&EPA
               $(•<••
            Environmental Protection
               Oซ'Cป of
               Solid vvซstซ •od
DIRECTIVE NUMBER:  9028.00
TITLE: OSWER'S System Life*Cycle Management Guidance

APPROVAL DATE:  07/29/88
EFFECTIVE DATE:  07/29/88
ORIGINATING OFFICE:  Osw
Q FINAL
D DRAFT
  STATUS:
                           t
                   A- Pending OMB approval
              t  j   B- Pending AA-OSWER approval
              [  ]   C- For review &/or comment
              '[  ]   D- In development or circulating
REFERENCE (other documenti):       headquarters
                                              Protection
                                  .,  :   r, L-brarv (5PL-16)
                                  230 ''-" "arbol-n Street, Rooซ 1670
                                  Chicaeo,
                                           60604
                                            ncwec
  DIRECTIVE    DIRECTIVE

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       v>EPA
           Jmtec Stales Environmental Protection Agency
                  Wash/notcn. DC 20460
OSWER Directive  Initiation Request
                    1  Directive Numoer
                        9028.00
                                    2. Originator Information
       Name of Contact Person
          Asa  R.  Frost, Jr.
                   Mail Code
                    OS-110
Office
 OPMT/IMS
Telephone Coae
   475-6760
       3. Title
           OSWER'S SYSTEM LIFE CYCLE MANAGEMENT GUIDANCE
       A Summary of Directive (inciuCe brief statement of purpose)
       The Guidance for information systems provides a structured approach  for  the solution of
       information management problems, particularly those  that require consideration of
       automated  systems.  The Guidance explains the importance of life cycle management and
       describes  the progression of the life cycle in terms  of the activities and products
       required for each phase of the  life cycle.
       5. Keywords
       Automation, baseline information  standards, data,  data management,  guidance
       oa. uoes This Directive Supersece Previous Directive^)7
       b Cces it Supplement Previous Directive(s)''
                                           X
                                               No
                                     Yes   What directive (number, title)
                                     Yes   What directive (number, title)
      7 Craft Level
           A- Signed by AA/DAA
              8 -• Signed by Office Director
       C -- For Review & Comment
         D - In Development
8.
Document
to
be
distributed
to
States
by
	 , 	 _. , 	
Yes
X J No

       This Request Meets OSWER Directives System Format Standards.
      3 Signature of Leaa Office Directives Coordinator
                                                   Dale
      10. Name
                                                                     Date
                                                                                      .
                                                                                  w
      EPA Form 1315-17 (Rfev. 5-87) Previous ecitions are obsolete.
   OSWER           OSWER                OSWER                O
VE     DIRECTIVE          DIRECTIVE        DIRECTIVE

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                                                     OSWER Dir. // 9028.00
    a^O Sr,^

         \        UNITED STATE
          I                   WASHINGTON. D.C. 20460
f mm  4        UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                                   JUL 2 9 ,'c=s

                                                      SOLlO WASTE ANO EMS^G:

MEMORANDUM

SUBJECT:     OSWER's Life Cycle Management Guidance  for  Information
             Systems - Directive  No. 9^28.00

FROM:     f  J. Winston  Porter
              Lssistant Administrator
TO:          OSWER Office Directors
             Regional Waste Management Division  Directors
                         *
     This memorandum establishes  the  policy  of the  Office  of  Solid
Waste and Emergency Response  concerning  OSWER's  Life  Cycle Management
Guidance for information systems  - OSWER Directive  No.  9028.00.

Purpose of the Guidance

     OSWER's'Life Cycle Management Guidance  for  information systems
provides a structured approach for the solution  of  information
management problems, particularly those  that require  consideration  of
automated systems.  It addresses  the  determination  and  accomplishment
of the solution and, for automated systems,  also addresses the
ongoing management and support of the system.

     The Guidance has two objectives:

         To explain the importance, objectives,  and benefits  of
         information system life  cycle management to  all potential
         participants in the  life cycle;

         To describe the progression  of  the  life cycle  through
         individual phases and stages, in terms  of  their respective
         objectives, activities,  decisions,  and  products,  and to
         describe the relationships among the phases  and stages.

     This Guidance has been developed to address a  wide range of
information systems, including modeling  and  expert  systems.  Systems
that support OSWER programs vary  greatly in  size, scope of
application, complexity of processing, technologies used,  and the
methodologies and tools used  to support  the  evolution of the  system

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                                                     OSWER Dir.// 9028.00
                                  -2-
from initial problem statement through the operation and ultimate
termination of the system.  Such variation reflects the diversity of
OSWER programs.  Thus, this Guidance does not prescribe a single
method, or present a "cookbook" approach applicable without change to
every system.  Rather, it presents a structured, disciplined approach
for solving problems, and for selecting and using the methods, tools,
and techniques appropriate to each problem.

foJJ.cy

     All information systems, which are intended for use by an OSWER
organization or for use by a Regional office in support of an OSWER
program, must be developed in compliance with OSWER's Life Cycle
Management Guidance for information systems.  This includes systems
funded by the OSWER budget or funded by other EPA offices in support
of OSWER.  It also includes systems developed under OSWER mission
support contracts, even those systems incidental to the major purpose
of a contract.

    The policy is effective from the date of this memorandum.

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                       OSWER DIR.tf9028.00
  OFFICE OF SOLID WASTE
AND EMERGENCY RESPONSE
          (OSWER)

    SYSTEM LIFE CYCLE
  MANAGEMENT GUIDANCE

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                                                              OSWER DIR.//9023.00
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                                                 OSWER DIR.09023.00
          OFFICE OF  SOLID WASTE AND EMERGENCY  RESPONSE
              SYSTEM LIFE CYCLE MANAGEMENT GUIDANCE
                        TABLE OF CONTENTS

.Part 1; Overview                                            Page
1.  Introduction                                              1-1
2.  Overview of the System Life Cycle                         2-1
3.  Key Principles                                            3-1
    Appendix A                                                A-l
Part 2: Description
1.  Phase I: Initiation                                       1-1
2.  Phase II: Concept                                         2-1
3.  Stage III-A: Definition                                   3-1
4.  Stage III-B: Design                              •         4-1
5.  Stage IV-A: Development                                   5-1
6.  Stage IV-B: Implementation                                6-1
7.  Stage V-A: Production                                     7-1
8.  Stage V-B: Evaluation                                     8-1
9.  Stage V-C: Archive                                        9-1
10. Crosscutting Considerations                             10-1
    Appendix A: Glossary                                      A-l
    Appendix B: Product Outlines                              B-l
Part 3: Practice Papers
    System Life Cycle Reviews and Approvals
    Project Management Plan
    Data Management Plan
    Project Participation
    Configuration Management

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                       OSWER DIR.#9028.00
  OFFICE OF SOLID WASTE
AND EMERGENCY RESPONSE
          (OSWER)
    SYSTEM LIFE CYCLE
  MANAGEMENT GUIDANCE

       Part 1: Overview


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OSWER DIR.#9023.00

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                                               OSWER DIR.//9028.00
          OFFICE OF SOLID WASTE AND  EMERGENCY  RESPONSE
              SYSTEM LIFE CYCLE MANAGEMENT GUIDANCE
                        TABLE OF CONTENTS

Part It Overview                                             Page
1.   Introduction                                             1-1
2.   Overview of the System Life Cycle                  ,      2-1
3.   Key Principles                                           3-1
     Appendix A                   .                            A-l
     Appendix B                                               B-l

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OSWER DIR.//9023.00

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                                                OSWER DIR.#9028.00
                        1.   INTRODUCTION
1.1.  Purpose  of  this  Guidance.     OSWER's  System  Life Cycle
Management  Guidance  provides  a  structured  approach  for  the
solution  of  information management problems,  particularly those
that  require  consideration  of automated systems.   It addresses
the  determination  and  accomplishment  of the solution and, for
automated  systems,  also  addresses  the  ongoing management and
support of. the system.

      This Guidance has two objectives:

      o  To  explain  the importance, objectives,  and benefits of
         system   life   cycle   management   to   all  potential
         participants in the system life cycle.

      o  To  describe  the  progression of the  life cycle through
         individual   phases   and  stages,  in  terms  of  their
         respective   objectives,   activities,   decisions,  and
         products,  and  to  describe the relationships among the
         phases and stages.

      This Guidance has been developed to address  a wide range of
information  systems,  including  modeling  and  expert  systems.
Systems  that  support OSWER programs vary greatly in size, scope
of  application, complexity of processing, technologies used, and
the  methodologies and tools used to support the evolution of the
system  from  initial problem statement through the operation and
ultimate  termination of the system.  Such variation reflects the
diversity  of  OSWER  programs.    Thus,  this   Guidance does not
prescribe  a  single  method,  or  present  a "cookbook" approach
applicable without change to every system.  Rather,  it presents a
structured,  disciplined  approach  for solving problems, and for
selecting   and   using   the   methods,  tools,  and  techniques
appropriate to each problem.

1.2.  Authority.    This  Guidance  has  been  prepared under the
following authorities:

      (1)  The  Paperwork  Reduction  Act  of  1980  (Public  Law
           96-511, as amended);

      (2)  The Brooks Act (Public Law 89-306);

      (3)  Office of Management and Budget Circulars A-109  (Major
           Systems   Acquisitions),   A-123   (Internal   Control
           Systems), and A-130 (Management of Federal Information
           Resources);
      (4)  Federal  Information  Resource  Management  Regulation
           (FIRMR);
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                                                OSWER DIR.//9028.00
       (5)  National   Bureau  of  Standards  Federal  Information
           Processing  Standards  Publications 38 (Guidelines for
           Documentation  of Computer Programs and Automated Data
           Systems), 64 (Guidelines for Documentation of Computer
           Programs and Automated Data Systems for the Initiation
           Phase),   101  (Guideline  for  Lifecycle  Validation,
           Verification,  and  Testing of Computer Software), and
           105  (Guideline for Software Documentation Management);
           and

       (6)  EPA  Information Resources Management Policy Manual.

 1.3.   Scope.  This Guidance should be utilized on all information
 systems  projects  that  relate  to OSWER programs.  However, the
 specific   participants  in  the  life  cycle  process,  and  the
 necessary  reviews  and  approvals, vary from project to project.
 These  are explained in Part 3 of this Guidance, Practice Papers.

 1.4    Benefits  of  System  Life  Cycle  Management.  System life
 cycle  management  represents  the  accumulation .of many years  of
 experience  by  information  management  professionals,  and many
 lessons  learned.    OSWER's  Guidance builds on this experience,
 taking advantage of other organizations' experience and  resulting
 guidance as well as experience specific to OSWER.  It is intended
 to help ensure  that each information system project is successful
 and  avoids   learning (or relearning) the pitfalls and lessons  of
 information   systems  the  hard  way.  Specific .benefits -expected
' include:

       o  Ensuring   full   consideration  of  the  OSWER   program
         environment/    and    associated    system   and  data
         requirements, from project initiation through the entire
         life of the system;

       o  Providing   early   identification   of   technical  and
         management   issues,   thus   avoiding    investments   of
         resources in impractical or infeasible system features;

       o  Providing   an   early  view  of  total   resource  needs
         (including resources needed for continued operations)  to
         ensure that  decisions  regarding   system   capabilities
         consider  the  full  cost  of  these  capabilities,  and
         refining this view throughout the life cycle;

       o  Postering  realistic  expectations by the user  community
         (program managers and staff) of what the  system will  and
         will not accomplish;

       o  Providing  a balanced consideration  of the programmatic,
         technical,  and management, and cost aspects of proposed
         system modifications;
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                                                OSWER DIR.tf9023.00
      o  Encouraging  periodic  evaluations  to  identify systems
         which  may  no longer effectively support program needs,
         or may consume disproportionate resources;

      o  Providing  clear measures of system progress and status,
         to enable effective corrective action if needed; and

      o  Providing  much  of  the  information  needed to support
         information   resources   management  planning  and  the
         development of IRM budget requests.

1.5   Organization  of  System  Life  Cycle  Management Guidance.
This Guidance is organized into three parts as follows:

      o  Part   1,  System  Life  Cycle  Management  Overview  —
         Describes  the benefits and key principles of life cycle
         management  and  provides  a  summary of the system life
         cycle   in  terms  of  the  objectives,   decisions,  and
         products  for  each  phase  and  stage.     Part  1  also
         identifies  certain  important functions that cut across
         the entire life cycle.

      o  Part  2,  System  Life  Cycle  Management Description —•
         Provides  a  detailed  description  of  the  objectives,
         activities,  decisions,  and products of each life cycle
         phase and stage, and presents a life-cycle wide synopsis
         of key crossc.utting considerations.  Includes .a glossary
         and   comprehensive   outlines   of  system  life  cycle
         products.

      o  Part  3, System Life Cycle Management Practice Papers —
         Provides  more in-depth guidance on topics of particular
         importance  to  OSWER.   Each practice paper addresses a
         single topic related to the implementation of life cycle
         management,  ranging  from  the reviews and approvals of
         life cycle products to potential tools and methodologies
         for  particular  life  cycle activities.  Part 3 of this
         Guidance  will  be  revised  and  expanded  over time to
         reflect  OSWER's  needs  and  experience in implementing
         system life cycle management.

1.6.  Related  Guidance  and  Standards.   This Guidance has been
developed to incorporate the direction provided by the EPA System
Design  and  Development  Guidance  prepared  by  the  Office  of
Information  Resources  Management (OIRM).  Projects conducted in
accordance  with  the OSWER System Life Cycle Management Guidance
will be in full conformance with the OIRM Guidance.  OIRM and the
National  Data  Processing  Division  (NDPD)  issue  guidance and
standards for the use of specific software products, which are to
be followed by any project that utilizes those products.
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                                                 OSWER DIR.//9028.00
      This  Guidance  also  reflects OSWER1s  emphasis  on improved
data  administration  within  the  life  cycle.     Specific  data
administration   practices  are  described  in   Part   3   of  this
Guidance.
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                                                 OSWER DIR.09028.00
              2.  OVERVIEW OP THE SYSTEM LIFE CYCLE
2.1. Introduction.

     Life  cycle  management  represents a structured approach to
solving  an information management problem.  It addresses a broad
range  of activities, starting with the initial identification of
the problem, progressing through the building or acquisition of a
solution,  and  ending with the final disposition of the solution
at  the  end  of its useful life.  In many instances the solution
will  take the form of an automated information system.  However,
OSWER's  view  of system life cycle management does not assume an
automated  solution; it focuses first on the problem to be solved
and then on the solution.

     OSWER's practice of system life cycle management is intended
to be flexible in nature.  This Guidance provides the flexibility
to   select   the  methods,  tools,  and  technologies  that  are
appropriate  to  solving each information management problem, and
permits  refinement  of the basic life cycle as appropriate for a
given  problem.    However,  this  flexibility  exists  within  a
framework that requires the active participation of OSWER program
managers  and information management professionals throughout the
life cycle.
                                          •
     This  section  provides an overview of the OSWER system life
cycle.     It  briefly describes the overall structure of the life
cycle in terms of specific phases and stages, with a focus on the
objectives,  key  decisions,  and products of each.  This section
also  highlights  certain topics that are crosscutting in nature.
A  more  detailed  description  of  the  life  cycle, including a
description  of  the  activities  performed  in  each  stage,  is
presented in Part 2 of this Guidance.


2.2. Life Cycle Structure.

     The  system  life  cycle consists of five major phases, with
the largest phases divided into two or more stages.  These phases
and stages are as follows:

Phase                             Staqe(s)
Initiation                        Initiation
Concept                           Concept
Definition and Design             Definition
                                  Design
Development and Implementation    Development
                                  Implementation
Operation                         Production
                                  Evaluation
                                  Archive

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                                                OSWER DIR.//9023.00
Exhibit  2-1  illustrates the structure of the system life cycle.
Fallowing it is a brief summary of each life cycle phase.

     o   Initiation  —  Identifies  the  information  management
         problem  to  be  solved,   with  a focus on the pertinent
         information,   organizations  experiencing  the  problem,
         timeframe  available  for establishing the solution,  and
         overall value of the solution.

     o   Concept — Provides a high-level, comprehensive model of
         the solution to the problem,  which will guide the effort
         in  subsequent  phases.    This phase defines high-level
         functional   and   data   requirements   and   evaluates
         alternative   solutions  to  these  requirements.    The
         solutions   address  all   aspects  of  the  system:   the
         information   to  be  processed;  functional  processing
         capabilities;  hardware,  software, and communications to
         be  used;  and project organization and staffing through
         the end of the system life cycle.

     o   Definition and Design —  Provides a detailed description
         ofthe information and processing capabilities required
         of  the  system, and subsequently a detailed description
         of How the system will provide these capabilities.  This
         phase addresses the details of manual procedures as well
         as automated components of the system.

     o   Development and Implementation -- Acquires or builds the
         system  in  accordance  with  the prescribed design,  and
         installs  the  system  in  the production environment in
         which  it  will  be  available to the users.  This phase
         also  converts  needed  data  into  the  new system,  and
         trains users and system support staff prior to the start
         of full system operation.

     o   Operation  —  Provides  the  full  capabilities  of the
         system  to  the  users,  and  ensures  adequate  ongoing
         support  for  the  system.    This phase includes system
         modifications,   periodic   formal  evaluations  of  the
         system,  and  the ultimate termination and archiving the
         system at the end of its  useful life.

     The  duration of each phase and stage, and associated levels
of   effort,  will  vary  considerably  from  system  to  system.
However,  the  relative  duration  of each stage for many systems
will follow the progression outlined below:
                               2-2

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                                                OSWER DIR.#9028.00
     Phase/Stage            Duration

     Initiation             Very short
     Concept                Short to moderate
     Definition             Moderate to Long
     Design                 Moderate to long
     Development            Moderate to long
     Implementation         Moderate
     Production             Very long
     Evaluation             Very short
     Archive                Short to moderate

     Application  of systems analysis, design,  and/or development
tools  will  tend  to  reduce the duration of the stages in which
they  are  used,  potentially  as  early  as  the  Concept phase.
Certain  methodologies  and  tools, such as those associated with
program  code  generators,   will  also tend to  alter the relative
duration of different stages.

     For some information management problems and systems, it may
be  desirable to alter the life cycle structure.   For very simple
systems  (e.g.,  single-user applications), it  may be appropriate
to  combine  parts  of  phases  or  stages.    For projects using
iterative methodologies such as rapid prototyping, some phases or
stages may overlap.  For very large or complex  systems, it may be
appropriate  to  divide the system into major subsystems or other
partitions and manage the evolution of each subsystem through its
own  'life  cycle.    For  these  systems, it will be important to
develop  project  team  structures and other mechanisms to ensure
effective  coordination across subsystems.  In tailoring the life
cycle to suit a particular situation, three considerations are of
particular importance:

     o   The  tailoring  of  the  life  cycle  is  to  be clearly
         documented  in  the  Project  Management  Plan  for  the
         system.

     o   All decisions regarding project approach, execution, and
         continuation  are  to  be  made explicitly  (i.e., not by
         default  or  accident), and no later than the completion
         of the corresponding stage in the life cycle.

     o   System  reviews  and  approvals  are  to be specifically
         included  in  any  tailoring of the life cycle to ensure
         appropriate   program   management   participation   and
         oversight.     As  appropriate/  reviews  and  approvals
         designated  in  this  guidance  may  be  consolidated to
         reflect   the  consolidation  of  individual  stages  or
         phases.

     The OSWER system life cycle has been structured to provide  a
fair  degree  of  flexibility  in  solving information management
problems.   Tailoring should be well  thought out, documented, and
approved in advance.  New project managers,  in particular, should


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                                                 OSWER DIR.//9028.00
 consult the program office  Information Management Coordinator, or
 the  Office  of  Program  Management  and Technology,  Information
 Management Staff, for guidance  in tailoring  the life cycle to the
 needs of specific projects.

 2.3. Overview of Life Cycle Phases and Stages.

     Exhibits  2-2 through  2-10  illustrate the nine stages of the
 system  life  cycle.    For  each stage the  corresponding exhibit
 identifies  its  objectives,  key decisions, and products.  These
 topics, and the activities  performed  in each stage, are described
 in greater detail in Part 2 of  this Guidance.

     2.3.1.    Objectives.  The  objectives represent the expected
 major accomplishments of a  life  cycle stage.  Each stage has from
 one to five objectives.

     2.3.2.     Key  Decisions.    The  key  decisions  represent
 significant  issues to be resolved by the project team during the
 life cycle stage.  Some decisions will require program management
 approval.   There are three types of decisions: project approach,
 project execution, and project continuation.

     o   Project  approach  decisions address the organization of
         the  project,  methods  and  tools  to  be used, and the
         participants   in  project  activities  such  as  system
         acceptance testing, reviews, and approvals.

     o   Project   execution  decisions  address  the  scope  and
         specific  features  of  the  system.    These  decisions
         address  programmatic,  technical,  and  system  support
         related issues.

     o   Project  continuation   decisions address issues relating
         to   the   continued    need   for   the  system  and  the
         availability of funding and other needed resources.

     Some  decisions may be very simple, while others may require
 a great deal of effort; but they must all be addressed explicitly
 to  ensure  that  they are made  in a well-reasoned manner, rather
 than  being  overlooked  or  made by default.  How well all three
 types of decisions are made, and the timeliness of decisions, are
 crucial   to   the  system's  ultimate  success  in  solving  the
 information management problem.

     2.3.3.   Products.  Typically,  many products are produced in
 the  course of the system life cycle.  Very  few of those products
 remain  unchanged  throughout  the system life cycle.  Some, like
 the  Project Management Plan,  evolve continuously during the life
cycle;   others,   like  the System Concept, are revised to reflect
 the results of analyses performed in later stages.  This Guidance
 identifies  the  products  generated during  each stage, including
potential updates to products generated during prior stages.  For
each,   the Guidance presents a topical outline (see Part 2 of the


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                                                OSWER DIR.//902S.OO
Guidance).     Although  it  is not always necessary to follow the
outline precisely,  it is important to document the subject matter
contained  in each  outline.   Some analytic methodologies or tools
provide  documentation  or  other  output corresponding to all or
part of a life cycle product;  in such cases,  these outputs should
be  used  to  satisfy  the  corresponding portion of the outline,
supplemented by other documentation as appropriate.

2.4. Croascuttinq Considerations.

     There   are  a  "number of  concerns which  exist throughout the
life  cycle for every system,  and which are addressed in multiple
phases  or   stages.   These concerns are summarized below and are
discussed in greater detail in Part 2 of this Guidance.

     o  Project  Management Plan.  The Project Management Plan is
        the  crucial  document  of  the system life cycle.  It is
        first  produced  in the Initiation phase, and is updated,
        expanded,  and  refined  continually   throughout the life
        cycle.      It   covers   project  scheduling,  staffing,
        resources,   adjustments  to  the  life  cycle  structure,
        selection  of  tools and methodologies, identification of
        applicable     reviews     and   approvals,   configuration
        management   methods,  and  other  related  topics.    The
        Project Management Plan is subject to review and approval
        by  OSWER program management.

     o  Project  Reviews/Quality.  Assurance.    Formal  .project
        reviews  and  other  quality  assurance  activities  are
        conducted throughout the system life  cycle to ensure that
        the  system  ultimately  established  is sound programmat-
        ically,  technically,   and  from a  system  management
        perspective.   Reviews help to ensure that key issues are
        identified    and  addressed  appropriately  as  early  as
        possible  in  the  life  cycle, to avoid major, expensive
        rework  in  later stages.  Reviews provide feedback to the
        project  team  and  also  advise  program  management  in
        support  of   required   system   approvals.    Specific
        organizations  and  individuals who are to participate in
        project  reviews  and  related  activities are designated
        early  in the life cycle, and are selected to reflect the
        nature  of   the  information  management  problem and the
        recommended solution.

     o  Project  Approvals.  Formal approvals occur at designated
        points  in   the  life cycle to confirm program management
        support  of   the  project  and  the  resulting  system.
        Conducting   reviews  and  obtaining  approvals is not the
        goal of the life cycle process, but a is key means to the
        desired  end:   successfully   solving   an  information
        management   problem.    Program  management approvals are
        obtained   in   all   stages   from   Initiation  through
        Implementation.   The specific selection of organizations
        and  individuals  to  provide  approvals   for  a specific


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                                            OSWER DIR.#9028.00
   project  is tailored to meet the specific characteristics
   of  the  information  management problem and the proposed
   solution.

o  Configuration    Management.      Continual,   consistent
   documentation  of  the  development  and evolution of the
   system  is  essential to ensure that at all points in the
   system   life  cycle,  key  analyses  and  decisions  are
   recorded,  the  system  can  be accurately described, and
   there  is consensus on what is required and what has been
   delivered.  Configuration management serves to maintain a
   controlled  library  of  life  cycle  products (automated
   products  such as software as well as documentation), and
   to   provide   a   process   for  the  consideration  and
   disposition of requested modifications to the system.

o  Data  Administration.   To ensure effective management of
   OSWER's  data  resources,  all  systems  are  created and
   maintained in accordance with OSWER's data administration
   policy  and practices.  Life cycle activities are carried
   out   consistent  with  the  existing  and  planned  data
   management  environment, and data administration concerns
   are addressed at all phases of the life cycle.

o  Methodologies   and  Tools.    All  systems  created  and
   maintained by OSWER. use clearly articulated methodologies
   and  modern system development (and maintenance) tools to
   the  greatest  extent  practical.    These are identified
   early  in  the  life  cycle to ensure their compatibility
   across  phases  and  stages.    Specific  selections  are
   confirmed  in subsequent stages as appropriate.  However,
   no  methodologies or tools can replace the application of
   system  life  cycle management.  For example, prototyping
   may   be  used  as  a  method  of  performing  design  or
   development  tasks; but the final products always include
   the  documentation  and  reviews  prescribed  by the life
   cycle  guidance.   Use of expert system development tools
   may  require  that  some  activities  are  performed in a
   different  sequence  and/or  iteratively; but again, they
   are  documented  and  reviewed  as prescribed by the life
   cycle management model.

o  Benefit-Cost   Analysis.      At  each  phase  or  stage,
   informationIsgathered  and  decisions  are  made that
   enable  the  project  team  to make increasingly accurate
   projections  of the total cost and benefits of the system
   over  its life cycle.  A preliminary assessments of costs
   and benefits is made no later than the Concept phase, and
   is  refined  and  updated  as  appropriate throughout the
   remainder of the life cycle.

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u
o
06
Z
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                                                                    OSWER  DIR.//902S.OO

         EXHIBIT  2-2:  OVERVIEW  OF  INITIATION  PHASE
                                                          OBJECTIVES
Who will manage the project?

What reviews are necessary and what
individual(s)/organization(s) should participate?

What approvals are necessary and what
individual(s)/organization(s) should participate?

What methodologies and tools will be used in the
Concept phase?

What special assistance or notification is needed?

What is the source of funding?
What is the problem, and for what
organization(s)?

What new information needs are associated with
this problem?

How broad a scope should the solution cover?
Does a significant information management
problem exist?

Is developing a new system potentially the best
way to address the problem?

Is the initial estimate of project scale in line with
the anticipated benefits?
                                                      Identify an information management problem.

                                                      Decide whether to commit resources to
                                                      exploring ways to solve the problem.
     / Evaluation

         V*-"
     \ OPERATION
                 EVELOPM
                    AND
               IMPLEMENTATION
                  DECISIONS
                                                                      PRODUCTS
                                                           Initiation Decision Paper

                                                           Project Management Plan
                                            2-fl

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                                                                               OSWER DIR.09028.00
                 EXHIBIT 2-3:  OVERVIEW  OF CONCEPT PHASE
                                                                  OBJECTIVES
                                                              Confirm the information management problem.
                                                              Identify it a high level requirements for a solution
                                                              to the problem.
                                                              Describe a feasible, timely, cost-effective solution
                                                              to the problem.
How should (he effort be organized?
What u the system Life cycle strategy?
What methodologies and tools wdl be uted?
What is the procurement approach?
Should funding be obtained for the full life cycle, and by whom?
What an the high-level functional requirements?
What are the high-level data requnements?
Who are the user organizations?
Con the problem be solved with existing system/data resources?
What pans of the system/data will be automated? Manual?
What is the overall architecture of the system/data?
To what extent will the system/data interface with existing
systems/data.'
What elements of system operation wul be centralized? Distributed?
How will technical, programmatic, and other risks be addressed?
What is the maintenance strategy?
Does the information management problem continue to exist?
Does the system concept address the problem sufficiently to permit
continuing to the Definition stage?
Are sufficient funding and other resources available for the entire
system life cycle?
                                                                                      PRODUCTS
New:
 System Concept
 System Test Document
 Acceptance Test Document
 Data Management Plan
 Concept Decision Paper
 Initiation Decision Paper
 Projau Management Plan
                                                  2-9

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                                                                     OSWER DIR.#9023.00
             EXHIBIT 2-4: OVERVIEW  OF DEFINITION STAGE
                                                           OBJECTIVES
C
x
O
P
^
z
    What specific methodologies and tools will be
    used in the Design stage?
What are the detailed functional requirements
and their priorities?
What are the detailed data requirements?
What potential requirements will not be included
in the system?
What modifications are needed to the system
concept?
Does the information management problem
continue to exist?
Do the detailed requirements address the problem
sufficiently to permit continuing with the Design
stage?
Are sufficient funding and other resources
available for the entire system life cycle?
                                                       Determine specific, detailed functional
                                                       requirements.
                                                       Determine specific, detailed data requirements.
                                                       Confirm suitability of system concept.
       Production  S     i urป     'V   Dtngi
                IMPLEMENTATION
                   DECISIONS
                                                                            PRODUCTS
New:
 Configuration Accounting Records
 Detailed Functional Requirements
 Detailed Data Requirements
 Definition Decision Paper
 Requirements Data Dictionary
Updated:
  Initiation Decision Paper
  System Concept
  Project Management Plan
  Data Management Plan
  System Test Document
  Acceptance Test Document
                                              2-10

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                                                                      OSWER  DIR.//9023.00
                 EXHIBIT  2-5: OVERVIEW  OF DESIGN STAGE
                   DECISIONS
                                                            OBJECTIVES
C
o
X
O
D
Z
r-

ง
                                                       Establish a complete design for the system:

                                                         DataBase
                                                         Input. Output and Internal Processing
                                                         Hardware, Software & Communications
                                                           Environment
                                                         Manual Procedures
                                                         Data Conversion
                                                         User Support
     What specific methodologies and tools will be used in
     the Development and Implementation stages?

     How will user support be provided?

     How will development and implementation be phased?

     How will newly identified risks and issues be handled?
What packaged software will be incorporated in the
system?

What modifications must be made to the system
concept or detailed requirements?

What modifications will be made to current
procedures?

What modifications will be made to current
systems/data bases or to other systems/data
bases under development?

How will conversion of existing data take place?
Does the information management problem continue
to exist?

Does the system design address the problem sufficiently
to continue with the Development stage?

Are sufficient funding and other resources available
for the remainder of the life cycle?
                                                                            PRODUCTS
New.

  System Design
  Design Decision Paper
  Physical Data Base Design
  Design Data Dictionary


Updated:

  Initiation Decision Paper
  System Concept
  Configuration Accounting Records
  Detailed Functional Requirements
  Detailed Data Requirements
  Requirements Data Dictionary
  Project Management Plan
  Data Management Plan
  System Test Document
  Acceptance Test Document
                                               2-11

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                                                                    OSWER DIR.//9028.00

       EXHIBIT 2-6: OVERVIEW  OF DEVELOPMENT STAGE
                YSTEM
                   DECISIONS
                                                          OBJECTIVES
u
<
c
O
O
What individuals will participate in the acceptance
testing?
How should new requirements be handled?

What modifications must be made to the system
concept, detailed requirements, or design?

Have security and backup issues been identified
and resolved?

Have ail uncertainties been adequately addressed?
Does the information management problem continue
to exist?

Does the developed system address the problem
sufficiently to be implemented?

Are sufficient funding and other resources available
for the remainder of the life cycle?
                                                       Acquire hardware, data communications, and
                                                       systems software.

                                                       Develop/acquire application software.

                                                       Develop user procedures and support mechanisms

                                                       Create and/or modify data base
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                                                                    OSWER DIR.#9028.00
     EXHIBIT 2-7:  OVERVIEW OF IMPLEMENTATION  STAGE
                                                          OBJECTIVES
    What specific post-implementation evaluation
    methodologies and tools will be used?
c
ฃ
a.
O
x
Which changes/enhancements should be made
now?

Deferred to the Production stage?
z
8
Does the information problem continue to exist?

Does the developed system address the problem
sufficiently to be plxed in production?

Are sufficient funding and other resources
available for the remainder of the life cycle?
Establish the system in the production environment.

Convert the data base(s) and data to the production
environment.

Prepare affected personnel.

Confirm that the system is ready for operation. '
                  YSTEM
                  free
      KXATION  V CYCLE

    V"S    JfEVELOPM
                  AMD
       I   S— ^       free
       \  OKX
                                AND
                              DESIGN
                   DECISIONS
                                                                             PRODUCTS
                                                             New:
                                                          Production System
                                                          Production Data Basc(s)
                                                          Production Data Dictionary
                                                          Implementation Decision Paper
                                                          Training Report
        Initiation Decision Paper
        System Concept
        Configuration Accounting Records
        Detailed Functional Requirements
        Detailed Data Requirements
        Requirements Data Dictionary
        System Design
        Physical Data Base Design
        Design Data Dictionary
        Development System
        Development Data Base(s)
        Reference Manuals *
        User Support Materials
        Acceptance Test Document
        Project Management Plan
        Data Management Plan
        System Test Document

        * Multiple Products (Maintenance
          Manual, etc.)

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                                                                      OSWER  DIR.//9028.00
         EXHIBIT  2-8: OVERVIEW  OF PRODUCTION STAGE
                                                          OBJECTIVES
                                                       Use the system to solve the information
                                                       management problem.

                                                       Identify potential modifications needed to
                                                       ensure that the system and data continue to
                                                       solve the information management problem.

                                                       Develop and implement maintenance changes
                                                       and minor enhancements.
                   DECISIONS
ฃ  What evaluations of the system/data should be
    conducted?
    What new or additional user support activities are
    needed?
     What changes/enhancements to the system/data
     base(s) are needed?

     Should a particular enhancement be implemented
     within this stage, or given its own life cycle?
    None -- Continuation decisions are made as the
    result of system evaluations. See the Evaluation
    stage.
       OSWER
       &J  PRODUCTS
New;
  Performance Report

Updated:
  Initiation Decision Paper
  System Concept
  Configuration Accounting Records
  Detailed Functional Requirements
  Detailed Data Requirements
  Requirements Data Dictionary
  System Design
  Physical Data Base Design
  Design Data Dictionary
  Development System
  Development Data Base(s)
  Reference Manuals*
  User Support Materials
  Production System
  Production Data Base
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o
s
O
x
UJ
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P

D
                                                                     OSWER DIR.//9023.00

        EXHIBIT 2-9: OVERVIEW  OF EVALUATION  STAGE
                                                          OBJECTIVES
       Production S     jun     X    Dtut*
                IMPLEMENTATION
                   DECISIONS
    What improvements in system/data functionality,
    quality, and/or performance are needed?

    What adjustments to the system/data management
    approach are needed?
   None. Evaluations do not change the system.
   Changes and minor mh
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                                                                   OSWER DIR.//9023.00

            EXHIBIT 2-10: OVERVIEW OF ARCHIVE  STAGE
                                                           OBJECTIVES
^   None. The decision has been made to terminate
    system operation.  •
    What will be the system termination date?

    Which software components should be preserved?

    Which data should be preserved?

    What should be done with remaining equipment?

    How should life cycle products be archived?
    None. The decision to continue using or to
    terminate the system is made as pan of a system
    evaluation. See the Evaluation stage.
                                                        End the operation of the system in a planned,
                                                        orderly manner.

                                                        Ensure that system components and data are
                                                        properly archived or incorporated into other
                                                        systems.
                   EVELOPM
                      AND
                IMPLEMENTATION
                  DECISIONS
                  PRODUCTS
Newt

  System Disposition Report

  Archived/Incorporated Data

  Archived/Incorporated Software

  Archived Life Cycle Products


Updated:

  Project Management

  Data Management Plan.
                                             2-16

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                                                 OSWER DIR.09028.00
                       3.  KEY PRINCIPLES
      OSWER1s   System  Life  Cycle  Management  Guidance  is  a
refinement   of   traditional   system   life  cycle  management
approaches, reflecting a number of topics of particular interest
to   OSWER.    The  principles  described  below  serve  as  the
foundation  for  the life cycle management approach presented in
the remainder of this Guidance.

3.1.  System  Life  Cycle  Management Should Be Used to Ensure a
Structured  Approach to Solving Information Management Problems.
OSWER'slife  cyclemanagementguidancedescribes an overall
approach  for  achieving  solutions  to  identified  information
management   problems.    Primary  emphasis  is  placed  on  the
decisions  to  be made and the proper timing of decisions.  This
Guidance  provides  the  flexibility  to  tailor the approach to
solve  the problem at hand, enabling information system projects
to  combine phases, stages, and products, as appropriate, and to
select  the  tools  and methodologies best suited to solving the
problem.

3.2.  Each  System  Project  Must Have an Accountable Sponsoring
0rgani2atlon.To  help ensure effective planning, management,
and  commitment  to  information  systems projects, each project
must have a clearly identified sponsor.  The sponsor serves in a
leadership  role,'  providing  guidance  to  the project team and
securing   from  senior  management  the  required  reviews  and
approvals at specific points in the life cycle.

3.3.  A Single Project Manager Must be Appointed for Each System
ProjectTThis individual will have lead responsibility for the
success of the project, and will work through a project team and
other  supporting organization structures (e.g., working groups,
user  groups)  to  accomplish  the  objectives  of  the project.
Regardless  of  his/her  organizational affiliation, the Project
Manager  is responsible for ensuring that project activities and
decisions    consider   the   perspectives   of   all   affected
organizations.

3.4.  A  Comprehensive  Project  Management Plan Is Required for
Each  System  Project.  The Project Management Plan is a pivotal
element  in the successful solution of an information management
problem.   This document describes how the life cycle management
approach contained in this Guidance will be tailored to suit the
specific  characteristics of the project/ and is used to provide
direction  to  the  many  activities  of  the life cycle.  It is
developed  in  skeletal form during the Initiation phase, and is
refined and expanded throughout the system life cycle.

3.5.  Specific Individuals Must Be Assigned to Perform Key Roles
Throughout  the  Life Cycle.Certain roles are considered vital
to a successful system project, and at least one individual must
be  assigned  to  fulfill  them  on a full or part time basis as

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                                                OSWER DIR.tf9028.00
appropriate.     These  roles include program management, program
staff,  quality  assurance,   and  configuration management.  For
most  projects,  more  than   one individual should represent the
actual  or  potential users  of the system (i.e.,  program staff),
and  should  be  designated   by  the  program  manager(s) of the
affected program(s)  and organizations) .

3.6.  Obtaining  the  Participation  of   Skilled  Individuals Is
Vital ""to  the Success of the System Project.The skills of the
individualsparticipatingin  asystem project are the single
most  significant  factor  for the success of the project.  This
Guidance  is  not  intended   as  a  substitute  for  information
management  skills  or  experience.  Individuals responsible for
conducting  system life cycle management  projects are encouraged
to  obtain  assistance  from  experienced information management
professionals.

3.7.  Complete  and  Accurate  Documentation of Activity Results
and   Decisions  Is  Essential.Effectivecommunicationand
coordinationof activities  throughout the life cycle depends on
the  complete  and  accurate  documentation of decisions and the
activities  leading  up  to   decisions.   Undocumented, or poorly
documented,  activities  and  decisions   can  cause  significant
confusion  or  wasted  efforts,  and  intensify  the  impact  of
turnover  of project management or staff.  Activities should not
be  considered  complete,  nor  decisions  made,  until there is
tangible documentation of the activity or decision.

3.8.  Data  Management  Must  be  Emphasized Throughout the Life
Cycle.OSWER considers the data processed by a system to be an
extremely  valuable  resource  due  to the large volumes of data
handled  by  OSWER  systems, the increasing trend toward sharing
data  across  systems  and  programs, and the importance of data
quality.     System  life  cycle  activities  stress  the  clear
definition   of  data  and  the  design  and  implementation  of
automated   and   manual  processes  to  ensure  effective  data
management;  and are conducted in accordance with the policy and
practices of OSWER's data administration  program.

3.9.  Each  System  Project   Must  Undergo  Formal  Reviews  and
Approvals.To help ensure  that systems  effectively address the
targeted information management problem,  each project is subject
to  formal review and approval.  The reviews should be conducted
by  skilled  professionals,   examining  tangible products from  a
programmatic,  technical,  and  project  management perspective.
Reviews  aid  the  project team as well as those who provide the
required  project  approvals.    Approvals  are  provided  by   a
suitable  level of program management, and confirm the continued
commitment   to  the  project  scope,  direction,  and  resource
requirements in view of known risks and/or uncertainties.

3.10. Consultation with Oversight Organizations Aids the Success
of  a  System  Project.Anumber  of  oversight organizations
external to OSWER (e.g., Office of the Inspector General, Office


                               3-2

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                                                OSWER DIR.//9028.00
of  Information Resources Management, Procurements and Contracts
Management  Division)  have  responsibility  for  ensuring  that
information  systems activities are performed in accordance with
agency  guidance  and  standards,  and  use  available resources
effectively.      Each  project  team  should  work  with  these
organizations  as appropriate, and encourage their participation
in  the  life cycle as early as possible to identify and resolve
potential  issues or sensitivities and avoid major disruption of
the project.

3.11. A   System   Project  Does  Not  Proceed  Unless  Resource
Availability  Is  Clear.    Beginning  with  the approval of the
system   concept,  the  continuation  of  a  system  project  is
contingent   on  a  clear  commitment  from  sponsoring  program
management.    This commitment is embodied in the assurance that
the  necessary  resources  will be available — not for the next
stage  only, but for the remainder of the life cycle.  If at any
time  this commitment is seriously in question, or is withdrawn,
the system project should not proceed.

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OSWZR DIR./J9028.00

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                             OSWER DIR.//9023.00
APPENDIX A: GLOSSARY

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OSWER DIR.//9028.00

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                                                OSWER DIR.//9023.00
                      APPENDIX A: GLOSSARY
      This appendix defines key terms used in OSWER1s System Life
Cycle Management Guidance and related documents.
TERM
DEFINITION
Acceptance
Testing
Access
Approval
Archive
Archive Data
Audit
Testing  performed by program staff (not project
staff)  during Implementation to verify that the
system   solves   the   information   management
problem,  performs  satisfactorily, and is ready
for release to users.

The  operation  of viewing or copying (including
extracting) data.

An  examination  of life cycle products, and the
results  of the project review process, by OSWER
program  management.    The approval process has
three  purposes:  first,  to confirm the results
(i.e.,  the  concepts,  products, and management
direction)   of  life  cycle  efforts  to  date;
second,  to  approve  continuation with the next
stage  of  the life cycle; and third, to confirm
the  continued  commitment  of  resources to the
project.    The  OSWER life cycle model requires
formal  approvals  at  the end of the Initiation
and  Concept phases, and the Definition, Design,
Development, and Implementation stages.

The  third stage of the Operation phase, and the
final  stage  of  the  system  life  cycle.  Its
purpose  is  to  terminate  the operation of the
system  in  an orderly, planned manner, ensuring
that  software and data are properly archived or
incorporated into other systems.

The  routine  storage of data for an operational
system,   usually   done  to  provide  efficient
performance.    For  example,  archiving certain
data at the end of a fiscal year.

A  guidance*  and standards-oriented examination
of   the   products  and  related  documentation
contained  in a baseline to assure that they are
complete,   clearly  presented,  and  internally
consistent  to  support  a  product review.  The
OSWER  life  cycle  provides  for  five  audits;
Concept,  Definition,  Design,  Development, and
Operational.     Audits  are  performed  by  the
project  staff.    Any  audit may be repeated as

              A-l

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                                                OSWER DIR.//9023.00
Baseline
Change
Change Control
Concept
Conceptual Data
Model
Configuration
Accounting
necessary.  A system life cycle audit is not the
same  as, and is not intended to substitute for,
an   audit   conducted  by  the  Office  of  the
Inspector General (OIG).

The set of life cycle products and other related
documentation   which  officially  comprise  the
system at a given point in time.  The OSWER life
cycle   model   provides   for  five  baselines:
Initiation, Definition, Design, Development, and
Operational.    The  products  contained in each
baseline  are always reviewed prior to inclusion
in the baseline.

A modification to the system or data base(s) for
maintenance  or  performance  purposes,  without
affecting  the functionality or structure of the
system  or  data  base(s).  Other modifications,
which  do alter the functionality structure, are
referred to as enhancements.

A  process  for controlling modifications  (i.e.,
changes  and  enhancements) to a system.  Change
control   provides   a   review   of   requested
modifications, and consideration of their  impact
on  a  system,  before  they  are  made; it also
ensures  that modifications are made in a manner
that does not disrupt ongoing system operation.

The second phase of the system life cycle.  This
phase  provides  a  high level of functional and
data  requirements that relate to an information
management problem, and a comprehensive model of
a solution to meet the  requirements.

A   depiction   of  data  requirements  from  an
organizational  perspective.  Corresponds  to the
conceptual schema of a  three-schema architecture
as  defined  by  the American National Standards
Institute.    Entity   relationship  diagrams are
often  used to depict  the conceptual data  model.
The  conceptual  data   model  forms  part  of the
System Concept.

A  process  for  maintaining  system   baselines,
including   adding   products   to  a  baseline,
denoting   the   components   of   each  product
(referred   to   as  configuration   items),  and
monitoring  and  recording  the  disposition  of
requested modifications to  the system.
                               A-2

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                                                OSWER DIR.09023.00
Configuration
Management
Custodianship
Data
Data
Administration
Data
Administration
Program
Data Attribute
Data Base
A   function   which  serves  to  systematically
identify  the  items  that make up a system, and
formally  control  any  modifications  to  those
items,  in  order to help maintain the integrity
of  the  system,  and  facilitate  communication
about the system throughout its life cycle.

The   functions   and   responsibilities  of  an
organization,  such as an AOP organization, with
physical  custody of data that supports the work
of  another  organization,  such  as  a  program
office.   For example, the custodian ensures the
physical  integrity  of  the  data  and software
under  its control; safeguards the media storing
data;   ensures   the   data   is   secure  from
unauthorized     access,     modification,    or
destruction; makes data accessible to users; and
implements   requested   hardware   or  software
modifications.

Representations    of    facts,   concepts,   or
instructions    in    symbols    suitable    for
communication,  interpretation  or processing by
human or automated means.

The  management  function  responsible  for  the
planning,  definition, organization, protection,
and  efficiency  of  data  and data bases within
OSWER.    The goal of Data Administration is the
cost-effective  provision  of data of sufficient
quality to support the OSWER mission.

A management initiative which includes policies,
standards,   and  procedures  that  increase  an
agency's   knowledge   and  management  of  the:
composition  of data, source of data, processing
of  data,  meaning  of  data,  flow of data, and
dissemination   of  data.    A  successful  Data
                  program   will   improve   the
                data  by  introducing procedures
                 Administration
                 management  of
that  address: data standards, data requirements
determination, data definition, data acquisition
or  collection,  data  processing, data storage,
data  usage   (including sharing and access), and
data disposal.

A  characteristic  of  a  unit  of  data such as
length, value, or method of representation.

A   collection   of   interrelated  data  stored
together with controlled redundancy to serve one
or more systems or applications.
                               A-3

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                                                OSWER DIR.//9028.00
Data Base
Management
System (DBMS)

Data Collection
Data Definer
Data Dictionary
Data Element
Data Entity

Data
Independence
Data Integrity
Data Life Cycle
Data Management
A  software system facilitating the creation and
maintenance  of a data base and the execution of
computer programs using the data base.

The recording and capturing of data on behalf of
an organization.

The  person  or  organization who determines the
essential  qualities or meaning of data, and who
prescribes    and   defines   procedures   which
aggregate   and  refine  data.    This  includes
describing   the  formatting  of  the  resulting
information  to serve a specific decision-making
context.

A  centralized  repository  of information about
data,  including  its  meaning,  relationship to
other data, origin, usage and format.

The  smallest  unit  of data that has meaning in
describing  information.   A piece of data which
would not be meaningful if decomposed further.

See "Entity"

The  property  of  a data base management system
that  enables data to be processed independently
of  access  mode, storage method.or arrangement.
Data  independence  reduces  the  need to modify
application   programs  when  data  storage  and
access methods are modified.
The  quality
accidental
modification.
This  results  in
intended   format,
within a data base.
of  data  that  exists  as long as
 or     malicious     destruction,
 or  loss  of  data are prevented.
     preservation  of  data in its
      length  and  contents  while
The  data  life cycle begins with the definition
of  data  to  support . new  regulations or other
program   needs,  and  includes  strategic  data
planning,  data standardization, and the methods
and  standards  during  the collection, storing,
accessing, and archiving of data.

A  subfunction  of  Data Administration which  is
responsible   for  data-related activities of  the
system life cycle, such as logical data modeling
during   requirements   definition,   data  base
design,    data   base   management,   and    the
documentation  of  data-related  decisions   and
products.
                               A-4

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                                                OSWER DIR.//9028.00
Data Security
Data
Stewardship

Decision Paper
Definition
Definition and
Design
Design
Design Data
Dictionary
Development
The  protection  of  data  against  unauthorized
disclosure,     transfer,    modification,    or
destruction, whether accidental or intentional.

See "Stewardship"
A decision document presented to management.  It
summarizes  those  aspects  of  the analysis and
decisions  of  a  given  phase or stage that are
important  to  program  management, and requests
approval  to  continue  the  project.  The OSWER
life cycle model provides for Decision Papers to
be  prepared  at the end of Initiation, Concept,
Definition,     Design,     Development,     and
Implementation.

The  first  stage  of  the Definition and Design
phase.    Its  purpose  is  to  define specific,
detailed  functional  and  data requirements for
the  system  within  the  context  of the System
Concept.

The  third  phase  of  the  system  life  cycle,
consisting'of two stages: Definition and Design.
(See  individual  definitions  of  each of these
terms).

The  second  stage  of the Definition and Design
phase.    Its  purpose  is  to  produce detailed
specifications   for  the  system  to  meet  the
functional  and  data  requirements  within  the
context of the System Concept.

Data dictionary created during Design to support
design   and   development  of  the  information
system.    It  represents  an  expansion  of the
Requirements  Data  Dictionary, and contains all
the metadata stored in dictionary.  In addition,
it  contains  descriptions  of the physical data
base structures and the manner in which they are
implemented  in  the  test  versions of the data
base(s).    These  descriptions include physical
records,  segments,  data sets (or files), keys,
block  sizes,  data set allocation, and physical
size limits.

The   first   stage   of   the  Development  and
Implementation phase.  Its purpose is to produce
a  system  which is ready for acceptance testing
and suitable for implementation.
                               A-5

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                                                OSWER DIR.//9028.00
Development and
Implementation
Domain
Enhancement
Entity
Evaluation
Implementation
Information
Information
System
The fourth phase of the life cycle.  Its purpose
is  to  produce  a complete system, fully tested
and available for use in normal production mode.
There  are two stages in this phase: Development
and Implementation.

A  set  of  all  values  that  a particular data
element may posses in actual or potential usage.

A  modification  to  a  system  that  results in
substantially improved capabilities and, in some
way,  alters  the  functionality or structure of
the  system.   Other modifications, which do not
alter the structure, are referred to as changes.
Examples of enhancements include the addition of
new  data  elements,  changing  the system (or a
part  of  the  system)  to  run  in  a different
software  environment,  and replacing data entry
screens  to  improve  the  user interface and/or
improve performance.

A  person,  place, thing, concept, or event that
is  of  interest to an enterprise.  An entity is
something  about  which we store data.  Examples
of entities are: waste site, contract, EMPLOYEE.
An   entity  has  various  attributes,  or  data
elements, which should' be recorded.  Examples of
data  elements  for  the entity "contract" could
include      CONTRACT-NUMBER,      DATE,     and
OBLIGATION-CEILING.

The  second  stage  of the Operation phase.  Its
purpose  is  to  determine whether the system is
effectively  meeting the stated requirements, is
operating   efficiently   and   is   effectively
managed.

The   second   stage   of  the  Development  and
Implementation phase.  Its purpose  is to produce
a  fully tested system containing  the data  needed
at  start-up,  and to provide  needed training to
the intended users.

Any  set  of  data  which has  been  aggregated by
processing   in  order  to  establish  a  specific
meaning and  serve  in a decision-making  context.

See "System"
                               A-6

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                                                OSWER DIR.#9028.00
Initiation
Integration
Testing
Internal
Testing
Life Cycle

Life Cycle
Management
Logical Data
Model
Maintenance
Metadata
The  first  phase of the system life cycle.  Its
purpose  is  to define an information management
problem  within  OSWER  and to determine whether
resources  should be committed to exploring ways
to address it.

Testing   performed   by  project  staff  during
Development,  following  the  completion of unit
tests for individual components.  Components are
assembled  in  the  development  environment and
tested  to  verify  that they function correctly
together.    Integration  testing  is iterative,
testing  additional modules for which unit tests
are successfully completed.

The  first  kind of testing performed by project
staff  during  Development.    While each system
component  is beyig developed, it is continually
checked   to   assure   that  it  is  internally
consistent and conforms to specifications.

See "System Life Cycle"

The  process  of  managing  a system through its
life, cycle.  As practiced by OSWER, it is not a
rigid  process,  but  rather a disciplined means
for  selecting  and  practicing  the  management
approaches   and   techniques   that   are  most
appropriate  for  a given information management
problem and/or system.

A  depiction  of  the  logical, or programmatic,
data   needed   to   support  an  organizational
mission.  The components of a logical data model
include   data   entities  and  relations,  data
elements  and  attributes, keys, secondary keys,
and  relationships  between  entities  (if  data
entities are used).  The logical data model is a
more  detailed  depiction of the conceptual data
model  of an organization.  It may correspond to
the  external schema as defined by the  American
National  Standards Institute.  The logical data
model   forms   part   of   the   Detailed  Data
Requirements.

The  set  of  activities  that keep a system and
data    base(s)    in    operating    condition.
Maintenance   also  focuses  on  optimizing  the
existing   system   and  data  base(s),  without
affecting  functionality or the structure of the
system or data base(s).

Data  about  data, such as its definition or its
physical characteristics.
                               A-7

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                                                OSWER DIR./J9028.00
Modification
Normalization
Operation
Phase
Privacy
Production
Production Data
Dictionary
Project
A   change   or
"Enhancement."
  enhancement,
See  "Change,"
The  process  of  reducing  a logical data model
(structure)  to its most basic form, so that the
data  model  is  stable,  flexible,  and without
redundancy.  A normalized data model is composed
of  normalized data entities.  A normalized data
entity  includes  no  repeating  groups  or data
elements    among   its   attributes,   contains
attributes (data elements) only about the entity
being described, and does not include attributes
which  are  dependent  on  the  key  of  another
entity.

The  fifth phase of the life cycle.  Its purpose
is  to  operate  the system in normal production
mode,    monitoring    arid    maintaining    its
performance,  until  the  end of the life cycle,
and  then  to  terminate  operation.   There are
three   stages   in   this   phase:  Production,
Evaluation, and Archive.

The  major  segments  of  the system life cycle.
There  are  five, phases in the OSWER system life
cycle:   Initiation;   Concept;  Definition  and
Design;   Development  and  Implementation;  and
Operation.
The  right  of
constrain  the
themselves.
individuals  or organizations to
collection and use of data about
The  first  stage  of  the Operation phase.  Its
purpose  is  to  make  the  system  available to
users,    and    make   required   changes   and
enhancements  to  ensure  that  it  contains  to
address  the information management problem in a
cost effective manner.

Data  dictionary  produced during Implementation
by  copying  the metadata in the last version of
the  Design Data Dictionary, for use in testing,
implementing,   and   operating  the  production
system.

An  .organized  effort  to  solve  an information
management  problem.    In most cases, a project
extends  over  the entire system life cycle.  In
some  cases  a  project extends only through the
portion  of  the life cycle that can be foreseen
with confidence, e.g., through Production  if the
timing for ceasing operation is uncertain.
                               A-8

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                                                OSWER DIR.//9023.00
Project
Execution
Project
Management
Quality
Assurance
Record
Release
Management
Requirements
Data Dictionary
Review
The set of activities which produce the concept,
definition, design, and production versions of a
system.

The  set of activities which monitor and control
project   execution  to  ensure  that  they  are
performed  effectively  and  in  accordance with
applicable  policies/  guidances  and practices;
and  that  its  products  solve  the  identified
information management need.

A function that ensures that all products of the
life   cycle   are  substantively  accurate  and
address   the   stated   information  management
problem.    Quality  assurance  is  accomplished
through  the efforts or skilled professionals on
the project team, and through formal reviews.

A  group  of  related data elements treated as a
unit by an application program.

The  functions  and  responsibilities associated
with  the  implementation of modifications to an
operational  system during the Production stage,
and  making  the revised system available at all
user locations.

Data   dictionary   produced  by  data  modeling
activities   during   Concept   and  Definition.
Metadata  recorded  about  each  data entity and
data   element   includes   name,   programmatic
definition, purpose, data steward, data definer,
and source.

A  formal, quality-oriented examination of a set
of  related  products, to verify that they solve
the  information  management problem.  The OSWER
life  cycle  model  provides  for  five reviews:
Concept,  Definition,  Design,  Development, and
Post-Implementation.    Reviews are performed by
designated  OSWER  program  staff and supporting
program  and  technical experts.  Any review may
be  repeated  as  necessary  to  ensure that all
deficiencies in the products have been fully and
adequately addressed.
Shared Data
Data  stored that is created, accessed, updated,
or deleted by more than one organizational unit.
                               A-9

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                                                OSWER DIR.//9028.00
Stage
Stewardship
System
System
Component
System Concept
System Decision
Paper
The segments of the system life cycle that occur
within  certain larger phases.  The OSWER system
life  cycle  divides  the  Definition and Design
phase  into  two  stages: Definition and Design.
The   development  phase  is  divided  into  two
stages:  Development  and  Implementation.   The
Operation  phase  is  divided into three stages:
Production, Evaluation, and Archive.  The phases
Initiation  and  Concept  are  not  divided into
stages.

The   functions   and   responsibilities  of  an
organizational  entity  that  exercises  control
over  data  on  behalf  of OSWER.  Organizations
that  require  data  to be collected, processed,
stored  or  used  in  support of OSWER's mission
have   stewardship   responsibilities.     These
responsibilities include ensuring that: (1) Only
data  relevant to OSWER's missions is collected.
(2)  Data  that  is  collected  is of sufficient
quality  to  support OSWER's missions.  (3) Data
is  reused  wherever  appropriate  within OSWER.
(4)  Data  is  clearly defined and documented in
compliance  with  established  directives.   (5)
systems   practices   under  the  organization's
stewardship  conform  to EPA Data Administration
guidance.

An organized set of functions, data, procedures,
hardware,   software,   communications,   and/or
documentation  which  enables  OSWER  to solve a
specific  information  management  problem.    A
system  need  not  necessarily be automated; but
most  instances  of  life  cycle management will
apply to automated information systems.

A well-defined portion of an information system.
Categories  of  components  include, but are not
limited  to, hardware, software, communications,
procedures,  reference manuals, user procedures,
system   administrator   procedures,   and  user
support materials.

A  high-level  complete  description of a system
(including    data,   processing   capabilities,
hardware,  software  and communications).   It is
produced  during the Concept phase and serves as
both a check on the validity and completeness of
the  problem,  and  the  basis for defining more
detailed functional and data requirements.

See "Decision Paper"
                              A-10

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                                                OSWER DIR.//9023.00
System Life
Cycle
System Testing
Threshold
Analysis
Unit Testing
Walkthrough
The  evolution  of  a  system  from  the initial
identification   of  an  information  management
problem    through    system    termination   or
replacement.

Testing   performed   by  project  staff  during
Implementation,  following  integration  testing
and  prior to acceptance testing.  The completed
system  is  installed  in  a  simulation  of the
production environment and tested to verify that-
the  system  operates  correctly in its entirety
and    satisfies   the   functional   and   data
requirements.   (Note: the term "system testing"
is also used to refer generically to all testing
performed  by  project  staff:  internal,  unit,
integration,  and system testing.)

The   process  of  determining  the  appropriate
review  and  approval levels for an OSWER system
project.

Testing   performed   by  project  staff  during
Development,    as   each   system  component  is
completed, to ensure that it operates correctly.

A.  highly-structured   meeting  to  review  the
completeness  and  quality of selected module(s)
of   the   system,  or  of  the  entire  system.
Walkthroughs   are   usually  conducted  by  the
project   team,   often  are  intended  by  user
representatives/ and may be held at any point in
the system life cycle.
                              A-ll

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OSWER DIR.//9023.00

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                       OSWER DIR.#9028.00
                                I
  OFFICE OF SOLID WASTE
AND EMERGENCY RESPONSE
          (OSWER)
    SYSTEM LIFE CYCLE
  MANAGEMENT GUIDANCE

      Part 2: Description

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                                                              OSWER DIR.#9028.00
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                                                OSWER DIR.tf9023.00
          OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
              SYSTEM LIFE CYCLE MANAGEMENT GUIDANCE
                        TABLE OF CONTENTS

Part 2: Description                                         Page
1.   Phase I: Initiation                                     1-1
2.   Phase II: Concept                                       2-1
3.   Stage III-A: Definition                                 3-1
4.   Stage III-B: Design                                     4-1
5.   Stage IV-A: Development                                 5-1
6.   Stage IV-B: Implementation                              6-1
7.   Stage V-A: Production                                   7-1
8.   Stage V-B: Evaluation                                   8-1
9.   Stage V-C:, Archive                                      9-1
10.  Crosscutting Considerations                            10-1
     Appendix A: Glossary                                    A-l
     Appendix B: Product Outlines                            B-l

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                                                OSWER DIR.tf9028.00
                      1.  INITIATION PHASE


1.1.  Overview.  The Initiation phase provides the critical first
descriptionof   the   information  management  problem  to  be
addressed,  and  secures  the resources needed to further examine
the  problem  and  potential  solutions.    The  most significant
activities of this phase include:

      o  Preparing  an Initiation Decision Paper which identifies
         and  describes  an  information  management problem, and
         brings  it to the attention of OSWER program management.
         This  activity  is  performed  by  one  or  more program
         organizations.

      o  Confirming   the   existence  of  a  problem,  providing
         additional  guidance.where appropriate, and approving or
         rejecting  the commitment of resources to the next phase
         of  the life cycle, Concept.  This activity is performed
         by program management.

      o  Preparing an initial Project Management Plan to describe
         the  initial  approach  for  managing and conducting the
         remainder of the life cycle.

      Clearly   identifying   and   describing   the  information
management  problem  is critical to the successful development of
an  appropriate  .solution.     How  the  problem is defined during
Initiation   will   shape  the  analyses  and  decisions  of  the
subsequent phases of the life cycle.

      Several points are of note for the Initiation phase:

      o  At  this point, there is no assumption that the solution
         will  necessarily  be either a new system or an automated
         system.   A modification to existing manual or automated
         systems  may  be the best approach to solve the problem;
         the determination  will be made during the Concept phase.

      o  In  comparison  to later phases of the life cycle, there
         are relatively few participants in the Initiation phase.
         The full project team usually is not assembled until the
         Concept phase.

      o  There  is a particular focus on defining the information
         management  problem  and  linking  it  to specific OSWER
         missions,  as   required  by the Office of Management and
         Budget (OMB).

      o  The  Initiation Baseline  is  established at the end of
         this  phase.     At  present,  it  consists  of  only the
         Initiation  Decision  Paper;  it will be expanded during
         the Concept phase.


                               1-1

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                                                OSWER DIR.//9023.00
1.2.  Detailed  Description.    A  detailed  description  of  the
Initiation phase is presented in the following exhibits:
      Exhibit 1-1
      Exhibit 1-2
      Exhibit 1-3
      Exhibit 1-4
      Exhibit 1-5
      Exhibit 1-6
      Exhibit 1-7
Initiation Phase Summary
Initiation Phase Objectives
Initiation Phase Decisions
Initiation Phase Activities
Initiation Phase Roles and Responsibilities
Product: Initiation Decision Paper
Product: Project Management Plan
      The  Initiation  phase begins efforts in several areas that
are  addressed  throughout the life cycle: the Project Management
Plan,   selection   of   methodologies  and  tools,  benefit-cost
analyses,  and  project reviews and approvals.  A life cycle-wide
view of these topics is presented in Chapter 10 of this Guidance.
This  Chapter  also addresses other topics of interest throughout
the   life  cycle,  including  quality  assurance,  configuration
management, and data administration.
                               1-2

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                                                                            OSWER  DIR.#9028.00
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                                                OSWER DIR.//9023.00
                        2. CONCEPT PHASE
2.1.  Overview.    During  this  phase  a  comprehensive  concept
(model")of"the recommended solution is established, providing a
better  definition  of  the  problem to be solved, and defining a
basic  framework  of  requirements  for an information management
capability.    The  concept also provides the basis for acquiring
the  resources  needed  to  achieve  that  solution  through  the
remaining phases of the life cycle.  Some of the most significant
activities of this stage include:

      o  Assigning a project team.

      o  Developing high-level definitions of functional and data
         requirements for a system solution to the problem.

      o  Defining  alternative  ways  (concepts)  of  meeting the
         high-level requirements.

      o  Analyzing the alternative concepts and selecting one for
         design, development, and implementation.

      o  Beginning any required procurement activities.

      o  Refining  the  management  approach  to  the  project by
         expanding  the Project Management Plan and adding a Data
         Management  Plan,  and  System  Test and Acceptance Test
         Documents.

      The  results of the Concept phase provide a framework which
guides  the  work performed in subsequent phases.  That work will
refine  OSWER's  understanding of the requirements, solution, and
project management approach, but usually will make relatively few
significant modifications to the System Concept.

      Several  points  are  of  particular  note  for the Concept
phase:

      o  The  end  of  this  phase is a critical juncture for the
         project  —  the point at which OSWER program management
         endorses  a  system  concept, makes a firm commitment to
         obtain the resources required throughout the life cycle,
         and  approves  continued  work  to  further  define  the
         detailed requirements of the recommended concept.

      o  The  first Decision Paper is prepared during the Concept
         phase.   It provides the management-level information to
         support  program management's decision whether or not to
         commit resources to the project.

      o  The  System  Concept is added to the Initiation Baseline
         at the end of this phase.


                               2-1

-------
                                                OSWER DIR.#9028.00
      o  The  Concept  phase  may  provide  a  perspective on the
         information  management   problem  that  differs from the
         problem as originally defined in the Initiation Decision
         Paper.     In this case,  the Initiation Decision Paper is
         revised or replaced to reflect the current understanding
         of the  problem.

      o  During   the  Concept  phase  the project team is greatly
         expanded,   and  other  organizations become increasingly
         involved  in  the  life  cycle.    This phase establishes
         active  involvement by customer organizations, as well as
         the  initial involvement of organizations or individuals
         responsible   for   configuration   management,  quality
         assurance, and procurement support.

2.2.  Detailed  Description-.    A  detailed  description  of  the
Concept phase is presented in the following exhibits:
      Exhibit 2-1
      Exhibit 2-2
      Exhibit 2-3
      Exhibit 2-4
      Exhibit 2-5
      Exhibit 2-6
      Exhibit 2-7
      Exhibit 2-8
      Exhibit 2-9
      Exhibit 2-10
      Exhibit 2-11
Concept Phase Summary
Concept Phase Objectives
Concept Phase Decisions
Concept Phase Activities
Concept Phase Roles and Responsibilities
Product: System Concept
Product: System Test Document
Product: Acceptance Test Document
Product: Data Management Plan
Product: Concept Decision Paper
Product: Project Management Plan
      The  Initiation  Decision  Paper, which may be updated as a
result  of  the  Concept  phase,  is  described  in  Exhibit 1-6.
Outlines of all products are presented in Appendix B.

      The  Concept  phase  starts  several  activities  which are
performed   throughout   the   life   cycle:  quality  assurance,
configuration  management, and data administration.  A life cycle
view  of  these  functions  is  presented  in  Chapter 10 of this
Guidance.    This chapter also addresses other topics of interest
throughout the life cycle, including the Project Management Plan,
methodologies  and  tools, benefit-cost analyses, and reviews and
approvals.
                               2-2

-------
                                                                                     OSWER  DIR.//9028.00
                                      EXHIBIT M: CONCEPT PHASE SUMMARY
                                    OBJECTIVES
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                                                OSWER DIR.#9028.00
                      3.  DEFINITION STAGE


3.1.  Overview.    The  Definition  stage  expands the high-level
requirements  of  the  System  Concept  into  specific,  detailed
functional and data requirements.  These requirements provide the
basis  for  a  more  concrete  assessment  of system benefits and
costs;  together  with  the  high-level  design  contained in the
System  Concept,  they  form the basis for the detailed design of
the  system  during  the  Design  stage.    The  most significant
activities of this stage include:

      o  Developing detailed functional requirements.

      o  Developing detailed data requirements.

      o  Developing the Requirements Data Dictionary, which holds
         programmatic data.

      o  Establishing formal procedures for configuration
         accounting and change control.

      o  Beginning development of test plans.

      Although  the detailed functional and data requirements.are
defined   within   the  context  of  the  identified,  information
management  problem  and  approved  System  Concept, the analyses
conducted   during   the   Definition   stage   may  surface  new
requirements or provide new insights into the overall information
management  problem.   In such instances, the System Concept, and
potentially the Initiation Decision Paper as well, are revised to
reflect  the  results  of  the  Definition  stage.   The detailed
requirements  defined during this stage, together with the Systen
Concept, will serve as the basis for the activities of the Design
stage.

      Several  points  are  of particular note for the Definition
stage:

      o  At the end of this stage a complete detailed description
         of the functions and capabilities of the system is
         available to guide the Design and subsequent phases of
         the life cycle.  Some development methods call this
         description the proposed functional description or
         logical design.

      o  The Definition Baseline is established at the end of
         this stage.  It consists of the detailed functional and
         data requirements documents and the Requirements Data
         Dictionary.

      o  If the requirements definition identifies a significant
         change to the nature or scope of the information
         management problem or the overall system design, the

                               3-1

-------
                                                OSWER DIR.tf902S.00
         Initiation Baseline (Initiation Decision
         Concept,  or both)  is revised or replaced
         new understanding.
                            Paper, System
                            to reflect the
3.2.   Detailed  Description.     A  detailed  description
Definition stage is presented in the following exhibits:
                                    of'  the
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
Exhibit
3-1
3-2
3-3
3-4
3-5
3-6
3-7
3-8
3-9
3-10
3-11
3-12
3-13
3-14
                    Definition
                    Definition
                    Definition
                    Definition
                    Definition
                    Product
                    Product
                    Product
                    Product
                    Product
                    Product
                    Product
                    Product
                    Product
         Stage Summary
         Stage Objectives
         Stage Decisions
         Stage Activities
         Stage Roles and Responsibilities
       Configuration Accounting Records
       Detailed Functional Requirements
       Detailed Data Requirements
       Definition Decision Paper
       Requirements Data Dictionary
       Project Management Plan
       Data Management Plan
       System Test Document
       Acceptance Test Document
      The  following
Definition stage:
products  may  also  be  updated during the
                 Product

            Initiation Baseline
                 Initiation Decision Paper
                 System Concept
                           Exhibit
                             1-6
                             2-6
Outlines of all products are presented in Appendix B.

      A  number  of  activities  of the Definition stage, such as
project  reviews  and  the update of the project management plan,
relate  to specific topics that are addressed throughout the  life
cycle.    A  life  cycle  wide  perspective  oฃ  these  topics is
presented in Chapter 10 of this Guidance.
                                3-2

-------
                                                                            OSWER  DIR.//9023.00
                                            : DEFCVmON STAGE SUMMARY


                                 OBJECTIVES
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-------
                                                 OSWER DIR.tf902S.OO
         Any newly identified requirements, and/or suggested
         modifications to the System Design, must fully consider
         the impact on all elements of the system and on the
         organizations that will interact with the system.

         For large systems, the Development stage can be very
         long and complex.  Interim reviews during this stage
         will help to ensure that the development effort
         continues to address all requirements and follow the
         approved System Design.  The number, content and timing
         of the interim reviews will vary for each system based
         on its scope, functionality, and complexity, and the
         methods and tools used to develop the system.

         During the Development stage, much of the effort is
         conducted by the project team and quality assurance
         function.  Other organizations participate less
         intensively than during prior phases and stages, but are
         actively involved in some selected activities.

         The Development Baseline is established at the end of
         this stage.  It consists of the developed system, User
         Manual, Operation Manual, Operation Manual, Security
         Manual, user support manuals, and Development Data
         Base(s).
5.2.  Detailed  Description.
A  detailed  description  of  the
Development stage is presented in the following exhibits:

      Exhibit 5-1   Development Stage Summary
      Exhibit 5-2   Development Stage Objectives
      Exhibit 5-3   Development Stage Decisions
      Exhibit 5-4   Development Stage Activities
      Exhibit 5-5   Development Stage Roles and Responsibilities
      Exhibit 5-6   Product: Development System
      Exhibit 5-7   Product: Development Data Base(s)
      Exhibit 5-8   Product: Maintenance Manual
      Exhibit 5-9   Product: User Manual
      Exhibit 5-10  Product: Operation Manual
      Exhibit 5-11  Product: Security Manual
      Exhibit 5-12  Product: User Support Materials
      Exhibit 5-13  Product: Development Decision Paper
      Exhibit 5-14  Product: Project Management Plan
      Exhibit 5-15  Product: Data Management Plan
      Exhibit 5-16  Product: System Test Document
      Exhibit 5-17  Product: Acceptance Test Document

      The  following  products  may  also  be  updated during the
Development stage:
                               5-2

-------
                                                OSWER DIR.//9023.00
                      5.  DEVELOPMENT STAGE
5.1.  Overview.    The Development stage converts the products of
the  System  Design  into  a  complete,  system  and data base(s).
Although  much of the activity in the Development stage addresses
the  computer  programs  that make up the system, this stage also
puts   in   place   the  hardware,  software  and  communications
environment  for  the  system, and produces the manual procedures
and  other important elements of the overall system.  Some of the
most significant activities of this stage include:

      o  Acquiring and installing the necessary hardware, data
         communications, systems software, and applications
         software packages (if any) that make up the system
         environment.

      o  Developing program code.

      o  Thoroughly documenting system procedures

      o  Creating data base structures and loading test data into
         them.

      o  Developing reference manuals and user support materials.

      o  Testing the system, in individual components and
         combined.

      The  activities  of  the  Development  stage  translate the
System  Design  produced  during  the Design stage into a working
system  and  data  base(s), . capable  of  solving the information
management problem.  All the elements of the system are developed
(or acquired), tested, and integrated: hardware, system software,
communications,    applications,   procedures,   and   associated
documentation.    At  the end of Development, the system and data
base(s)  are ready for the activities of the Implementation stage
which will make the system available to users.

      Several  points  are of particular note for the Development
stage:

      o  Although the system is not complete at  this stage, it  is
         sufficiently developed to support the remaining
         activities that will implement the system in the next
         stage, such as user training and conversion of existing
         data.

      o  Confirming that the system is ready for implementation,
         through careful testing, helps to minimize surprises
         during the implementation, and to keep  implementation  on
         schedule.
                               5-1

-------
                   OSWER DIR.#9028.00




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                                                OSWER DIR.#9028.00
                      5.  DEVELOPMENT STAGE


5.1.  Overview.    The Development stage converts the products of
the  System  Design  into  a  complete  system  and data base(s).
Although  much of the activity in the Development stage addresses
the  computer  programs  that make up the system, this stage also
puts   in   place   the  hardware,  software  and  communications
environment  for  the  system, and produces the manual procedures
and  other important elements of the overall system.  Some of the
most significant activities of this stage include:

      o  Acquiring and installing the necessary hardware, data
         communications, systems software, and applications
         software packages (if any) that make up the system
         environment.

      o  Developing program code.
                                             •
      o  Thoroughly documenting system procedures

      o  Creating data base structures and loading test data into
         them.

      o  Developing reference manuals and user support materials.

      o  Testing the system, in individual components and
         combined.

      The  activities  of  the  Development  stage  translate the
System  Design  produced  during  the Design stage into a working
system  and  data  base(s),  capable  of  solving the information
management problem.  All the elements of the system are developed
(or acquired), tested, and integrated: hardware, system software,
communications,    applications,   procedures,   and   associated
documentation.    At  the end of Development, the system and data
base(s)  are ready for the activities of the Implementation stage
which will make the system available to users.

      Several  points  are of particular note for the Development
stage:

      o  Although the system is not complete at this stage, it is
         sufficiently developed to support the remaining
         activities that will implement the system in the next
         stage, such as user training and conversion of existing
         data.

      o  Confirming that the system is ready for implementation,
         through careful testing, helps to minimize surprises
         during the implementation, and to keep implementation on
         schedule.
                               5-1

-------
                                                 OSWER DIRJ/9028.00
      o  Any newly identified requirements,  and/or suggested
         modifications to the System Design, must fully consider
         the impact on all elements of the system and on the
         organizations that will interact with the system.

      o  For large systems, the Development  stage can be very
         long and complex.  Interim reviews  during this stage
         will help to ensure that the development effort
         continues to address all requirements and follow the
         approved System Design.  The number, content and timing
         of the interim reviews will vary for each system based
         on its scope, functionality, and complexity, and the
         methods and tools used to develop the system.

      o  During the Development stage, much  of the effort is
         conducted by the project team and quality assurance
         function.  Other organizations participate less
         intensively than during prior phases and stages, but are
         actively involved in some selected  activities*

      o  The Development Baseline is established at the end of
         this stage.  It consists of the developed system, User
         Manual, Operation Manual, Operation Manual, Security
         Manual, user support manuals, and Development Data
         Base(s).
5.2.   Detailed  Description.
detailed  description  of  the
Development stage is presented in the following exhibits:

      Exhibit 5-1   Development Stage Summary
      Exhibit 5-2   Development Stage Objectives
      Exhibit 5-3   Development Stage Decisions
      Exhibit 5-4   Development Stage Activities
     .Exhibit 5-5   Development Stage Roles and Responsibilities
      Exhibit 5-6   Product: Development System
      Exhibit 5-7   Product: Development Data 3ase(s)
      Exhibit 5-8   Product: Maintenance Manual
      Exhibit 5-9   Product: User Manual
      Exhibit 5-10  Product: Operation Manual
      Exhibit 5-11  Product: Security Manual
      Exhibit 5-12  Product: User Support Materials
      Exhibit 5-13  Product: Development Decision Paper
      Exhibit 5-14  Product: Project Management Plan
      Exhibit 5-15  Product: Data Management Plan
      Exhibit 5-16  Product: System Test Document
      Exhibit 5-17  Product: Acceptance Test Document

      The  following  products  may  also  be  updated during the
Development stage:
                               5-2

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                                                 OSWER DIR.#9023.00
                Product                          Exhibit

            Initiation Baseline
                Initiation Decision Paper          1-6
                System Concept                     2-6

            Definition Baseline
                Configuration Accounting Records   3-6
                Detailed Functional Requirements   3-7
                Detailed Data Requirements         3-8
                Requirements Data Dictionary       3-10

            Design Baseline
                System Design                      4-6
                Physical Data Base Design          4-8
                Design Data Dictionary             4-9

Outlines of all products are presented in Appendix B.

      A  number  of activities of the Development stage relate  to
specific  topics  that are addressed functions that are performed
throughout  the  life  cycle.    A  life cycle wide view of  these
topics is presented in Chapter 10 of this Guidance.
                               5-3

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                                                                           OSWER DIR.//9023.00
                               EXHIBIT M: DEVELOPMENT STAGE SUMMARY
                                OBJECTIVES                   	;
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                                                       !S ซtปOป >OI
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-------
                                                OSWER DIR.//9Q28.00
                    6.  IMPLEMENTATION STAGE


6.1.  Overview.    In  this  stage  the developed system and data
base(s)  are  installed  in the Production environment, and other
activities  are  conducted to ensure that the system operates and
can  be  used  effectively  during  production.  Some of the most
significant activities of this stage include:

      o  Training system users, operators and other affected
         personnel.

      o  Converting data from existing automated and manual
         systems and data base(s) into the new system and data
         base(s).

      o  Conducting acceptance testing of the system and
         obtaining approval to fully implement the system.

      o  Installing the system in the production environment.

      The Implementation stage builds on the results of all prior
stages.    This  stage  implements  the  components of the system
constructed  and/or  acquired  during  the Development stage.  It
also  uses  approaches  for  system  and acceptance testing, data
conversion,  and training which were prepared in preliminary form
during  the  Concept  phase • and  have  evolved  and  become more
specific   in   subsequent   stages.   -   A   successful   system
Implementation  is  likewise  critical to the Production stage —•
deficiencies in implementing the system will handicap the initial
use of the system.   These deficiencies will need to be addressed
during  system  Operations,  and will generally be more difficult
and  costly  to  address  at that phase of the life cycle than if
they were resolved during Implementation.

      Several   points   are   of   particular   note   for   the
Implementation stage:

      o  Formal and rigorous acceptance testing is critical to
         the success of the system, and should be conducted by a
         representative sample of system users.

      o  Completion of the Implementation Decision Paper, and
         obtaining formal approval by the proper level of program
         management is mandatory before the system is fully
         implemented.  This approval is based largely on the
         results of the system acceptance test.

      o  Existing data should be fully converted before beginning
         full production, if possible, to avoid burdening the
         period of initial system operation with the need to
         enter this data while at the same time becoming
         accustomed to the new system and procedures.


                               6-1

-------
                                                OSWZR DIR.//9023.00
         Modifications to the system made during this stage
         should be completely documented in order to provide
         accurate documentation to system users, operators, and
         other affected personnel at the start of the Production
         stage and minimize disruption of initial system
         operations.

         At the end of this stage the Production Baseline is
         established.   It consists of the production system, data
         base(s), and  data dictionary.
6.2.   Detailed  Description.     A  detailed  description  of  the
Implementation stage is presented in the following exhibits:
      Exhibit 6-1
      Exhibit 6-2
      Exhibit 6-3
      Exhibit 6-4
      Exhibit 6-5

      Exhibit 6-6
      Exhibit 6-7
      Exhibit 6-8
      Exhibit 6-9
      Exhibit 6-10
      Exhibit 6-11
      Exhibit '6-12
      Exhibit 6-13
      Exhibit 6-14
Implementation Stage Summary
Implementation Stage Objectives
Implementation Stage Decisions
Implementation Stage Activities
Implementation Stage Roles and
Responsibilities
Product: Production System
Product: Production Data Base(s)
Product: Production Data Dictionary
Product: Implementation Decision Paper
Product: Training Report
Product: Acceptance Test Document
Product: Project Management-Plan
Product: Data Management Plan
Product: System Test Document
      The  following  products  may  also  be  updated during the
Implementation stage:

                 Product                         Exhibit

            Initiation Baseline
                 Initiation Decision Paper         1-6
                 System Concept                    2-6

            Definition Baseline
                 Configuration Accounting Records  3-6
                 Detailed Functional Requirements  3-7
                 Detailed Data Requirements        3-8
                 Requirements Data Dictionary      3-10

            Design Baseline
                 System Design                     4-6
                 Physical Data Base Design         4-8
                 Design Data Dictionary            4-9

            Development Baseline
                 Development System                5-6
                 Development Data Base(s)          5-7
                 Maintenance Manual                5-8
                               6-2

-------
                 User Manual
                 Operation Manual
                 Security Manual
                 User Support Materials
                                                 OSWER DIR.09023.00
5-9
5-10
5-11
5-12
Outlines for all products are presented in Appendix B.

      A  number  of activities of the Implementation stage relate
to  specific  topics  that are performed addressed throughout the
life cycle.  A life cycle wide view of these functions, including
project  management, quality assurance, configuration management,
and  data  administration,  is  presented  in  Chapter 10 of this
Guidance.    This chapter also addresses other topics of interest
throughout  the  life  cycle,  including  reviews  and approvals,
selection  of tools and methodologies, and development and update
of the benefit-cost analysis.
                               6-3

-------
                                                                               OSWER DIR.//9023.00
                               EXHIBIT 6-1: IMPLEMENTATION STAGE SUMMARY


                                  OBJECTIVES
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                                                OSWER DIR.//9028.00
                      7.  PRODUCTION STAGE


7.1.  Overview.    The Production stage has a different character
from  the  preceding  phases and stages of the system life cycle.
Those  phases  and stages were concerned with evolving the system
to  a  state where it can be used.  In this stage, the production
system  is fully usable.  Some of the most significant activities
of this stage include:

      o  Using the system to solve the information problem that
         spurred the creation of the system.

      o  Performing system operation activities needed to support
         the users.

      o  Maintaining the system to ensure that any previously
         undetected errors are fixed and to take advantage of
         hardware upgrades or new releases of system software and
         application software packages used to operate the system
         (e.g., upgrades and releases installed by the National
         Computer Center).

      o  Determining what modifications to the system are needed
         to continue to solve the information management problem,
         including requested modifications deferred from prior
         stages, and developing and implementing these
         modifications.

      o  Determining when a system evaluation is needed to
         address the extent to which the system addresses the
         information management problem, performs efficiently,
         and/or is managed effectively.

      The  Production  stage  starts with the results of the work
conducted  in  all  prior  stages,  and  activities of this stage
frequently  respond to the results of activities of prior stages.
Deficiencies and problems not resolved adequately in prior stages
are usually identified by users during Production.

      Because  of the nature of this stage, there is no milestone
marking  its end.  The Evaluation stage (see Chapter 8) may occur
one or more times throughout the Production stage.  Each time the
system  is  evaluated,  one  of two decisions is made: either the
system  is  continued  in operation (in which case the Production
stage  continues),  or  the  system  is  to  be archived, and its
functions  and  data  transferred to other systems (in which case
this  stage  ends  and  the  system  moves to the Archive stage).
Several items are of particular note for this stage:

      o  Formal review of requested modifications to the system
         before they are made is essential to the integrity of
         the system.  The procedures for reviewing requested
         modifications are contained in the Configuration
         Management Plan, a section of the Project Management
         Plan.

                              7-1

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                                                OSWER DIR.//9023.00
      o  Some requested modifications may be of such significance
         that they are classified as major enhancements and
         addressed through a separate iteration of the life
         cycle.   Modifications  which will have the effect of
         altering the types of  data to be processed by the system
         generally should be handled in this manner.

      o  All modifications should be completely documented to
         provide system users,  and those responsible for
         operating and maintaining the system, the information
         needed  to successfully use the system and to perform      g
         other activities needed for effective system operations.

      o  Some systems are operated completely by users,
         particularly systems that operate on microcomputers.  It
         is essential that users are fully aware of and carry out
         their responsibilities for all facets of operations,
         especially performing  system backups.

      o  Providing user support is usually an ongoing activity.
         New users will require training to effectively use the
         system, and other users may require assistance as well.

      o  The Project Management Plan is continually updated to
         reflect the approach for managing the system through the
         entire  Production stage.

7.2   Detailed  Description.    A  detailed  description  of  the  ™
Production stage is presented in the following exhibits:

      Exhibit 7-1   Production  Stage Summary
      Exhibit 7-2   Production  Stage Objectives
      Exhibit 7-3   Production  Stage Decisions
      Exhibit 7-4   Production  Stage Activities
      Exhibit 7-5   Production  Stage Roles and Responsibilities
      Exhibit 7-6   Product: Performance Report
      Exhibit 7-7   Product: System test Document
      Exhibit 7-8   Product: Acceptance Test Document

      Several  products  of  this stage are identified in Exhibit
7-1,  but  are  not  described   in detail in this section.  These
products  are  updated throughout the Production stage as needed;
however, their basic structure  does not change.

      The  following  products   may  also  be  updated during the
Production stage:

                Product                          Exhibit

             Initiation Baseline
                Initiation Decision Paper           1-6
                System Concept                       2-6            A
                               7-2

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                                                OSWER DIR.#9028.00
             Definition Baseline
                Configuration Accounting Records   3-6
                Detailed Functional Requirements   3-7
                Detailed Data Requirements         3-8
                Requirements Data Dictionary       3-10

             Design Baseline
                System Design                      4-6
                Physical Data Base Design          4-8
                Design Data Dictionary             4-9

           1  Development Baseline
                Development System                 5-6
                Development Data Base(s)           5-7
                Maintenance Manual                 5-8
                User Manual                        5-9
                Operation Manual                   5-10
                Security Manual                    5-11
                User Support Materials             5-12

             Operational Baseline
                Production System                  6-6
                Production Data Base(s)            6-7
                Production Data Dictionary         6-8

             Project Management Plan   t           6-12
             Data Management Plan      '           6-13

Outlines of all products are presented in Appendix B.

      A  number  of  activities of the Production stage relate to
specific  topics that are addressed throughout the life cycle.  A
life   cycle   wide  view  of  these  topics,  including  project
management  planning, quality assurance, configuration management
and  data  administration is presented in Chapter 10 of Part 2 of
this  Guidance.    This  chapter  also  addresses other topics of
interest   throughout  the  life  cycle,  including  reviews  and
approvals,  selection of tools and methodologies, and development
and update of the benefit-cost analysis.
                               7-3

-------
                                                                              OSWER  DIR.//9028.00
                                 EXHIBIT 7-1: PRODUCTION STAGE SUMMARY


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                                                OSWER DIR.//9028.00
                      8.  EVALUATION STAGE


8.1.  Overview.    The Evaluation stage differs from other phases
and   stages   of  the  system  life  cycle  in  that  it  occurs
simultaneously   with  another  stage  (Production)   and  may  be
repeated  more  than  once  during the system's operational life.
During  this  stage, the system is reviewed formally to determine
whether   it  is  operating  correctly  and.  efficiently  from  a
technical  standpoint,  and  whether  it continues to effectively
address  the  information  management  problem.  -Some of the most
significant activities of this stage include?

      o  Assessing the production system and data base(s) after
         the initial period of system operations.  This Post
         Implementation Evaluation is conducted only once, during
         the first occurrence of the Evaluation stage.

      o  Evaluating the system's support for present and future
         functional and data requirements.

      o  Evaluating the system's performance against system
         specifications.

      o  Evaluating the effectiveness of system management
         practices.
    4
         For  each  evaluation  in this stage, a decision is made
regarding the future of the system.  If it is operating correctly
and  effectively, the Production stage continues (see Chapter 7).
If  the  system  is no longer operating correctly or effectively,
and  modifications  would  not  be cost-effective, the life cycle
proceeds to the Archive stage (see Chapter 9).  Several items are
of particular note for this stage:        ii
                                          5-
      o  Evaluations are generally performed by individuals who
         are independent of the project team, i.e.,  not by those
         responsible for system operation, maintenance, or
         modification.  Evaluations, and any- recommendations
         arising from them, are subject to approval by OSWER
         program management.                :

      o  The individuals or groups responsible for system
         operation, maintenance, and modification are provided an
         opportunity to comment on the evaluations.
                                          pc:
      o  None of the activities performed during this stage have
         any direct effect on the capabilities of the system.
         All Evaluation activities are considered project
         approach activities; they do not affect the system
         directly, but may result in recommendations for
         modifications to be implemented in the Production stage.
                               8-1

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                                                 OSWER DIR.//9028.00
      o  Generally, operation of the system does not stop during
         the Evaluation stage; the Production and Evaluation
         stages are carried out simultaneously.


      8.2    Detailed Description.  A detailed description of the
Evaluation stage is presented in the following exhibits:

      Exhibit 8-1   Evaluation Stage Summary
      Exhibit 8-2   Evaluation Stage Objectives
      Exhibit 8-3   Evaluation Stage Decisions
      Exhibit 8-4   Evaluation Stage Activities
      Exhibit 8-5   Evaluation Stage Roles and Responsibilities
      Exhibit 8-6   Product: Post-Implementation Evaluation
                    Report
      Exhibit 8-7   Product: System Evaluation Report

      The  following  products  may  also  be  updated during the
Evaluation stage:

                Product                          Exhibit

             Initiation Baseline
                Initiation Decision Paper          1-6
                System Concept                     2-6

            •Definition Baseline
              '  Configuration Accounting Records   3-6
                Detailed Functional Requirements   3-7
                Detailed Data Requirements         3-8
                Requirements Data Dictionary       3-10

             Design Baseline
                System Design                      4-6
                Physical Data Base Design          4-8
                Design Data Dictionary             4-9

             Development Baseline
                Development System                 5-6
                Development Data Base(s)           5-7
                Maintenance Manual                 5-8
                User Manual                        5-9  •
                Operation Manual                   5-10
                Security Manual                    5-11
                User Support Materials             5-12

             Operational Baseline
                Production System                  6-6
                Production Data Base(s)            6-7
                Production Data Dictionary         6-8

             Project Management Plan               6-12
             Data Management Plan                  6-13


                               8-2

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                                                OSWER DIR.//9028.00
Outlines of all products are presented in Appendix B.

      Some  of  the  topics  addressed by the evaluations of this
stage  relate to specific functions that are performed throughout
the  life cycle.  A life cycle view of these functions, including
project   management   planning,   reviews   and  approvals,  and
development and update of the benefit-cost analysis,  is presented
in  Section 10 of this Guidance.  Section 10 also addresses other
topics  of  interest throughout the life cycle, including quality
assurance,  configuration  management,  data  administration, and
selection of tools and methodologies.
                               8-3

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                                                                         OSWER DIR.//9028.00
                                EXHIBIT ป-l: EVALUATION STAGE SUMMARY


                                OBJECTIVES
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                                                 8-4

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                                               OSWER DIR.09028.00
                        9.  ARCHIVE STAGE


9.1.  Overview.    The Archive stage is the end of the system life
cycle.     The  activities  of  this  stage  ensure  the  orderly
termination  of   the system, and preserve vital information about
the  system  so   that some or all of it may be reactivated in the
future  if  necessary.    Particular  emphasis is given to proper
preservation  of  the  data  processed by the system, so that the
data  is  effectively  migrated to another system or archived for
potential future access.  The most significant activities of this
stage include:

      o  Preparing a Disposition Plan addressing how the various
         components of the system (software, data, hardware,
         communications, and documentation) are to be archived or
         transferred to other systems.

      o  Establishing permanent archival storage of the data
         (and/or transferring the data to another system), and of
         software essential to access the data in the future.

      o  Preparing a System Disposition Report, noting the actual
         disposition of all system components so that they may be
         easily  found in the future, if needed.

      The- Archive stage preserves information not only about the
current  production  system,  but also about the evolution of the
system  through  its life cycle.  In conducting the Archive stage,
several items are of particular note:

      o  All known users should be informed of the decision to
         terminate operation of the system before the actual
         termination date.

      o  Although the current system may be terminated, in many
         cases the data will continue to be used through other
         systems.  The specific processing logic used to transfer
         the data to another system is developed as part of the
         data conversion planning for that system.

      o  In some instances, software may be transferred to a
         replacement system.  For example, a component of the
         current system may become a component of the replacement
         system without significant rewriting of programs.

      o  Effective reactivation of the system in the future will
         depend  heavily on having complete documentation.  It is
         generally advisable to archive all documentation,
         including the life cycle products generated during the
         earliest stages of the life cycle (e.g., System
         Concept), as well as the documentation for users and for
         operation and maintenance personnel.


                               9-1

-------
                                                OSWER DIR.09023.00
9.2  Detailed Description.   A detailed description of the Archive
stage is presented in the following exhibits:
      Exhibit 9-1
      Exhibit 9-2
      Exhibit 9-3"
      Exhibit 9-4
      Exhibit 9-5
      Exhibit 9-6
      Exhibit 9-7
      Exhibit 9-8
Archive Stage Overview
Archive Stage Objectives
Archive Stage Decisions
Archive Stage Activities
Archive Stage Roles and Responsibilities
Product: System Disposition Report
Product: Project Management Plan
Product: Data Management Plan
Outlines of all products are presented in Appendix B.

      Several products of the Archive stage are listed in Exhibit
9-1/ but are not described in detail.  They are:
            Product

      Archived/Incorporated Data
      Archived/Incorporated Software
                      Contents
      Archived/Incorporated Life Cycle
      Products
                      A  copy  of  the   final
                      version      of      the
                      Production   Data   Base
                      (see Exhibit 6-7)

                      A  copy of  the software
                      portions  of   the  final
                      version      of      the
                      Production  System (see
                      Exhibit 6-6)

                      Copies- of the  final
                      versions  of   all  other
                      life cycle  products.
                               9-2

-------
                                                                              OSWER  DIR.//9028.00
                                   EXHIBIT 9-1: ARCHIVE STAGE SUMMARY
                                 OBJECTIVES
                                 •   CMO TMC 0ปC*ซrtON 0V TMซ
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                                 •   INSMI TXAT SVSTU COHM3NCNTS A NO OAT A t*l ••OPซปLป ปปCH[vEO 0*
                                     INCORPORATED INTO OTHtn SYSTEMS
     DECISIONS
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                                  AซCHivซo Life  CVCLB pซoouwrsl

                                  UPQATtQ
                                  P*OjECT MANAGEMENT 3LAM

                                  OATA MANAGEMCNT PLAN
                                                   9-3

-------
                                                            OSWER DIR.09023.00














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-------

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                                               OSWER DIR.//9028.00
                10.  CROSSCUTTING CONSIDERATIONS


10.1. Introduction.   Several topics of particular importance are
addressedin multiple phases or stages of the system life cycle.
These include:

      o  Project Management Plan
      o  Project Participation
      o  Project Reviews and Quality Assurance
      o  Project Approvals
      o  Configuration Management
      o  Data Administration
      o  Methodologies and Tools
      o  Benefit-Cost Analysis

      Specific  activities  relating  to  each of these topics is
presented  in  the  previous chapters of Part 2 of this Guidance.
This  chapter  briefly  describes each topic from a crosscutting,
life  cycle  wide  perspective.   Additional detail on several of
these topics is provided in the Practice Papers comprising Part 3
of this Guidance.

10.2. Project  Management  Plan.   The Project Management Plan is
the.  fundamentaldocumentfor  planning and managing the system
life  cycle,  and  is  mandatory  for every project.  It is first
developed  in the Initiation phase, and is updated, expanded, and
refined  continually  throughout  the  life,  cycle.  Exhibit 1.0-1
presents  the  major  topics  included  in the Project Management
Plan,   illustrating   how  each  section  of  the  plan  evolves
throughout  the life cycle.  The topics presented in Exhibit 10-1
refer  to  the approach and logistics for conducting the project.
Specific  characteristics  of  the system and data base(s) (e.g.,
security,  data  conversion)  are  documented  in other products.
Although the Project Management Plan exists as a single document,
a  wide  variety  of methods and tools may be used to develop and
maintain  the plan, including automated project management tools.
More  detailed  outlines  showing  the  evolution  of the Project
Management   Plan   through  individual  phases  and  stages  are
presented in Chapters 1 through 9 of Part 2 of the Guidance.

      Several important characteristics of the Project Management
Plan are noted below.

      o  The  Project  Management  Plan documents all of the life
         cycle  management decisions made by the Project Manager.
         This  System  Life  Cycle Management Guidance provides a
         flexible  approach  which  may be tailored to the unique
         characteristics  of  each information management problem
         and  project.  The Project Management Plan is the key to
         making  that flexibility work by clearly documenting any
         adjustments  to  the life cycle.  An explicit considera-
         tion  of  the  life  cycle approach to each project, and
         clear documentation of any adjustments, assures that all


                             . 10-1

-------
                                                OSWER DIR.//9028.00
         important   issues   have   been  addressed,  the adjustments
         made  can  be  communicated effectively to  the appropriate
         participants   in   the  project,  and the reasoning behind
         each  adjustment   is   recorded to guide future decisions
         and to answer questions  that may arise later in the life
         cycle.

      o  The  Project  Management  Plan evolves throughout the life
         cycle.    As   issues   arise  and decisions are made,  the
         Project Management Plan is updated to reflect them.   At
         any  moment  in  the   life cycle, the Project Management
         Plan  provides a   clear  picture  of project management
         decisions   made  to date and future project management
         direction.

      o  The Project Management Plan supports the  coordination of
         the  various   organizations  and individuals involved in
         the   project.    The  Project  Management  Plan  is   an
         invaluable tool for effective  coordination among project
         participants.      Particularly   in   large   projects,
         participants   may   work   in greater or lesser degrees of
         isolation.     The   Project Management  Plan provides an
         up-to-date picture of  each participant's  role and how it
         relates to other  project activities.

      o  The  Project   Management  Plan  is subject to review and
         approval  by   OSWER program management.   Because of  its
         importance  to'the direction of the project, the Project
         Management  Plan  is subject to program management review
         and  approval. This helps ensure that project direction
         decisions   clearly support  the  overall-  objective   of
         solving an information management problem.  Key elements
         of  the  Project   Management   Plan  are  included in the
         Decision  Papers   prepared for formal program management
         approval.

      Part  3  of  this Guidance  includes a Practice Paper that
discusses the Project  Management  Plan  in more detail.

10.3. Project Participation.  Information management problems  and
projects   to . resolve   them    require   the  participation  of
organizations  and   individuals  with a diverse set of experience
and  skills.    These   range  from an   in-depth understanding of
pertinent  EPA  programs  to expertise  in  specific information
management   technologies.    Successful  projects  require  that
certain important roles be specifically assigned to organizations
and  individuals.   These  roles,  and  the organizations from which
individuals  typically  are drawn  to   fulfill  these roles,  are
summarized below.

      o  OSWER  Program  Management  serves  as  the  sponsor and
         ultimate decision authority  regarding all aspects of the
         project,  ranging  from   the   initial delineation of the
         nature and scope  of the  problem to the decision to place


                              10-2

-------
                                          OSWER DIR.//9023.00
   the   system   into  full  production.    This  role  is
   accomplished  by a line program manager or, for a system
   with  broad  programmatic impact, potentially by a group
   of  managers  (such  as the OSWER Information Management
   Steering  Committee).   For a given project, the program
   management  role  may be filled by an individual from an
   office at Headquarters or a regional office.

o  OSWER  Program  Staff  consists  of  the individuals who
   directly  experience the information management problem,
   and  who  will  likely be the users of the system.  This
   role  provides the user view of the problem and insights
   regarding potential solutions.  Of particular note, this
   role   is  embodied  in  individuals  other  than  those
   assigned  specifically  to  the  project  team.    These
   individuals  are consulted by the project team to define
   functional  and  data  requirements and discuss specific
   features  of  the  solution.    These individuals may be
   members  of  EPA headquarters offices, regional offices,
   state agencies, and/or other external organizations, and
   may  be  representative of any level of their respective
   organizations.

o  Project  Management  directs the project and is account-
   able  for  its success.  For national systems, this role
   is performed by a member of OSWER, although projects may
   be  managed  by  a member of another EPA office at Head-
   quarters  or" a  regional  office.    This role is often
   accomplished  by  a  single  individual, but for a large
   project  with  broad  programmatic  impact may require a
   team  of  individuals  acting  in  a  project management
   support role.

o  Project  Staff are the other participants in the project
   team tasked with solving the problem.  These individuals
   accomplish   the  majority  of  life  cycle  activities,
   bringing  to  bear specific areas of expertise including
   knowledge  of  pertinent EPA programs and organizations,
   existing   information   systems,  and  various  systems
   analysis    and    development   methods,   tools,   and
   technologies.  For most projects, this role is performed
   by  multiple  individuals  and  may  include individuals
   drawn  from  EPA headquarters offices, regional offices,
   state  agencies,  contractors,  grantees,  and/or  other
   external   organizations.    These  individuals  may  be
   representative   of   any   level  of  their  respective
   organizations.

o  Quality  Assurance is the role responsible for reviewing
   the  products  of  the life cycle effort to confirm that
   the   project  team  is  proceeding  in  an  appropriate
   direction and will effectively solve the stated problem.
   This  role  is  generally  performed by individuals with
   substantial   experience   and  knowledge  of  pertinent
                        10-3

-------
                                                OSWER DIR.#9023.00
         programs,   analytic  tools   and  methods,  and information
         management  technologies.  These  individuals may be drawn
         from  EPA   headquarters  offices,  regional offices, state
         agencies,   contractors,   grantees,  and/or other external
         organizations,  but  should not  be the same individuals as
         those participating as members of the project team.

      o  Procurement is  a support role  that  provides expertise in
         the   EPA    and  government-wide  laws  and  regulations
         governing   the   acquisition of   information  management
        - technology-  and  services.   This role is performed by a
         procurement  and  contracts specialist,  usually a member
         of  an organization outside of OSWER, such as the Office
         of Information  Resources Management (OIRM), the National
         Data Processing Division (NDPD),  and/or  the Procurements
         and  Contracts   Management   Division  (PCMD)  within the
         Office of  Administration.

      Part  3  of  this   Guidance  includes  a Practice Paper that
discusses Project Participation  in more detail.

10.4. Project  Reviews and Quality Assurance.  Independent review
of  the  products of the system  life cycle is performed to ensure
that  the  project  team  is proceeding in  an  appropriate direction
to  effectively  solve  the  information  management problem.  The
reviews  address  programmatic  issues, technical considerations,
and  project management, and provide feedback to  the project team
as  well  as  advice  to  the'individuals required to approve the
project.   Project  reviews and other quality assurance activities
are  performed  throughout  the   life  cycle,  as  illustrated in
Exhibit   10-2.    This   exhibit   also   illustrates  the   related
approvals throughout the life cycle.

      Several  important  aspects  of project reviews and quality
assurance are noted below.

      o  The  reviews  to  be conducted and other planned quality
         assurance  activities  are   documented  in  the   Project
         Management  Plan.    These   efforts  are  included as an
         integral  part   of  the  Project  Management Plan,  and are
         reflected  in various sections of the Project Management
         Plan  —  Project  Team  Organization,  Workplan,  and a
         section  devoted  exclusively   to  project  reviews  and
         quality assurance.

      o  Quality  Assurance  is  a  continual part of the  project
         effort.    The  overall  approach for project reviews and
         quality  assurance  is  initially  formulated during the
         Initiation  phase,  and  is  completed by the end of the
         Concept  phase.  This approach addresses the entire life
         cycle,  and  is  updated  as  appropriate to reflect the
         experience of the project effort.   Quality assurance is
         not  simply  the acceptance testing of a system prior to
         full  implementation.  The early and continuing emphasis


                              10-4

-------
                                                OSWER DIR.//9023.00
         on  quality  helps ensure that quality is built into the
         information  management solution as an intrinsic part of
         project,   and not through numerous, and often expensive,
         corrections in the latter stages of the life cycle.

      o  Quality Assurance applies to all aspects of the project.
         Project  reviews  and other quality assurance activities
         focus on programmatic, technical, and project management
         issues,  and  the relationship among them.  All products
         are  examined  —  including the Project Management Plan
         and  Decision  Papers  — to ensure that they adequately
         fulfill their intended purpose.  These examinations help
         ensure  that  technical and project management decisions
         fully  consider their program management impact, and are
         realistic in view of the requirements and constraints of
         the project.

      o  Formal  reviews  are  structured  to  ensure  a level of
         review  commensurate  with  the  nature and scope of the
         information  management  problem and potential solution.
         Each  project  will  include  an  analysis of the proper
         level  of  review,  and will include the results of this
         analysis in the Project Management Plan.  This analysis,
         called threshold analysis, considers such factors as the
         organizations who will be supplying data to or using the
         system,   system  costs,  and  the  organizations  whose
         procedures  and/or  resource may be directly affected by
         the' system.

      o  The  results  of  reviews  are included in each Decision
         Paper.    Reviews are directed to two audiences.  One is
         the  project  team,  which receives direct feedback from
         the  review.    The  second is OSWER program management,
         which  uses  the  results  of  the  review as one of the
         inputs to providing the required approvals.  This second
         audience .is served by including a summary of the review
         results  and  recommendations  in the Decision Paper for
         the phase or stage corresponding to the review.

      Part  3  of  this  Guidance  includes a Practice Paper that
discusses project reviews, and related project approvals, in more
detail.

10.5. Project   Approvals.      Formal   approvals  are  provided
throughout  the  system  life  cycle to ensure that OSWER program
management  supports  the  project,  and is irป agreement with the
chosen  project  direction.    These  approvals are provided at a
level  commensurate  with  the  nature  and  scope of the system.
Specific approval activities are identified in Exhibit 10-2.

      Several  important  aspects  of project approvals are noted
below.
                              10-5

-------
                                                OSWZR DIR.#9023.00
         A  summary  of  the  information  that  program managers  need
         for  approval   is  presented  in the  Decision Papers.   The
         life   cycle products  which  support the  approval  process
         (the   Decision  Papers)  are  very  brief;  they contain,  in
         summary   form,   the management information which  program
         management   needs  to  determine  whether  the life cycle
         effort  is   progressing   satisfactorily.   Any additional
         information that  program   management   may  request  is
         usually   available in  one  of  the normal  life cycle
         products or through the  review process.

         Approvals  are obtained  at a level  of program management
         commensurate   with    the   nature   and  scope  of   the
         information management   problem  and potential solution.
         Each  project conducts  an analysis of the proper level of
         approval,  and  includes the results of  this analysis in
         the Project Management Plan.   This  analysis is conducted
         jointly   with   the determination of the proper level of
         review,   and  its  results are documented  in the  Project
         Management  Plan.

         Project   reviews  precede management approvals.  Project
         approvals reflect  a consideration of the products of the
         life   cycle,  and  the  results  of a   review  of  these
         products.   Program   managers utilize  the  results of
         project  reviews to confirm  that the project direction is
         sound,  particularly   with  regard to those technical and
         systems   project  management  issues where a manager may
         have  limited expertise.

         Preparing for  and  obtaining  approvals  is not the goal of
         the life cycle process,  but  only  a  means to assuring the
         real   goal, successfully solving  an information problem.
         Project   reviews and  approvals utilize  the products  that
         normally  result  from  the  life  cycle  process, with the
         addition  of Decision Papers.   Decision  Papers are- brief
         documents,   prepared   to aid   the   approval  process
                   program  managers  a synopsis of the
                   make an  informed  decision.
         providing
         needed to
                 by
        information
      Part  3  of  this  Guidance
discusses  project approvals,  and
more detail.
                                   includes  a
                                  the related
Practice Paper that
project reviews, in
10.6. Configuration   Management.       Configuration   management
activities are conducted throughout the life cycle to ensure that
               of  the  system and the status of each are readily
              at  any  point  in  time, and to ensure the overall
               the  system.     Exhibit  10-3  illustrates the key
               management  activities  that  are performed during
              stage of the life cycle.
the  elements
identifiable
integrity  of
configuration
each phase or
noted
      Several
      below.
               important  aspects of configuration management are
                              10-6

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                                       OSWER DIR.//9028.00
Effective  configuration  management depends on diligent
maintenance of system baselines.  Many of the life cycle
products  will  be  refined  over the course of the life
cycle  as the project team gains better -insight into the
information  management  problem  and  the many specific
details  of  the  solution.  Each product is stored in a
designated baseline, and careful records are kept of the
modifications  to each product.  These modifications may
be  recorded  as  addenda  to  the  product, or complete
replacements.    Exhibit  10-3  identifies the baselines
generated  and  updated  at  each phase and stage of the
life  cycle.    Exhibit  10-4 identifies the contents of
each   baseline.    Of  particular  note,  the  products
contained  in  the  baselines  are  those  generated  by
project  execution  activities  —  those products which
will  eventually  become part of the operational system.
Other products, such as the Project Management Plan, are
not controlled in baselines.

Configuration  management  is  a  continual  part of the
project  effort.  A configuration management function is
established  during  the  Concept  phase,  and is active
throughout  the  life  cycle.    This  function conducts
several key activities:

    Ensures  that  all  key  products  are  recorded and
    stored for effective future use and reference.  Each
    such documented is stored in a designated baseline.

    Records   and   monitors  the  status  of  requested
    modifications to the system.

    Administers a change control process to consider and
    determine the disposition of requested modifications
    to the system.

    In  support  of  project reviews, conducts audits of
    life   cycle   products  to  ensure  that  they  are
    consistent   with  the  content  of  prior  products
    contained in the system baselines.

A Change Control Panel considers requested modifications
to  the  system  before  they  are  made.   The panel is
established by the project manager to review requests to
modify  any  part of the system that has been baselined.
This    panel    consists   of   individuals   providing
programmatic  knowledge  as well as technical expertise,
and  serves  in  an  advisory  capacity  to  the project
manager.

The Configuration Management Plan is part of the Project
Management  Plan.    The  Configuration  Management Plan
addresses   the   procedures   to   be   used   for  all
                     10-7

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                                                OSWER DIR.09028.00
         configuration  management  activities.   These procedures
         are tailored to each system.

      Part  3  of  this  Guidance  includes a Practice Paper that
discusses configuration management in  more detail.

10.7. Data   Administration.      OSWER1s  life  cycle  management
approach emphasizes management of data resources.  Because of the
large   volumes  of  data  handled  by  OSWER  systems,  and  the
increasing trend toward sharing data across systems and programs,
life  cycle management activities are  conducted and decisions are
made  with  a  particular  focus on data resources.  Exhibit 10-5
identifies the key activities associated with data  administration
through  the  life cycle, and the products containing the results
of these activities.  OSWER has established a data  administration
policy,  and  a  Practice Paper devoted to data administration is
provided in Part 3 of this Guidance.

      Several  important aspects of data administration are noted
below:
      o  A  Data  Management  Plan  is  mandatory for each system
         project.     Like  the  Project Management Plan, the Data
         Management  Plan  is a mandatory life cycle product.  It
         is  first  produced  in  the  Initiation  phase,  and is
         updated,   expanded,  and  refined continually throughout
         the life  cycle.   Detailed outlines showing the evolution
         of  the 'Data  Management Plan through individual phases-
         and stages are presented in Chapters 1 through 9 oฃ Part
         2 of the  Guidance.

      o  A Data Dictionary is mandatory for every system.  A data
         dictionary must  be  prepared for every system, to clearly
         communicate  the attributes of the data processed by the
         system  to  system   users, and other individuals with an
         interest  in the  data processed by the system.

      o  Data   administration   concerns   cut  across  multiple
         systems.    For each project, data administration focuses
         on the relationship of the project to other projects and
         systems  that  process common data.   Data administration
         addresses  data   definitions, data standards, mechanisms
         to  ensure  consistency  of  data  across  systems, data
         quality  control  procedures,  and  related  issues that
         frequently cut across project and system boundaries.  As
         OSWER  develops   an OSWER-wide data  model in the future,
         data  administration  will  address   how  a  project  or
         potential  new  (or  enhanced)  system  relates  to  the
         implementation  of   the data architecture defined by the
         model.

10.8. Methodologies  and   Tools.   Systems projects are conducted
using   established   analytic,   development,   and  maintenance
methodologies  to   the  greatest  extent  possible.  As automated


                              10-8

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                                                OSWER DIR.#9023.00
tools  become  more available,  it is expected that OSWER projects
will  increasingly  use  these   tools  to  take  advantage of the
quality and productivity increases afforded to their users..  Each
project  is  expected to select and use appropriate methodologies
and  tools.    This  Guidance  does  not  mandate  the use of any
specific  methods  or  automated  tools; however, it does require
that  choices  be made explicitly.  Exhibit 10-6 illustrates when
the  selections  of  methodologies and tools are usually made for
individual life cycle phases and stages.

      Several    important   considerations   in   the   use   of
methodologies and tools are noted below:

      o  Methodologies  and  tools  are  considered  from  a full
         system  life  cycle  perspective.    The  selection of a
         particular  methodology  or  tool reflects its potential
         use  throughout  the  life cycle and its relationship to
         other  methods  and  tools.   Methods and tools selected
         early in the life cycle provide benefits to the earliest
         phases  and  stages,  but also may constrain the choices
         available in later phases and stages.

      o  Decisions  about  methodologies and tools are documented
         in the Project Management Plan.  Specific selections are
         clearly  documented  and communicated to all appropriate
         project participants.

      o  The  methodologies and tools for each phase or stage are
         selected no later than the end of the preceding phase or
         stage.  Although some  methods and tools will be selected
         with  certainty  at  the  outset  of a project, the best
         choices  for others.will not be clear until later in the
         life cycle.  However,  to ensure their effective use, and
         enable  training  of  team  members  in  their  use  (if
         needed),  specific  methodologies and tools are selected
         prior  to  the start of the phase or stage in which they
         are to be used.

      o  No methodologies or tools may be adopted as alternatives
         to the application of  life cycle management.  Individual
         methodologies  and  tools  are  used  to  accomplish the
         activities  of  the  life  cycle  and support life cycle
         decisions.    They  do  not  substitute  for  life cycle
         management.   Some methodologies and tools (e.g., system
         prototyping/   expert    system   shells)  prescribe  the
         combination  of  certain  phases  and/or  stages.  These
         methodologies  may  be  used, but the project teams that
         use  them  must  ensure that any adjustments to the life
         cycle  provide  .a  clear  focus on life cycle decisions,
         provide  documentation  ultimately  comparable  to  that
         identified  in  this Guidance, and ensure a proper level
         and  frequency  of  review and approval.  All life cycle
         adjustments   are   clearly  described  in  the  Project
         Management Plan.


                              10-9

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                                                OSWER DIR.#9028.00
10.9. genefit-Cost  Analyses.     The  important  decisions of the
system life cycle, and the prescribed management approvals, often
hinge on two key questions:  "How much will it cost?" and "Are the
benefit.s  worth  the  cost?"    For each systems project, benefit-
cost  analyses  are  conducted  early  in the life cycle, and are
updated  continually as appropriate.  Exhibit 10-7 identifies the
activities   that   provide  a  benefit-cost  analysis,  and  the
document(s) containing the results of the analysis.

      Several  important  aspects  of  benefit-cost  analysis are
noted below.

      o  Benefit-cost analyses evolve from rough estimates in the
         early  phases  to  increasingly  detailed  and  accurate
         projections as the life cycle progresses.  At each phase
         or stage, information is gathered and decisions are made
         that  enable  the  project  team  to  make  increasingly
         accurate  projections  of  the benefits and costs of the
         system over its life cycle.

      o  Benefit-cost   analyses   consider  benefits  and  costs
         throughout   the  entire  life  cycle.    Each  analysis
         provides  an  explicit consideration of onetime benefits
         and  costs  as  well as those that are realized over the
         l.ife   of   the  system.    The  analysis  also  clearly
         identifies  the  incidence  of  each  benefit' and cost,
         denoting  those organizations that are likely to realize
         the benefit and those that are likely to  incur the cost.

      o  Results   of   benefit-cost   analyses    are  documented
         throughout the life cycle.  These results form the basis
         of  the  most  important  decisions  of   the life cycle,
         particularly  those regarding the scope and direction of
         the  project.    Written documentation of the results is
         critical,  and includes any significant assumptions made
         in conducting the analysis.  Exhibit 10-7 identifies the
         documents  containing  these  results,  and  outlines of
         these  documents  are provided in Chapters 1-9 of Part  2
         of the Guidance.  A summary of the benefit-cost analysis
         is included in every Decision Paper.
                              10-10

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                                                               OSWER DIR.//9023.00

       EXHIBIT 10-1:  EVOLUTION OF PROJECT MANAGEMENT PLAN
                      THROUGH THE SYSTEM LIFE CYCLE
      PHASE/STAGE
 TOPIC
Project Charter/Objecnves

Lie Cycle Adjustment

Project Team Organization

Project Budget

Project ReviewvQualiry Assurance

Applicable Project Approvals

Benefit/Cost Analysis

Methodologies md Tools

Woricplai

Procurement Approach

Conflguraoon Management Approach

Documentation Standards

Security Approach

Conversion Approach

Installation Approach

User Support Approach

Maintenance Approach

Operations Approach
                                              EXPAND AND/OR ADD DETAIL
                                          10-11

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                                                                OSWER DIR.#9028.00
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                                                OSWER DIR.//9023.00
                      APPENDIX A: GLOSSARY
      This appendix defines key terms used in OSWER1s System Life
Cycle Management Guidance and related documents.
TERM
DEFINITION
Acceptance
Testing
Access
Approval
Archive
Archive Data
Audit
Testing  performed by program staff (not project
staff)  during Implementation to verify that the
system   solves   the   information   management
problem,  performs  satisfactorily, and is ready
for release to users.
The  operation  of
extracting) data.
                   viewing or copying (including
An  examination  of life cycle products, and the
results  of the project review process, by OSWER
program  management.    The approval process has
three  purposes:  first,  to confirm che results
(i.e.,  the  concepts,  products, and management
direction)   of  life  cycle  efforts  to  date;
second, • to  approve  continuation with the next
stage  of  'the life cycle; and third, to confirm
the  continued  commitment  of  resources to the
project.    The  OSWER life cycle model requires
formal  approvals  at  the end of the Initiation
and  Concept phases, and the Definition, Design,
Development; and Implementation stages.

The  third stage of the Operation phase, and the
final  stage  of  the  system  life  cycle.  Its
purpose  is  to  terminate  the operation of the
system  in  an orderly, planned manner, ensuring
that  software and data are properly archived or
incorporated into other systems.

The  routine  storage of data for an operational
system,   usually   done  to  provide  efficient
performance.    For  example,  archiving certain
data at the end of a fiscal year.

A  guidance-  and standards-oriented examination
of   the   products  and  related  documentation
contained  in a baseline to assure that they are
complete,   clearly  presented,  and  internally
consistent  to  support  a  product review.  The
OSWER  life  cycle  provides  for  five  audits;
Concept,  Definition,  Design,  Development, and
Operational.     Audits  are  performed  by  the
project  staff.    Any  audit may be repeated as

              A-l

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                                                OSWER DIR.//9028.00
Baseline
Change
Change Control
Concept
Conceptual Data
Model
Configuration
Accounting
necessary.  A system life cycle audit is not the
same  as, and is not intended to substitute for,
an   audit   conducted  by  the  Office  of  the
Inspector General (OIG).

The set of life cycle products and other related
documentation   which  officially  comprise  the
system at a given point in time.  The OSWER life
cycle   model   provides    for  five  baselines:
Initiation, Definition, Design, Development, and
Operational.    The  products  contained in each
baseline  are always reviewed prior to inclusion
in the baseline.

A modification to the system or data base(s) for
maintenance  or  performance  purposes,  without
affecting  the functionality or structure of the
system  or  data  base(s).  Other modifications,
which  do alter the functionality structure, are
referred to as enhancements.

A  process  for controlling modifications  (i.e.,
changes  and  enhancements) to a system.  Change
control   provides   a   review   of   requested
modifications, and consideration of their  impact
on  a  system,  before  they  are  made; it also
ensures  that modifications are made in a manner
that does not disrupt ongoing system operation.

The second phase of the system life cycle.  This
phase  provides  a  high level of functional and
data  requirements that relate to an information
management problem, and a comprehensive model of
a solution to meet the requirements.

A   depiction   of  data  requirements  from  an
organizational  perspective.  Corresponds  to the
conceptual schema of a three-schema architecture
as  defined  by  the American National Standards
Institute.    Entity   relationship  diagrams are
often  used to depict  the conceptual data  model.
The  conceptual  data  model  forms  part  of the
System Concept.

A  process  for  maintaining  system  baselines,
including   adding   products   to  a  baseline,
denoting   the   components   of   each  product
(referred   to   as  configuration  items),  and
monitoring  and  recording  the  disposition  of
requested modifications to  the system.
                                                                  4
                               A-2

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                                                OSWZR DIR.//9023.00
Configuration
Management
Custodianship
Data
Data
Administration
Data
Administration
Program
Data Attribute
Data Base
A   function   which  serves  to  systematically
identify  the  items  that make up a system, and
formally  control  any  modifications  to  those
items,  in  order to help maintain the integrity
of  the  system,  and  facilitate  communication
about the system throughout its life cycle.

The   functions   and   responsibilities  of  an
organization,  such as an ADP organization, with
physical  custody of data that supports the work
of  another  organization,  such  as  a  program
office.   For example, the custodian ensures the
physical  integrity  of  the  data  and software
under  its control; safeguards the media storing
data;   ensures   the   data   is   secure  from
unauthorized     access,     modification,    or
destruction; makes data accessible to users; and
implements   requested   hardware   or  software
modifications.
Representations    of    facts,
instructions    in    symbols
communication,  interpretation
human or automated means.
  concepts,   or
 suitable    for
or processing by
The  management  function  responsible  for  the
planning,  definition, organization, protection,
and  efficiency  of  data  and data bases within
OSWER.    The goal of Data Administration is the
cost-effective  provision  of data of sufficient
quality to support the OSWER mission.

A management initiative which includes policies,
standards,   and  procedures  that  increase  an
agency's   knowledge   and  management  of  the:
composition  of data, source of data, processing
of  data,  meaning  of  data,  flow of data, and
                 dissemination
                 Administration
                 management  of
                 that  address:
                 determination,
                 or  collection,
                 data  usage
                 data disposal.
                of  data.    A  successful  Data
                  program   will    improve   the
                data  by  introducing procedures
               data standards, data requirements
               data definition, data acquisition
                 data  processing, data storage,
              including sharing and access), and
A  characteristic  of  a  unit  of  data such as
length, value, or method of representation.

A   collection   of   interrelated  data  stored
together with controlled redundancy to serve one
or more systems or applications.
                               A-3

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                                                OSWER DIR.//902S.OO
Data Base
Management
System (DBMS)

Data Collection
Data Definer
Data Dictionary
Data Element
Data Entity

Data
Independence
Data Integrity
Data Life Cycle
Data Management
A  software system facilitating the creation and
maintenance  of a data base and the execution of
computer programs using the data base.

The recording and capturing of data on behalf of
an organization.

The  person  or  organization who determines the
essential  qualities or meaning of data, and who
prescribes    and   defines   procedures   which
aggregate   and  refine  data.    This  includes
describing   the  formatting  of  the  resulting
information  to serve a specific decision-making
context.

A  centralized  repository  -of information about
data,  including  its  meaning,  relationship to
other data, origin, usage and format.

The  smallest  unit  of data that has meaning in
describing  information.   A piece of'data which
would not be meaningful if decomposed further.
See "Entity"

The  property  of  a data base management system
that  enables data to be processed independently
of  access  mode, storage method or arrangement.
Data  independence  reduces  the  need to modify
                 Data  independence
                 application   programs  wnen
                 access methods are modified.
                              data  storage  and
The  quality  of  data  that  exists  as long as
accidental     or     malicious     destruction,
modification,  or  loss  of  data are prevented.
This  results  in  preservation  of  data  in its
intended   format,  length  and  contents  while
within a data base.

The  data  life cycle begins with the definition
of  data  to  support  new  regulations or other
program   needs,  and  includes  strategic  data
planning,  data standardization, and the methods
and  standards  during  the collection, storing,
accessing, and archiving of data.

A  subfunction  of  Data Administration which is
responsible  for  data-related activities  of the
system life cycle, such as logical data modeling
during   requirements   definition,   data  base
design,    data   base   management,   and   the   -
documentation   of  data-related  decisions  and  •
products.
                               A-4

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                                                 OSWER DIR.//9023.00
Data Security
Data
Stewardship

Decision Paper
Definition
Definition and
Design
Design
Design Data
Dictionary
Development
The  protection  of  data  against  unauthorized
disclosure,     transfer,    modification,    or
destruction, whether accidental or intentional.

See "Stewardship"
A decision document presented to management.  It
summarizes  those  aspects  of  the analysis and
decisions  of  a  given  phase or stage that are
important  to  program  management, and requests
approval  to  continue  the  project.  The OSWER
life cycle model provides for Decision Papers to
be  prepared  at the end of Initiation, Concept,
Definition,     Design,     Development,     and
Implementation.

The  first  stage  of  the Definition and Design
phase.    Its  purpose  is  to  define specific,
detailed  functional  and  data requirements for
the  system  within  the  context  of the System
Concept.

The  third  phase  of  the  system  life  cycle,
consisting of two stages: Definition and Design.
(See  individual  definitions  of  each of these
terms).

The  second  stage  of the Definition and Design
phase.    Its  purpose  is  to  produce detailed
specifications   for  the  system  to  meet  the
functional  and  data  requirements  within  the
context of the System Concept.

Data dictionary created during Design to support
design   and   development  of  the  information
system.    It  represents  an  expansion  of the
Requirements  Data  Dictionary, and contains all
the metadata stored in dictionary.  In addition,
it  contains  descriptions  of the physical data
base structures and the manner in which they are
implemented  in  the  test  versions of the daca
base(s).    These  descriptions include physical
records,  segments,  data sets (or files), keys,
block  sizes,  data set allocation, and physical
size limits.

The   first   stage   of   the  Development  and
Implementation phase.  Its purpose is to produce
a  system  which is ready for acceptance testing
and suitable for implementation.
                               A-5

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                                                OSWER DIR.//9023.00
Development and
Implemencation
Domain


Enhancement
Entity
Evaluation
Implementation
Information
Information
System
The fourth phase of the life cycle.  Its purpose
is  to  produce  a complete system, fully tested
and available for use in normal production mode.
There  are two stages 'in this phase: Development
and Implementation.

A  set  of  all  values  that  a particular data
element may posses in actual or potential usage.

A  modification  to  a  system  that  results in
substantially improved capabilities and, in some
way,  alters  the  functionality or structure of
the  system.   Other modifications, which do net
alter the structure, are referred to as changes.
Examples of enhancements include the addition cf
new  data  elements,  changing  the system (or a
part  of  the  system)  to  run  in  a different
software  environment,  and replacing data entry
screens  to  improve  the  user interface and/or
improve performance.

A  person,  place, thing, concept, or event that
is  of  interest to an enterprise.  An entity is
something  about  which we store data.  Examples
of entities are: waste site, contract, EMPLOYEE.
An   entity  has  various  attributes,  or  data
elements, which should be recorded.  Examples of
data  elements  for  the entity "contract" could
include      CONTRACT-NUMBER,      DATE,     and
OBLIGATION-CEILING.
The  second
purpose  is
effectively
operating
managed.
 stage  of the Operation phase.  Its
 to  determine whether the system is
 meeting the stated requirements, is
efficiently   and   is   effectively
The   second   stage
Implementation phase.
a  fully tested system
at  start-up,  and to
the intended users.
           of  the  Development  and
           Its purpose is to produce
          containing the data needed
          provide needed training to
Any  set  of  data  which has been  aggregated  by
processing  in  order   to   establish   a  specific
meaning and serve in a  decision-making context.

See  "System"
                               A-6

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                                                OSWER DIR.#9023.00
Initiation
Integration
Testing
Internal
Testing
Life Cycle

Life Cycle
Management
Logical Data
Model
Maintenance
The  first  phase of the system life cycle.  Its
purpose  is  to define an information management
problem  within  OSWER  and to determine whether
resources  should be committed to exploring ways
to address it.

Testing   performed   by  project  staff  during
Development,  following  the  completion of unit
tests for individual components.  Components are
assembled  in  the  development  environment and
tested  to  verify  that they function correctly
together.    Integration  testing  is iterative,
testing  additional modules for which unit tests
are successfully completed.

The  first  kind of testing performed by project
staff  during  Development.    While each system
component  is being developed, it is continually
checked   to   assure   that  it  is  internally
consistent and conforms to specifications.

See "System Life Cycle"

The  process  of  managing  a system through its
life  cycle.  As practiced by OSWER, it is not a
rigid  process,  but  rather a disciplined means
for  selecting  and  practicing  the  management
approaches   and   techniques   that   are  most
appropriate  for  a given information management
problem and/or system.

A  depiction  of  the  logical, or programmatic,
data   needed   to   support  an  organizational
mission.  The components of a logical data model
include   data   entities  and  relations,  data
elements  and  attributes, keys, secondary keys,
and  relationships  between  entities  (if  data
entities are used).  The logical data model is a
more  detailed  depiction of the conceptual data
model  of an organization.  It may correspond to
the  external schema as defined by the  American
National  Standards Institute.  The logical data
model   forms   part   of   the   Detailed  Data
Requirements.

The  set  of  activities  that keep a system and
data    base(s)    in    operating    condition.
Maintenance   also  focuses  on  optimizing  the
existing   system   and  data  base(s),  without
affecting  functionality or the structure of the
system or data base(s).
Metadata
Data  about  data, such as
physical characteristics.
its definition or its
                               A-7

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                                                OSWER DIR.09028.00
Modification
Normalization
Operation
Phase
Privacy
Production
Production
Dictionary
Data
Project
      A   change
      "Enhancement
             or
enhancement
See  "Change,"
      The  process   of   reducing   a  logical  data model
      (structure)   to  its  most  basic form,  so that the
      data   model   is   stable,   flexible,   and without
      redundancy.   A normalized data model  is composed
      of  normalized data  entities.   A normalized data
      entity  includes   no  repeating . groups  or data
      elements   among   its    attributes,    contains
      attributes  (data  elements)  only about  the entity
      being described,  and does not  include  attributes
      which  are  dependent on  the  key   of  another
      entity.

      The  fifth  phase  of  the  life cycle.   Its purpose
      is* to  operate   the system in normal  production
      mode,    monitoring    and     maintaining    its
      performance,   until   the   end  of the  life cycle,
      and  then  to terminate   operation.    There are
      three   stages   in    this   phase:   Production,
      Evaluation, and  Archive.
      The  major
      There  are
            segments  of  the system life cycle.
            five phases in the OSWER system life
cycle:   Initiation;   Concept;  Definition  and
Design;   Development  and  Implementation;  and
Operation.
      The  right  of
      constrain  the
      themselves.
                individuals  or organizations to
                collection and use of data about
The  first  stage  of  the Operation phase.  Its
purpose  is  to  make  the  system  available  to
users,    and    make   required   changes   and
enhancements  to  ensure  that  it  contains   to
address  the information management problem in a
cost effective manner.

Data  dictionary  produced during Implementation
by  copying  the metadata in the last version of
the  Design Data Dictionary, for use in testing,
implementing,   and   operating  the  production
system.

An  organized  effort  to  solve  an information
management  problem.    In most cases, a project
extends  over  the entire system life cycle.   In
some  cases  a  project extends only through the
portion  of  the life cycle that can be foreseen
with confidence, e.g., through Production  if the
timing for ceasing operation is uncertain.
                               A-8

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                                                OSWER DIR.//9028.00
Project
Execution
Project
Management
Quality
Assurance
Record
Release
Management
The set of activities which produce the concept,
definition, design, and production versions of a
system.

The  set of activities which monitor and control
project   execution  to  ensure  that  they  are
performed • effectively  and  in  accordance with
applicable  policies,  guidances  and practices;
and  that  its  products  solve  the  identified
information management need.

A function that ensures that all products of the
life   cycle   are  substantively  accurate  and
address   the   stated   information  management
problem.    Quality  assurance  is  accomplished
through  the efforts or skilled professionals on
the project team, and through formal reviews.
A  group  of  related data elements
unit by an application program.
treated as a
The  functions  and  responsibilities associated
with  the  implementation of modifications to an
operational  system during the Production stage,
and  making  the revised system available at all
user locations.
Requirements     Data   dictionary   produced  by  data  modeling
Data Dictionary  activities   during   Concept   and  Definition.
                 Metadata  recorded  about  each  data entity and
                 data   element   includes   name,   programmatic
                 definition, purpose, data steward, data definer,
                 and source.
Review
A  formal, quality-oriented examination of a set
of  related  products, to verify that they solve
the  information  management problem.  The OSWER
life  cycle  model  provides  for  five reviews:
Concept,  Definition,  Design,  Development, and
Post-Implementation.    Reviews are performed by
designated  OSWER  program  staff and supporting
program  and  technical experts.  Any review may
be  repeated  as  necessary  to  ensure that all
deficiencies in the products have been fully and
adequately addressed.
Shared Data
Data  stored that is created, accessed, updated,
or deleted by more than one organizational unit.
                               A-9

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                                                OSWER DIR.//9028.00
Stage
Stewardship
System
System
Component
System Concept
System Decision
Paper
The segments of the system life cycle that occur
within  certain larger phases.  The OSWER system
life  cycle  divides  the  Definition and Design
phase  into  two  stages: Definition and Design.
The   development  phase  is  divided  into  two
stages:  Development  and  Implementation.   The
Operation  phase  is  divided into three stages.:
Production, Evaluation, and Archive.  The phases
Initiation  and  Concept  are  not  divided into
stages.

The   functions   and   responsibilities  of  an
organizational  entity  that  exercises  control
over  data  on  behalf  of OSWER.  Organizations
that  require  data  to be collected, processed,
stored  or  used  in  support of OSWER's mission
have   stewardship   responsibilities.     These
responsibilities include ensuring that: (1) Only
data  relevant to OSWER1s missions is collected.
(2)  Data  that  is  collected  is of sufficient
quality  to  support OSWER's missions.  (3) Data
is  reused  wherever  appropriate  within OSWER.
(4)  Data  is  clearly defined and documented in
compliance  with  established  directives.    (5)
systems   practices   under  the  organization's
stewardship  conform  t'o EPA Data Administration
guidance.

An organized set of functions, data, procedures,
hardware,   software,   communications,   and/or
documentation  which  enables  OSWER  to solve  a
specific  information  management  problem.     A
system  need  not  necessarily be automated;  but
most  instances  of  life  cycle management will
apply to automated information systems.

A well-defined portion of an  information system.
Categories  of  components   include, but are  not
limited  to, hardware, software, communications,
procedures,  reference manuals, user procedures,
system   administrator   procedures,   and  user
support materials.

A  high-level  complete  description of a system
(including    data,   processing   capabilities,
hardware,  software  and communications).   It is
produced  during the Concept  phase and serves as
both a check on the validity  and completeness of
the  problem,  and  the  basis for defining more
detailed functional and data  requirements.

See  "Decision Paper"
                              A-10

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                                                OSWER DIR.09028.00
System Life      The  evolution  of  a  system  from  the initial
Cycle            identification   of  an  information  management
                 problem    through    system    termination   or
                 replacement.

System Testing   Testing   performed   by  project  staff  during
                 Implementation,  following  integration  testing
                 and  prior to acceptance testing..  The completed
                 system  is  installed  in  a  simulation  of the
                 production environment and tested to verify that
                 the  system  operates  correctly in its entirety
                 and    satisfies   the   functional   and   data
                 requirements.   (Note: the term "system testing"
                 is also used to refer generically to all testing
                 performed  by  project  staff:  internal,  unit,
                 integration, and system testing.)

Threshold        The   process  of  determining  the  appropriate
Analysis         review  and  approval levels for an OSWER system
                 project.

Unit Testing     Testing   performed   by  project  staff  during
                 Development,   as   each   system  component  is
                 completed, to ensure that it operates correctly.

Walkthrough      A . highly-structured   meeting  to  re'view  the
                 completeness  and  quality of selected module(s)
                 of   the   system,  or  of  the  entire  system..
                 Walkthroughs   are   usually  conducted  by  the
                 project   team,   often  are  intended  by  user
                 representatives, and may be held at any point in
                 the system life cycle.
                              A-ll

-------
                                        OSWER DIR.//9028.00
               APPENDIX  B:   PRODUCTS
This  Appendix  presents  a  comprehensive  outline of
each  system life cycle product  (i.e.,  the material
to  be contained in  the product  by  the  stage during
which it is completed).

-------

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