3(e)

John Doe 1(c) John Doe 3(d) Jane Doe 2(a) Jane Doe 3(f)

John Doe 1(d) John Doe 6(a) Jane Doe 2(b) Jane Doe 3(g)

John Doe 1(e) John Doe 6(b) Jane Doe 2(c) Jane Doe 3(h)

John Doe 4(a) John Doe 6(c) Jane Doe 2(d) Jane Doe 3(i)

John Doe 4(b) John Doe 6(d) Jane Doe 1(a) John Doe 2(a)

John Doe 4(c) John Doe 6(e) Jane Doe 1(b) John Doe 2(b)

John Doe 4(d) John Doe 5(a) Jane Doe 1(c) John Doe 3(c)

John Doe 4(e) John Doe 5(b) Jane Doe 1(d) John Doe 3(d)

John Doe 4(f) John Doe 5(c) Jane Doe 3(a) John Doe 3(e)

John Doe 4(g) John Doe 5(d) Jane Doe 3(b)

John Doe 3(a) John Doe 5(e) Jane Doe 3(c)

2. Identify Data Fields

The data structure of the mail templates changed over time. For this reason it was necessary to analyze all versions of the templates used within the search date range to determine 

the fields that could possibly contain the individual names.

dbowner

ermsfiledby

from

from1

sendto1

copyto1

blindcopyto1

principal

smtporiginator

_rpc_allrecipients
64 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

3. Determine Data Location

Based on the requested date range, the data to be processed would be in ERMS. These 

databases resided on the RPC Domino server under the “erms\2010\” folder:

erms\2010\2010_04_rpcprivfed.nsf erms\2010\2010_06_rpcnonrec.nsf

erms\2010\2010_05_rpcprivfed.nsf erms\2010\2010_07_rpcnonrec.nsf

erms\2010\2010_06_rpcprivfed.nsf erms\2010\2010_04_rpccal.nsf

erms\2010\2010_07_rpcprivfed.nsf erms\2010\2010_05_rpccal.nsf

erms\2010\2010_04_rpcfedrec.nsf erms\2010\2010_06_rpccal.nsf

erms\2010\2010_05_rpcfedrec.nsf erms\2010\2010_07_rpccal.nsf

erms\2010\2010_06_rpcfedrec.nsf erms\2010\rpclsn0410.nsf

erms\2010\2010_07_rpcfedrec.nsf erms\2010\rpclsn0510.nsf

erms\2010\2010_04_rpcnonrec.nsf erms\2010\rpclsn0610.nsf

erms\2010\2010_05_rpcnonrec.nsf erms\2010\rpclsn0710.nsf

4. Search and Collect All the Sent and Received E-mails for these Names

A Lotus Notes application along with the configuration form and the LotusScript agent 

were developed for searching the sent and received messages. The information provided in 

the configuration form included names, data fields, search date range, server name, data 

source, user name list, etc. The configuration form served as a data input for the backend 

agent to process the RPC containers and collect results into one database.

Copy of the form for 

keyword entries that 

the agent used to 

process the search.
Report to Congress and the Secretary of Energy 65

Sample part of the 

LotusScript schedule 

agent that ran on the 

server to search and 

collect requested 

e-mails.

5. Perform Search by Terms

A search using the terms on the result database was performed manually. The search process was carried out interactively rather than by backend LotusScript. Once full-text 

indexing was completed for the result database, a simple search could be performed at the 

folder level by specifying search conditions. The result from each search term was moved 

into a folder representing the collection of each search term. Each of these collections was 

then copied into a new database for de-duplication and conversion to PDF format.

a. Indexing

To prepare the result database for the multiple words search, the database was 

full-text indexed with the following options selected:
66 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

With the full-text index enabled, LM staff was able to use multiple words or 

phrases and obtain search results more quickly as compared to sequentially 

searching one document at a time. 

Although file attachments appear in the body of e-mail messages, they are actually stored outside the body content. Therefore, indexing attachments is recommended to obtain more accurate search results. File attachments can be indexed 

using Lotus Notes’ capability with the conversion filters option turned on. 

However, it is important to recognize that Lotus Notes might not be able to index 

file attachments that are executable, that contain image files, that are password 

protected, or that contain proprietary security settings.

b. View, folders, and search query setup

A new view called “All E-mail (from 04-15-10)” was used to display all messages 

from 04/15/2010 to 07/30/2010. Three folders (labeled Withdraw, Shutdown, and 

Budget) were created to organize the results for each search term. An additional 

folder called “Processing” was created to search for and move target documents 

to the result folder. 
Report to Congress and the Secretary of Energy 67

An instance of one 

of the search query 

setups.

The options “Word Variants” or “Fuzzy Search” were not used since LM was 

seeking e-mails that explicitly contain one of the phrases mentioned above. 

Search criteria can be set up at one time, saved, and then reused at a later time. 

This process was repeated for the other two search terms.

c. Search and collect process

The steps taken to search within the result database and collect target messages 

based on the search query setup in the previous step are listed below:

1. Moved all messages from the view “All e-mail (from 04-15-10)” to the 

“Processing” folder.

2. Within the “Processing” folder, performed each search query using the “Load” 

search command.

3. Moved the search result into the appropriate folder for each search term.

4. Refined the search by going into each of the result folders, performing the other 

two search queries and moving them into the appropriate folder. Example: In 

the Withdraw folder, we searched for the query “budget AND zero” and moved 

the targeted documents into the Budget folder.

5. Created three new final databases, one for each search term.

6. Results from each folder (Withdraw, Shutdown, and Budget) were copied to the 

final database.

7. In the final databases, a new folder was created for the de-dup process; categorized by sender, date, and document ID.
68 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

8. All messages were moved into the de-dup folder.

9. Messages in the de-dup folder were scanned for duplicates and duplicates were 

moved out of the folder.

10. Once the de-dup was completed, all the messages remaining in the folder were 

converted to PDF packages.

6. Search Results

The search results were stored in three separate NSF files based on the search terms. 

They were then converted to three separate PDF packages. These PDF files were transferred to DOE HQ for review. 

An example of a

PDF package. The

messages and

attachments can be

viewed and sorted by

Who, Data, and Subject

columns within the

PDF package.
Report to Congress and the Secretary of Energy 69

Below is a breakdown of the search results.

Result Matrix

Search Terms Number Messages Size

1. ("withdraw" OR "withdrawal") AND ("license" or “LA” OR 

“application”) 648 487 MB

2. (“shutdown” OR “shut down” OR “closeout” OR “close out”, OR 

“terminate”) 1755 910 MB

3. (“zero” AND “budget”) 174 288 MB

Total 2,577 1,685 MB


72 Activites to Preserve Records Created by the Yucca Mountain Repository Project 

United States

Nuclear Waste Technical Review Board

2300 Clarendon Boulevard 

Suite 1300

Arlington, VA 22201

(703) 235-4473

www.nwtrb.gov