yucca mountain project administrative procedure 11/88 · yucca mountain project n-ad-001a...

YUCCA MOUNTAIN PROJECT N-AD-001AADMINISTRATIVE PROCEDURE 11/88

Title

AP-5.3Q INFORMATION FLOW INTO THE PROJECT REFERENCE INFORMATION BASE

1.0 PURPOSE AND SCOPE

1.1 This procedure establishes the requirements, responsibilities, and stepsto be followed in preparing, submitting, and processing changes (i.e.,additions, deletions, and modifications) to the Yucca Mountain ProjectReference Information Base (RIB). This procedure and AP-5.2Q, "TechnicalInformation Flow To and From the Yucca Mountain Project Technical Data Base,are the two Project-level procedures developed to implement the ProjectTechnical Data Management Plan. The scope of this procedure is limited tothe processing of RIB Information Items for submittal through the Projectbaselining process and through the processing of baseline-approved RIBInformation Items for controlled distribution.

1.2 This procedure defines the responsibilities of Project participants forthe, identification, preparation, review, and evaluation of proposed RIBchanges, of the Technical Data Advisory Group (TDAG) for assisting theTechnical Data Manager (TDM) in obtaining and in developing information fromthe Technical Data Base (TDB) for the RIB, and of the TDM and RIBadministrator for coordinating and managing RIB development.

1.3 The objective of this procedure is to standardize the process foridentifying and preparing reference technical information as changes to theRIB. The RIB is a dynamic part of the technical element of the Projectbaseline. The involvement of all Project participants in the effortcoordinated by the RIB administrator to prepare Baseline Change Proposals(BCPs) for RIB changes is required. Changes to the Project baseline areproposed by a BCP and dispositioned in accordance with AP-3.3Q, BaselineChange Control."

2.0 APPLICABILITY

This procedure applies to all Project participants and Yucca MountainProject Office (Project Office) personnel.

3.0 DEFINITIONS

3.1 BASELINE CHANGE PROPOSAL

The Baseline Change Proposal is the mechanism defined by AP-3.3Q, whichis used to introduce changes into the Project baseline. The ConfigurationManagement Organization (CMO) of the Technical and Management SupportServices (T&MSS) contractor provides administrative service and support tothe Project Office for the processing and disposition of BCPs.

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3.2 REFERENCE INFORMATION BASE

The RIB is a Project-approved and Project-baselined document that isplaced under controlled distribution and that provides summary data andinformation pertaining to the Project. It is a dynamic, evolving documentthat represents the best available Project-endorsed technical information atany point in time and is closely related to the systematic control of changethat is a basic function of configuration management. The RIB contains (orshall contain) the reference site, design, performance, and socioeconomic andenvironmental information about the proposed Mined Geologic Disposal Systemat Yucca Mountain. The information will be used within the Project tosupport the various analyses necessary for site characterization,environmental evaluation, design,and performance assessment. The RIB willprovide Project staff members with internally consistent values for use intheir various activities. The RIB is developed and maintained by SandiaNational Laboratories (SNL) under Work Breakdown Structure (WBS) element1.2.1.3.3.

3.3 RIB ADMINISTRATOR

The RIB administrator is the individual at SNL responsible for WBSelement 1.2.1.3.3.

3.4 RIB CHANGE REQUEST

An RIB Change Request (RIBCR) is a form (Exhibit 1) used to initiateprocessing of proposed RIB changes, including additions, modifications, anddeletions. RIBCRs may be obtained from the RIB administrator at SNL or fromthe TDM at the Project Office. The processing of RIBCRs can be expedited byclearly defining the scope of the proposed change, the intended use for theinformation, any relevant quality assurance considerations, Project priority,and available information sources and staff contacts.

3.5 RIB CHANGE DEVELOPMENT FILE

An RIB Change Development (RIBCD) file is the record of the processingof an RIB change. The RIBCD file is maintained by the RIB administrator.The file contains the documentation of the processing of proposed RIB changesthat have been approved for development.

3.6 RIB CHANGE DEVELOPMENT FORM

A RIBCD form is a standard form (Exhibit 2) that identifies the subjectof a RIBCD file, provides a summary of processing actions taken inassociation with a proposed RIB change, and provides documentation of the

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required approval steps.file.

A single RIBCD form is included with each RIBCD

3.7 RIB CHANGE EVALUATION FORM

A RIBto documentchange.

Change Evaluation (RIBCE) form is a form (Exhibits 3 and 4) usedthe review and comment resolution process for a proposed RIB

3.8 RIB INFORMATION ITEM

A RIB Information Item is the basic reference information unit enteredinto the body of the RIB. Each RIB Information Item is a stand-alone entitythat contains reference information, a descriptive summary, a listing ofinformation sources, the quality levels of activities that produced theinformation, and page and change control identifiers.

3.9 RIB FILING SYSTEM

The RIB filing system documents RIB change processing actions and ismaintained by the RIB administrator. Upon completion of a RIBCD file, thefile is submitted to the SNL Local Records Center and a copy is retained bythe RIB administrator.

3.10 TECHNICAL DATA ADVISORY GROUP

The TDAG is a group established at the Project level under the directionof the Project Manager to provide guidance on the flow of technical data fromthe participant organizations to the Project TDB. The TDAG also assists inguiding the development of the RIB relative to data that reside in the TDB orwith individual participants.

3.11 TECHNICAL DATA MANAGER

The TDM is the member of the Project Office staff who has responsibilityfor managing technical data for the Project. The TDM is the chairperson ofthe TDAG.

3.12 TDAG MEMBER

TDAG membership includes representatives who are designated by theTechnical Project Officers (TPOs) at the Project Manager's request to serveon the TDAG, the TDAG chairperson, the administrators of the RIB and the TDB,and others as requested by the TDAG chairperson.

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4.0 RESPONSIBILITIES

4.1 RIB ADMINISTRATOR

The RIB administrator is responsible for maintaining a status log ofproposed RIB changes and for ensuring that proper documentation of the RIBdevelopment activity is filed within the Project Records Management System.The RIB administrator is also responsible for evaluating proposed RIBchanges, providing summaries of these evaluations to the TDM, initiating andmaintaining RIBCD files through completion, and coordinating the preparationand review of RIB Information Items in a timely manner. The RIBadministrator ensures that proposed changes to the RIB are submitted throughthe baseline change control process and that disposition directives resultingfrom that process are completed. The RIB administrator is a member of theTDAG.

4.2 RIBCR ORIGINATORS

The originator of a proposed change to the RIB is responsible forpreparing and submitting a RIBCR which describes the change. Originatorsassist the RIB administrator in developing and resolving comments on RIBInformation Items that are prepared as a result of the change request.Originators are also responsible for providing adequate documentation of theorigin of information proposed for inclusion in the RIB.

4.3 TDAG

The TDAG is responsible for identifying Project technical baseline dataneeds and for determining whether needed data are in the Project TDB in anacceptable form and with sufficient documentation. The TDAG directs thecollection and submittal of needed data to the TDB when the data are not inthe TDB and originates RIBCRs when data in the TDB have been identified asbaseline data for submission to the RIB.

4.4 TDM

The TDM has responsibilities for managing Project technical data andinformation for the Project Office. These responsibilities include chairingthe TDAG meetings, providing comments to the RIB administrator on theevaluation and disposition of RIBCRs as necessary, and resolving any reviewcomments on draft RIB Information Items that the RIB administrator andreviewer cannot resolve.

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5.0 PROCEDURE

A flow chart that provides a diagram of the processing of proposed RIBchanges is given as Exhibit 5 of this plan. The procedure is subdivided intofive elements, as follows:

1. The process for identifying RIB Information Item needs andoriginating RIBCRs.

2. The process for dispositioning RIBCRs by the RIB administrator.

3. The process of developing RIB Information Items for baseline changeconsideration.

4. The process steps taken by the RIB administrator after BCPs havebeen submitted.

5. The processing by the RIB administrator in association withdistribution of approved changes to the baselined RIB.

5.1 INITIATING RIB CHANGES - THE RIB CHANGE REQUEST

5.1.1 An RIBCR (Exhibit 1) shall be used by Project staff to initiateconsideration of changes to the RIB. Blank forms may be obtained from theRIB administrator at SNL or the TDM at the Project Office.

5.1.2 To allow orderly and controlled progress, RIBCRs shall be submitted tothe RIB administrator by any Project individual who identifies data orinformation needs that should be incorporated into the RIB. The RIBadministrator or a participant's TDAG member may be contacted for assistancein the preparation of a RIBCR. RIBCRs that are prepared and submitted byinterparticipant working groups shall be submitted by a specific individualfrom that group, who will serve as the primary contact with the RIBadministrator.

5.1.3 RIBCRs should clearly describe the proposed change and provide ajustification for making the changes. If known, possible information sourcesor individuals responsible for providing the information should beidentified.

5.2 RIB CHANGE REQUEST PROCESSING BY THE RIB ADMINISTRATOR

5.2.1 Upon receipt of an RIBCR, the RIB administrator shall initiate anRIBCD form (Exhibit 2) and open an associated RIBCD file, assign a controlnumber for the proposed change, and make a corresponding entry in the status


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log, which shall be maintained for tracking the status and disposition of allproposed changes.

5.2.2 The RIB administrator shall evaluate the change proposed by the RIBCRand determine whether to continue development of the requested change. Thisevaluation should consider the appropriateness of new data or information forinclusion in the technical baseline, the availability of requested data orinformation, staff resource requirements, and possible developmentstrategies.

5.2.3 For proposed changes approved for further processing, the RIBadministrator will update the RIBCD form and status log to indicate thisdecision and will inform the RIBCR originator of this decision to furtherprocess the information. A development and review strategy will also bedefined as part of the evaluation. Processing shall continue as described inSubsections 5.2.5 and 5.3.

5.2.4 For proposed changes that are determined to be inappropriate or thatcannot be developed in a timely manner, the RIB administrator shall indicatethis decision and the reasons for it on the RIBCD form and shall update thestatus log accordingly. The originator of the RIBCR shall be informed ofthis determination. The RIBCD file will subsequently be closed and processedthrough the RIB filing system. If the originator disagrees with thedecision, a new, modified RIBCR may be submitted.

5.2.5 The RIB administrator shall provide periodic status reportssummarizing the evaluations of proposed changes to the TDM. Comments on theevaluation and the disposition of the proposed changes that are returned bythe TDM will be incorporated in the development process.

5.3 PREPARATION OF RIB CHANGES FOR BASELINE CONSIDERATION

Processing of proposed RIB changes for consideration as baseline changesinvolves the preparation and review of the associated RIB Information Item(s)following the development strategy outlined above, an evaluation of theimpacts of the proposed change, and the preparation of a BCP. The steps inthis process are the subject of this section.

5.3.1 Development of Draft RIB Information Items

5.3.1.1 The RIB administrator shall ensure that the RIBCD file includessufficient documentation of the processing of proposed RIB changes. Eachfile will include, for example, an RIBCD form; the initiating RIBCR;documentation of the review, comment resolution, and impact evaluationprocess steps; a copy of the resulting RIB Information Item(s); and adequatedocumentation of the sources of information.

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5.3.1.2 The RIB administrator shall coordinate the development of each draftRIB Information Item following the development strategy defined in Subsection5.2.3. This strategy may be modified to reflect comments received from theTDM or to complete the development process, as needed. The informationdevelopment process is concerned with determining the current state ofinformation available to tHe Project relevant to the proposed change;compiling this information in an acceptable format; preparing a concisedescription of the information sources, major assumptions, and limitations;and satisfying documentation requirements. All relevant data from the TDBshould be considered in the development of information for the RIB. Projectsite data used in the development of RIB information should be verified ashaving been submitted for entry into the TDB. Included implicitly in thisprocess is the satisfaction by participant staff members of participantrequirements such as those related to quality assurance and to thedefinition,documentation, and review of analyses.

5.3.1.3 A number of development strategies are used for developing RIBchanges, including independent abstraction of reference information fromidentified publications and the collection of specific information throughinteractions with individual staff members or working groups. The develop-ment process may require a coordinated effort between several participants.

5.3.2 Review of RIB Information Items

5.3.2.1 Following development of the draft RIB Information Item(s), the RIBadministrator shall distribute RIBCE forms (Exhibits 3 and 4) and copies ofthe draft RIB Information Item(s) for review, as specified by AP-3.3Q. Thereview process will include a review by the appropriate quality assuranceorganization for satisfaction of quality assurance requirements and will bedocumented by the RIBCE form. The RIB Administrator will also providereviewers with the appropriate evaluation criteria specific to the materialunder consideration. The RIB Administrator shall determine the disciplinesto be used to accomplish the review, establish minimum qualifications (e.g.,education, experience, and independence) needed by reviewers, and obtainsuitable documentation of reviewers' qualifications. Certain changes may beintroduced by the RIB administrator for which review may not be required.Corrections of minor typographical errors and overall format changes areexamples of changes that would not require a full review.

5.3.2.2 Reviewers shall review the draft RIB Information Item(s) and provideformal comments on the RIBCE form, which will serve as the record of thereview and comment resolution process. Completed RIBCE forms shall bereturned to the RIB administrator within a specified time period.


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5.3.2.3 Reviewers shall indicate on the RIBCE form the nature of each com-ment provided. Comments fall into one of two types: (1) essential commentsthat require completion of the comment resolution process and (2) suggestionsthat are left to the discretizon of the RIB administrator. Reviewers willprovide a proposed resolution for each essential comment.

5.3.2.4 The review should focus on the adequacy, correctness, and clarity ofthe information and on the usefulness of the presentation format. In mostcases, the information presented in a RIB Information Item has undergone anearlier review and approval cycle (e.g., for publication or as an inherentpart of the information development process). The RIB Information Itemreview is primarily intended to minimize errors introduced during theabstracting, compiling, and summarizing of information obtained from theinformation sources.

5.3.3 Resolution of Review Comments

5.3.3.1 Essential comments submitted on RIBCEs shall be resolved by the RIBadministrator with individual reviewers, and if necessary, the originator ofthe proposed change. The RIB administrator shall indicate on the RIBCE theacceptance or rejection of each comment; provide suggested resolutions orreasons why comments were rejected, as appropriate; and return the RIBCE tothe reviewer for concurrence. Comments requiring the incorporation ofsignificant additional information or the replacement of information shouldbe introduced as the subject of a new RIBCR, which the RIB administrator maysuggest as a comment resolution option.

5.3.3.2 Reviewers shall indicate their acceptance or rejection of the RIBadministrator's proposed resolutions of essential comments on the RIBCE andreturn the completed RIBCE to the RIB administrator in a timely manner. If asatisfactory resolution cannot be obtained, a summary shall be provided bythe RIB administrator to the TDM, who will make the final determination.

5.3.3.3 Following comment resolution, the RIB administrator shall update theRIBCD form and the associated draft RIB Information Item(s). Reviewers shallbe provided with copies of their completed RIBCE forms.

5.3.4 Disposition of Proposed RIB Changes

5.3.4.1 The RIB administrator shall ensure that an evaluation of the impacts(as defined by AP-3.3Q) of the proposed baseline change is made and isindicated on the RIBCD form.


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5.3.4.2submittedcontrol.

The RIBaccordingCompletion

administrator shall ensure that a BCPto the process described by AP-3.3Q for

of this action shall be indicated on the

is prepared andbaseline changeRIBCD form.

5.4 PROCESSING OF RIB INFORMATION ITEMS SUBMITTED FOR BASELINE CONSIDERATION

The baseline change process isControl." This subsection describesfinal disposition of BCPs, to be taken

described in AP-3.3Q, "Baseline Changethe actions, which are relevant to theby the RIB administrator.

5.4.1 For approved BCPs, the RIB administrator shall prepare a camera-readycopy of each RIB Information Item that has been approved as a baseline changeand shall forward the RIB Information Item to the document control personnelof the T&MSS contractor in preparation for distribution.

5.4.2 For disapproved BCPs, the RIB administrator shall update the RIBCDform, include a copy of the completed BCP form in the RIBCD file, andcomplete processing the RIBCD file.

5.4.3 For conditionally approved BCPs, the RIB administrator shall takeaction as requested by the Baseline Change Directive (BCD) for satisfying theapproval conditions.

5.4.4 Subsequent to the actions given by 5.4.1, 5.4.2, and 5.4.3, the RIBadministrator shall update the RIBCD file to document this action and forwarda copy of the completed RIBCD form to the change originator.

5.5 DISTRIBUTION OF APPROVED RIB CHANGES

5.5.1 The release of RIB Information Items approved as baseline changesshall be coordinated between the RIB administrator, the CMO, and the documentcontrol personnel of the T&MSS contractor. The RIB administrator shall makeany necessary changes to the RIB table of contents, topic index, or othersimilar parts of the RIB and shall forward the associated camera-ready pagesto the document control personnel for distribution in accordance withAP-l.5Q, "Issuance and Maintenance of Controlled Documents."

5.5.2 A RIBCD file containing copies of the pages approved for distributionshall be prepared and processed through the RIB filing system.

6.0 REFERENCES

AP-1.5Q, Issuance and Maintenance of Controlled Documents.AP-3.3Q, Change Control.


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AP-5.2Q, Technical Information Flow To and From the Yucca MountainProject Technical Data Base.

NNWSI/88-4 NNWSI Configuration Management Plan.YMP/88-24 Yucca Mountain Project Technical Data Management Plan.

7.0 APPLICABLE FORMS

RIB ChangeRIB ChangeRIB ChangeRIB Change

Request Form N-QA-071 (Exhibit 1)Development Form N-QA-070 (Exhibit 2).Evaluation Form N-QA-069 (Exhibit 3).Evaluation Continuation Form N-QA-069 (Exhibit 4).

8.0 RECORDS

8.1 Records of the preparation and processing of changes proposed to the RIBwill be submitted to the Project Records Management System through the LocalRecords Center at SNL. These records shall include: (1) completed RIBCRsfor proposed changes that are rejected for further development (Sec. 5.2.4),(2) RIBCR evaluation summaries and TDM comments, and (3) completed RIBCD

files.

8.2 RIBCD files are the basic record package of RIB change processing andinclude at a minimum the RIBCD form, originating RIBCR, RIBCE forms, a copyof the draft RIB Information Item(s), and copies of the BCP and BCD forms.RIBCD files also contain identification of information sources and anyrelevant supporting information identified by the RIB administrator asnecessary to ensure a traceable record of the development process.

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N-OA-071YUCCA MOUNTAIN PROJECT

REFERENCE INFORMATION BASECHANGE REQUEST FORM

Description of and Justification for Change:

Exhibit 1. Example of RIB Change Request Form.

of

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N-OA-070YUCCA MOUNTAIN PROJECT

REFERENCE INFORMATION BASECHANGE DEVELOPMENT FORM

Exhibit 2. Example of RIB Change Development Form.

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AP-5.3Q INFORMATION FLOW INTO THE ROJECT REFERENCE INFORMATION BASE

Example of RIB Change Evaluation Form.Exhibit 3.1/11/89 of0 13 16 AP-5.3Q


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Exhibit 4. Example of RIB Change Evaluation Continuation Form.


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SECTION

ORIGINATOR IDENTIFIESNEED FOR RIB CHANGE

Exhibit . Processing of Proposed RIB Changes Flow Chart.

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PROCESSING OF PROPOSED RIB CHANGES(CONCLUDED)

SECTION

Exhibit 5. Processing of Proposed RIB Changes Flow Chart (continued).

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