United States Administration And
Environmental Protection Resources Management October 1991
Agency (PM-211D)
906R9H01 Information Resources
Management
Review Program
FY 1991 Report
Printed an Recycled Paoer
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Federal IRM Review Program
FY 1991 Report
x Prepared for:
' • General Services Administration
'7s Procurement and Management Reviews Branch (KMAP)
x 1 8th and F Streets NW, Room 2014
c^' Washington, DC 20405
Prepared by:
,:.., , U.S. Environmental Protection Agency
v Office of Information Resources Management
401 M Street SW
Washington, DC 20460
October 1991
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Table of Contents
Executive Summary ES - 1
Background i
Section I: Agency Summary I - 1
Section II: Review Synopses . II - 1
Section III: PR A §3506 Compliance HI - 1
Section IV: Major Information Systems IV - 1
Section V: FY 1992 Program Plans V - 1
Appendix: FY 1992 Review Summaries A - 1
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Executive Summary
EPA's mission of protecting human health and the environment de-
pends on a wide range of individuals within and outside of the
Agency having access to data in order to make informed decisions.
The need for sound information policies and practices, and efficient,
responsive information systems is a key priority of the Agency's
senior management team. EPA is committed to gathering and analyz-
ing the data needed to evaluate environmental risks and trends, mea-
sure environmental results, and educate society. The Agency is also
committed to promoting and supporting innovative technical solu-
tions to environmental problems. A sound information resources
management (IRM) infrastructure is critical to the Agency's ability to
provide objective, reliable, and understandable information that
helps build trust in EPA's judgement and actions and its ability to
work with other government agencies and other nations to ensure
they consider the environmental implications of their actions. To
achieve its mission, EPA relies on the support and firm commitment
of all its .managers to support this mission-based infrastructure—
one that is designed to promote data sharing, reduce unnecessary
duplication of data, and use technology and other IRM resources
most effectively, while protecting confidential and sensitive data.
Through the Federal IRM Review Program, EPA assesses its
ability to gather timely and accurate environmental data and to eval-
uate the tools used to compile it across programs and media into in-
formation which supports environmental decision-making. The Fed-
eral IRM Review Program was initiated in FY 1986 to carry out the
provisions of the Paperwork Reduction Act of 1980. The Office of
Management and Budget (OMB) and the General Services Adminis-
tration (GSA) provide guidance and oversight in program implemen-
tation, with GSA providing overall management. Specifically, the
Federal IRM Review Program seeks to determine:
• If each agency is carrying out its information management ac-
tivities in an efficient, effective and economical manner in sup-
port of program missions and objectives.
• How well each agency is complying with established IRM poli-
cies, procedures, principles, standards and guidelines.
• If each agency is complying with Federal agency responsibilities
of Section 3506 of the Paperwork Reduction Act (PRA).
IRM reviews may encompass any or all activities of planning,
budgeting, organizing, directing, training, and controlling associated
with the creation, collection, processing, transmission, dissemina-
tion, use, storage and disposition of information by Federal agen-
ES - 1
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EXECUTIVE SUMMARY
ties. IRM encompasses both information itself and resources, such
as personnel, equipment, funds, and technology.
Each year, GSA identifies IRM review program priority areas
that Agencies should address that could lead to better management of
resources throughout the government The seven priority areas for
FY 1991 were: major information systems, software modernization,
security/privacy, information management, service to the citizen,
telecommunications, and ADP management
EPA has set its own Agency-wide priorities which are specific to
the Agency's mission of protecting human health and the environ-
ment EPA's mission-based priorities for FY 1991 were: enforce-
ment, pollution prevention, risk reduction, ecosystem protection,
leadership in the international arena, and improved science and data
management
EPA also emphasized the goals documented in its IRM Strategic
Plan (1991-1995). These strategic goals will be the focus of IRM
initiatives through FY 1995:
(1) Establish data integration tools and activities.
(2) Create and manage information systems supporting the envi-
ronmental community.
(3) Establish a program to promote information sharing.
(4) Renew EPA's technology base to provide increased functional-
ity and/or to reduce costs.
(5) Manage a data administration program to ensure the Agency's
ability to use its data fully.
(6) Enhance productivity through the educated use of technology.
(7) Improve planning and communications to ensure effective de-
ployment of information and technology.
(8) Provide quality service with proactive leadership as custodians
of EPA information and systems.
In FY 1991, EPA conducted its sixth successful IRM review
program. A total of sixteen IRM reviews were conducted to address
IRM initiatives such as program systems modernization and im-
proved records management The sixteen reviews were:
• Information Collection Review— Improvements to the Haz-
ardous Waste Manifest System
ES - 2
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FY 1990 IRM REVIEW PROGRAM REPORT
• State/EPA Data Management Review
• Review of Superfund Document Management Initiatives
• Review of the Integrated Administrative System Concept
• Review of Modernization of FINDS
• Review Public Access Program Needs
• Review of Strategic Architectural Issues
• Modernization of STORET
• Locational Accuracy Task Force Review
• Analysis of Computer Security Awareness Program and Infor-
mation Security Program Requirements
• Superfund Cost Recovery Image Processing System Review
• Detailed Evaluation of EFMS, EPAYS, and ADCR
• Review of Availability of Services for Independent Verification
and Validation Activities
• Review of the CLEANUP Information Bulletin Board System
• Review of Information Security Needs in OSWER Life-Cycle
Guidance
• Summary of Telecommunications Accomplishments.
The reviews covered program systems, administrative systems,
public information needs, and the technology on which they are
based. Several reviews took the opportunity to go beyond the basic
analysis of the present situation and investigate technical and work-
related trends.
Many findings and recommendations resulted from these
studies. The Agency evaluated various information technologies and
established the Agency's official position on each. The Agency's
security program was assessed and revised to ensure that it reflects
the best available knowledge. Two information systems were
evaluated for their modernization potential. An assessment of
hazardous waste manifests showed that the uniform manifest is
anything but uniform in implementation, but that a truly standard
ES - 3
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EXECUTIVE SUMMARY
manifest processing procedure would be of benefit to both
regulators and the regulated community.
Since FY 1990, GSA has been paying increased attention to the
government's major information systems due to the enormous in-
vestment they represent For FY 1991, EPA is submitting an update
for the previously reported Superfund Cost Recovery Information
Processing System (SCRIPS) and initial "baseline" reports for nine
other major Agency information systems:
• Aerometric Information Retrieval System (AIRS)
• Comprehensive Environmental Response, Compensation and
Liability Information System (CERCUS)
• EPA Payroll-Personnel System (EPAYS)
• Grants Information and Control System (GICS)
* Integrated Financial Management System (IFMS)
• Permit Compliance System (PCS)
• Resource Conservation and Recovery Information System
(RCRIS)
• Storage and Retrieval of Water Quality Information System
(STORET)
• Toxic Chemical Release Inventory System (TRIS).
EPA has already started to plan for and implement the Agency's
FY 1992 IRM Review Program. The FY 1992 program plans and
priorities are described in Section V of this document
EPA's IRM Review Program has been beneficial to the Agency
by promoting a closer scrutiny of how its information resources are
managed. The program also necessitates a more consistent and all-
inclusive nature to the reviews themselves. As a result of these
reviews, the Agency is aware of the strengths and weaknesses of
current IRM operations and has begun to take corrective actions
where appropriate.
ES - 4
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FY 1990 IRM REVIEW PROGRAM REPORT
We welcome comments on this IRM Review Program Report
Please direct comments and requests for additional copies to one of
the following individuals:
Mr. Alvin M. Pesachowitz
Director, Office of Information Resources Management (OERM)
U.S.EPA(PM-211)
401 M Street, SW E-mail: EPA3400
Washington, DC 20460 Telephone: (202) 260-4465
Ms. Daiva A. Balkus
Director, OIRM Information Management and Services Division
U.S.EPA(PM-211D)
401 M Street, SW E-mail: EPA3414
Washington, DC 20460 Telephone: (202) 260-5914
ES - 5
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Background
Established as an independent agency in the Executive Branch in
December 1970, the U.S. Environmental Protection Agency (EPA)
is responsible for executing many of the Federal laws protecting the
environment
EPA was created to permit coordinated and effective governmen-
tal action on behalf of the environment EPA endeavors to systemat-
ically reduce and control pollution through the appropriate integra-
tion of a variety of research, monitoring, standard setting, and en-
forcement activities. EPA also coordinates and supports research
and pollution prevention activities by State and local governments,
private and public groups, individuals, and educational institutions.
In total, EPA is designed to serve as the public's advocate for a liv-
able environment.
A simplified version of the EPA organization is presented in
Figure 1. The Agency is directed by an Administrator and a Deputy
Administrator. The Agency's executive staff includes nine Assistant
Administrators who manage specific environmental programs or di-
rect other Agency functions, as well as Associate Administrators and
the Agency's General Counsel and its Inspector General.
Ten Regional offices across the country represent the Agency's
commitment to strong local programs for pollution abatement and
enforcement The Regional Administrators cooperate closely with
Figure 1. THE EPA ORGANIZATION
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••mnimiui I
miCBBMO I
MCUHMCO I
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BACKGROUND
State and local governments to make sure that Regional needs are
considered and that Federal environmental laws are properly imple-
mented. They are also responsible for accomplishing within their
Regions the Agency's national program objectives.
EPA Priorities
During FY 1991, EPA established six priorities for achieving its
environmental mission:
Enforcement
Pollution prevention
Risk reduction
Ecosystem protection
Leadership in the international environmental arena
Improved science and data management
Enforcement— Opinion polls confirm that the public places a
very high priority on environmental protection. Recently passed
Federal environmental statutes have made new administrative penal-
ties available, and States have developed strong law enforcement ca-
pabilities as well. In the years ahead, EPA will be looking for more
and better ways of coordinating its enforcement efforts with
States— especially in the Superfund program, in protecting wet-
lands, and in cleaning up Federal facilities.
EPA's ability to monitor compliance or control enforcement
would be seriously hampered without complete and timely informa-
tion. In addition, without the proper tools, information that was reli-
able would not be easily analyzed or shared with States and other
Federal agencies. It is, therefore, essential that the Agency continue
to address issues of sound science and data management— to de-
velop collection and analysis tools, ensure data quality, and provide
for access to and dissemination of data.
Pollution prevention— Pollution prevention has become a
guiding principle for all EPA programs— from municipal wastewa-
ter treatment to toxic air pollution. Among the many Agency pollu-
tion prevention initiatives underway are:
• Achieving a 25% waste reduction by 1992 through recycling and
reducing wastes at the source.
• Increasing private sector involvement in financing and providing
environmental services (public-private partnerships).
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FY 1991 IRM REVIEW PROGRAM REPORT
• Fostering economic growth and progress without irreversibly
depleting the planet's natural capital (sustainable development).
It would be difficult to effectively persuade the public of the
continued value of these initiatives without sound evidence of its
long term benefits and the costs of inaction. Improved science and
data management go hand-in-hand with the success of these initia-
tives.
Risk reduction— One of the greatest challenges facing the
Agency today is the setting of priorities and strategies for reducing
risk to human health and the environment. Despite the inherent
uncertainties in, and continuing controversies over, how to assess
risks such as ozone depletion and global climate change, compara-
tive risk assessment is still one of the best indicators of where the
U.S. should be directing its limited resources to achieve the greatest
results.
Sound science and data management can help to establish priori-
ties and allocate resources based on risk. Science can lend much-
needed coherence, order and integrity to the often costly and contro-
versial decisions that must be made. Sound data management is
needed to demonstrate results in risk reduction.
Ecosystem protection— Natural ecosystems such as forests,
wetlands, and oceans are extraordinarily valuable. Ecosystems con-
tain economically valuable natural resources that feed, clothe, and
house the human race.
Existing EPA programs designed to protect ecosystems require
the strengthening of existing Federal programs and regulations that
protect, maintain, and restore those systems. EPA must also work
toward a fully integrated management approach with the Depart-
ments of Agriculture, Commerce, and Interior to protect the nation's
groundwater and surface water resources. The Agency embarked on
an ambitious program of environmental monitoring and assessment
to obtain a baseline understanding of major ecosystems. Improved
science and data management are essential to the success of this
ecosystem characterization effort
Leadership in the international environmental arena—
In response to the President's international initiatives for the envi-
ronment, a new international data sharing program was launched
with a three-fold goal:
• Establish the U.S. as a reliable partner in international informa-
tion exchange relationships.
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BACKGROUND
• Ensure environmental data is in a form useful to other nations.
• Assist developing nations to establish effective local information
management capabilities.
The program has already shown some success in helping to build in-
formation capacity in regions where that information is critical to
environmental and economic decision-making. EPA will continue to
strengthen its relationships with international organizations, espe-
cially the United Nations INFOTERRA program which is a world-
wide network for sharing environmental information.
Improved science and data management— It is no sur-
prise that science and data management issues are essential to each
of the previous five priorities. Environmental protection is data in-
tensive, with over two million regulated sources, and effectively
managing that data is key to all environmental protection efforts. As
the EPA Administrator said, "All we really have is information...
Nothing is more important to our integrity in environmental protec-
tion than a reputation for dealing in facts, for respecting sound
science and sound information." EPA must be able to document its
vigorous enforcement programs and to show environmental results.
That means that the information technology EPA deploys today will
be the cornerstone for protecting our natural resources tomorrow.
IRM Organization
The primary responsibility for overall management of the
Agency's information resources is shared by the Office of Policy,
Planning and Evaluation (OPPE) and the Office of Administration
and Resources Management (OARM). Within OARM, IRM re-
sponsibilities are shared between the Office of Information Re-
sources Management (OIRM) and the National Data Processing Di-
vision (NDPD). Because information resources are vital to the
EPA's success, the Agency has created two institutional frameworks
for IRM— the IRM Steering Committee and a cadre of Senior IRM
Officials (SIRMOs). These five IRM organizational elements are il-
lustrated in Figure 2 and described in the sections which follow.
OPPE
The Assistant Administrator for Policy, Planning, and Evalua-
tion (OPPE) is the senior official responsible for directing and over-
seeing the Agency's activities administered under the Paperwork
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FY 1991 IRM REVIEW PROGRAM REPORT
IRM Steering
Committee !•*
INFORMATION
RESOURCES
MANAGEMENT
NDPD
SIRMOs
Figure 2. ERA'S IRM ORGANIZATION
Reduction Act of 1980. While the Assistant Administrator has dele-
gated much of his authority under the Act, he has retained the au-
thority for managing information resources in regulatory situations
and reviewing all Agency rules, regulations, and data collection in-
struments to ensure that the Agency does not impose an unnecessary
paperwork burden on the public.
OIRM
The Director of the Office of Information Resources Manage-
ment (OIRM) has primary functional responsibility for development
of IRM policy and overall management of the Agency's IRM pro-
gram. He chairs the IRM Steering Committee and is responsible for
the planning, development, and operation of information systems
and services in support of the Agency's administrative, program-
matic, and research functions. He also administers Agency pro-
grams for
IRM strategic planning
Management of IRM support contracts
Library systems and services
Records and forms management
Information security/privacy
Data administration
State/EPA Data Management
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BACKGROUND
• International data sharing
• The Systems Development Center.
The Director of OIRM also handles approval of software devel-
opment initiatives, waivers for Federal Information Processing
Standards, and microcomputer requisitions.
NDPD
The National Data Processing Division (NDPD), through dele-
gation of responsibilities from the Director of OIRM, is responsible
for the definition, acquisition, and implementation of computing and
telecommunications technology for the Agency. More specifically,
the functional responsibilities of NDPD include:
• Management of information processing resources, including
telecommunications, in EPA.
• Operation and maintenance of all general purpose computers and
local area networks in Headquarters and RTP.
• Development of architectural strategies and procurement of ad-
vanced systems, support equipment, and processing technology
to meet Agency-wide requirements.
IRM Steering Committee
In light of the importance of information resources to EPA, it
was imperative that senior line managers become better informed
about and more actively involved in the development and use of
those resources. To this end, the IRM Steering Committee was
established in September 1985. The IRM Steering Committee is
chaired by the Director of OIRM and has members appointed by the
Deputy Administrator representing EPA national, international and
Regional programs, the EPA research community, and the States.
The committee advises the Agency's Deputy Administrator on
matters of IRM policy and improvements in the responsiveness and
efficiency of EPA's IRM programs and operations by:
• Promoting effective communications and exchange on informa-
tion management policy, standards, and technology issues
among senior EPA and State environmental officials.
• Providing a forum for prioritizing and disseminating information
regarding IRM issues and concerns of mutual interest to Federal
and State agencies.
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FY 1991 IRM REVIEW PROGRAM REPORT
Promoting the development of practices and procedures that
support improvements in quality and sharing of environmental
data across Agency lines.
Assisting in the formulation of EPA's strategic information re-
sources management planning and policy agenda.
Serving as Board of Directors for EPA's System Development
Center. In this capacity, the Committee provides advice and
guidance on the selection of EPA Systems Modernization Fund
project proposals.
Senior IRM Officials
Senior IRM Officials (SIRMOs) are generally responsible for di-
recting and managing office-wide information resources planning,
and for ensuring that the information systems and information tech-
nology acquisitions within their organizations comply with Federal
and EPA policies and regulations. There are twenty-two SIRMOs
within the Agency— one for each environmental program and major
administrative function, one for the Office of International Activities,
and one for each of the ten Regions.
IRM Strategic Planning
In the IRM Strategic Plan (1991-1995), EPA identified eight
strategic goals which will be the focus of IRM initiatives. These
goals are to:
1. Establish data integration tools and activities.
This goal will be accomplished by providing seamless connec-
tivity to EPA's hardware, software, and telecommunications capa-
bilities; defining formats and protocols that facilitate the exchange
and the meaning of environmental and laboratory data; designing,
developing and implementing common user information access
techniques and electronic reporting capabilities for major EPA pro-
gram systems; and incorporating data integration tools and activities
into the IRM programs of the State and EPA Regional offices.
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BACKGROUND
2. Create and manage Information systems
supporting the environmental community.
This goal can be met by developing and implementing a software
engineering development program; developing an application tool
kit; providing systems with flexibility to promote State/EPA infor-
mation partnership; providing systems to ensure the accuracy, con-
sistency, and efficiency of Agency laboratory networks; and devel-
oping improved national administrative control and program sys-
tems.
3. Establish a program to promote Information
sharing.
EPA plans to provide tools and capabilities to facilitate informa-
tion sharing within EPA and between EPA and other environmental
organizations and to manage and deliver information and technology
transfer for improved access and use of data needed by its own
staff, the public, international environmental programs and organi-
zations, and the States.
4. Renew EPA's technology base to provide
Increased functionality and/or to reduce costs.
To ensure that its technology base is responsive, affordable, and
manageable, EPA plans to assess the Agency's business needs; ex-
amine the direction of technology, procure selected technologies and
capabilities; and implement technologies in an orderly manner and
evaluate the results.
5. Manage a data administration program to
ensure the Agency's ability to use Its data fully.
With this program, EPA expects to define its information archi-
tecture to evaluate corporate or shared data needs; provide models,
establish data standards, and promote common data management
approaches for the management of program, administrative, and sci-
entific data; and establish and manage a process for an effective data
administration program.
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FY 1991 IRM REVIEW PROGRAM REPORT
6. Enhance productivity through the educated use
of technology.
To achieve this goal, EPA plans to establish and manage training
programs for IRM professional development; implement training
programs for client communities which promote teamwork and in-
formation sharing; and provide tools and capabilities to improve the
personal and organizational productivity and effectiveness of EPA
staff.
7. Improve planning and communications to
ensure effective deployment of information and
technology.
The Agency's objectives are to develop and implement a coop-
erative process for IRM strategic planning on an annual basis; to de-
velop an Agency-wide information architecture for program, admin-
istrative and scientific systems which includes information strategy
plans, major acquisitions, and maintenance; to engage in an active
outreach to the environmental community through newsletters, IRM
reports, etc.; and to evaluate and reorganize IRM management and
communications networks.
8. Provide quality service with proactive
leadership as custodians of EPA Information
and systems.
To achieve this goal, EPA must ensure the security of its infor-
mation, systems, and ADP equipment; operate and maintain national
systems at a high level of performance; and maintain and expand the
library network to improve access to information.
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BACKGROUND
Government-Wide IRM Priorities
Each year, GSA identifies government-wide priority areas that
agencies should address in their IRM review programs which could
lead to better management of resources throughout the government.
The seven priority areas for fiscal year 1991 were:
1. Major Information Systems
In view of the Federal government's substantial investment in
major information systems, GSA is focusing special attention on
those systems. Agencies should have reviewed the efficiency, effec-
tiveness, and economic viability of their major information systems.
2. Software Modernization
Many of the Federal government's application programs are out-
dated and in need of replacement or improvement. In their fiscal year
1991 reviews, GSA expected agencies to review their application
programs from a "service delivery" standpoint to determine whether
present software is meeting agency needs and, if deficiencies exist,
what improvements are necessary.
3. Security/Privacy
GSA wanted agencies to review the extent of implementation of
their security plans, and in particular, of their efforts to provide se-
curity awareness and training. Additionally, all Federal agencies
must operate in accordance with Public Law 100-503, the
"Computer Matching and Privacy Protection Act of 1988." This law
states that "No record which is contained in a system of records may
be disclosed to a recipient agency or non-Federal agency for use in a
computer matching program except pursuant of a written agreement
between the source agency and the recipient agency or non-Federal
agency." Agencies were to review their compliance with this Act in
their review programs.
4. Information Management
Agencies were expected to emphasize the EDI (Electronic Data
Interchange) process in their IRM review programs. Agencies
should have, for example, conducted EDI reviews to: (1) identify
potential agency applications, (2) determine what agency strategies
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FY 1991 IRM REVIEW PROGRAM REPORT
have been developed for using EDI, and (3) evaluate agency
progress in adopting EDI.
5. Service to the Citizen
Service providers in the private sector, in State and local gov-
ernments, and in the European governmental community have sig-
nificantly raised the level and quality of service provided to their
customers and citizens by using information technology. Now, to
maintain parity with rising citizen expectations, the Federal govern-
ment is seeking to improve the quality of the Federal service it pro-
vides to them. To keep abreast of new and any future activity in this
category, GSA asked agencies to begin placing emphasis on the
quality and efficiency of delivery of service to citizens. Possible re-
view areas could include: (1) citizen access to and use of personal,
consumer and commercial information; (2) interactive processes
such as citizen participation in governmental processes; and (3) di-
rect service delivery to the public.
6. Telecommunications
GSA expected agencies to devote a portion of the telecommuni-
cations reviews to data interchange within and among agencies.
GSA is interested in agencies' implementation of the Government
Open System Interconnection Profile (GOSIP) and the Portable Op-
erating Systems Interface for Computer Operating Environments
(POSIX) standards.
7. ADP Management
In addressing ADP management, GSA asked agencies to em-
phasize reviews that attempt to determine whether mechanisms are in
place to satisfy the agency's regulatory and managerial responsibili-
ties for the effective and efficient use of information technology.
Agencies should have, in particular, focused on: (1) multiple award
schedule contracts, as governed by procedures in FIRMR 201-
32.206 and (2) access to information technology by users with dis-
abilities, as mandated by the Rehabilitation Act of 1973 and reau-
thorized in 1986.
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BACKGROUND
IRM Initiatives for FY 1991
The Agency's emphasis on disseminating environmental data
and information to the broadest possible audience has challenged the
way the Agency has traditionally done its business. EPA's IRM
programs work to make environmental data available through tech-
nology innovations, data sharing partnerships, and new methods of
systems development With these evolving Agency needs in mind,
EPA undertook several IRM initiatives in FY 1990, which have
been continued in FY 1991. The seven initiatives listed below ad-
dress all seven government-wide priorities, as well as the Agency
mission-based priorities described earlier.
1. Data Sharing and Integration
EPA's IRM planners realize the significance of data sharing and
integration and are involved in various efforts to improve these ac-
tivities. The Agency developed a multi-year Information Integration
Initiative to promote enhanced access to data and to permit integrated
environmental analysis. It also initiated the International Data Shar-
ing Program to promote reliable and innovative use of environmental
data with our international neighbors.
In addition to the State/EPA Data Management Program, the
Agency has implemented geographic information system projects in
all ten Regions. Recent efforts were also focused on the develop-
ment of the data communications network required to provide in-
creased access to internal and external parties. This includes estab-
lishing a communications line or "point of presence" in every State
to support the delegation of authority. As of April 1991, all fifty
States and Puerto Rico have established direct communications ca-
pabilities. This telecommunications network supports six EPA na-
tional systems.
2. Program Systems Modernization
A significant, ongoing IRM initiative is program systems mod-
ernization. This modernization effort is critical to effectively integrat-
ing environmental data among various program systems. In FY
1991, two major information systems, FINDS (the Facility INDex
System) and STORET (STOrage and RETrieval of Water Quality In-
formation System), examined the alternatives and feasibility for
modernization.
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FY 1991 IRM REVIEW PROGRAM REPORT
This initiative also involves the creation of four new services and
IRM activities to support the systems development process. First,
the EPA Systems Development Center, which became operational in
October 1989, supports, develops, and enhances EPA's mission-
critical data systems. It is the Agency's Center of Excellence for
systems development. The center institutes more standardized meth-
ods of developing systems, thus facilitating the integration of data
maintained by various program systems.
The second new service is the EPA Systems Modernization
Fund which provides funding assistance for projects to improve the
quality of EPA's environmental data and the systems for managing
those data. Third, a Systems Development Support Team supports
systems planning and development efforts throughout the Agency.
Finally, the charter for the IRM Steering Committee has been ex-
panded to establish it as the Board of Directors for the overall mod-
ernization initiative.
3. Standards
The success of other IRM initiatives depends on the availability
of, and adherence to, well-defined data standards for data elements
common among Agency information systems. Development of stan-
dards is critical to progress in data integration and improvements in
managing for environmental results.
In FY 1991, the Agency's locational data policy was revised to
reflect recommendations of the Locational Accuracy Task Force and
implementation guidance was drafted on this policy as well as the
facility identification data standard. During FY 1991, the Ground-
Water Quality Work Group, which included representatives from
States, local governments, the regulated community, EPA, and other
Federal agencies, developed definitions for the Agency's policy on
the minimum set of data elements for ground-water quality. In addi-
tion, during the past fiscal year, OIRM developed a catalog of exist-
ing Agency and Federal data standards and policies, a document
which is intended to help all those who develop systems for the
Agency understand the essential set of standards and policies that
must be complied with to enable and facilitate data integration. A re-
lated initiative was the publication of an amendment to the EPA Fed-
eral Acquisition Regulations, which is intended to assure that con-
tractors perform ERM-related work in accordance with EPA policies.
Another document entitled EPA Hardware/Software Standards was
drafted during FY 1991. This document identifies the standards
found on Agency contracts and is intended to support integration
within the Agency's computing environment.
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BACKGROUND
4. Improved Records Management
Emphasis has been placed on improving records management
procedures and evaluating opportunities for automating access to
and control of records as one mechanism for enforcing and litigating
pollution clean-up efforts. These improvements directly support the
mission-based goal of ensuring a strong enforcement presence.
During FY 1991, OIRM sponsored the first National Records
Management Conference. This was a very successful meeting which
established the framework for implementing a number of new
records management initiatives. During FY 1991, the regional
records disposition schedules were revised, a number of records
management documents were published, and the Agency developed
a records management communications network for this program. A
major Agency initiative involves development of an image
processing system using optical disk technology for expanded stor-
age and rapid retrieval of financial documents supporting cost recov-
ery efforts. Other initiatives involve training Headquarters and Re-
gional EPA staffs in the discipline of records management and
establishing Regional records centers for better control and man-
agement of Agency records. In addition, the Agency organized and
conducted a very successful records management clean-up campaign-
in its Headquarters. The Agency's records management practices
were recently evaluated by the National Archive and Records Ad-
ministration, and the findings of that evaluation are currently being
responded to and acted upon by the Agency.
5. Information Technology Acquisitions
In addition to efforts to improve information and records man-
agement through procurement of optical disk technology, the
Agency is pursuing other information technology acquisitions. EPA
will continue to acquire mainstream commercial hardware to ensure
that compatible software and technical support will be available in
the foreseeable future.
Significant progress has been made in toward defining
requirements and obtaining necessary resources for the acquisition
of a supercomputer to support the Regional acid deposition
monitoring program. An on-site evaluation and the physical site
selection has been made in the area of Bay City, Michigan. The
bench mark requirements and the technical requirements for the
request for proposal are complete. The delegation of procurement
authority was obtained from GSA in March 1991. The request for
proposal was released in April. Proposals are under review. The
contract award is expected in the second half of FY 1992.
xiv
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FY 1991 IRM REVIEW PROGRAM REPORT
Additional acquisitions of information technology include the
expansion of the telecommunications network to meet data sharing
needs of the Regions and States and the continued acquisition of mi-
crocomputers to improve analysis of data for enhanced decision
making. EPA has recently awarded a contract to acquire geographic
information system workstations.
6. Public Dissemination
There is an increasing demand on EPA for disseminating infor-
mation to the public. Specific legal requirements to disseminate in-
formation that are affecting EPA include SARA Title HI, the Federal
Insecticide, Fungicide, and Rodenticide Act, and the Asbestos In-
formation Act In addition, several environmental bills introduced in
the current session of Congress include some requirement for dis-
seminating information. Fulfillment of these requirements demands
significant IRM resources.
On a selective basis, EPA is evaluating various technology solu-
tions for disseminating information to the public. Current initiatives
include use of paper, micrographics, on-line data bases, and CD-
ROM. Moreover, OIRM recently developed a draft policy on data
sharing. This policy is particularly relevant as Congress debates
Community-Right-To-Know legislation and re-authorization of the
Paperwork Reduction Act. A recent review sought to improve
awareness within EPA about public access issues and generate rec-
ommendations for a strategy which will further improve public ac-
cess to information maintained by EPA. During FY 1991, EPA
published Access EPA to foster environmental awareness and im-
prove access to environmental information provided by EPA and
other public sector organizations. Access EPA is a series of directo-
ries that provide contact information and descriptions of services of-
fered by libraries, databases, information centers, clearinghouses,
hotlines, dockets, records management programs, and related in-
formation sources.
7. Electronic Data Reporting
Since the majority of EPA's data are externally generated, initia-
tives involving improvements in data reporting by external parties
offer considerable potential for progress in information management
at EPA. Increased manageability and quality of data are arguments in
support of these initiatives in electronic reporting.
Several efforts are currently underway to enhance data reporting
by accepting electronic submissions from external parties. These in-
xv
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BACKGROUND
elude electronic submissions under the Title HI, Toxic Release In-
ventory, and Superfund Contract Lab programs. EPA established a
policy on electronic reporting in July 1990 which encourages use of
electronic data interchange (EDI) for environmental regulatory re-
porting and which specifies that program offices should use either
ANSI X12 or EDEFACT standards for EDI. The biggest challenge
of this effort will be extending the "transaction sets" to cover subject
areas beyond traditional business transactions such as invoices,
shipping notices, inventory reports, etc. EPA has chartered an elec-
tronic signature workgroup to resolve issues relating to policies and
procedures for verifying/authenticating electronic messages.
EPA has several EDI initiatives underway, including:
• The Office of Policy, Planning and Evaluation (OPPE), in coop-
eration with the National Governors Association, is working
with West Virginia and Pennsylvania to pilot the use of EDI for
submissions of hazardous waste manifests. They anticipate ex-
panding the pilot to include New Jersey and Arkansas.
• The applicability of EDI is being investigated for a new system
for air pollution allowance tracking and trading under the new
Clean Air ACL
• The Office of Water is testing EDI as a mechanism for submit-
ting Discharge Monitoring Reports.
• The National Data Processing Division (NDPD) is continuing to
pilot the usage of EDI in their contract payment system.
• NDPD is investigating requirements for EDI as a basis for
possible procurement of translations software and services from
a value added network.
• OPPE/OIRM is investigating the feasibility of using an ANSI
X12 transaction set, "Report of Test Results," to replace EPA's
own laboratory data transmission standard.
xvi
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section i: Agency Summary
EPA's mission of protecting human health and the environment de-
pends on a wide range of individuals within and outside of the
Agency having access to data in order to make informed decisions.
The need for sound information policies and practices, and efficient,
responsive information systems is a key priority of the Agency's
senior management team. EPA is committed to gathering and analyz-
ing the data needed to evaluate environmental risks and trends, mea-
sure environmental results, and educate institutions and individuals
throughout society. The Agency is also committed to promoting and
supporting innovative technical solutions to environmental prob-
lems. A sound information resources management (IRM) infrastruc-
ture is critical to the Agency's ability to provide objective, reliable,
and understandable information that helps build trust in EPA's
judgement and actions and its ability to work with other government
agencies and other nations to ensure they consider the environmental
implications of their actions. To achieve its mission, EPA relies on
the support and firm commitment of all its managers to support this
mission-based infrastructure— one that is designed to promote data
sharing, reduce unnecessary duplication of data, and use technology
and other IRM resources most effectively, while protecting confi-
dential and sensitive data.
The Federal IRM Review Program has been beneficial to the Agency
in instigating a closer inspection of how its information resources
are managed. The program also results in a more consistent and all-
encompassing nature to the reviews themselves. This section sum-
marizes the objectives and benefits of EPA's FY 1991 IRM Review
Program.
IRM Review Program
OIRM coordinates the review process through meetings of
SIRMOs and the IRM Steering Committee. By discussing the re-
view program at these meetings, OIRM ensures that any potential
duplication in review content is eliminated. In addition, OIRM staff
periodically interview SIRMOs to identify IRM-related program ini-
tiatives and to assess progress in program-led reviews. Numerous
program system managers are consulted for contributions to the re-
view program.
To measure progress in EPA's IRM Review Program, the re-
view team looked at several factors. All nine planned reviews from
the FY 1990 report were completed, as were an additional seven re-
I • 1
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/: AGENCY SUMMARY
views. The review team also examined the reviews' contributions to
the IRM program's progress in supporting the priorities and initia-
tives which were described in the Background Section. These
assessments were tailored to the individual reviews in recognition of
the unique aspects in each review. The reviews ensure that EPA is
aware of the strengths and weaknesses of current IRM operations,
and that corrective actions are taken quickly. The review team exam-
ined the review program outreach activities. The breadth and depth
of review topics and review-related outreach activities demonstrate
that the Agency has, and is committed to, a well-organized, effective
IRM review program. EPA has already began planning for their FY
1992 review program, the details of which arc in Section V.
EPA's IRM reviews are staffed and conducted in a variety of
ways, the specifics are described in the individual review synopses.
In FY 1991, eight reviews were led by OERM or NDPD, seven by
program offices with SIRMO oversight, and one by a task force.
This allocation of "lead responsibility" ensures that the reviews use
an appropriate mix of program and technical personnel
IRM Review Program Objectives
The Agency's IRM goal is to provide a means of managing in-
formation efficiently, effectively, and economically to support the
Agency's mission while being consistent with applicable laws and
regulations. To achieve this goal, EPA has established several IRM-
related objectives which are clearly linked to the Agency's priorities,
government-wide IRM priorities, and Paperwork Reduction Act
§3506 requirements. Based on GSA's response to EPA's FY 1990
report, EPA has revised its objectives to ensure that progress made
in achieving them is more easily measured. The objectives are to:
1. Assess EPA's progress in conducting IRM reviews.
2. Provide a focal point for information gathered during the con-
duct of reviews and provide an Agency-wide forum for dissemi-
nating results.
3. Provide guidance in conducting IRM reviews.
4. Provide direction and priorities for the next year's review cycle.
5. Ensure EPA's IRM program adequately supports the Agency's
mission priorities.
6. Ensure EPA's IRM program adequately supports government-
wide priorities.
I - 2
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FY 1991 IRM REVIEW PROGRAM REPORT
7. Ensure IRM activities at EPA are carried out in an effective, ef-
ficient manner and comply with Federal policies and guidelines.
Benefits of the IRM Reviews
The FY 1991 IRM reviews addressed numerous topics. Figure 3
shows the linkages between the reviews and government-wide IRM
priorities and Agency IRM initiatives and goals. Section H provides
the review synopses and their benefits. Due to space limitations,
only selected benefits of the reviews will be discussed here.
Information Collection Review-improvements to the Hazardous
Waste Manifest System should improve the timeliness, complete-
ness, and accessibility of manifest data available to EPA and States
for use in regulatory decision-making and enforcement
State/EPA Data Management Review focused on delivery of high
quality information services to States, data integrity issues, and
minimization of unnecessary duplication of data through increased
data sharing, all of which are important since the States are EPA's
partners in protecting the environment.
Review of Superfund Document Management Initiatives should re-
sult in streamlined handling and storing of Superfund records. There
are currently 3,500 programmatic personnel involved with the man-
agement of Superfund documents. A savings of one hour per week
through the introduction of more efficient document management
would translate into savings of $20M over 4 years.
Review of the Integrated Administrative System Concept focused on
providing high quality information services which minimize dupli-
cation of data, promote data sharing, and provide effective ADP and
telecommunications capabilities.
Review of the Modernization of FINDS should strengthen the en-
forcement program, since staff can cross reference facilities and
identify violators of more that one statute. A more effective, multi-
media based enforcement program should improve the government's
ability to recover costs from responsible parties.
Review Public Access Program Needs resulted in a public access
policy and strategy. The implementation of the policy and strategy
should: (1) improve the public's access to EPA's information and
thereby strengthen its relationship with EPA, and (2) promote attain-
ment of EPA's environmental mission by providing a higher quality
of information services and by promoting data sharing.
I -3
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/: AGENCY SUMMARY
Figure 3. PRIORITIES ADDRESSED BY THE REVIEWS
Gov't-wide priorities
Major information systems
Software modernization
Security /privacy
Service to the citizen
Telecommunications
ADP management
EPA priorities
Enforcement
Pollution prevention
Risk reduction
Ecosystem protection
International leadership
fmproved science &. data mgmt
EPA IRM Initiatives
Data sharing
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91-1 Information Collection Review — Improvements to the Hazardous Waste Manifest System
91-2 State/EPA Data Management Review
91-3 Review of Superfund Document Management Initiatives
91-4 Review of the Integrated Administrative System Concept
91-5 Review of the Modernization of FINDS
91 -6 Review Public Access Program Needs
91-7 Review of Strategic Architectural Issues
91-8 Review of the Modernization of STORET
91-9 Locations! Accuracy Task Force Review
91-10 Analysis of Computer Security Awareness Program and Information Security Program Requirer
91-11 Superfund Cost Recovery Image Processing System Review
91-12 Detailed Evaluation of IFMS.EPAYS, and ADCR
91-13 Review of Availability of Services for Independent Verification and Validation Activities
91-14 Review of the CLEANUP Information Bulletin Board System
91-15 Review of Information Security Needs in OSWER Life-Cycle Guidance
91-16 Summary of Telecommunications Accomplishments
I -4
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FY 1991 IRM REVIEW PROGRAM REPORT
Review of Strategic Architectural Issues demonstrated the Agency's
commitment to proactively harnessing computing technology for the
benefit of EPA and resulted in standard guidance to assist Regions
and program offices on a variety of technical decisions.
Review of the Modernization ofSTORET emphasized that the sys-
tem is a valuable repository of historical information, with more than
170 million observations. This modernization should result in the
system accepting new data more easily, promoting data sharing and
integration, having effective system documentation, and allowing
efficient ongoing maintenance and operations.
Locational Accuracy Task Force Review established a more focused
Locational Data Policy and promoted Agency-wide dialogue about
the policy. The implementation of the policy should result in a com-
mon basis for comparing and evaluating data, so that the Agency can
achieve truly integrated environmental analysis, planning, and man-
agement
Analysis of Computer Security Awareness Program and Information
Security Program Requirements ensures that the Agency has plans
and programs in place which effectively secure its computers and the
information in those computers.
Superfund Cost Recovery Image Processing System Review re-
sulted in improvements to EPA's implementation efforts for
SCRIPS, a system which provides critical support to the Superfund
cost recovery and enforcement programs.
Detailed Evaluation oflFMS, EPAYS, andADCR assessed the ex-
tent to which these systems are performing the functions for which
they were intended. This fine-tuning of operating efficiency will
conserve Agency resources.
Review of Availability of Services for Independent Verification and
Validation Activities assured OSWER managers that they will obtain
objective, consistent, and thorough verification and validation of the
organization's application systems.
Review of the CLEANUP Information Bulletin Board System veri-
fied that bulletin board technology can support the transfer of techni-
cal information, and that it is managed satisfactorily.
Review of Information Security Needs in OSWER Life-Cycle Guid-
ance should result in a consistent, effective approach to security
management which complies with all oversight requirements.
1-5
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/: AGENCY SUMMARY
Summary of Telecommunications Initiatives benefits the Agency by
ensuring that optimal technical resources are available to support the
Agency's mission.
The following is a summary of additional Agency services which
address EPA as well as Government-wide priorities.
Access to Information Technology by Users with Disabilities—
EPA is very committed to providing proactive services to individuals
with disabilities. The Agency maintains a very good understanding
of the requirements of its employees with disabilities by beginning
to identify their needs at the time they join the Agency. EPA has a
network of Selective Placement Coordinators who work directly
with individual employees with disabilities and with personnel in
EPA's Information Centers to identify electronic equipment needs
and services for employees with disabilities which are tailored to the
individual. During EPA Hardware/Software Open Houses, EPA al-
ways includes equipment and software which are tailored to meet the
needs of individuals with disabilities.
Service to Citizen— the Public Information Center (PIC) attempts to
convey clear, accurate, and timely information to die public and to
incorporate information from the public in EPA activities. The PIC
strives to represent all programs, since it is the only part of EPA
many see. The PIC is relocating to quarters with several features in-
tended to enhance public access: a 35-seat auditorium for showing
films and slide presentations, workstations for the use and demon-
stration of environmental databases, and space for EPA program of-
fices to exhibit materials on their activities.
Multiple Award Schedule Contracts (MASC)— EPA has assumed a
proactive stance in ensuring appropriate use of Multiple Award
Schedule Contracts The Agency has a quality assurance staff in the
Procurement and Contracts Management Division whose job it is to
monitor and evaluate compliance with Federal and Agency
procurement regulations, including the use of the MASC The
scope of the quality assurance reviews includes Headquarters as
well as Regional and field installations.
International Leadership— The centerpiece of the Agency's interna-
tional data sharing strategy is the institution of various regional
mechanisms to facilitate information exchange, including: the East-
ern, and Central European Regional Environmental Center, the
Southern African Regional Companionship Program, and support
for INFOTERRA (the United Nation's environmental information
network) and for the International Register of Potentially Toxic
Chemicals (IRPTC). Plans are also underway to develop a
Caribbean Regional Environmental Center in Puerto Rico.
I -6
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//: Review Synopses
91-1 Information Collection Review — Improvements to the
Hazardous Waste Manifest System
91 -2 State/EPA Data Management Review
91-3 Review of Superfund Document Management Initiatives
91-4 Review of the Integrated Administrative System Concept
91-5 Review of the Modernization of FINDS
91-6 Review Public Access Program Needs
91-7 Review of Strategic Architectural Issues
91-8 Review of the Modernization of STORET
91-9 Locational Accuracy Task Force Review
91-10 Analysis of Computer Security Awareness Program and
Information Security Program Requirements
91-11 Superfund Cost Recovery Image Processing System Review
91-12 IFMS Audit
91-13 Review of Availability of Services for Independent
Verification and Validation Activities
91-14 Review of the CLEANUP Information Bulletin Board
System
91-15 Review of Information Security Needs in OSWER Life-
Cycle Guidance
91-16 Summary of Telecommunications Accomplishments
II - 1
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SECTION II: REVIEW SYNOPSES
AGENCY: EPA
TITLE or
REVIEW: Information Collection Review — Improvements to the Hazardous
Waste Manifest System
AGENCY REVIEW
NUMBER: 91-1
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [x] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT [ ] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [x] ELECTRONIC FILING
[ ] MAJOR INFORMATION SYSTEMS [ ] OTHER INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506 [ ] ADP MANAGEMENT
[ ] SECURITY/PRIVACY [ ] RECORDS MANAGEMENT
[ ] MAIL MANAGEMENT [ ] INTERNAL CONTROL REVIEW (A-123)
[ ] FINANCIAL (A-127) [ ] SERVICE TO THE CITIZEN
[ ] OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: A large amount of data is reported to EPA and delegated State
environmental agencies yearly from hazardous waste generators,
transporters, and treatment, storage, and disposal facilities. The
reporting requirements are generally imposed through legislation,
and the data may be reported directly to the Agency or to State
organizations who later submit the data to the Agency in raw or
summarized form. The manifest system, as mandated by the
Resource Conservation and Recovery Act (RCRA), was designed to
track hazardous waste shipments from the point of generation to the
point of disposal. The manifest provides information crucial to
Federal and State implementation of RCRA and certain provisions of
the Comprehensive Environmental Response, Compensation and
Liability Act/Superfund Amendments and Reauthorization Act of
1986 (SARA), most notably those provisions dealing with capacity
assurance planning. Because hazardous waste manifest forms are
submitted on paper, many States are unable to computerize the data
II - 2
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
they contain and, as a consequence, experience great difficulty—and
considerable expense—in using manifest data to manage their
hazardous waste programs.
The objective of this review was to improve the present manifest
system for shipments of hazardous waste. It built on the activities
already started by the International Hazardous Waste Manifest
Coordinators' Group (IHWMCG) to improve and standardize the
hazardous waste manifest activities of State agencies and EPA. This
effort was expected to enhance the ability of the State agencies and
EPA to:
• Track interstate shipments of hazardous waste.
• Support RCRA information systems associated with such
programs as EPA's Biennial Report and the SARA capacity
assurance plans required of States.
• Establish historical records of wastes transfers for reference
when inquiries arise.
Staff from the National Governors' Association (NGA) worked
with an advisory group comprised of IHWMCG members and EPA
staff to carry out the objectives of the review. This project was
jointly funded by EPA's Office of Policy, Planning, and Evaluation
and the Office of Solid Waste. The review effort was divided into
five tasks:
1. Conduct two meetings of the full IHWMCG membership to
review progress on the tasks listed below, provide direction for
further task efforts, and discuss other relevant manifest issues.
2. Prepare formal recommendations to EPA, using the continuing
advice and counsel of the Association of State and Territorial
Solid Waste Management Officials (ATSWMO), on
improvements for the uniform hazardous waste manifest form.
3. Draft a national manifest guidance manual for State agencies.
4. Identify and recommend the resolution of outstanding issues
requiring clarification in the existing EPA manifest regulations.
5. Develop a national manifest guidance manual for the regulated
community.
The original EPA hazardous waste manifest regulations promulgated
in 1980 did not require the use of a specific manifest form. They
II - 3
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SECTION //: REVIEW SYNOPSES
only required that a minimum amount of information be reported.
The absence of a standard form resulted in considerable confusion
among regulatory agencies and the regulated community because
States adopted their own forms. In 1984, a uniform hazardous
waste manifest was mandated as the specific form for all shipments
of hazardous waste. However, States operating their own manifest
programs impose additional reporting requirements and require the
submission of manifest copies. The States may use their own coding
scheme on the forms, require different types of data, and process the
manifests differently. They may also have different usages for the
data. These extensive variations in State implementations of the
manifest system result in unnecessary expense and delay for the
regulated community. They also frustrate State efforts to effectively
run their hazardous waste programs.
RECOMMENDATIONS:
The Agency should promptly act on the ASTWMO petition for
creating a truly uniform hazardous waste manifest and standardizing
manifest processing procedures. To do this, EPA should expand the
types of information required on the manifests to include the various
data elements which States want to receive. EPA should also work
to homogenize the procedures States use/require for submission of
manifest information. These changes will make it much easier for
the regulated community to comply with manifest-related
regulations.
Within a significant portion of the private sector, and increasingly
within the public sector, the use of Electronic Data Interchange
(EDI) has been seen as a way of making large exchanges of data
such as manifests more efficient. Through this mechanism,
computers can be made to handle a large portion of the processing
required, and the amount of physical handling, reviewing, and
processing of the data may be drastically reduced. It was
recommended that EDI be investigated as a mechanism for
transmitting manifest data from the regulated community to State
environmental agencies.
INITIATIVES
AND ACTIONS: One of the products of this review was A State Guide to the
Uniform Hazardous Waste Manifest which was prepared for EPA
by NGA. The guide is intended to serve as a handbook for States to
use in developing and maintaining effective manifest tracking
programs. It is designed to provide State manifest officials with the
basic information about the uses of manifest data, the Federal
regulations governing such data, and important issues to consider in
developing a State program such as how to ensure data integrity and
compliance by the regulated community.
II - 4
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FY 1991 IRM REVIEW PROGRAM REPORT
A pilot project has been initiated which is intended to nurture the
growth of EDI among EPA reporting programs by offering technical
and systems integration assistance to those programs, reducing the
uncertainty and risk to the programs involved, and ensuring a high
level of acceptance and cooperation from the reporting communities.
Technical assistance has been provided for the implementation of
EDI in support of State compliance efforts. As pan of the pilot
project, EDI implementation guidelines for the hazardous waste
manifest have been drafted.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The primary benefit of this review is that it will improve the
timeliness, completeness, and accessibility of manifest data available
to EPA and States for use in regulatory decision-making. If the
recommendations of the review are implemented, it will improve the
effectiveness of State enforcement of their hazardous waste
programs and reduce the cost of compliance for the regulated
community. EDI should eliminate the processing "bottleneck" which
limits State usage of manifest data.
This review is in direct support of EDI, one of the Government-
wide priorities identified by GSA and OMB for FY 1991. The
introduction of EDI into the Hazardous Waste Reporting System
should eliminate the processing "bottleneck" which limits State
usage of manifest data. Additionally, the introduction of EDI will
contribute to significant improvements in records management,
substantially reducing the cost of reporting, storing and retrieving
information, which in turn will support improved environmental
analyses and decisionmaking. There are considerable cost savings
and productivity improvements associated with promoting uniform
reporting requirements, reducing a significant volume of paperwork,
and providing an effective audit trail for Federal and State
enforcement officials.
AGENCY CONTACT
AND PHONE NO.: David Schwarz, (202) 260-2706
II - 5
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SECTION II: REVIEW SYNOPSES
AGENCY: EPA
TITLE OF
REVIEW: State/EPA Data Management Review
AGENCY REVIEW
NUMBER: 91-2
REVIEW CATEGORIES
[x] TELECOMMUNICATIONS [ ] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT [ ] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [ ] ELECTRONIC FILING
[x] MAJOR INFORMATION SYSTEMS [ ] OTHER INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506 [x] ADP MANAGEMENT
[ ] SECURITY/PRIVACY [ ] RECORDS MANAGEMENT
[ ] MAIL MANAGEMENT [ ] INTERNAL CONTROL REVIEW (A-123)
[ ] FINANCIAL (A-127) [ ] SERVICE TO THE CITIZEN
[ l OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: EPA's capacity to identify and examine environmental trends and
report on its own performance and that of delegated State
programs— to manage for environmental results— depends directly
on a program of timely and accurate data sharing with the States. In
1987, EPA initiated the State/EPA Data Management (SEDM)
Program to build and maintain the infrastructure needed for effective
State/EPA data management and sharing and to integrate data across
media and programs so EPA and State managers can target their
efforts on environmental results.
Over the last four years, the SEDM Program has helped to foster
effective State/EPA partnerships and use of integrated data in
decision-making. However, this progress has not been made
uniformly across all States and Regions. In order to ensure the
success of the Program, it is critical that EPA examine past efforts
and determine the future direction of the SEDM Program.
II -6
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
The review of the SEDM Program began with a forum held in
cooperation with Harvard University in the fall of 1990. The forum
was attended by State, EPA Regional, and EPA Headquarters senior
environmental information managers and focused on identifying and
addressing key issues of the SEDM Program. The next step of this
review involved a comprehensive study incorporating the
evaluations and recommendations of over 200 participants. These
participants included personnel from State environmental agencies,
all ten EPA Regional Offices, EPA Headquarters, the National Data
Processing Division (NDPD) in Research Triangle Park, North
Carolina, and the Environmental Monitoring and Science Lab
(EMSL) in Las Vegas, Nevada. Interviews were conducted with
each of the participants in order to solicit their impressions of, and
recommendations for, the SEDM Program.
The results of the interviews were summarized in a document
entitled the SEDM Program Assessment. This document will be
distributed to all review participants and to a wide range of State and
EPA personnel.
The program assessment focused on three fundamental areas of the
SEDM Program: data sharing, data integration, and information
exchange. The following are the findings from the SEDM Program
Assessment:
DATA SHARING
• Improving the sharing of data between States and EPA continues
to be a major focus of States and EPA offices.
• Although the telecommunications connections between States
and EPA have been greatly improved, expanded, and enhanced
telecommunications continues to be of great interest among
States and EPA offices.
DATA INTEGRATION
• While many States and EPA offices are involved in many data
integration activities such as GIS, much work needs to be done
at both the State and EPA level to ensure the timeliness,
accuracy, and completeness of data in existing systems,
especially in the area of locational data.
• There exists a tremendous diversity in the technical capability of
States to integrate data.
II - 7
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SECTION II: REVIEW SYNOPSES
• Several Regions have established successful cooperative
State/EPA relationships in assisting States with their data
integration efforts.
INFORMATION EXCHANGE
• The State/EPA relationship has improved greatly as a result of
the SEDM Program's focus on communication and
dissemination of information between EPA and States.
RECOMMENDATIONS:
The most frequently recommended future activities in the SEDM
Program were:
• Continue to improve and build upon the existing SEDM
communications activities.
• Support State telecommunications capabilities to enhance
activities in data sharing and data integration.
• Support State and EPA activities in improving data accuracy.
• Develop a strategy for the SEDM Program to be shared with
States and EPA offices.
• Support EPA Regions in the SEDM Financial Assistance
Program to ensure maximum benefit of SEDM grants to States.
• Coordinate activities with Program Offices in EPA.
INITIATIVES
AND ACTIONS: The Program Assessment has received support from senior
management within the Office of Administration and Resources
Management and has been forwarded to Office Directors, systems
managers, and State participants. The SEDM Program will be
developing a strategic plan that reflects the issues and
recommendations raised in this review and outlining the future
activities of the Program.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The benefit of this review is that it presents the observations and
recommendations of the IRM community regarding the issues and
needs of the SEDM Program. This review supports Government-
wide priorities of information management, ADP management,
telecommunications, and major information systems. It also
supports the Agency IRM initiatives of data sharing and integration
and standards. It supports many other key initiatives within the
Agency's IRM program: complying with EPA goals, policies,
II - 8
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FY 1991 IRM REVIEW PROGRAM REPORT,
plans, and strategies; integrating systems across media, functional,
and program lines; promoting data sharing; promoting effective ADP
and telecommunications resources and facilities; and emphasizing
government-wide priorities.
AGENCY CONTACT
AND PHONE NO.: Michele Zenon, (202) 260-5914
II - 9
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SECTION II: REVIEW SYNOPSES
AGENCY: EPA
TITLE OF
REVIEW: Review of Superfund Document Management Initiatives
AGENCY REVIEW
NUMBER: 91-3
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [ ] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT [ ] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [ ] ELECTRONIC FILING
[ ] MAJOR INFORMATION SYSTEMS [ ] OTHER INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506 [ ] ADP MANAGEMENT
[ ] SECURITY/PRIVACY [x] RECORDS MANAGEMENT
[ ] MAIL MANAGEMENT [ ] INTERNAL CONTROL REVIEW (A-123)
[ ] FINANCIAL (A-127) [ ] SERVICE TO THE CITIZEN
[ ] OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: Proficient records management is crucial to the efficient and effective
management, administration, and execution of the Superfund
program. As reported in the FY 1990IRM Review Program Report,
the Office of Solid Waste and Emergency Response (OSWER)
conducted the Superfund Document Management Review to identify
options for improving the efficiency and effectiveness of records
management and document handling practices and systems in the
Superfund program. The objective of this current review was to
follow up on the previous review with three related studies which:
(1) Analyze and recommend training to enhance the efficiency and
effectiveness of current records management activities.
(2) Develop/refine guidance for managing Superfund records.
(3) Complete the concept and definition phases for a Superfund
Document Management System (SDMS).
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
All three studies were conducted by the OSWER.
To help ensure that Superfund personnel are properly trained,
OSWER information management staff developed a Superfund
records management training plan. The information was collected
through interviews and surveys. In order to ensure that the views of
those who would be affected were being properly incorporated,
intermediate briefings were conducted providing findings to date and
allowing for further feedback.
The products of the first study were:
• An approach for incorporating records management into the
Superfund training program.
• Follow-up analyses of other interim management improvements
previously identified as having the potential to enhance the
efficiency and effectiveness of EPA's Superfund records
management activities.
The second study examined the records management functions that
should occur during the lifecycle of a record. The cycle includes
creation, storage, use, and disposition. Examples of topics analyzed
are retention schedules, file organization and structure, file indexing,
and document turnover procedures (e.g., obtaining final copies of
relevant contractor files). Information for this study was collected
from Headquarters and Regional personnel through face-to-face and
telephone interviews, surveys, Regional site visits, analyses, and
semi-annual meetings which updated the study progress and
provided an opportunity for further feedback.
The third and final study analyzed the alternatives, advantages,
disadvantages, and detailed requirements for improving EPA's
Superfund records management and document handling operations
through the development of the SDMS— a multi-media system
using microform, hardcopy documents, and/or optical disks.
Information for this study was gathered through interviews,
surveys, and meetings of potential system users such as Superfund
records managers, and lawyers.
The first study highlighted the need for training on records
management for Superfund personnel such as on-scene coordinators
and remedial project managers. The types of information that need to
be conveyed in the training were also identified.
The second study identified, and initiated development of, the types
of guidance which are needed for improved Superfund records
II - 11
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SECTION II: REVIEW SYNOPSES
management For example, there is a high priority initiative within
OSWER designed to create consistent, effective, sound records
management practices in those non-EPA organizations that play a
key role in implementing the Superfund program. Thus, one type of
records management guidance which should be generated would be
for non-EPA personnel who submit Superfund records to show
how to format and send it. Another type of records management
guidance identified as being needed by the study is a records
definition and guidance document It would describe basics such as
what a record is and how it is defined and handled. Studying
existing guidance for managing Superfund records revealed that the
Superfund records disposition schedules which are currently utilized
are inadequate.
In the third study, the conceptual phase of SDMS development
identified and evaluated alternative solutions to the information
management problem, provided a better definition of the problem to
be solved, and defined a basic framework for requirements for an
information management capability. Specifically, five development
alternatives were identified and analyzed: maintaining the status quo,
converting all documentation to microfilm, imaging all the
documentation, utilizing a combination of image and microfilm
technology, or utilizing a combination of image and text
management capabilities. The definition phase generated specific,
detailed functional and data requirements for the system, provided
the basis for a more concrete assessment of benefits and costs, and
formed the basis of the detailed design of the system in preparation
for the next phase, design.
RECOMMENDATIONS:
It was recommended that the optimal way to provide the training on
Superfund records management for non-records-specific personnel
would be to create a training film which could then be used
whenever and wherever there is a need for training on Superfund
records management
The interim recommendation which resulted from the SDMS study
was to use a combination of image and microfilm technology. This
option was recommended over relying completely upon imaging
technology because of the technical limitations of current imaging
systems. However, because the manufacturer claims to be able to
rectify the problems, it was recommended that further testing be
done before a formal recommendation is submitted. In either a full
imaging or hybrid imaging and microform scenario, imaging
workstations would be placed in several locations throughout the
Regional office, and indexes to documents would be accessible
through Novell networks.
II - 12
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FY 1991 IRM REVIEW PROGRAM REPORT
INITIATIVES
AND ACTIONS: Although funds are limited, OSWER is working with a training film
production company to determine the time, effort, and budget
required to produce a film on Superfund records management.
Work has begun on all three recommended types of guidance on
Superfund records management A framework for developing and
issuing guidance for non-EPA personnel on Superfund records
management has been generated which reflects all 11
recommendations for the guidance. A records definition and
guidance document has been drafted and is currently being reviewed
throughout the Agency. New records disposition schedules for the
Regional Superfund offices were drafted this year. In FY 1992, a
new records disposition schedule will be drafted for the
Headquarters Superfund program.
Further action on the SDMS development recommendation was
postponed until certain technology issues are resolved. If the
manufacturer can correct the problems with current imaging
systems, use of imaging technology will be the primary basis for
document storage in the SDMS. OSWER has been working and will
continue to work closely with OIRM and the Regions throughout the
systems development lifecycle.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: All three studies will contribute to improved records management
within the Agency. They seek to streamline the handling and storing
of Superfund records, which minimizes the problems identified in
the FY 1990 Superfund Document Management Review (i.e., lack
of backup to vital records, lack of administrative support, and a
blizzard of paper being generated and stored), while being cost-
effective and increasing efficiency for the Agency.
SDMS, in particular, will result in demonstrable cost savings in the
handling and storage of records. There are currently 3,500
programmatic personnel involved with the management of
Superfund documents. A savings of one hour per week through the
introduction of more efficient document management would translate
into savings of $20M over a 4-year period. SDMS should ensure
that all applicable documents are captured and controlled, made
available in a timely manner, are complete and accessible to the user,
secured if classified or Confidential Business Information, protected
if vital, and meet evidence requirements. In addition, the system
should reduce professional resources used in clerical activities
relating to document management, ensure effective use of physical
space, and support the timely preparation of complete and accurate
II - 13
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SECTION II: REVIEW SYNOPSES
document compilations. The intangible benefits of SDMS are
improved perceptions of the Superfund program, improved
Superfund staff morale, and a mitigation of catastrophic failure
risks.
AGENCY CONTACT
AND PHONE No.: Lisa Jenkins, (202)260-7951
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FY 1991 IRM REVIEW PROGRAM REPORT
AGENCY: EPA
TITLE OF
REVIEW: Review of the Integrated Administrative System Concept
AGENCY REVIEW
NUMBER: 91-4
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [x] END USER COMPUTING
[x] SOFTWARE MANAGEMENT [x] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [ ] ELECTRONIC FILING
[ ] MAJOR INFORMATION SYSTEMS [ ] OTHER INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506 [x] ADP MANAGEMENT
[ ] SECURITY/PRIVACY [ ] RECORDS MANAGEMENT
[ ] MAIL MANAGEMENT [ ] INTERNAL CONTROL REVIEW (A-123)
[ ] FINANCIAL (A-127) [x] SERVICE TO THE CITIZEN
[ ] OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: The Administrative Systems Division (ASD) is responsible for
providing automated systems and tools that support the
administrative needs of the EPA and its staff. Ever-increasing
demands require the Agency to provide a widening array of services
to an expanding client community. The Integrated Administrative
Systems (IAS) concept was visualized in an effort to more
effectively respond to these requirements.
The intent of this review was to refine the IAS concept. The
refinement resulted in the identification of potential benefits to
system managers and users. The evaluation also resulted in the
identification of issues relating to an IAS in the EPA environment
and the development of a management plan for achieving an IAS.
II - 15
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SECTION II: REVIEW SYNOPSES
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
This review was conducted by OIRM with contractor assistance.
Research was conducted to identify functions and relationships
among current national systems for which ASD is responsible.
Specifically, the following methodology was used:
• Review current documentation on the IAS concept,
administrative systems, and ASD organization.
• Identify IAS functional clusters and their relationships.
• Interview personnel involved in administrative functions.
• Review external documentation concerning integrated systems,
information engineering, and database systems.
Overall, the ultimate version of the IAS involves a fully integrated
set of capabilities implemented across three basic IAS components:
• AdminLAN— will be the customer's window to IAS services,
providing office automation and electronic forms functions and
permitting staff to initiate administrative transactions and
requests for services, access Agency reference sources, and
extract data for analysis.
• National administrative systems— will consist of six integrated
applications corresponding to the major administrative functional
areas: financial management, procurement, grants, human
resources, facilities and services, and information resources.
• Administrative enterprise repository (metadata)— will contain
administrative transaction-related data, information about data
standards and access rights, and reference materials (e.g.,
policies, procedures, regulations, etc.). Administrative
information will be maintained logically in a single repository,
but will be distributed based upon functional requirements.
The capabilities of these components will seamlessly provide
information access, processing and management throughout the full
spectrum of EPA administrative activities.
The Agency selected a phased approach to developing the IAS. In
this approach, the development of the LAS components and
development/redevelopment of existing systems proceed
simultaneously with evolutionary phasing of completed
capabilities/systems. This is the only practical alternative because it
takes advantage of existing efforts, permits use of critical existing
systems, and provides considerable intermediate capabilities.
II - 16
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FY 1991 IRM REVIEW PROGRAM REPORT
Increasing the effectiveness of its administrative systems through
IAS will assist EPA in meeting current and future challenges by:
• Providing capabilities to keep pace with the increasing tempo of
Agency responsibilities.
• Providing timely responses to growing client requests.
• Effectively handling unanticipated, ad hoc information requests.
• Reducing the time and effort directed toward administrative
responsibilities.
In addition to increasing functional capabilities, the IAS will enable
EPA to provide administrative systems users with simplified access
to a wider array of timely, accurate administrative information.
RECOMMENDATIONS:
Introducing the LAS into the current EPA administrative systems
development environment represents a formidable undertaking, with
far-reaching impacts. Implementation of the LAS requires an
understanding of the challenges that must be met if an effort of this
magnitude is to succeed. Several short-term goals should be the
focus of early IAS efforts:
• Secure EPA management commitment
• Obtain long-term resource commitments and allocate them in
conformance with phased migration development concept.
• Establish a comprehensive program management structure to
provide full time coordination.
• Identify and coordinate responsibilities.
• Obtain a consensus on management strategy elements and
overall scheduling.
• Transform the LAS concept into a feasible operational approach
for systems development efforts.
• Address major short-term development issues:
- Conduct a technical assessment of existing administrative
systems capabilities
- Determine technical standards and architectures
- Design and implement essential AdminLAN capabilities.
• Develop a plan to incorporate existing systems resources and
integrate current development efforts with the IAS approach.
II - 17
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SECTION ii: REVIEW SYNOPSES
Attaining these near-term goals, as part of a coherent overall
strategy, will provide an effective basis for initiating and sustaining
IAS implementation efforts.
INITIATIVES
AND ACTIONS: Refinements were made to the IAS concept in terms of standards,
integration, operability, organizational relationships, information
architecture, control, and system applications. Its capabilities were
described and potential benefits that EPA will achieve by
implementing such a system were identified. There was a detailed
analysis of LAS components, and issues to be resolved based upon
the LAS concept definition were presented. Documenting the issues
enabled the Agency to develop an incremental approach for realizing
the IAS concept.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: This review has resulted in not only a more clearly defined IAS
concept, but also a management plan for achieving it. The
refinement of the IAS concept aligned functional activities to Agency
missions/goals.
The IAS should provide many benefits to administrative systems
users as well as Agency management. Effective implementation of
the IAS should result in significant gains in administrative efficiency
and productivity in the following areas:
• Increased interoperability between systems and data sharing
• More coordinated systems development efforts
• Decreased data entry through the elimination of redundancies
• Improved data and systems security
• Decreased system maintenance costs
• Improved responsiveness to Agency clients
• Improved data integrity
• Reduced data storage requirements
• Maximum utilization of hardware and software resources.
AGENCY CONTACT
AND PHONE NO.: Tony Studer, (202) 260-5621
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FY 1991 IRM REVIEW PROGRAM REPORT
AGENCY:
TITLE OF
REVIEW:
Review of the Modernization of FINDS
AGENCY REVIEW
NUMBER: 91-5
[ ]
[ ]
[x]
[ ]
[x]
[ ]
[ ]
[ ]
[ ]
REVIEW
TELECOMMUNICATIONS
SOFTWARE MANAGEMENT
INFORMATION MANAGEMENT
MAJOR INFORMATION SYSTEMS
COMPLIANCE WITH PRA §3506
SECURITY/PRIVACY
MAIL MANAGEMENT
FINANCIAL (A- 127)
OTHER
CATEGORIES
[x]
[x]
[ 1
[ 1
[x]
[ ]
[ 1
[x]
END USER COMPUTING
SOFTWARE MODERNIZATION
ELECTRONIC FILING
OTHER INFORMATION SYSTEMS
ADP MANAGEMENT
RECORDS MANAGEMENT
INTERNAL CONTROL REVIEW (A- 123)
SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
During the past three years, OIRM has actively sought to institute
sound data management practices throughout EPA that will improve
data accessibility. To move closer to this goal, EPA has recently
adopted two Agency-wide standards. The facility identification data
standard requires usage of a facility identification code uniquely
identifying facilities regulated under Federal environmental laws.
The locational data policy specifies the methodology for the
collection and documentation of latitude/longitude coordinates, entity
description, accuracy, and method for every facility, point, etc.
about which data are collected. Implementation of these two
standards will have far-reaching effects on the management and
maintenance of all EPA data systems, especially the Facility INDex
System (FINDS). FINDS is the Agency's principal repository of
facility cross-reference data.
The objective of this review was to study FINDS to ensure that an
adequate information architecture is in place for both on-going and
II - 19
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SECTION //: REVIEW SYNOPSES
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
future systems development efforts. This was to ensure that it is
capable of handling changes such as those necessary in order to
implement the facility standard and the locational policy.
This review was conducted by OIRM with contractor assistance.
Data system managers and information policy developers were
interviewed to obtain a clear understanding of their needs,
constraints, concerns, and program activities. Specifically, OIRM:
• Generated recommendations on steps to be taken to prepare
FINDS for implementation of the Facility Identification Data
Standard. This included analyzing the implications of linking
FINDS to program data systems through synchronized updates.
• Presented a briefing to the Locational Accuracy Task Force
(LATF) on options for a central repository of the facility-related
latitude/longitude data required by the Locational Data Policy.
A data model clarifying what data is fundamental to facility data
integration was created by identifying entity types, their
relationships, and attributes to provide a comprehensive definition of
the information processed. A process model was created to describe
the functions of facility data integration, specifically data integration
and quality assurance. These functions were broken down to their
most basic level to provide a clear understanding of the functions
and activities which characterize facility data integration and the
interdependences which exist between them.
Facility data is contained in many EPA databases. In fact, there are
as many as 20 major EPA organizational units collecting program-
specific facility information, so variations are inevitable. The same
facility may be represented by multiple programs using different
names, street, addresses, etc. However, FINDS provides a common
data element in the various program information systems and an
indicator of which systems contain information on a particular
facility, making it critical to the Agency's data integration initiative.
Access to EPA's environmental location and basic identification data
could be viewed as an incentive for the non-EPA community to
share its valuable information resources with the Agency.
To develop the refined spatial data needed in CIS projects, EPA
must create and maintain a vigorous, viable, nationally supported
system able to act as a gateway to all of EPA's facility, discharge
and other environmental entity data. Failing to address this need will
result in the development of many separate, disconnected, likely
incompatible systems. Extremely poor data access and great
II - 20
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FY 1991 IRM REVIEW PROGRAM REPORT
difficulty in doing the data cross checking needed to insure
continued data integrity would be the end result
Vital EPA and State integrated applications above and beyond GIS
uses are at stake, including: tracking multi-media inspection activity,
implementing multi-program enforcement, conducting risk
assessments, and providing simple State access to application and
permitting information.
RECOMMENDATIONS:
Environmental regulators increasingly rely on FINDS to determine
which program office systems are monitoring a facility; therefore,
FINDS must be tightly coordinated with EPA program data sources
to be complete, timely and accurate. OIRM must automate the
process of reconciling the data in FINDS and program systems.
FINDS should be used as a repository of locational information. As
a centralized source of information on each facility, it is an obvious
choice for expanded facility information, namely locational data. The
current FINDS system was not designed to address the Agency's
existing location data needs— only a single latitude longitude may
be tracked at the facility level. For example, the capability does not
exist to handle locational data at the discharge or operable unit level,
although tracking these entities have become critical to many GIS
applications. Therefore, FINDS needs to be expanded to allow
multiple locations within a facility.
FINDS also needs added system edit facilities to help users spot
changes in program system information in order to identify major
facility and discharge status changes and possible data errors.
A database of correct street, city, county, and ZIP-code information
is needed. Exploration of both Agency and commercial sources of
accurate address data is suggested. The LATF recommended using
address matching to quickly generate quality facility data that would,
until replaced by more refined data, be available for the many spatial
analyses underway in the Agency that require locational data on
regulated facilities. While address matching is worth pursing, this
technique needs to be thought of as one element of a larger effort
aimed at generating and maintaining quality geocoded information
for the Agency's inventory of regulated entities.
Another item identified for further consideration was including
integration of corporate data as a new requirement or follow-on
enhancement for the redesigned FINDS/Dun & Bradstreet system.
This would be supportive of the Agency's goal of achieving data
integration and data sharing.
II - 21
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SECTION II: REVIEW SYNOPSES
INITIATIVES
AND ACTIONS: OIRM has adopted a systematic approach to implementing the
facility identification data standard by prioritizing the implementation
schedule in conjunction with the Office of Enforcement. OIRM is
committed to implementing the facility identification data standard in
partnership with the program offices. An advisory committee of
OIRM officials and program office representatives will coordinate
implementation of the facility identification data standard.
Implementation guidance on the facility identification data standard
has been drafted and is currently being reviewed by client
organizations. Following issuance of the implementation guidance,
OIRM will begin working with each program office to negotiate the
details of their compliance.
Automation has been initiated to reconcile the data in FINDS with
that in program systems in order to ensure data quality/consistency.
A FINDS data element dictionary has also been developed to
accommodate and more fully define locational information in the
system.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: Benefits accrued through the modernization of FINDS include
providing high quality information services, improving data
integrity, and minimizing unnecessary duplication of data through
the implementation of the facility identification data standard. The
implementation of the standard in FINDS is one of EPA's key data
administration initiatives.
FINDS provides the primary mechanism that the Office of
Enforcement uses to link data from the various media-specific
systems. The modernization ofsFINDS will lend strength to the
Agency's enforcement program since, by using FINDS, the
enforcement staff can cross reference facilities and identify facilities
in violation of more than one statute. A more effective, multi-media
based enforcement program should result in the improved ability of
the government to recover costs from responsible parties. The
modernization of FINDS supports software modernization, better
information management, and improved ADP management, all of
which are government-wide priorities.
AGENCY CONTACT
AND PHONE NO.: Joe Anderson, (703) 883-8847
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FY 1991 IRM REVIEW PROGRAM REPORT
AGENCY:
TITLE OF
REVIEW:
Review Public Access Program Needs
AGENCY REVIEW
NUMBER: 91-6
REVIEW
[ ] TELECOMMUNICATIONS
[ ] SOFTWARE MANAGEMENT
[x] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[ ] FINANCIAL (A- 127)
r l OTHER
CATEGORIES
[ ] END USER COMPUTING
[ ] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[ ] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A- 123)
[x] SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
The demand by the public to access information maintained by the
government, particularly environmental information, has increased
greatly within the past few years. Congress has also been
responding to the public's desire for environmental information
through proposing legislation that contains public access
requirements for the Agency. These factors combined with a desire
by EPA to provide access to environmental information as a means
of facilitating the attainment of stated Agency priorities (e.g.,
targeting health and ecologic risks and pollution prevention)
highlight the importance of public access efforts within EPA.
The objective of this review was to improve awareness within EPA
about public access issues and generate recommendations for a
strategy which will further improve public access to information
maintained by EPA. The information gathered for the strategy may
also be used by OIRM when developing a public access policy
which broadly defines Agency goals and outlines roles and
II - 23
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SECTION II: REVIEW SYNOPSES
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
responsibilities for OIRM and program offices. The public access
strategy will facilitate implementation of the policy.
This review was conducted by OIRM with contractor assistance.
Basic information on public access and dissemination issues was
gained by reviewing documentation including the FY '90 Review of
Public Information Access Services. To obtain input to the public
access strategy, interviews were conducted with over 40 EPA and
other Federal government officials. In the fall of 1990, five public
access forums were held to increase the awareness of public access
to EPA information mechanisms and issues. Sixty EPA
Headquarters senior managers participated in the forums and
provided input useful in developing a draft policy and strategy on
public access. The forums also provided those managers with the
information they would need in order to anticipate and plan for
public access activities within their respective programs. Topics
discussed in the forums included: availability, format, and quality of
information; protection of sensitive information; design of
information collections and systems; resource constraints; and third-
party involvement in providing access.
The concerns raised during the information gathering phase of this
project revolved around the desire by EPA personnel to achieve four
central objectives. EPA wants to:
• Increase its understanding of its audiences.
• Reach the public in the most effective and efficient manner.
• Make quality data available to the public, within available
resources, and ensure confidentiality of sensitive information.
• Coordinate its public access activities at all levels so as to
improve efficiency and service.
Forum participants indicated that all of the above concerns need to
be addressed in a public access strategy and policy and that the
policy should provide general guidance and information on
Headquarters and Regional office roles and responsibilities— not
prescribe specific actions. They also stressed the importance of a
wide variety of policy reviewers.
RECOMMENDATIONS:
The strategy recommendations, which address each of the above
findings, seek to capitalize on existing capabilities and strengths
offered by offices within EPA, to provide support for public access
efforts, and to coordinate services where it will improve the
II - 24
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FY 1991 IRM REVIEW PROGRAM REPORT
efficiency and effectiveness of public access efforts. A summary of
the specific recommendations are listed below by issue.
• To better understand its audiences, EPA offices should:
- Analyze current audiences to determine the types and formats
of information desired and the reasons for requesting it
- Determine if additional audiences exist who would benefit
from information maintained by EPA.
• To reach the public effectively and efficiently, EPA should:
Anticipate information demand and plan for public access.
Develop a central point of contact
Determine the most appropriate mechanisms for information
delivery to particular audiences.
Investigate the use of third parties to facilitate information
access/dissemination.
Make the public aware of information types and locations.
• To assure the quality of publicly available data and to ensure the
confidentiality of sensitive information, EPA should:
- Consider level of quality necessary for publicly available
information when establishing information collections and
systems.
Develop data quality feedback mechanisms.
- Protect sensitive, proprietary, and/or classified information.
- Tailor availability of technical information to the user's level.
- Share proven data quality techniques and develop guidance
in this area.
• To improve coordination of public access activities, EPA should:
Define the roles of various offices and establish inter-office
coordination protocols and techniques.
Develop means to review consistency of cross-media
information.
- Encourage information exchange among its staff through
forums on specific topics or for specific audiences and
through informal interactions.
- Develop useful, understandable reference tools.
Centralize/standardize publication services, where practical.
Continue to promote data integration.
INITIATIVES
AND ACTIONS: OIRM is developing a public access strategy and working with
selected EPA programs to provide support and guidance on
providing public access to EPA's information. The strategy will
incorporate the above recommendations.
A public access policy for the Agency has been drafted and is
currently out for review. The policy establishes the principles
II - 25
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SECTION II: REVIEW SYNOPSES
governing public access to, and dissemination of, information
gathered and maintained by EPA as official Agency information.
The policy will be incorporated as a new chapter in the Agency's
IRM Policy Manual.
In May 1991, EPA sponsored the first Interagency Conference on
Public Access. It offered departmental and agency officials an
opportunity to discuss issues surrounding public access to
government information, particularly that which is collected or
generated and maintained in electronic format, and to share
experiences to date. Issues discussed included benefits to the citizen,
what the agencies are obligated to provide, how best to provide
access, who bears the cost, and to what extent agencies can market
their products and provide value added information services.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: This review is in direct support of the government-wide priority of
service to the citizen. Implementation of the public access policy and
strategy will offer many benefits to EPA, while ensuring fulfillment
of Federal public access requirements. Public access to information
promotes voluntary compliance with environmental protection
standards and also promotes development of a personal
environmental ethic for citizens and consumers. Improving the
public's access to EPA's information strengthens its relationship
with EPA. Improvements in public access activities will promote
attainment of EPA's environmental mission by providing a higher
quality of information services and by promoting data sharing. By
developing the public access policy and strategy, the Agency
encourages a proactive response to information demands and
promotes efficient handling of information requests.
AGENCY CONTACT
AND PHONE NO.: Brigid Rapp, (202) 260-8710
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AGENCY:
TITLE OF
REVIEW:
FY 1991 IRM REVIEW PROGRAM REPORT
EPA
Review of Strategic Architectural Issues
AGENCY REVIEW
NUMBER: 91-7
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS
[x] SOFTWARE MANAGEMENT
[ ] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[x] MAIL MANAGEMENT
[ ] FINANCIAL (A-127)
[ ] OTHER
[x] END USER COMPUTING
[x] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[x] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A-123)
[x] SERVICE TO THE CITIZEN
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
REVIEW SYNOPSIS
EPA's National Data Processing Division (NDPD) reviewed seven
strategic architectural issues:
1) Local area network (LAN) as a national application platform
2) Structured Query Language (SQL)/Relational Database
Management System (RDBMS)
3) Logical mainframe (LMF) futures and Regional servers
4) E-mail and document distribution
5) Common user interface
6) AS/400 utilization
7) Information resources management (IRM) training.
The review was conducted by NDPD with contractor assistance. For
each of the above issues, a project team composed of representatives
from NDPD, OIRM, and other appropriate EPA offices and Regions
was established to study the impact each of the issues will have on
II - 27
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SECTION //: REVIEW SYNOPSES
the future vision of information resources in EPA. Detailed
workplans for each issue were then established so that progress
could be easily tracked.
1) LAN as a national application platform— The integration of
personal computers, LANs, and LAN file servers offered the
Agency an alternative to the traditional host processor platform
for applications processing. The Agency, however, had not
established the criteria for discerning which applications are
ideally suited for a host, versus LAN, environment The Agency
studied and evaluated the feasibility of using LANs as a platform
for supporting national applications.
2) SOL/RDBMS— Two closely related areas experiencing rapid
advances in the information systems industry are client server
technologies and RDBMS. SQL has been adopted as the
standard method for defining and manipulating data in a
relational database environment. The Agency assessed the
impact of SQL and RDBMS as a maturing technology in order to
decide whether the Agency should commit resources to acquire,
implement, train for, and utilize this technology.
3) LMF futures and Regional servers— The IBM 4381
minicomputers, or LMFs, in each EPA Region did not reach
high utilization levels because of the advent of PCs and PC-
LANs. As a result, the LMFs were targeted for removal. Now,
outside of the widespread use of VAX minicomputers in
laboratories and the proposed AS/400 computers for image
processing, the Agency has backed away from the use of
minicomputers. The goal of this study was to examine the role
of minicomputers in the Agency's future computing architecture.
4) E-mail and document distribution— Since 1983, EPA has
provided computer-based messaging to its employees, affiliates,
and contractors. E-mail uses a centralized mail system
architecture; all messages, regardless of destination, are routed
through the central mail service. The major advantages of this
system architecture arc the reliability of its message delivery, the
ease of message addressing, and the overall ease of system
management especially the maintenance of the mail directory.
The Agency evaluated the efficiency and effectiveness of this
architecture as services expand to include more document
distribution and heavier utilization of premium services, such as
access to the Commerce Business Daily (CBD).
5) Common user interface— Currently, the Agency develops
applications for a variety of processing platforms and terminals.
Each combination of platform and terminal presents a different
interface to the user. That is changing— the information systems
II - 28
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FY 1991 IRM REVIEW PROGRAM REPORT
industry is developing common user interface (GUI) standards.
The Agency evaluated the emerging standards to which it is
willing to commit, what standards will be developed for
program function keys, menus, and help functions, and how
many user interface standards will be supported.
6) AS/400 utilization— With the award of the image processing
contract, there was the potential for an infusion of AS/400
systems into EPA. Given the possibility that these systems
might have more capacity than would be required for image
processing alone, EPA initiated (1) an examination of the
AS/400's role in EPA's computing architecture, (2) an analysis
of directions for the integration of image and non-image
applications, and (3) development of policies for AS/400 usage
within EPA. Issues identified as relevant to these three strategic
issues were researched and a consensus built among project
team members.
7) IRM training— As the Agency continues to expend enormous
resources to acquire or enhance its computing architecture, it
must also find ways to accelerate productivity in service
industries, maintain the dynamism of an aging workforce, and
improve the educational preparation of all workers. To address
these needs, the Agency examined the environments of EPA and
the most promising technological tools and methods that would
create the training system capabilities needed for the future.
PRIMARY
FINDINGS: Following are some of the key study findings:
1) LAN as a national application platform— LANs can serve
effectively as a national application platform. (National
applications are Agency resources which are mission critical,
involve significant sharing of data, and involve wide-spread use
of the application itself.) EPA national applications are suitable
for LANs when they successfully: provide reliable and timely
access to the user community, provide effective data
management regardless of physical location, and have
performance unimpaired by the limitations of LAN technology.
2) SOL/RDBMS— The relational model has significant inherent
strengths which make it the driving force behind the current
development of almost all database management systems.
Further, SQL standardization is providing vendors of relational
technology the opportunity to make their products compatible in
a distributed environment that extends across all hardware
platforms. SQL/RDBMS utilization in a networked environment
is benefiting organizations with significant improvements in
decision support, workgroup productivity, performance,
II - 29
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SECTION //: REVIEW SYNOPSES
connectivity and data integrity. Integrating environmental data
using RDBMS technology should allow manager, planners,
scientists, and users to incorporate data into their analyses which
was not previously accessible.
3) LMF futures and Regional servers— There is continuing
Regional interest in processing work locally, and the number of
national and/or mission critical applications run in the Regions
are likely to increase in the future. The primary technical
consideration was the replacement equipment for the LMF. The
major choices were LAN servers or the AS/400, both of which
are being evaluated separately as strategic architectural issues 1
and 6 respectively.
4) E-mail and document distribution— E-mail is critical to the
Agency's business, and ease of use is vital to everyone. The
cost for providing e-mail through an outside service is expected
to increase significantly, but the Agency can meet its e-mail
requirements and reduce costs through an in-house e-mail
solution. With the growth of LANs throughout the Agency and
the availability of LAN software, use of LAN-based e-mail
systems is inevitable; however, current LAN systems alone
cannot adequately support the Agency's e-mail requirements
5) Common user interface— A common interface will significantly
reduce the learning curve for new users of applications. There
are two primary GUI standards: the Apple Corporation standard
and the portion of IBM's systems application architecture (SAA)
which deals with common user access. The Apple standard is
proprietary, but IBM's is an open standard, available to all
vendors.
6) AS/400 utilization— While the AS/400 has served well as the
introductory platform for EPA's imaging program, several
factors identified in the research reduced the attractiveness of the
AS/400 as the sole long-term image processing platform for
EPA. With the recent emergence of PC-LAN-based imaging
systems, there is little continuing justification to use a different
hardware architecture solely to support imaging.
7) IRM training— To meet future employee skill and information
needs, training will have to be available, on demand, at any site
for multiple purposes and audiences. This will require
centralized planning and decentralized delivery. It must
demonstrate a measurable impact on job performance, while
controlling costs. The majority of training should be delivered at
the worksite— embedded in systems and with individualized
help and tutoring sessions. The amount of formal, classroom
training will be reduced and chosen with care, specifically for
II - 30
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FY 1991 IRM REVIEW PROGRAM REPORT
programs such as the introduction of major new automated
systems. As a rule, it will become more efficient to bring the
training to the students, by means of distance-learning
technology, either at workstations or at centralized training
facilities.
RECOMMENDATIONS:
Many recommendations resulted from the studies. Some of the
primary recommendations are listed below.
1) LAN as a national application platform—National applications
require an Agency-managed LAN utility: complimentary but
separate from user LANs. The organizational responsibilities to
support LANs as a national application platform must be
, defined. National applications should be managed through their
life cycle to support IRM objectives and use of information.
They must be managed in accordance with Federal and Agency
IRM policy, and EPA's System Design and Development
Guidance should be updated to incorporate LANs as an
architectural platform. LAN guidance must respond to
changes/advances in information technology.
2) SOL/RDBMS— EPA should implement SQL/RDBMS
technology in three independent but related platforms. A
SQL/RDBMS should be implemented for the Agency's
mainframe, one for the Agency's Novell LAN file-servers, and
one for the Agency's scientific processing platform. In order to
strengthen competition, the selections should be related but not
dependent.
3) LMF futures and Regional servers—The long-term future of the
Agency will be better served by a transition from the LMF
technology to LAN servers in its Regional Offices.
4) E-mail and document distribution— A three-phase approach is
recommended for improving e-mail. By March 1992, phase 1
should maintain the centralized system architecture, replace
purchased Dialcom service with DEC ALL-IN-1 installed on
Agency equipment, and build the foundation for inter-system
messaging. By FY 1992/1993, phase 2 should integrate IBM e-
mail software, select Agency LAN E-mail software, provide
acquisition vehicles, resolve/test X.400 capability with LANs,
and gradually integrate LAN users with ALL-IN-1. Phase 3
should support user movement to LAN-based e-mail systems.
5) Common user interface— The Agency should prepare to adopt
GUI standards to provide guidelines to developers and
programmers of EPA applications. The guidelines should define
a standard layout both for text and graphics interfaces. These
II - 31
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SECTION II: REVIEW SYNOPSES
guidelines should provide the basis for a common user interface
and common user actions that will produce the benefits
attributable to these standards.
6) AS/400 utilization— In view of the preliminary research results,
the AS/400 will probably not be a significant long-term
component of the EPA architecture other than for image
processing.
7) IRM training— EPA should develop embedded training in major
information systems in order to increase training at the
workstation levels. EPA must place a high priority on
establishing quality guidelines for the use of new technologies
and employee training methodologies and on expanding training
staff skills to exploit the power of individualized, interactive
media. EPA should look to a centrally-managed system of
career-long tracking for employee development and a
comprehensive evaluation monitoring system that will link
training effectiveness and job performance. To fully implement
an integrated training system, EPA should consider a
reassessment of training's role and level of advocacy within the
organization and, most importantly, the creation of a
commission to oversee the various initiatives that will be
required.
INITIATIVES
AND ACTIONS: Numerous actions have been taken in response to the study
findings.
1) LAN as a national application platform— Activity is now
underway to complete the policies and procedures which are
necessary to implement EPA's LAN infrastructure to support
national applications.
2) SOL/RDBMS— The IBM software product DB 2 is being
implemented on the EPA mainframes and will fully support
RDBMS applications in FY 1993. A competitive procurement
was completed, and Oracle was selected for the Novell file
servers. The implementation planning is beginning. A
competitive procurement for a RDBMS for the scientific
platform is in progress.
3) LMF futures and Regional servers— The applications that were
resident on the LMFs were transferred to the Agency's
mainframe or to Regional LANs. The Regional LANs were
strengthened with additional hardware and software. The LMFs
have been removed. The initiative is now operational.
II - 32
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FY 1991 IRM REVIEW PROGRAM REPORT
4) E-mail and document distribution— The conversion of e-mail
from Dialcom to DEC ALL-IN-1 occurred in August 1991, and
training has been provided for users. Work on phase n and HI is
now being performed. The emphasis is being placed on the
integration of LANs into the e-mail architecture.
5) Common user interface— A detailed review of GUI has been
completed both within and outside of EPA. EPA is in the
process of completing the process of fully adopting the standard.
6) AS/400 utilization— The issue has been resolved, and the
AS/400 is being used to support image processing.
7) IRM training— The Agency's senior management is the process
of reviewing the recommendations and deciding which to
implement
NEW ARCHITECTURE ISSUE:
Unix — EPA has accepted the Unix operating system as a step
toward vendor independence in its procurement process. This
architectural issue which was begun in FY 1992 will address the
major issue involved in EPA's transition to Unix.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: Evaluating these strategic architectural issues has allowed the
Agency to take a proactive approach to harnessing computing
technology for the benefit of EPA. This review has resulted in
standard guidance to assist Regions, program offices, etc. on a
variety technical decisions. These standards will facilitate the
management of information and lessen the types of maintenance
required for information systems. Standards are also ultimately
helpful to data integration efforts by providing a common basis for
all Agency participants.
AGENCY CONTACT
AND PHONE NO.: Don Worley, FTS 629-2740 and Ted Harris, FTS 629-2538
II - 33
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SECTION II: REVIEW SYNOPSES
AGENCY:
TITLE OF
REVIEW:
Review of the Modernization of STORET
AGENCY REVIEW
NUMBER: 91-8
REVIEW
[ ] TELECOMMUNICATIONS
[x] SOFTWARE MANAGEMENT
[x] INFORMATION MANAGEMENT
[x] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[ ] FINANCIAL (A- 127)
f 1 OTHER
CATEGORIES
[x] END USER COMPUTING
[x] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[x] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A- 123)
[x] SERVICE TO THE cmzEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
Developed in the mid 1960s, the STOrage and RETrieval of Water
Quality Information (STORET) system is one of EPA's oldest and
largest data systems. STORET contains over 170 million
observations relating to surface and ground water quality. The
system assists State and EPA officials in making pollution control
decisions by providing the capability to store, retrieve, and analyze
water quality information.
STORET has evolved slowly over a period of close to 30 years.
Much of the current STORET software is customized, homegrown
code that is neither well documented nor easy to maintain. Much of
the software is being maintained by its original developers.
Dependence on custom code understood by a few key staff is risky,
impedes maintenance, and lengthens time for incorporation of
changes.
II - 34
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
The age of STORET made it an obvious candidate for a review of
the methods and software used to maintain the system. Another
reason for the review is that STORET faces new challenges as
EPA's strategic role in environmental protection expands and as
technologies are developed to provide cost-effective and flexible
system management and enhanced user support.
The objective of this review was to analyze STORET and its related
systems in order to establish the feasibility of modernizing
(upgrading) the STORET software. This software modernization is
intended to greatly facilitate software maintenance and to provide a
software environment that will accommodate future requirements
consistent with EPA's long range goals while satisfying current user
needs. This study was one of several complementary analyses
concerning water quality data systems modernization.
The review was led by OIRM with contractor assistance. The first
part of the review involved studying and documenting much of the
current STORET environment, including technical architecture,
historical evolution, and life-cycle cost structure, in order to obtain a
technical and historical perspective of the system. This perspective
provided a framework useful to OIRM in examining possible future
directions for the system. Personal interviews were conducted to
assess the frequency and extensiveness of STORET usage. Planning
and developmental tools, such as Information Engineering
Methodology, were used to determine the scope, need, and steps to
be taken in modernizing STORET and its associated water data files.
The modernization options identified by EPA for STORET include
introducing commercial off-the-shelf data base management
software, upgrading system documentation, and undertaking quality
assurance and configuration management actions. Utilizing these
options should reduce the dependency on key staff for the system's
maintenance and provide a software environment that is consistent
with long-term system development objectives while continuing to
satisfy the requirements of current STORET users.
The conclusions drawn as a result of the historical and financial
analyses are as follows:
• Since its beginning, STORET has had to adapt to many different
computer architectures and operating systems. Many of the
program changes in STORET were made to maintain system
functionality when moving to different hardware platforms.
• The 1974-75 migration of STORET files from the Boeing
Computer Service facility to the EPA National Computer Center
II - 35
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SECTION II: REVIEW SYNOPSES
caused a certain amount of disruption in service. As a result,
some users chose to develop their own systems. Therefore, the
STORET modernization must be carefully managed to reduce the
risk of system problems and avoid system disruptions.
• To demonstrate its commitment to supporting STORET, EPA
must actively involve external users in the modernization efforts
in order to incorporate their input on required functionality and
their concerns about continued STORET support.
• Since long-term data acquisition costs are significantly higher
than system development costs, EPA must continue to invest the
required resources in the modernized STORET to keep users
contributing data and to maintain user reliance.
• Office of Water (OW) sponsorship of STORET and the close
interrelationships with other OW data systems dictates that
objectives, roles, and responsibilities for OIRM and OW be
carefully coordinated during the modernization process. Indeed,
OW and OIRM are jointly approaching modernization of a broad
suite of water quality data systems.
• The close ties between STORET and other data systems will
cause significant ripple effects during the modernization process.
The process must be closely managed to minimize these impacts.
The study of the feasibility of modernizing STORET resulted in the
conclusion that there are several feasible options for maintaining and
modernizing STORET. STORET's major data files and functions
can and should be modernized so that the system can be maintained
after its current system managers retire. If modernization is defined
by the three options earlier identified, then:
• A commercial off-the-shelf database management system should
be introduced for the major data files and functions.
• Documentation should be improved for system components that
are transferred to the commercial database management system,
but it is infeasible to complete documentation on all operational
components of STORET as it exists today.
• A formal quality assurance and configuration management
program should be introduced for system components that are
transferred to the commercial database management system.
RECOMMENDATIONS:
As the system manager, OIRM needs to convert STORET's major
data files and functions to a commercial database management
system in order to keep the system running and to promote the
II - 36
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FY 1991 IRM REVIEW PROGRAM REPORT
Agency's data integration capabilities. However, this review leaves
OIRM and OW to face a series of decisions to determine the data,
applications, and functionality requirements which must be
maintained and improved to ensure the continued viability of
STORET and related water quality data systems. Decisions need to
be made regarding issues such as:
• Which system components (i.e., data files, applications, and
functionality) should be retained?
• Should components be preserved in their current form, as an
archival system, transition system, or a new system?
• How large will this database become in the future?
• How can OIRM continue to manage the older historical data and
to incorporate new types of data?
• How should OIRM improve user interfaces and training?
INITIATIVES
AND ACTIONS: OIRM and OW have convened an executive board to address these
and other issues and to oversee a broad water systems
modernization effort
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The more than 170 million observations in STORET make it a
valuable repository of historical information whose contents should
not be lost, and this modernization should allow them to be
preserved in a usable format. If a commercial database management
system is introduced, there are major benefits to EPA which result
primarily from the system being easier to maintain and manage as an
ongoing information system— accepting new data easily, promoting
data sharing and integration, having effective system documentation,
and allowing efficient ongoing maintenance and operations.
OIRM is committed to systems modernization as a strategic goal
which is critical to the Agency's mission. Enhancements placing
STORET in line with EPA's systems modernization initiative may
attract a new client base which could improve the system's
attractiveness and utility substantially. It will also allow the system
to keep pace with the new technical directions within the Agency
such as geographic information systems, public access, and open
systems architecture.
AGENCY CONTACT
AND PHONE No.: William Muldrow [OIRM], (703) 883-8878 and Bob King [OW],
(202) 260-7028
II - 37
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SECTION II: REVIEW SYNOPSES
AGENCY: EPA
TITLE OF
REVIEW: Locational Accuracy Task Force Review
AGENCY REVIEW
NUMBER: 91-9
REVIEW
[ ] TELECOMMUNICATIONS
[ ] SOFTWARE MANAGEMENT
[x] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[ ] FINANCIAL (A- 127)
f 1 OTHER
CATEGORIES
[ ] END USER COMPUTING
[ ] SOFTWARE MODERNIZATION
[ l ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[ ] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A- 123)
[ ] SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: OIRM has a number of major efforts underway to develop policies
for sound management of information resources, such as the
requirement for the use of CAS (Chemical Abstract Service)
numbers to identify chemical substances and the assignment of EPA
facility identification codes to regulated facilities and sites. Wide-
scale adherence to these policies will assure more uniform and
consistent (and thus more compatible) information throughout all
environmental programs.
To identify the spatial data accuracy requirements of the Agency, the
Locational Accuracy Task Force (LATF) was chartered in the spring
of 1990 as a subcommittee of the Information Resources
Management Steering Committee. The LATF was chaired by the
EPA Region VTH Deputy Administrator and included representatives
from all Agency programs and Regions, selected State
environmental agencies, and the U.S. Geological Survey. These
representatives were both at the senior management and technical
II - 38
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
levels. The LATF was charged with answering the following
questions:
• What should be the required minimum level of accuracy for all
the Agency's locational data?
• How should the Agency implement this requirement?
• What actions need to be taken, by whom, and by what dates?
This review was led by the LATF which conducted its activities
through meetings, teleconferences, and other oral and written
communications. To answer the questions cited above, the LATF
reviewed EPA's inventory of spatial data, relevant spatial data
standards of other Federal/State/local governments, and the cost and
accuracy of various methods for collecting and converting locational
coordinates. The Task Force also addressed other related technical
issues such as use of locational data precision requirements, quality
assurance and quality control procedures, and requirements for
ongoing improvement of locational accuracy.
The Task Force developed a concise description of benefits and
costs of implementing minimum locational accuracy requirements
Agency-wide. The review resulted in recommendations to the ERM
Steering Committee on implementing minimal locational accuracy
requirements Agency-wide.
The LATF collected and weighed a considerable amount of
information on geocoding technologies and programmatic
requirements in order to reach the following conclusions:
• The consensus of the LATF is that accurate locational data is
essential to risk management and multi-media decision making.
• Unless a clear goal is stated, the data in the Agency's databases
will continue to have widely varying levels of accuracy.
• To achieve cross-media integration, some EPA programs,
Regions, States, and other Federal agencies have already taken
significant steps to develop their own locational accuracy
policies.
• No matter which geocoding method is chosen, the high costs of
equipment, training, and data collection will make the
implementation of a standard expensive for the Agency.
II - 39
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SECTION II: REVIEW SYNOPSES
• Acquiring or updating locational data for old data in order to
meet a standard will be too costly and difficult. Thus, the
accuracy goal should only apply to data collected after the policy
is enacted.
• A strategy is needed to help individual programs comply with
the proposed recommendations.
RECOMMENDATIONS:
The LATF formulated five recommendations for submission to the
IRM Steering Committee:
1. Establish a 25-meter goal— The Agency should set a 25-meter
or better (±1.0 second) level of accuracy. This goal would apply
to new data only.
2. Set GPS as the standard— The Agency should set global
positioning systems (GPS) technology as its standard geocoding
method. More analysis is needed to determine the accuracy and
costs of geocoding methods, yet it is clear that the future holds
the greatest promise for GPS technology. The Agency should
concentrate on the large scale acquisition of equipment and on
providing training. In the short term, the Agency should support
map interpolation.
3. Define a deviation process— The Agency should define a
process for programs to request exemptions from the policy.
Using the data quality objectives (DQO) process, programs
obtain a waiver from either the latitude/longitude policy itself,
the accuracy target, the method of data collection, and/or die time
schedule.
4. Pursue incentives— The Agency should pursue financial and
information incentives, rather than enforcement actions, to
achieve the target accuracy. The potential financial incentives
identified by the LATF are: resource "reserve pools," "tapping"
resources, new grant conditions, fiscal year carryover funds,
supplemental funds, fees for data use, State/EPA Data
Management grants, and State grants. The potential information
incentives identified by the LATF are: State/EPA data sharing,
public/private partnerships, and common ground with regulated
facilities.
5. Upgrade FINDS— The Agency should upgrade the Facility
INDexing System (FINDS), using address matching to populate
the database with locational coordinate data. The cost of the
effort is estimated at this time to be $2 million.
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FY 1991 IRM REVIEW PROGRAM REPORT
INITIATIVES
AND ACTIONS: EPA is proceeding with all five recommended actions. The
recommendations have been adopted by the IRM Steering
Committee, endorsed by the Deputy Administrator, and enacted as
policy. EPA's Locational Data Policy, originally established in May
1990, was amended in April 1991 to reflect the recommendations of
the LATF. The primary purpose of the policy is to ensure the
collection of uniform, fully documented locational identification
information in all relevant data collection activities pursuant to
EPA's many environmental programs. Enacting the policy will
improve the overall quality and ensure the compatibility of spatial
data throughout EPA.
Guidance has been drafted to help the Agency implement the
locational data policy. The draft guidance has been reviewed by the
LATF, OIRM/NDPD, and the Agency GIS community. Future
versions will undergo more comprehensive review within the
Agency and by State environmental agencies.
OIRM is also completing a study which will provide definitive
costs, accuracies, and limitations of various geocoding methods.
Results of the geocoding study will be reflected in the next draft of
the policy implementation guidance.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The review established a more focused Locational Data Policy and
promoted Agency-wide dialogue about the policy and its
implementation. Although full implementation of the locational data
policy will require concerted effort by all parts and partners of the
Agency over a number of years, the anticipated benefits of
consistently documented locational data are tremendous and well
worth the required effort.
The most important benefit is that it will result in a common basis
for comparing and evaluating EPA's program data, so the Agency
can achieve truly integrated environmental analysis, planning, and
management Data from all programs will be able to be presented on
maps, allowing visual association of pollution sources to their
potential impacts on environmentally vulnerable sites. This kind of
association can help define environmental priorities, target
monitoring and compliance programs, and fashion future strategic
plans for protecting environmentally threatened areas. The review
also protects EPA's tremendous investment in data collection.
Collecting good coordinates means data can be reused rather than
being recollected. The review has eliminated the need for much
duplicative and expensive data collection.
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SECTION II: REVIEW SYNOPSES
AGENCY CONTACT
AND PHONE NO.: Steve Hufford, (202) 260-5914
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FY 1991 IRM REVIEW PROGRAM REPORT
AGENCY: EPA
TITLE OF
REVIEW: Analysis of Computer Security Awareness Program and Information
Security Program Requirements
AGENCY REVIEW
NUMBER: 91-10
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [ ] END USER.COMPUTING
[ ] SOFTWARE MANAGEMENT [ ] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [ ] ELECTRONIC FILING
[ ] MAJOR INFORMATION SYSTEMS [ ] OTHER INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506 [x] ADP MANAGEMENT
[x] SECURITY/PRIVACY [ ] RECORDS MANAGEMENT
[ ] MAIL MANAGEMENT [ ] INTERNAL CONTROL REVIEW (A-123)
[ ] FINANCIAL (A-127) [ ] SERVICE TO THE CITIZEN
[ 1 OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: The Computer Security Act of 1987 requires that all Federal
agencies identify sensitive data processing systems and installations
and prepare security plans describing the controls in place to protect
sensitive information. EPA prepared such plans and submitted them
to the National Institute of Standards and Technology (NIST) and
the National Security Agency (NSA) for review. The Computer
Security Act also recognizes the need to improve security of the
Federal government's computer systems by establishing new
programs in computer security awareness, training, planning, and
other activities to protect information. It requires that each Federal
agency "provide for the mandatory periodic training in computer
security awareness and accepted computer security practices of all
employees who are involved with the management, use, or
operation of each Federal computer system within or under the
supervision of that agency."
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SECTION II: REVIEW SYNOPSES
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
This review was composed of two studies. The objective of the first
study was to determine how well the NIST/NSA security plan
recommendations have been implemented and to recommend an
action plan for accomplishing any remaining requirements. The
objective of the second study was to analyze the effectiveness of,
and provide recommendations for improving, the Agency's
computer security awareness program.
Both studies were conducted by OIRM with contractor assistance.
The security plan study involved reviewing the security plans for
sensitive installations and systems and evaluating these plans in the
context of the NIST/NSA recommendations. In addition, an
approach for conducting and/or documenting risk assessments and
certifying EPA systems was developed. The computer security
awareness program study evaluated activities performed, resources
available, and other initiatives in progress, within EPA and in other
agencies. Both studies identified improvements which could be
made to the information security program.
OIRM has a solid foundation for administering an effective
information security program. Generally, the NIST/NSA
recommendations may be readily incorporated into the existing
plans. The availability of detailed procedural guidelines, in
conjunction with having a security specialist available to provide
assistance, should greatly enhance compliance with the information
security program's requirements.
Conducting specified minimum computer security awareness
program activities and ensuring attendance by all EPA personnel can
provide an enhanced level of computer security awareness and can
satisfy the goals and objectives of the Computer Security Act
RECOMMENDATIONS:
More extensive security awareness and training will benefit EPA's
information security program. Sensitive installations and systems
need to be certified Agency-wide. Mechanisms must be established
for ensuring that program requirements are complied with
throughout the Agency.
To enhance the computer security education program, it was
recommended that EPA develop the security training packages
suggested by NIST. Upon development of the computer security
awareness briefing materials, EPA will then be able to conduct new
employee and annual security awareness training.
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FY 1991 IRM REVIEW PROGRAM REPORT
INITIATIVES
AND ACTIONS: In response to the review and to improve the Agency's Computer
Security Awareness Program, OIRM developed five computer
security awareness briefing packages tailored to specific audiences
(i.e., SIRMOs, system managers, personal computer [PC] site
coordinators, PC end-users, and mainframe users). Senior
information resource management officials (SIRMOs) and system
managers have already received training on the information security
program. Risk analysis workshops were conducted to provide
instruction on how to perform a risk analysis.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: These studies were important in guiding continued compliance with
the Computer Security Act. The studies evaluated the plans and
programs that the Agency has in place to effectively secure its
computers and the information in those computers. The studies were
also important in ensuring that the Agency has taken adequate
measures to institutionalize an atmosphere which emphasizes the
importance of securing the Agency's information resources.
AGENCY CONTACT
AND PHONE NO.: Steve Hufford, (202) 260-5914
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SECTION II: REVIEW SYNOPSES
AGENCY: EPA
TITLE OF
REVIEW: Superfund Cost Recovery Image Processing System Review
AGENCY REVIEW
NUMBER: 91-11
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [x] END USER COMPUTING
[x] SOFTWARE MANAGEMENT [
[x] INFORMATION MANAGEMENT [x
[x] MAJOR INFORMATION SYSTEMS [
[x] COMPLIANCE WITH PRA §3506 [
SOFTWARE MODERNIZATION
ELECTRONIC FILING
OTHER INFORMATION SYSTEMS
ADP MANAGEMENT
RECORDS MANAGEMENT
INTERNAL CONTROL REVIEW (A-123)
[x] SECURITY/PRIVACY [x
[ ] MAIL MANAGEMENT [
[ ] FINANCIAL (A-127) [ ] SERVICE TO THE CITIZEN
[ ] OTHER
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: The Superfund Cost Recovery Image Processing System (SCRIPS)
is an automated system that captures and stores, on optical disk,
digitized images of cost recovery documents that may be retrieved
and used in cost recovery litigation. The Agency's cost recovery
efforts require the timely compilation of voluminous paper records
used to support judicial proceedings. SCRIPS was designed in
particular to assist the financial management offices in compiling
documentation associated with cost recovery of expenses incurred at
the Superfund sites.
The purpose of this review is to provide an assessment of the
SCRIPS pilot program, which was conducted during FY 1991. The
pilot program provided an opportunity to implement and test
SCRIPS in an actual operational environment using active
Superfund site files.
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FY 1991 IRM REVIEW PROGRAM REPORT
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
This review was conducted by EPA's Superfund Accounting
Branch (SAB), Financial Management Division (FMD). In
assessing the efficiency and effectiveness of the SCRIPS pilot
program, the review determined whether the SCRIPS program
objectives were achieved during the pilot program and evaluated the
overall acceptance of SCRIPS in the user community.
The SCRIPS pilot program was very successful— by FY 1991
year-end, SCRIPS was fully operational in Regions 2, 4, and 7; at
the National Contracts Payment Division in RTP, NC; and in the
Headquarters and Cincinnati Finance Offices. SCRIPS successfully
fulfilled the primary objective of reducing the manual cost recovery
processes in the Regional and special finance offices and providing
faster response times in assembling Superfund cost recovery
packages. Preparation of a cost recovery package now takes several
days, rather than several weeks.
SCRIPS has also achieved the objective of improving financial
management efficiency by reducing paper-based records, thereby
alleviating storage space problems. Using SCRIPS, the financial
management offices can eliminate the active site file cost
documentation which occupies a large amount of storage space.
SCRIPS also supports the Regional enforcement offices by
providing an on-screen feature that allows "blocking out" or
redaction of Confidential Business Information and Privacy Act data
on cost recovery documentation. A large percentage of cost recovery
documents require redaction, and this feature provides enforcement
a more efficient manner in which to allocate its time and resources.
Overall, users have been satisfied with SCRIPS performance and
have enthusiastically participated in generating ideas for system
enhancements. Major hardware and software enhancements have
included a "large document" scanning feature, improved bar code
readers, and higher capacity printers. These enhancements have
produced a system that is much more responsive to the users' needs
by simplifying the storage and retrieval of cost recovery documents.
RECOMMENDATIONS:
With contractor support, SAB will be providing recommendations
on a long-term strategic plan for SCRIPS as new technologies
evolve. These alternatives would make SCRIPS even more
responsive, more cost-effective, and better linked with other EPA
systems, including the Office of Solid Waste and Emergency
Response's image processing initiative for Superfund program
records.
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SECTION II: REVIEW SYNOPSES
INITIATIVES
AND ACTIONS: EPA's major initiatives for the upcoming year include:
• Implement SCRIPS in the remaining Regions; it has been
proposed that SCRIPS be fully operational in all EPA Regional
finance offices by FY 1992 year-end.
• Complete scanning and storing of at least 75% of Agency-wide
cost recovery documentation.
• Complete and implement nationwide an interface between
SCRIPS and the Agency Superfund Cost Organization and
Recovery Enhancement System (SCORES). (SCORES
supersedes the Cost Development Management System (CDMS)
as the Agency's automated system for preparing Superfund
financial reports for litigation/enforcement.) The
SCORES/SCRIPS interface is targeted for Beta testing in Region
5 beginning in October 1991.
• Complete evaluation and analysis of the proposal to decentralize
SCRIPS to the Regional financial management offices.
• Develop standardized Regional SCRIPS operating procedures;
those Regions which have unique requirements or operating
environments may require specific procedures designed only for
that Region.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: Implementing SCRIPS in all Regional offices is critical to FMD's
ability to support the Superfund cost recovery and enforcement
programs in a timely manner. Regional resources for cost recovery
and enforcement are limited, and SCRIPS will permit much more
effective use of those resources by automating redaction and
reconciliation activities and freeing staff from other clerical chores.
AGENCY CONTACT
AND PHONE NO.: Bob Cluck, (202) 260-6890
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FY 1991 IRM REVIEW PROGRAM REPORT
AGENCY: EPA
TITLE OF
REVIEW: Detailed Evaluation of IFMS, EPAYS, and ADCR
AGENCY REVIEW
NUMBER: 91-12
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS [ ] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT [ ] SOFTWARE MODERNIZATION
[x] INFORMATION MANAGEMENT [ ] ELECTRONIC FILING
[x] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[x] FINANCIAL (A-127)
[ ] OTHER
OTHER INFORMATION SYSTEMS
ADP MANAGEMENT
RECORDS MANAGEMENT
INTERNAL CONTROL REVIEW (A-123)
SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW: The Financial Management Division (FMD) is responsible for
ensuring that financial systems meet the requirements of OMB
Circular A-127. At least every three years, the Agency must perform
a detailed review of each financial system. These detailed reviews
encompass transaction testing to ensure that the systems perform the
required transactions accurately.
EPA's official accounting system, the Integrated Financial
Management System (IFMS) was implemented in 1989 and is
continuing to be modified and upgraded to meet Agency and Federal
requirements. The Automated Document Control Register (ADCR)
is used to record the commitments and obligations of current fiscal
year funds while the EPA Payroll-Personnel System (EPAYS)
performs personnel and payroll functions. FMD performed reviews
of each of the three systems to verify that the systems meet Federal
requirements and EPA needs for financial transaction processing.
Each evaluation was conducted in accordance with OMB Circular A-
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SECTION II: REVIEW SYNOPSES
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
127, section IV of the Federal Managers' Financial Integrity Act
(FMFIA), and the Joint Financial Management Improvement
Program (JFMIP) financial system requirements.
Specific areas to be tested were defined in a test plan. The test plan
was developed using A-127 requirements, as well as standards
defined by the JFMIP's Core Financial System Requirements,
Personnel/Payroll System Requirements, and Travel System
Requirements. Testing covered areas such as accounts payable,
accounts receivable, general ledger, budget execution/funds control,
travel, time and attendance processing, leave processing, pay
processing, reporting, and internal controls.
Actual transaction testing involved offices located at EPA
Headquarters. Testing of IFMS and EPAYS transactions was
conducted primarily in the Headquarters Accounting Operations
Branch (HAOB), while ADCR testing was conducted in three
allowance holder offices: Office of the Inspector General, the
Financial Management Division, and the Office of Policy, Planning,
and Evaluation. Samples of transactions were selected from current
and historical transactions from the current fiscal year. These
samples were selected to include a variety of transactions that would
test the various processing functions of the systems. In addition to
transaction testing, interviews were conducted with key personnel in
the responsible offices within FMD and the various offices where
transaction testing was accomplished.
At the conclusion of the review, system-specific reports were
prepared which presented findings and recommended actions to
correct each. The reports are supported by detailed work papers for
each system, containing interview notes as well as documentation of
the transaction testing sample and results.
While the reviews identified several findings that were considered
non-conformances for each of the systems, none of the findings
were classified as material weaknesses. The non-conformance items
are defined as those which do not fully comply with the OMB and
JFMIP requirements. In addition to non-conformances, the reviews
identified several efficiency items. These identify potential areas for
system enhancements, either automated or manual, which would
improve the efficient operation of the systems.
RECOMMENDATIONS:
For each non-conformance or efficiency item, a recommendation for
correcting the problem was presented. Several of the IFMS findings
are areas that will be corrected with new releases of the vendor
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FY 1991 IRM REVIEW PROGRAM REPORT
software which are expected soon. The majority of EPAYS findings
encompassed only limited numbers of transactions and
recommendations involve implementation of minor changes or edit
checks.
INITIATIVES
AND ACTIONS: FMD is developing action plans to address the various findings. In
addition, FMD is proceeding with implementation of IFMS software
upgrades to resolve several of the reported findings. A requirements
analysis of funds management in the Agency is currently being
conducted. Included in this study will be an evaluation of ADCR
capabilities. Results of this study may address some or all of the
findings identified in the ADCR report
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The reviews confirmed that IFMS, EPAYS, and ADCR perform
financial functions for the Agency that are in general conformance
with the Federal requirements as defined by OMB and JFMIP. The
reviews also identified or verified several areas that need attention to
improve the efficient operation of the systems.
AGENCY CONTACT
AND PHONE NO.: Sun Wong, 202-260-9447
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SECTION ii: REVIEW SYNOPSES
AGENCY:
TITLE OF
REVIEW:
AGENCY REVIEW
NUMBER:
EPA
Review of Availability of Services for Independent Verification and
Validation Activities
91-13
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS
[x] SOFTWARE MANAGEMENT
[ ] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[ ] FINANCIAL (A-127)
[ ] OTHER
[ ] END USER COMPUTING
[ ] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[ ] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A-123)
[ ] SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
To determine whether system managers in the Office of Solid Waste
and Emergency Response (OSWER) have adequate access to the
expertise needed to conduct independent verification and validation
(TV&V) activities for their applications.
This informal review was conducted by the OSWER Senior
Information Resource Management Official (SIRMO). It was based
on extensive personal knowledge of OSWER application
development projects and discussions with various system
managers.
The SIRMO concluded OSWER system managers were aware of the
need to conduct independent verification and validation activities
throughout the system life-cycle. However, they often had problems
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FY 1991 IRM REVIEW PROGRAM REPORT
obtaining the independent expertise required. In general, in-house
support was rarely available and obtaining qualified contractor
support was a lengthy and resource-intensive process.
RECOMMENDATIONS:
The SIRMO recommended the Information Management staff, an
Assistant Administrator-level organization charged with policy
development and oversight, obtain a mission contract for
independent verification and validation support
INITIATIVES
AND ACTIONS: Contractor support was obtained and an IV&V methodology
developed. The methodology covers IV&V strategy formation,
project planning, IV&V execution planning, execution, and post-
project evaluation. It requires that system managers work closely
with the IV&V contractor to clearly define the goals, scope, life-
cycle phases, products, quality factors, and acceptance criteria for
each IV&V project. It also discusses the various automated and
manual tools and techniques which will be employed to carry out the
various verification and validation reviews, inspections, and tests.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: Readily available support is now available to OSWER application
system managers. In addition, OSWER management can now be
assured that they are obtaining objective, consistent, thorough
verification and validation of the organization's application systems.
AGENCY CONTACT
AND PHONE NO.: Asa R. Frost, Jr. (202) 260-6760
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SECTION II: REVIEW SYNOPSES
AGENCY:
TITLE OF
REVIEW:
EPA
Review of the CLEANUP Information Bulletin Board System
AGENCY REVIEW
NUMBER: 91-14
REVIEW CATEGORIES
[x] TELECOMMUNICATIONS
[ ] SOFTWARE MANAGEMENT
[x] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[ ] SECURITY/PRIVACY
[ ] MAE. MANAGEMENT
[ ] FINANCIAL (A-127)
[ ] OTHER
[x] END USER COMPUTING
[ ] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[ ] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A-123)
[x] SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
To determine whether the CLEANUP Information (CLU-IN)
bulletin board system, developed by the Office of Solid Waste and
Emergency Response (OSWER), is providing effective and efficient
support for the transfer of technical information within the
hazardous waste clean-up community.
The review was conducted by OSWER. It covered the current status
of, and future plans for, CLU-IN in light of current and future
requirements. The review addressed planning, control, funding, and
contracting issues, as well as CLU-IN's functional capabilities,
performance, and user support services. The review team conducted
interviews with management, surveyed the user community, and
performed extensive hands-on testing of the software and inspection
of user and technical documentation.
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FY 1991 IRM REVIEW PROGRAM REPORT
PRIMARY
FINDINGS: The review concluded that the management and operation of CLU-
IN was satisfactorily meeting most current and expected
requirements, and that the bulletin board filled an important technical
communications niche. However, the review also found that CLU-
EN was not fulfilling its entire potential.
RECOMMENDATIONS:
The following recommendations were presented for management
consideration:
• Continue efforts to expand the user community.
• Continue efforts to improve telecommunications access.
• Make minor improvements to functionality and "user
friendliness."
• Broaden the scope and timeliness of data content.
• Provide more training opportunities.
INITIATIVES
AND ACTIONS: Several of the recommendations supported the continuation of
actions already underway. The other recommendations are currently
under management consideration.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: The review provided reassurance to management that bulletin board
technology can support the transfer of technology information, and
that this important resource was managed satisfactorily.
AGENCY CONTACT
AND PHONE NO.: Asa R. Frost, Jr. (202) 260-6760
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SECTION II: REVIEW SYNOPSES
AGENCY:
TITLE OF
REVIEW:
AGENCY REVIEW
NUMBER:
EPA
Review of Information Security Needs in OSWER Life-Cycle
Guidance
91-15
REVIEW CATEGORIES
[ ] TELECOMMUNICATIONS
[ ] SOFTWARE MANAGEMENT
[x] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[x] SECURITY/PRIVACY
[ ] MAIL MANAGEMENT
[ ] FINANCIAL (A-127)
[ ] OTHER
END USER COMPUTING
SOFTWARE MODERNIZATION
ELECTRONIC FILING
OTHER INFORMATION SYSTEMS
ADP MANAGEMENT
RECORDS MANAGEMENT
INTERNAL CONTROL REVIEW (A-123)
SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
To determine whether additional guidance is needed to ensure the
integrity, availability, confidentiality, and appropriate use of Office
of Solid Waste and Emergency Response (OSWER) applications
system resources.
This informal review was conducted by the OSWER Senior
Information Resource Management Official (SIRMO). It was based
on extensive personal knowledge of OSWER application
development projects, on-going applications system operations, and
Federal and EPA information security policy and guidelines.
The SIRMO concluded that OSWER application system managers
did not have ready access to guidance which specifically integrated
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FY 1991 IRM REVIEW PROGRAM REPORT
Federal oversight and EPA security requirements with existing
OSWER system life-cycle management guidance.
•
RECOMMENDATIONS:
The SIRMO recommended the Information Management staff, an
Assistant Administrator-level organization charged with policy
development and oversight, develop security management guidance
to supplement OSWER's directive on system life-cycle
management
INITIATIVES
AND ACTIONS: The Information Management staff developed comprehensive
guidance for application system managers which describes security
management objectives, decisions, and activities at every OSWER
application system life-cycle phase and stage. The guidance ensures
compliance with Federal oversight agency and EPA policies, as well
as the implementation of cost-effective security measures throughout
the life-cycle.
MAJOR BENEFITS
& ACHIEVEMENTS
OF THE REVIEW: OSWER application system managers will have access to this
guidance early in FY 1992. OSWER management will be assured of
a consistent, effective approach to security management which
complies with all oversight requirements.
AGENCY CONTACT
AND PHONE NO.: Asa R. Frost, Jr. (202) 260-6760
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SECTION II: REVIEW SYNOPSES
AGENCY:
TITLE OF
REVIEW:
EPA
Summary of Telecommunications Accomplishments
AGENCY REVIEW
NUMBER: 91-16
REVIEW CATEGORIES
[x] TELECOMMUNICATIONS
[ ] SOFTWARE MANAGEMENT
[ ] INFORMATION MANAGEMENT
[ ] MAJOR INFORMATION SYSTEMS
[x] COMPLIANCE WITH PRA §3506
[x] SECURITY/PRIVACY
[x] MAE, MANAGEMENT
[ ] FINANCIAL (A-127)
[ ] OTHER
[ ] END USER COMPUTING
[ ] SOFTWARE MODERNIZATION
[ ] ELECTRONIC FILING
[ ] OTHER INFORMATION SYSTEMS
[x] ADP MANAGEMENT
[ ] RECORDS MANAGEMENT
[ ] INTERNAL CONTROL REVIEW (A-123)
[ ] SERVICE TO THE CITIZEN
REVIEW SYNOPSIS
NOTE:
ACHIEVEMENTS:
While 91-16 is not a typical review, on the order of the other reviews
encapsulated in this section, this year's telecommunications accomplishments
are of sufficient importance to the Agency's operations that they shall be
mentioned here.
EPA's National Data Processing Division (NDPD) had the
following telecommunications accomplishments in FY 1991:
National Network Backbone Upgrade:
During FY 1991, EPA positioned its national network configuration
and operations for substantial performance improvements and
savings in mid- and long-term telecommunications costs through a
major backbone upgrade, allowing direct in-house access to Agency
central computing systems and electronic mail. A limited extension
of the existing contract with Tymnet supports access from overseas
and other remote locations. Over 90 percent of Agency transactions
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FY 1991 IRM REVIEW PROGRAM REPORT
are handled by the newly expanded and significantly enhanced
national network. In addition to all major EPA sites, each State has
been provided with a "point of presence" from its designated central
computing facility to EPA's National Computer Center (NCC) in
Research Triangle Park (RTP), NC.
National Video Teleconferencing Implementation:
During FY 1991, NDPD implemented a nationwide EPA video
teleconferencing network that includes dedicated video facilities at
Agency Headquarters, Research Triangle Park, NC, all ten Regional
Offices, all major laboratories, and the National Enforcement
Investigations Center in Denver, CO. The sites are connected
through the Compressed Video Teleconferencing Service (C-VTS)
on FTS2000 System A. The only Agency video teleconferencing
rooms that were not operational at the end of FY 1991 were those in
Regions 1 (Boston, MA), 3 (Philadelphia, PA), 6 (Dallas, TX), and
7 (Kansas City, KS) and NEIC. These sites, however, will be
operational by the end of calendar year 1991. The implementation of
this the video teleconferencing service has provided significant
benefits to the Agency. It has allowed geographically diverse
personnel to participate in meetings of mutual interest without the
usually high associated travel costs. To better serve its customers,
the Telecommunications Branch began development in FY 1991 of a
video teleconferencing user manual to be distributed throughout the
Agency in FY 1992.
National Electronic Messaging System Conversion:
In August 1991, EPA convened to Digital Equipment Corporation's
(DEC's) ALL-IN-1 as its nationwide electronic messaging system.
ALL-IN-1, a well-established and widely used product, was
installed on a dedicated DEC VAX computer at EPA National
Computer Center (NCC) in Research Triangle Park, NC. NDPD
provided extensive system testing, user training, PC script file
conversion, and user notification during the transition to ALL-IN-1
from Agency's previous nationwide electronic messaging system,
Dialcom.
Audio Teleconferencing System Expansion:
In August 1991, the Telecommunications Branch added 50 ports to
the Agency's MultiLink audio teleconferencing system at the WTC
to support EPA's growing conference calling requirements. In FY
1991, EPA's Audio Teleconferencing Center supported over 6,400
conference calls on its multipoint bridges. Also during the year, the
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SECTION II: REVIEW SYNOPSES
Telecommunications Branch developed an audio teleconferencing
user manual to be distributed throughout the Agency in early FY
1992.
Secure Telecommunications Center Operations:
EPA's Secure Telecommunications Center (STCC), located in
Waterside Mall, successfully completed its first full year of
operations in FY 1991. The Center provides secure facsimile and
messaging services, both domestic and international, to authorized
Agency personnel. During the fiscal year, the Center received and
distributed to selected program offices over 28,060 Department of
State (DOS) cables.
Transportable Terminal Implementations:
The Telecommunications Branch in FY 1991 put into operation five
International Maritime Satellite (INMARSAT) transportable
terminals for alternative communications support of Emergency
Response programs in Region 4 and 6. These terminals are also
available for use by Agency personnel anywhere in the U.S. and
abroad.
Local Area Network (LAN) Implementations:
Local area networks (LANs) have become an integral part of the
Agency communications strategy. Each major EPA site
(Headquarters, Regional Offices, research facilities) has been
configured as a campus network around a "backbone" local
transmission facility. At EPA Headquarters in FY 1991, the
Telecommunications Branch installed LANs serving more than
1,000 users in many program offices.
Services common to all campus LANs are being consolidated to one
national system for information resource sharing: Value-Added
Backbone Services (VABS). During FY 1991, EPA Headquarters,
all ten Regional Offices, the Cincinnati and RTP nodes, and the
National Enforcement Investigations Center (Denver) were all
furnished with VABS servers. Installation of this new system,
completed in September, provides a platform for low-maintenance
national applications distribution and for centrally managed LAN
administration.
The Agency's National Locator was recently installed as the first
national VABS application. At the end of FY 1991, the National
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FY 1991 IRM REVIEW PROGRAM REPORT
Locator database neared completion. The database will contain a
directory of 95 percent of Agency personnel nationwide.
Washington Interagency Telecommunications System (WITS)
Cutover:
The Telecommunications Branch oversaw the successful cutover in
August 1991 of more than 9,000 EPA telephone lines at Waterside
Mall (WSM) and the Fairchild Building to the new Washington
Interagency Telecommunications System (WITS) dial-tone service.
This radical restructuring of the Agency's telecommunications
infrastructure took place with no significant disruption in service.
C&P Telephone provides WITS service to EPA and other Federal
agencies under a GSA contract At cutover, all WSM and Fairchild
phone numbers were changed to a new "260" prefix. Cutover of
EPA's Crystal Station 1 and Crystal Mall offices to WITS is
scheduled for the first quarter of FY 1992.
Headquarters Voice Messaging System Implementation:
In November 1990, the Telecommunications Branch oversaw
implementation of an Octel ASPEN voice mail system at the
Washington Information Center (WIC). By the end of FY 1991,
Telecommunications had provided voice mailboxes and training to
approximately 2,500 users at Waterside Mall, Fairchild Building,
and Crystal Station 1. Custom voice-messaging applications had
also been created for some Headquarters program offices. A
chargeback and billing system was established to recover system
costs from program offices. In a survey conducted in the last quarter
of FY 1991, users reported overwhelmingly favorable opinions of
the voice messaging service. •
In FY 1992, other Headquarters sites will be cut over to the ASPEN
service, including Crystal Mall 2, the CWA Building (501 3rd
Street, NW), and swing spaces. Telecommunications also plans to
enhance the service with additional software features, such as
integrated facsimile and interactive voice response.
Headquarters Integrated Services Digital Network (ISDN)
Implementation:
In FY 1991, the Telecommunications Branch began planning and
testing for the implementation of Integrated Services Digital
Network (ISDN) enhanced voice and some data services at
Headquarters. An ISDN testing facility was established in the
Agency's Washington Telecommunications Center (WTC). In
II - 61
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SECTION ii: REVIEW SYNOPSES
addition, the Agency awarded a contract to Bell Atlantic Federal
Systems for AT&T ISDN voice terminals, network termination
equipment, and power supplies. In FY 1992, the
Telecommunications Branch will oversee implementation of ISDN
terminals and lines over 1,000 users at various Headquarters
program offices.
Headquarters Telephone Directories Publication:
During FY 1991, the Telecommunications Branch published two
EPA Headquarters telephone directories: the Autumn 1990 edition in
October 1990 and the WITS Edition in August 1991.
Washington Telecommunications Center Implementation:
EPA's Washington Telecommunications Center (WTQ opened in
January 1991. The WTC provides a consolidated facility for
Headquarters telecommunications management, analysts,
operational, and technical personnel. The WTC includes the Audio
Teleconferencing Center, Unclassified Communications Center,
Telecommunications Help Desk, ISDN Testing Laboratory, user
and technical training facilities, and a technical library.
MAJOR BENEFITS
OF THE
ACHIEVEMENTS:
The benefit of these achievements is that they seek to ensure that the
Agency has access to the best available technology to assist the
Agency while accomplishing its mission of protecting the
environment
AGENCY CONTACT
AND PHONE NO.: David Bittenbender, (919) 541-0849
II - 62
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section HI: PRA §3506 Compliance
Addressing the requirements of Section 3506 of the Paperwork Re-
duction Act is a central part of the EPA IRM program. Rather than
developing a single IRM review to evaluate §3506 compliance, the
Agency made compliance evaluation an integral part of the overall
review process by weaving it into many different reviews completed
during FY 1991. By evaluating compliance in terms of a set of re-
views that are also designed to assess progress in achieving gov-
ernment-wide and Agency-specific priorities, EPA obtained a more
concrete picture of its status vis-a-vis §3506.
Agency compliance with §3506 is described in detail in the sec-
tions that follow. The discussion follows the overall organization of
§3506, as documented in Table 2, dealing with each of the require-
ments sequentially. The synopses for the reviews referenced in this
Section were contained in Section II.
§3506 (a): Effective, Efficient Information
Management Activities; Compliance with
Information Policies, Principles, Standards,
and Guidelines Prescribed by the Director
Several of the reviews focused on evaluating the effectiveness of
information management activities. The Analysis of Computer Se-
curity Awareness Program and Information Security Program Re-
quirements and the Review of Information Security Needs in
OSWER Life-Cycle Guidance evaluated the Agency's information
security program and the guidance available to it In the records
management area, the review program included a comprehensive
group of reviews: Information Collection Review — Improvements
to the Hazardous Waste Manifest System, Review of Superfund
Document Management Initiatives, and Review of the Integrated
Administrative System Concept.
Several reviews dealt with the important information manage-
ment activity of end-user computing: Information Collection Review
—Improvements to the Hazardous Waste Manifest System, Review
of the Integrated Administrative System Concept, Review of the
Modernization of FINDS, Review Public Access Program Needs,
Review of Strategic Architectural Issues, Review of the Moderniza-
tion of STORET, and the Review of the CLEANUP Information
Bulletin Board. The Review of the Integrated Administrative System
Concept and the Review of Availability of
III - 1
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SECTION III: PRA §3506 COMPLIANCE
Table 2.
PAPERWORK REDUCTION ACT §3056
Federal agency responsibilities
(a) Each agency shall be responsible for carrying
out its information management activities in an
efficient, effective, and economical manner, and for
complying with the information policies,
principles, standards, and guidelines prescribed by
the Director.
(b) The head of each agency shall designate,
within three months after the effective date of this
Act, a senior official or, in case of military
departments, and the Office of the Secretary of
Defense, officials who report directly to such
agency head to carry out the responsibilities of the
agency under this chapter. If more than one official
is appointed for the military departments the
respective duties of the officials shall be clearly
(c) Each agency shall —
(1) systematically inventory its major
information systems and periodically review its
information management activities;
(2) ensure its information systems do not
overlap each other or duplicate the systems of
other agencies;
(3) develop procedures for assessing the
paperwork and reporting burden of proposed
legislation affecting such agency;
(4) assign to the official designated under
subsection (b) the responsibility for the conduct
of and accountability for any acquisitions made
pursuant to a delegation of authority under
section 1 1 1 of the Federal Property and
Administrative Services Act of 1949 (40 U.S.C.
759);
(5) ensure that information collection requests
required by law or to obtain a benefit, and
submitted to nine or fewer persons, contain a
statement to inform the person receiving the
request that the request is not subject to the
requirements of section 3507 of this chapter;
(6) implement applicable Government-wide and
agency information policies, principles,
standards, and guidelines with respect to
information collection, paperwork reduction,
statistical activities, records management
activities, privacy and security of records, sharing
and dissemination of information, acquisition and
use of information technology, and other
information resources management functions;
(7) periodically evaluate and, as needed,
improve, the accuracy, completeness, and
reliability of data and records contained within
Federal information systems; and
(8) develop and annually revise a 5-year plan,
in accordance with appropriate guidance provided
by the Director, for meeting the agency's
information technology needs.
(d) The head of each agency shall establish such
procedures as necessary to ensure the compliance of
the agency with the requirements of the Federal
Information Locator System, including necessary
screening and compliance activities.
(Added Pub. L. 96-511, § 2(a), Dec. 11,1980,94
Stat. 2819.)
(As amended Pub. L. 99-500, § 101(m) [title VHI,
§ 816], Oct. 18, 1986,100 Stat. 1783-308.1883-
338, and Pub. L. 99-591, § 10l(m) [title VHI, §
816], Oct. 30.1986, 100 StaL 3341-308, 3341-
338.)
REFERENCES IN TEXT
The effective date of this Act, referred to in subsec. (b),
is Apr. 1. 1981. See section 5 of Pub. L. 96-511. set
out as an Effective Date note under section 3501 of
this title.
CODIFICATION
Pub. L. 99-591 is a corrected version of Pub. L. 99-
500.
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FY 1991 IRM REVIEW PROGRAM REPORT
Services for Independent Verification and Validation Activities ad-
dressed the software development process, and the Review Public
Access Program Needs focused on legislated provisions of making
information available to the public.
Several reviews were also designed to assess whether or not the
Agency is using its information resources efficiently and cost effec-
tively. These included the Review of Superfund Document Man-
agement Initiatives, Review of the Integrated Administrative System
Concept, Review of the Modernization ofSTORET, Locational Ac-
curacy Task Force Review, Superfund Cost Recovery Image Pro-
cessing System Review, and Detailed Evaluation oflFMS, EPAYS,
andADCR.
When these reviews identified opportunities for improvement,
appropriate actions were and are being taken. To incorporate OMB
guidance into EPA IRM operations, the Agency has established core
IRM policies in its EPA IRM Policy Manual.
§3506 (b): Senior Official to Carry Out
Agency Responsibilities
The delineation of responsibilities between the Assistant Admin-
istrator for OPPE and the Director of OIRM in carrying out the re-
sponsibilities of the Act was explained in Background section.
§3506 (c): Specific Required Activities
Eight IRM-related activities are mandated under the 1986 reau-
thorization of §3506. Those requirements and the EPA IRM activi-
ties addressing them are listed below.
$3506 (c) (1): Inventory Major Information
Systems; Periodically Review Information
Resources Management Activities
The Agency has developed an inventory of its major information
systems. EPA's Information System Inventory (ISI) contains in-
formation on roughly 500 of the Agency's current information sys-
tems, as well as some models and databases. It is the definitive
source of summary information about EPA systems. The ISI, which
is available in hardcopy and automated forms, was developed to en-
hance the Agency's ability to track major information systems and
III - 3
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SECTION III: PRA §3506 COMPLIANCE
share information across media and program boundaries. The ISI
serves to:
• Increase users' awareness of existing Agency information sys-
tems
• Reduce duplicative information system development and data
collection efforts
• Improve EPA's coordination of information system development
• Provide EPA with the ability to effectively respond to informa-
tion requests about Agency information systems.
This document was distributed widely throughout the Agency. It has
also been made available to contractors through their EPA clients
and other parties through the National Technical Information Ser-
vice.
During the past year, the Agency developed another useful refer-
ence guide, Access EPA, which is a series of directories which im-
prove access to environmental information services. Each directory
provides contact information and a description of the collections and
services provided. The directories are maintained by EPA OERM and
are available through the Government Printing Office and the Na-
tional Technical Information Service. The tides include: Public In-
formation Tools, Major EPA Dockets, Clearinghouses and Hotlines,
Major EPA Environmental Databases, Library and Information Ser-
vices, State Environmental Libraries, and Records Management
Programs.
To periodically review information resources management ac-
tivities, the Agency has fully implemented the Federal ERM Review
Program, which is coordinated by the Information Management and
Services Division of OIRM.
§3506 (c) (2): Information System Overlap
Because of the uniqueness of the Agency's mission in adminis-
tering the Federal environmental statutes, duplication or overlap with
the systems of other agencies is less an issue than duplication or
overlap with the systems of State environmental authorities. The
Review of the Integrated Administrative System Concept assessed
the potential redundancies among the Agency's administrative sys-
tems.
Ill - 4
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FY 1991 IRM REVIEW PROGRAM REPORT
§3506 (c) (3): Paperwork and Reporting Burden
EPA has developed procedures for assessing the paperwork and
reporting burden of proposed legislation affecting the Agency. The
Information Collection Review — Improvements to the Hazardous
Waste Manifest System sought to reduce the paperwork burden on
the regulated community by standardizing the manifests required for
the movement of hazardous materials.
§3506 (c) (4): Accountability for Acquisitions
The Director of OIRM has been assigned the responsibility for
acquisitions made pursuant to a delegation of authority from GSA.
Accountability for PCs is maintained through the PC planning pro-
cess where acquisitions are formally approved and tracked. OIRM
coordinates closely with the National Data Processing Division, the
Procurement and Contracts Management Division, and the Facilities
Management Division to ensure accountability for acquisitions.
§3506 (c) (5): Information Collection Requests
EPA has established a process to ensure that small information
collection requests (to nine or fewer persons) contain a statement to
inform the person receiving the request that the request is not subject
to the requirements of §3506 of the ACL
§3506 (c) (6): Implementation of Applicable
Information Policies, Standards, and Guidelines
§3506 also requires agencies to implement applicable informa-
tion policies, standards, and guidelines with respect to certain areas,
including information collection, records management, security, pri-
vacy, and information sharing. As explained earlier, to incorporate
applicable IRM guidance into Agency operations, EPA has estab-
lished core IRM policies in its EPA IRM Policy Manual. The review
program was then used to assess Agency progress in implementing
those policies. (See State/EPA Data Management Review, Review
of Superfund Document Management Initiatives, Review of the
Modernization ofSTORET, Locational Accuracy Task Force Re-
view, Analysis of Computer Security Awareness Program and In-
formation Security Program Requirements, Superfund Cost Recov-
ery Image Processing System Review, Review of Availability of
Services for Independent Verification and Validation Activities, Re-
view of Information Security Needs in OSWER Life-Cycle Guid-
ance, and Summary of Telecommunications Accomplishments.)
Ill - 5
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SECTION III: PRA §3506 COMPLIANCE
§3506 (c) (7): Accuracy, Completeness, and
Reliability
The Review ofSuperfund Document Management Initiatives,
Review of the Integrated Administrative System Concept, and Re-
view of the Modernization of FINDS dealt with the accuracy, com-
pleteness and reliability of data and records contained within Agency
systems for Superfund records, administration, and facilities, re-
spectively. They also resulted in actions to correct the perceived de-
ficiencies.
§3506 (c) (8): Five-Year Plan
In the mid-1980s, the Agency developed and began to imple-
ment a five-year ADP modernization plan. The Agency has now de-
veloped a new five-year plan for meeting its information technology
needs, entitled IRM Strategic Plan (1991-1995). As discussed in
detail in the background section, the strategic goals identified in this
plan were:
1. Establish data integration tools and activities.
2. Create and manage information systems supporting the envi-
ronmental community.
3. Establish a program to promote information sharing.
4. Renew EPA's technology base to provide increased functionality
and/or to reduce costs.
5. Manage a data administration program to ensure the Agency's
ability to use its data fully.
6. Enhance productivity through the educated use of technology.
7. Improve planning and communication to ensure effective de-
ployment of information and technology.
8. Provide quality service with proactive leadership as custodians
of EPA information and systems.
Ill - 6
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FY 1991 IRM REVIEW PROGRAM REPORT
[3506 (d): Federal Information Locator
System
The Agency has policies for complying with the requirements of the
Federal Information Locator System.
Ill -7
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section iv: Major Information Systems
Annual Report on Major Information Systems
• SCRIPS — Superfund Cost Recovery Image Processing
System
Initial Major Information System Reports
• AIRS — Aerometric Information Retrieval System
CERCLIS — Comprehensive Environmental Response,
Compensation and Liability Information
System
• EPAYS — EPA Payroll-Personnel System
• GICS — Grants Information and Control System
• IFMS — Integrated Financial Management System
• PCS — Permit Compliance System
RCRIS — Resource Conservation and Recovery
Information System
STORET — Storage and Retrieval of Water Quality
Information System
TRIS — Toxic Chemical Release Inventory System
IV - 1
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
ANNUAL REPORT ON MAJOR INFORMATION SYSTEMS
SYSTEM NAME: Superfund Cost Recovery Image Processing System
(SCRIPS)
REPORT DATE: October 1991
-flu*: OJL
Signature of Agency Official
Robert Cluck
Name (please print or type)
Chief. Prog. Dev. & Implementation Section. FMD
Title
JO/3I
Date
IV - 2
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Annual Report on Major Information Systems
System Name: Superfund Cost Recovery Image Processing System (SCRIPS)
Report Date: October 1991
ACCOMPLISHMENTS:
SCRIPS was fully operational in the following EPA locations during FY 1991:
RTP, NC 12/90
Headquarters 12/90-1/91
Region 4, Atlanta 2/91
Cincinnati 3/91
Region 2, New York 4/91
Region 7, Kansas City 6/91
PROGRAM COSTS:
All costs expressed in $ 1,000s
In-House Work
Years Support Equipment and Contractor
FY 1991 (Actual):
Proj. Mgr. 1.0
FMD 3.0
ASD 2.0
NDPD
Total 7.0 Total: $2,155
FY 1992 (Projected):
FMD 3.0
ASD 1.0
NDPD
Total 5.0 Total: $1,655
REVIEW RESULTS:
SCRIPS was reviewed this year. The results are included as review synopsis 91-11.
IV - 3
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u-s- ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Aerometric Information Retrieval System
BASELINE DATE: October 1991
Signature of Agency Official
John Bosch
Date
IV - 4
Name (please print or type)
Chief. National Air Data Branch
Title
to i ?' /' l(
' -
-------
Initial Major Information System Report
System Name: Aerometric Information Retrieval System
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
AIRS is EPA's national repository for ambient air concentration and point-source emission data
within the United States. This system stores data from more than 10,000 ambient air quality
monitors and 50,000 plants. On-line access is provided to State and local governments.
AIRS is comprised of four subsystems: Air Quality (AQS), Facility (AFS), Area/Mobile Sources
(AMS) and Geo-Common (GCS). The system is installed on the IBM mainframe system at EPA's
National Computer Center. It is administered by the Office of Air Quality Planning and Standards
in Durham, North Carolina.
PROGRAM OBJECTIVES:
The AIRS data management program directly supports the air data needs of EPA and of State
agencies to meet requirements of Tide I, m, V and Vn of the 1990 Clean Air Act. Data are
collected from all 50 States. Monitoring is required for the criteria pollutants based on such factors
as population, pollutant sources, and geographic area. Point sources emitting more than 100 tons
per year of any criteria pollutant (except 5 tons per year for lead and 1000 tons per year for carbon
monoxide) must report actual or estimated annual emissions data. AIRS is one of the major
systems integral to the State/EPA Data Management Program. AIRS provides States the ability to
directly retrieve data, a feature which has contributed to improved timeliness and quality of the data
in the system and which, in turn, has supported'improved environmental analysis and decision-
making.
PROGRAM MILESTONES/SCHEDULE:
Air Quality Subsystem (AQS)
Begin Basic System 1/84
Complete Basic System 7/87
Complete Precision and Accuracy Module 9/91
Facility Subsystem (AFS)
Begin Basic System 3/86
Complete Basic System 4/90
Begin Major Clean Air Act Enhancements 12/90
PC Modules
Complete Point Source PC 6/90
Complete Area and Mobile Source PC 10/91
Area and Mobile Source Subsystem (AMS)
Begin Basic Subsystem 10/91
Complete Basic Subsystem 6/92
Complete Expanded Version 10/93
IV - 5
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Initial Major Information System Report
System Name: Aerometric Information Retrieval System
Baseline Date: October 1991
Permits Modules
Begin 10/91
Complete 12/94
PROGRAM COSTS:
All costs expressed in $ 1,000s
Authorized Authorized
Year Positions Contract pudding
FY1988 18 $790
FY1989 18 $1,342
FY 1990 18 $2,126
FY 1991 20 $2,650
FY 1992 21 $3,350
SCHEDULE FOR REVIEW:
This system is scheduled for review in FY 1992.
IV - 6
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Comprehensive Environmental Response.
Compensation and Liability Information System
(CERCLIS) .
BASELINE DATE: October 1991
Signature of~Agei$ey Official
Michael T. Cullen
Name (please print or type)
Director. Mgmt & Systems Development Staff
Title
IP I 3/ /
Date ' f
IV - 7
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Initial Major Information System Report
System Name: Comprehensive' Environmental Response. Compensation and
Liability Information System
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
CERCLIS is the Superfund database which contains information on all aspects of hazardous
waste, from initial discovery to listing on the National Priorities List. This system is used to
support management of all phases of the Supeifund Program. CERCLIS was initially developed as
a mainframe application. WASTELAN is a PC-LAN version of the CERCLIS database used by
Regional offices for data input and local analysis needs.
PROGRAM OBJECTIVES:
This system supports EPA Headquarters and Regions for the management and oversight of the
Superfund Program. The Superfund Program, with authority from the Comprehensive
Environmental Response, Comprehensive and Liability Act (CERCLA) of 1980 as amended by the
Superfund Amendments and Reauthorization Act (SARA) of 1986, established a comprehensive
framework to protect public health and welfare and the environment from the adverse effects of
hazardous waste sites. This program seeks to monitor and control the manufacture, use,
transportation, disposal and management of hazardous waste by enforcing CERCLA and SARA.
CERCLIS has two purposes: maintain an automated inventory of abandoned, inactive, or
uncontrolled hazardous waste sites and act as a vehicle for regions to report to Headquarters the
status of major stages of site clean-up. The system provides a decentralized national system where
each region controls and enters its respective data on regional systems.
PROGRAM MILESTONES/SCHEDULE:
1984-1985 — The following steps were initiated:
• Formed the Information Management Task Group
• Formed the Management Advisory Committee
• Assessed integrated (removal, enforcement, remedial) program management information
needs
• Assessed Regional project management information needs
• Proposed a "New CERCLIS"
The "New CERCLIS" concept:
• Limited number of nationally required data elements with flexibility for additional Regional
and State elements
• Designed to meet integrated remedial, enforcement, and removal requirements
• Central source of data for planning and measuring program accomplishments (SCAP,
SPMS, SPR)
• Regional data collection, entry, and QA/QC
• Flexibility of using micro- and mini-computer, as well as mainframe for data entry
• Ability to generate standard and ad hoc reports
• Use of real-time project management capabilities
IV - 8
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Initial Major Information System Report
System Name: Comprehensive Environmental Response. Compensation and
Liability Information System
Baseline Date: October 1991
1985-1987 — Major CERCLIS activities:
Requirements and systems concept
Definition and design
Development/programming
Implementation/testing/training
Parallel operations with existing systems and processes
CERCLIS established as official Superfund management data source on October 30,1986
1987-1990 — Development/Implementation of WasteLAN and CleanLAN:
WasteLAN is CERCLIS designed for Regional use. Each Region's version contains only
CERCLIS sites under its jurisdiction. WasteLAN is a two-way communication tool between
the Regions and CERLIS; there is no inter-Regional data sharing. CleanLAN is a WasteLAN
clone for the U.S. Army Corps of Engineers.
Each Region developed an action plan
System management infrastructure established
Regional requirements analysis/data flow
Documentation and training
Parallel operations with existing systems and processes
System evaluation
WasteLAN/CleanLAN established as Regional database upon completion of the Region's
action plan
1991-1992 — CERCLIS/WasteLAN/CleanLAN Enhancements/Parallel Operations
• Database manager other than System 2000
• Long-range study of relationships of CERCLIS to State and Federal agencies
PROGRAM COSTS:
In-house Contract
Year Costs Costs*
FY1988 5.0 $1,600
FY1989 4.0 $1,300
FY 1990 3.5 $2,600
FY 1991 3.5 $2,600
FY 1992 3.5 $2,300
* Expressed in $ 1,000s
SCHEDULE FOR REVIEW:
Every year, CERCLIS data quality is audited by the Inspector General.
IV - 9
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M street' sw
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: EPA Pavroll-Personnel System (EPAYS)
BASELINE DATE: October 1991
Ignatiire of Agency Official
.1. Michael Whitacre
Name (please print or type)
Chief. Financial Systems Branch (OARM)
Title
OCT 31
Date
IV - 10
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Initial Major Information System Report
System Name: EPA Payroll-Personnel System REPAYS)
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
The EPA Payroll-Personnel System (EPA YS) provides prompt and accurate payroll and personnel
services for approximately 19,000 EPA employees and about 700 employees for the Interstate
Commerce Commission. Time and attendance data is collected from 23 sites throughout the
country and other payroll and personnel data is collected from 14 sites. Data collection is
accomplished through the use of the on-line Time and Attendance Payroll and Personnel (TAPP)
subsystem. EPAYS data is processed using PL/1 software, and each of the datasets within the
system are RACF (Resource Access Control Facility)-protected because of the sensitive nature of
the data. An on-line menu driven ad hoc report retrieval subsystem, based on the fourth generation
software FOCUS, provides the capability to easily create both pre-formatted and customized
reports.
The EPAYS/TAPP/FOCyS software is based on an IBM 9000 mainframe that is equipped with
bulk data transfer capabilities to quickly move large volumes of data between sites. An off-site
IBM logical mainframe serves as the backup to the primary computer, and disaster processing
scenarios are fully tested several times a year.
PROGRAM OBJECTIVES:
The Office of Management and Budget (OMB) through its Reform 88 initiative has mandated an
overall reduction in the number of payroll-personnel systems in use throughout civilian agencies.
EPAYS has been confirmed as an integrated system that meets all of the OMB core requirements
for Federal payroll-personnel system, and it includes state-of-the-art features that are among the
best in the Federal sector.
The broad Agency objective for EPAYS is to maintain a strict commitment to excellence by
constantly evaluating the system's efficiency and effectiveness to ensure continued peak
performance. It is the Agency's goal to expand the employee base that is currently being serviced
through cross-servicing arrangements with other agencies. The expansion of the EPAYS employee
base will ensure the continued existence of the system and EPA's control over the important
function of providing payroll-personnel services to its own employees.
PROGRAM MILESTONES/SCHEDULE:
There are constant demands from the Agency's user community and various regulatory agencies to
enhance and improve the utility of the system. Recent enhancements include the following:
• Electronic retirement and insurance reporting procedures
• Automated pay recalculation for up to 27 pay periods
• Automated cash awards procedures
• On-the-spot-cash awards
• Laser printed form W-2s
• Leave bank program.
IV - 11
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Initial Major Information System Report
System Name: EPA Payroll-Personnel System (EPAYS1
Baseline Date: October 1991
Planned enhancements to the system include the following:
• Laser printed time and attendance document
• Improved disaster recovery processing
• Master file expansion to allow 9 digit zip-codes
• Automated employer tax reporting procedures
• Implementation of 1990 pay reform procedures.
PROGRAM COSTS:
The cost of operating EPAYS/TAPP/FOCUS include salary expenses for EPA staff, the cost of
contractor support, and the cost of computer operations. The summary of the cost of operating
EPAYS/TAPP/FOCUS from FY 1987 through FY 1991 is detailed below:
All costs expressed in $ 1,000s.
FY1987 FY1988 FY 1989 FY 1990 FY 1991
EPA Personnel $389 $410 $431 $454 $498
Contractor Support 630 663 698 734 773
Computer Operation 936 985 1.Q37 1.091 1.149
Total $1,955 $2,058 $2,166 $2,279 $2,420
SCHEDULE FOR REVIEW:
Each fiscal year, a comprehensive review of management control is conducted on
EPAYS/TAPP/FOCUS. Tests are conducted to check for material weaknesses within the system
and the entire system environment is tested for high risk areas. Detailed corrective actions are
prepared for each area of high risk and/or material weakness. For FY 1991, see review synopsis
91-12.
IV - 12
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M street»sw
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Grants Information and Control System (GTCS)
BASELINE DATE: October 1991
Signature 6f Agelicy Official
Michael Kaplan
Name (please print or type)
Chief. Planning and Management Branch COIRM)
Title
Date
/ /
IV - 13
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Initial Major Information System Report
System Name: Grants Information and Control System (GICS)
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
GICS is a national information management system containing administrative, project, and
financial data for all EPA grants, interagency agreements, and cooperative agreements. The system
supports two major client organizations: the Grants Administration Division for all Non-
Construction Grant and State Revolving Fund (SRF) Programs, and the Office of Water's
Municipal Construction Grants Program. The system resides on the IBM mainframe at EPA's
National Computer Center. It uses ADAB AS and Natural. Report menus for Headquarters,
Regions, and Programs are available for batch and on-line reporting. On-line data entry systems
for the Construction, Non-Construction, and SRF Programs have been customized to provide for
updating and tracking of the grant process.
PROGRAM OBJECTIVES:
GICS is used for program planning and oversight, project tracking, and management and
information reporting. The Municipal Construction Grants Program's subsystem tracks the
processing of all wastewater treatment grant applications and active construction grant projects
funded by the Construction Grant Program (authorized by the Clean Water Act) from application to
construction and closeout. Pursuant to the Water Quality Act of 1987, Federal funding provided to
each State Revolving Fund Program is tracked; the Non-Construction Grants Program tracks
progress of all other EPA grants-related programs including Non-Point Source, Pesticides,
Research and Development, Superfund, and Radon. It also tracks the Agency's Interagency
Agreements. GICS data allow program managers and analysts to identify critical or emerging
problems and to develop timely plans for alleviating them. GICS is particularly valuable for
overseeing State programs, because it can provide data on State workload and monitor progress
made toward State commitments. This system provides detailed information on the characteristics
and status of individual projects and can be used to compare and evaluate information on a large
number of projects. The system is used to generate lists, tables, and summary reports needed to
respond to inquiries from EPA senior management, Congress, OMB, State agencies, and the
public.
PROGRAM MILESTONES/SCHEDULE:
Assess Feasibility of Regional Automated Grant Document Subsystem on a LAN 1/92
Automation of GAD's Monthly Publication, "Activities of EPA
Assistance Program and Interagency/Intergovemmental Agreements" 2/92
Development of Standard SRF Workstation 2/92
Development and Implementation of Asbestos Grants Subsystem 3/92
Development and Implementation of Non-Point Source Program Subsystem 3/92
IV - 14
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Initial Major Information System Report
System Name: Grants Information and Control System (GICS)
Baseline Date: October 1991
PROGRAM COSTS:
All costs expressed in $ 1,000s
Fiscal Authorized
Year FTEs Contract Funding
FY1987 4.0 $483
FY1988 4.0 $535
FY 1989 4.0 $817
FY 1990 3.25 $440
FY 1991 3.0 $580
SCHEDULE FOR REVIEW:
GICS is scheduled for review during FY 1993 or earlier, as resources permit.
IV - 15
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Integrated Financial Management System riFMS)
BASELINE DATE: October 1991
Si^riature of Agency Official
John Adams
Name (please print or type)
IFMS Project Manager
Title
Date
IV - 16
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Initial Major Information System Report
System Name: Integrated Financial Management System (IFMS)
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
IFMS is EPA's official database for both accounting and budgetary data used by program offices
to manage their funds for all internal and external financial/budgetary reporting requirements. The
system performs funds control from commitments through payment; updates ledgers and tables as
transactions are processed; provides a standard means of data entry, edit, and inquiry; and provides
a single set of reference and control files. It has table-driven editing, posting, and reporting
capabilities. The system supports on-line inquiries, as well as standard and ad hoc reporting. The
system operates on EPA's mainframe computer at the National Computer Center in RTP, North
Carolina. The system may be accessed via a 3270-type terminal or a PC with an IRMA board. The
users of IFMS are the Finance Offices in the Regions, Financial Service Centers, and
Headquarters.
PROGRAM OBJECTIVES:
This system supports GAO Tide 2 requirements, OMB internal control requirements, and OMB's
A-127 initiatives. As part of its support to the Agency's financial and budget information
processes, IFMS exchanges financial data through automated system interfaces with the EPA
Payroll-Personnel System (EPAYS), the Automated Document Control Register (ADCR), the
Grants Information and Control System (GICS), the Contracts Payment System (CPS), the budget
preparation system which is called the Resources Management Information System (RMIS), and a
Superfund information system called the Comprehensive Environmental Response, Compensation,
and Liability Information System (CERCLIS).
Some of the data in the system are subject to the Privacy Act, making confidentiality a primary
protection requirement. Availability is also a primary protection requirement since the system must
be available on a daily basis to support the operations of the Agency. Lastly, integrity is a primary
protection requirement because it is extremely important to protect the reliability and accuracy of
Agency financial information.
PROGRAM MILESTONES/SCHEDULE:
Previous Accomplishments:
1987 Contract awarded
1988-89 Requirements validation and testing
March 1989 Implementation
Current Status:
Of twelve key requirements originally identified for the system, nine have been met. Already
completed, either through original implementation of the system or through enhancements
during FY 1989-91, are the following:
1) Automated funds control
2) Flexibility in account number structure
3) Means of avoiding double commitments and obligations
4) Timely system data
5) Automated interfaces with contracts and grants subsystems
IV - 17
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Initial Major Information System Report
System Name: Integrated Financial Management System (IFMS1
Baseline Date: October 1991
6) Timely year-end closeout
7) Ad hoc reporting capabilities
8) Timely travel advance data
9) Comprehensive and accurate payroll redistribution
Three key requirements remain from the original list We expect our development work to
complete all of them by the end of FY 1993:
1). Complete accounts receivable package — scheduled with the Agency's upgrade to the
next version of the commercial software in FY 1992.
2) Enhancements to the personal property accounting system, scheduled for FY 1993.
3) Integrated budget planning subsystem for program offices. We have already
implemented an integrated budget preparation module and are conducting a
requirements analysis to further support the program offices. Additional improvements
are expected in FY 1992 and FY 1993.
PROGRAM COSTS:
Costs are presented for operations, maintenance and enhancement. They include salary costs as
well as contractual services. All costs expressed in $ 1,000s
FY1988 FY1989 FY 1990 FY 1991 FY 1992
$2,200 $5,400 $5,000 $7,200 $7,100
The system was implemented in March 1989, so operations costs jumped for that fiscal year.
During FY 1991, EPA management funded additional costs for development targeted at
improvements identified by die clients of the system. We expect system costs to remain essentially
stable from that point forward.
SCHEDULE FOR REVIEW:
IFMS was reviewed this year (review synopsis 91-12).
IV - 18
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Permit Compliance System (PCS)
BASELINE DATE: October 1991
Signature of Agenc/'Official
Dela Ng
Name (please print or type)
Acting Chief. Cmpi Info & Eva! Br (OW)
Title
/*?
I
IV - 19
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Initial Major Information System Report
System Name: Permit Compliance System
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
PCS is a computerized management information system for tracking permit, compliance, and
enforcement status for the National Pollutant Discharge Elimination System (NPDES) Program
under the Clean Water Act PCS contains information on the more than 65,000 active water
discharge permits issued to facilities throughout the nation. EPA Regional Offices and State users
of PCS are responsible for the entry and quality of the data in the system. PCS resides on the EPA
IBM mainframe computer in RTP, North Carolina. PCS uses ADABAS, a data management
system for the storage and maintenance of data. Its programs are written in COBOL, using
ADASQL to interact with ADABAS, NATURAL, SAS, EASYTRIEVE, and CLIPPER. PCS is
composed of ten major software subsystems consisting of: an on-line data entry subsystem
running under a Command Level CICS interface, an on-line inquiry system running under TSO, a
batch data entry subsystem, a batch update subsystem, a batch generalized retrieval subsystem, a
batch Compliance Schedule Tracking subsystem, a batch Discharge Monitoring Report (DMR)
Tracking subsystem, a batch Reportable Non-Compliance Determination subsystem, a PC-based
data entry subsystem, and a PC-based data retrieval subsystem. Users throughout the country may
access PCS through EPA's telecommunications network.
PROGRAM OBJECTIVES:
PCS is one of the EPA's major enforcement information systems. The system identifies and tracks
polluters of the nation's waterways through automated violation detection processes. The system
automatically reviews millions of records each month and determines the compliance status of each
facility according to the requirements in the individual permit. Each permit record typically contains
information which identifies and describes the facility to which the permit has been granted;
specifies the pollutant discharge limits for that facility; records the actual amounts of pollutants
measured in the facility's waste-water discharges; and tracks the facility's history of compliance
with construction, pollutant limits, and reporting requirements. Within the 10 EPA Regional
offices and 38 NPDES-delegated States, PCS supports over 600 State, Regional and Headquarters
users. These users are made up of enforcement, permit, data processing and planning personnel,
and program managers. PCS supports requests for information from Congress and State
legislatures, as well as Freedom of Information requests submitted by the public.
PROGRAM MILESTONES/SCHEDULE:
The following is a list of major enhancements made to PCS that have increased the capabilities of
the system for the users. The list covers the period from January 1989 until September 1991.
Enhancement Installed
I) Develop a DMR non-Receipt Report 2/89
This report provided users with a tool for tracking non-receipt of monitoring data in
PCS.
2) Develop PCS Management Graphics 2/89
This set of retrieval software allows graphical display of inspection and permit
issuance information in PCS.
IV - 20
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Initial Major Information System Report
System Name: Permit Compliance System
Baseline Date: October 1991
3) Implement the Effluent Data Statistics System in PCS 2/89
This set of retrieval software creates statistical reports and graphs of effluent limit
and monitoring data from PCS.
4) Develop the Managers Quarterly Non-Compliance Report (QNCR) 2/89
This report provided a management tool for Regional and State users to display the
compliance status of NPDES permits.
5) Develop the PCS-PAL extract (and PC retrieval subsystem) 2/89
Provided an easy-to-use PC version of the Managers QNCR.
6) Develop a Manager's Inquiry Subsystem 4/89
This subsystem is a menu system for on-line retrieval of PCS information that
requires little knowledge of specialized PCS acronyms.
7) Develop the SPMS (now STARS) Moving Base Report 2/89
Automated Agency-mandated progress report to relieve the burden of manually
compiling the information each quarter.
8) Develop the Administrative Penalty Tracking capability 4/89
Added new information to PCS to support Penalty Tracking as part of Enforcement
Actions taken by Regions.
9) Develop the Coordinators QNCR 4/89
Specialized retrieval to assist PCS users in developing the QNCR.
10) Develop PCS Inspection Scheduling capabilities 4/89
Added new information to PCS to support the scheduling and tracking of future
inspections.
11) Develop the PCS Overview Training Package 2/90
This PC-based package provided a summary of PCS to people unfamiliar with PCS
and the NPDES program,
12) Develop the PCS Quality Assurance Retrieval 3/91
This report allows detailed, field-by-field, analysis of information in PCS based on
a standardized set of criteria.
The following projects are underway in response to programmatic initiatives:
1) Latitude/Longitude Information in PCS
In this project, USGS maps were sent to permitted facilities and were returned with the pipe
outfall locations marked. This information will be used in PCS mapping applications.
2) Public Access Feasibility Study
This project is to analyze the public's requirement for direct access to the PCS database and
develop an implementation strategy.
IV • 21
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Initial Major Information System Report
System Name: Permit Compliance System
Baseline Date: October 1991
3) Electronic Data Interchange (EDI) Study and Pilot
This project will investigate the use of EDI technology for getting permit monitoring
information directly from the facilities.
4) Quality Assurance Manual and Procedures
A guide to assist the EPA Regions and States in developing procedures for their own Quality
Assurance Plan.
The following are enhancements that are scheduled for FY 1991:
1) Develop Sludge Tracking Capabilities
Adding new information to PCS which will store and allow reporting of sludge tracking
information that is required as part of NPDES permits.
2) Develop Range Checking Capability
Modification to data entry software that will perform range validity checking on monitoring
data going into PCS.
3) Security Modifications to PCS
In order to make PCS more directly available to other program offices within EPA and to the
public, a modification will be made to separate sensitive information in PCS from non-
sensitive. Access to the sensitive information is limited to users within the NPDES program.
PROGRAM COSTS:
All costs expressed in $ 1,000s
Contractor Support Costs
In-House Support (Software Development, Maintenance,
(Workyears) Operations. Training, and Data Entry)
FY 1989 6.5 $1,297
FY 1990 6.5 $1,657
FY 1991 6.5 $1,947
SCHEDULE FOR REVIEW:
There is a project currently underway to review the quality of data in PCS. This project will
establish criteria to be used in evaluating the data. The criteria will then be used to do an analysis of
the data Region-by-Region and establish a 'level of confidence.' This information will provide
users and management with a better understanding of how PCS information can be used for
environmental analysis. Results of this project as of the end of FY 1992 will be reported next year
for the Regions that have been completed.
IV - 22
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U.S. ENVIRONMENTAL PROTECTION AGENCY
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Resource Conservation and Recovery Information
System (RCRIS)
BASELINE DATE: October 1991
0. ^
C
wrick
Signature of Agentfy Official
Mvra Galbreath
Name (please print or type)
Chief. Information Mgmt Branch fOSW)
Title
Date
IV - 23
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Initial Major Information System Report
System Name: Resource Conservation and Recovery Information System (RCRIS)
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
RCRIS is a national system which supports the Resources Conservation and Recovery Act
(RCRA) program through the tracking of events and activities related to facilities which generate,
transport, and treat, store, or dispose of hazardous waste. The system is used by EPA
Headquarters and Regions, as well as States with RCRA implementation responsibilities. RCRIS
provides interactive, on-line data edit checking and offers additional facilities for processing and
reporting. It is used interactively on a day-to-day basis at the State and Regional level and is
updated via batch uploads and merges on a monthly basis to the National oversight database.
PROGRAM OBJECTIVES:
This system allows RCRA program staff to track the notification, permit, compliance, and
corrective action activities required under the RCRA Program. Information comes from the
regulated community through notification forms and permit applications. This information, along
with inspection information is entered into the system by the Regions and States and uploaded to
the national system. RCRIS tracks a range of information related to facilities involved with
hazardous waste, including handler identification, permit application status, compliance monitoring
and enforcement information, RCRA program management information, and facility management
planning information. RCRIS also tracks corrective action information which supports the permit-
writing and enforcement activities of the corrective action program. RCRIS helps ensure that
current and future hazardous waste management practices are, and continue to be, protective of
human health and the environment through information support to the program for key activities
such as promulgating regulations, issuing permits, applying highly visible compliance monitoring,
and using timely and appropriate enforcement
PROGRAM MILESTONES/SCHEDULE:
1991 Accomplishments:
• During 1991, EPA Headquarters, Regions, and States began the full implementation phase
for RCRIS. During the year, half of the States nationally, covering six Regions,
successfully completed the transition to official RCRIS operations.
• The operating environment improved through enhancements to critical technical functions,
strengthened national user support operations, and specialized technical training for
database administrators.
• The knowledge and skills of Regional and State program and system staff were enhanced
through a National RCRA Information Systems User Group Conference and further
supported by regular conference calls targeted at key issues or activities, as well as on-site
implementation assistance from Headquarters and technical team staff.
1992 Goals:
• RCRIS implementation will be completed nationally by January of 1992.
• Ongoing attention and support will be targeted towards further expanding the direct
management and operation of RCRIS by States.
IV - 24
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Initial Major Information System Report
System Name: Resource Conservation and Recovery Information System (RCRIS)
Baseline Date: October 1991
PROGRAM COSTS:
All costs expressed in $ 1,000s
FY1987 FY1988 FY 1989 FY1990 FY1991
$1,664 $2,561 $3,307 $3,307 $3,460
SCHEDULE FOR REVIEW:
1992 System Reviews
• During this year, separate reviews will be conducted on data quality assurance measures
and internal technical efficiency for system resource-intensive aspects of RCRIS.
• The data quality review will assess the primary areas of interest from a program perspective
and identify measures to strengthen data quality. Measures are expected to include not only
system features (for example special purpose data quality reports), but also program
guidance, procedures, and training.
• The technical review will target structural and processing flow issues where analysis
indicates there is the potential for significant improvements to the reliability, efficiency, and
ease of use of the system.
IV - 25
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U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, D.C. 20460
Federal IRM Review Program
ANNUAL REPORT ON MAJOR INFORMATION SYSTEMS
SYSTEM NAME:
Storage and Retrieval of Water Quality Information
System (STORET)
REVIEW DATE: October. 1991
Signature of Agency Official
*£• f -
Joseph Sierra
Name (please print or type)
Chief. Software Development and Maintence Br.. OIRM
Title
/3o I ?/
Date
IV - 26
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Initial Major Information System Report
System Name: Storage and Retrieval of Water Quality Information (STORED
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
STORET is a user-owned system. Information is contributed to the system by a number of
organizations including Federal, State, interstate agencies, universities, contractors, individuals,
and water laboratories. The STORET system assists State and EPA officials in making pollution
control decisions by providing a capability to store, retrieve and analyze water quality information.
STORET is a compendium of hydrologic and water quality databases and analytical capabilities.
Available capabilities include statistical analyses, graphics, and mapping. The STORET
subsystems are:
• The Water Quality File (often referred to synonymously as "STORET') which currently
contains over 170 million observations of water quality from over 700,000 sampling sites.
Data are organized by station and, for a station, by date, time and depth. Information are
defined in terms of parameter codes which usually define a combination of substance, medium
and units or measurement
• The national Biological Information System (BIOS) which contains biological monitoring data.
Three components of BIOS include the field survey, toxicity, and tissue residue sampling data.
The field survey component is complete; the tissue residue and toxicity components are under
development BIOS does not support any one particular program, but rather houses a
specialized subset of sampling data. BIOS currently has species count data used in biological
diversity analyses (an indicator of environmental stress) indexed by an EPA-developed
taxonomic file. Data records in BIOS are also organized by location as well as indexed by
taxonomy. The data in this taxonomic file are supplied to EPA by the National Oceanographic
Data Center (NODQ after collection and validation.
• The Daily Flow System which contains daily observations from USGS's network of over
36,000 stream guage stations. This data, used in conjunction with water quality data and permit
information, can be used to perform analyses such as waste load allocations.
Current emphasis of control decisions are: issuing water quality-based National Pollution
Discharge Elimination System (NPDES) permits; inclusion of toxic pollutants in water quality
standards; evaluating water quality impacts of control programs; and assessing levels of toxic
pollutants, including dioxin and other bio-accumulative pollutants from the aquatic biological data,
hydrologic data, stream-reach data, ground-water data, and other related information. The system
is used by State and EPA analysts to assemble and analyze data to support each of the above types
of decisions.
PROGRAM OBJECTIVES:
STORET was developed in the mid-1960s by the U.S. Public Health Service to collect and
disseminate basic information on the chemical and physical quality of the nation's waters. Today,
the system is applicable to programs initiated under the Federal Water Pollution Control Act, as
amended, with emphasis on Section 305 (b). The system is also applicable to programs initiated
under the Toxic Substances Control Act (TSCA) and the Resource Conservation and Recovery Act
(RCRA). Various enhancements have occurred since it was originally designed and developed A
combination of issues, including changing legislative and Agency priorities (emphasizing data
integration and cross-media analysis) related to EPA's future water quality requirements, have led
to the need for a system feasibility and requirements analysis. The purpose of this system initiative
IV - 27
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Initial Major Information System Report
System Name: Storage and Retrieval of Water Quality Information (STORET)
Baseline Date: October 1991
is to evaluate STORE!" s performance and its capability to support changing Agency mission
needs.
PROGRAM MILESTONES/SCHEDULE:
(See attached chart for historical perspective.) STORET and other related water systems are
currently undergoing an extensive modernization effort. (See review synopsis 91-8 for details.)
PROGRAM COSTS:
Costs reflect computer usage charges, personnel, travel, equipment, and contract support All costs
expressed in $ 1,000s.
Fiscal Year Total Cost
1984 $2,295
1985 $2,640
1986 $2,738
1987 $2,844
1988 $3,578
1989 $4,556
1990 $4,829
1991 $3,750
SCHEDULE FOR REVIEW:
STORET was reviewed this year (review synopsis 91-8).
IV - 28
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STORET MILESTONES
1990-
1989-
1988-
1987-
1985-
1984-
1980-
1977-
1974-
1973-
1972-
1971-
1970-
1968-
1964-
1961-
KEY EVENTS
Esfcb&sned Waer
QudityDSSC
First component of
BIOS
implemented.
Daily Flow
subsystem
acquired from
uses.
System moved to
Boeing Computer
Services.
System moved to
EPA, computing
pcuuiujcu oy us
umeShsing.
System moved to
Deptofthe
Intenoc
T .J . i in' i i
implementation
of system by
Public Health
Service.
Original design of
system,
HARDWARE
System upgraded
to IBM ES-9000.
System upgraded
to IBM 30901
System moved to
EPA-owned IBM
308 1 computer,
operated in MVS
environment.
System upgraded
to IBM 3070/168
System upgraded
to IBM 3070/155
System upgraded
to IBM 3060/65
Remote access via
modems, graphics
capabilities.
IBM computer,
random disk files,
HASP job entry,
card read ing
terminals.
Honeywell
computer,
sequential tape
desiga
SYSTEM
DESIGN
Interactive st*ion
storage menus
developed.
Interface k>VVBS
with plotting
(WBLOQ.
TrtfararfiiM mrrLmuu.1
Ifm&l VMiV^ I^U J&v
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, DC 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Toxic Chemical Release Inventory System (TRIS)
BASELINE DATE: October 1991
U,
Signature of Agency Official
Steven D. Newhur-Rinn
Name (please print or type)
Chief. Public Data Branch fQTSi
Title
PC*. ^\ mi
Date
IV • 30
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Initial Major Information System Report
System Name: Toxic Chemical Release Inventory System (TRISt
Baseline Date: October 1991
DESCRIPTION OF SYSTEM:
TRIS is a public-access system which contains information from facilities on the amounts of over
300 listed toxic chemicals that are released directly into the air, water, or land or that are
transported to off-site dumping facilities. The system contains information on: facility and
substance identification, environmental chemical release, off-site waste transfer, and waste
treatment/minimization. The EPA internal system is available to authorized users of the Agency's
mainframe computer. A publicly accessible version of the system is provided by the National
Library of Medicine through TOXNET. TRIS data is also available on magnetic tape, CD-ROM,
dBase and Lotus diskettes (by State), and microfiche. The microfiche is available at a library in
every U.S. county, and the various distribution means are available for purchase from the National
Technical Information Service or the Government Printing Office.
PROGRAM OBJECTIVES:
This system was mandated by the Emergency Planning and Community Right to Know Act (Tide
HI of the Superfund Amendments and Reauthorization Act (SARA) of 1986). This legislation is
based on the premise that citizens have a "right to know" about toxic chemicals in their
communities. Use of this system is intended to encourage planning for response to chemical
accidents and to provide the public and government information about possible chemical hazards in
communities.
The Toxic Release Inventory has become the nation's first chemical-specific, multi-media database
of emissions. It is a powerful tool for citizens to evaluate the chemical risks in their community and
set priorities for risk reduction efforts. Similar uses of the TRI database for evaluating
environmental quality are apparent to national and Regional EPA and State and local environmental
officials. Through an IRM review, EPA has identified actions to reduce system costs, strengthen
data reliability, and reduce the time required to release the data to the public. These improvements
will provide a more timely and accurate database for the public to use for long-term environmental
planning and pollution prevention.
PROGRAM MILESTONES/SCHEDULE:
Because of the mandate for EPA to collect and report the data from the Toxic Chemical Release
Inventory, a mission needs analyses and options analysis were conducted during the early phases
of this system. Because the statutory authority and the reporting rule governing TRIS change, the
requirements and options analyses undergo frequent review to permit EPA to respond to the
changes. Most recently, the Pollution Prevention Act (PPA) dictated major changes in the
information required to be submitted for TRIS.
The mission needs and requirements analyses are complete. The TRIS design document updates
are nearly so, and development work for the system revisions is in progress. Because of the
volume of data and submissions received and the need to retain material across years, a process
analysis has documented the costs and benefits of implementing an imaging system for the storage
and retrieval of images and data. Most of the milestones given below address the effort in this
direction.
Sept. 1991 - Mission needs and requirements analyses based on new requirements of PPA and on
user requests for system enhancements.
IV - 31
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Initial Major Information System Report
System Name: Toxic Chemical Release Inventory System (TRIS)
Baseline Date: October 1991
Oct 1991 - Updates to system design documents and review by NDPD.
Oct. 1991 - Hardware/software options analysis completed and forwarded to NDPD for
review/comment/approval for progress on imaging pilot
Dec. 1991 - Acquisition of equipment needed for development of imaging pilot. Determination of
. feasibility of OCR equipment
Jan. 1992 - Installation of pilot imaging equipment.
Feb. 1992 - Design documentation for imaging pilot system to permit capture of data and images
from Form Rs submitted. Implementation plan for pilot project Pilot target of
10,000 forms established.
Apr. 1992 - Acquisition and installation of equipment for pilot
May 1992 - Completion of programming for TRIS as modified by the PPA requirements and for
new enhancements approved by OTS system managers.
June 1992 - Completion of testing of modified TRIS and acceptance of system.
June 1992 - Completion of coding for pilot imaging system for TRIS.
July 1992 - Initial data entry into modified TRIS from Form Rs for reporting year 1991.
July 1992 - Testing and acceptance of pilot imaging system equipment
Aug. 1992 - Installation and testing of pilot system software.
Oct. 1992 - Implementation of pilot imaging system.
Nov. 1992 - Evaluation of pilot project
Dec. 1992 - Plan for full-scale implementation of imaging system for TRIS.
IV - 32
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Initial Major Information System Report
System Name: Toxic Chemical Release Inventory System (TRIS1
Baseline Date: October 1991
PROGRAM COSTS:
The costs to PDB/IMD/OTS for TRIS have been (and arc) as follows:
El IN-HOUSE CONTRACTS*
1987 2.2 $700
1988 2.5 $900
1989 2.8 $1,000
1990 3.2 $1,100
1991 3.9 $1,200
1992 5.2 $1,300 -TRIS/PPA
750 - TRIS/Imaging
NOTES ON COSTS:
In-house costs are the work years attributable to support for the mainframe TRIS system and
development of the LAN-based data-entry system. They do not address NDPD and other EPA
resources devoted to this system, nor do they address the production data-entry LAN. Contracts
here are those funded by PDB/IMD/OTS for system maintenance and development efforts. FY
1992 costs are projected, based on budget requests.
*Costs expressed in $ 1,000s
SCHEDULE FOR REVIEW:
FY 1993— Report on results of imaging system pilot project
IV - 33
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section v: FY 1992 Program Plans
EPA has already started planning and implementing its FY 1992
IRM Review Program. Priorities, goals, and initiatives from previ-
ous years have been evaluated, and changed as necessary, to assess
and reflect a continued relevancy. This section will describe EPA's
plans for their FY 1992 IRM Review Program.
Planned Priorities and IRM Goals
In order to focus energies on the issues and concerns of greatest
importance today, GSA and EPA have identified government-wide
and Agency-specific priorities for FY 1992. These priorities and the
strategic IRM goals for the Agency are included in die following.
EPA Priorities
Recently, EPA revised its strategic direction to clarify its mission
and objectives. EPA is committed to using quality management
processes that encourage teamwork and promote innovative and ef-
fective solutions to environmental problems. In particular, the
Agency is committed to ensuring that:
• Federal environmental laws are implemented and enforced effec-
tively.
• U.S. policy, both foreign and domestic, fosters the integration
of economic development and environmental protection so that
economic growth can be sustained over the long term.
• Public and private decisions affecting energy, transportation,
agriculture, industry, international trade, and natural resources
fully integrate considerations of environmental quality.
• National efforts to reduce environmental risk are based on the
best available scientific information communicated clearly to the
public.
• Everyone in our society recognizes the value of preventing pol-
lution before it occurs.
• People have the information and incentives they need to make
environmentally responsible choices in their daily lives.
V - 1
-------
V: FY 1992 PROGRAM PLANS
• Schools and community institutions promote environmental
stewardship as a national ethic.
The Agency-wide goals and objectives which support these mission-
critical priorities emphasize the importance of IRM in the Agency.
For example, providing leadership in the nation's environmental
science, research, and assessment efforts requires (1) gathering and
analyzing the data needed to evaluate environmental risks and
trends, measure environmental results, and inform the public and (2)
providing objective, reliable, and understandable information that
helps build trust in EPA's judgement and actions.
IRM Strategic Goals for 1991-1995
During FY 1992, the goals from the IRM Strategic Plan (1991-
1995) will still be in effect They describe how the Agency will
create the IRM foundation which is necessary for the Agency to be
able to fulfill its mission. These goals, which are described fully in
the Background section, are to:
1. Establish data integration tools and activities.
2. Create and manage information systems supporting the envi-
ronmental community.
3. Establish a program to promote information sharing.
4. Renew EPA's technology base to provide increased functionality
and/or to reduce costs.
5. Manage a data administration program to ensure the Agency's
ability to use its data fully.
6. Enhance productivity through the educated use of technology.
7. Improve planning and communications to ensure effective de-
ployment of information and technology.
8. Provide quality service with proactive leadership as custodians
of EPA information and systems.
Government-Wide IRM Priorities
GSA has set seven government-wide IRM review program
priorities for the FY 1992 IRM review program; they are carried
over from previous years, although some of the areas of emphasis
within the priorities have changed:
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FY 1991 IRM REVIEW PROGRAM REPORT
Information Management
Continuing with this priority from last year, agencies are expected to
emphasize in their IRM review program two key elements: informa-
tion
shou
noficiency and electronic data interchange (EDI). Agencies
d conduct EDI reviews to: (1) identify potential agency appli-
cations, (2) determine what agency strategies have been developed
for using EDI, and (3) evaluate agency progress in adopting EDI.
Major Information Systems
All agencies have information systems that require special
continuing management attention because of their importance to the
agency's mission; their high development, operating, or
maintenance costs; or their significant impact on the administration
of agency programs, finances, property, or other resources. These
systems should be reviewed at least once every three years with a
focus on how they support mission program objectives.
Software Modernization
Many of the Federal government's application programs are out-
dated and in need of replacement or improvement In their fiscal year
1992 reviews, GSA would like agencies to review their application
programs from a "service delivery" standpoint The reviews should
determine whether present software is meeting agency needs and, if
deficiencies exist, what improvements are necessary.
Service to the Citizen
The Federal government is a vast repository of information that is
vital to its citizens, and the free flow of information from the gov-
ernment to its citizens and vice versa is essential to a democratic so-
ciety. The government is seeking to improve access to information,
and by definition, the quality of services it provides. Agencies
should be looking at the quality and efficiency of its delivery of ser-
vices to citizens. Especially important are the major information
systems vital to program delivery and how they support services.
Telecommunications
GSA would like agencies to devote a portion of the telecommunica-
tions reviews to data interchange within and among agencies. The
application of standards continues to be an important area of
telecommunications. In particular, agencies should conduct reviews
to determine whether Government Open System Interconnection
Profile (GOSIP) standards are being implemented. Additionally,
agencies should be conducting reviews to determine whether the
Portable Operating Systems Interface for Computer Operating
Environments (POSDC) standard is used in the acquisition and
development of operating systems.
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V: FY 1992 PROGRAM PLANS
ADP Management
GSA would like agencies to emphasize reviews that attempt to de-
termine whether mechanisms are in place to satisfy their regulatory
and managerial responsibilities for the effective and efficient use of
information technology. Agencies should, in particular, focus on:
(1) access to information technology by users with disabilities, as
mandated by Section 508 of the Rehabilitation Act of 1973 and
reauthorized in 1986 (this area should be the subject of a review at
least once every three years); (2) usage of Multiple Award Schedule
Contracts (MASC), as governed by procedures in FIRMR 201-
32.803; and (3) quality of procurement and contracting information
systems.
Security/Privacy
To ensure compliance with the Computer Security Act of 1987,
GSA would like agencies to review the extent of implementation of
their security plans, and in particular, of their efforts to provide se-
curity awareness and training. Additionally, all Federal agencies
must operate in accordance with the Computer Matching and Privacy
Protection Act of 1988. This law states that "No record which is
contained in a system of records may be disclosed to a recipient
agency or non-Federal agency for use in a computer matching pro-
gram except pursuant of a written agreement between the source
agency and the recipient agency or non-Federal agency." Agencies
should review their compliance with this Act as part of their IRM
review program.
IRM Initiatives
The IRM initiatives begun by EPA in FY 1990 will continue to
be emphasized in the FY 1992 IRM Review Program. Since these
initiatives have already been described in the Background Section,
only a listing of the initiatives will be provided here:
1. Data Sharing and Integration
2. Program Systems Modernization
3. Standards
4. Improved Records Management
5. Information Technology Acquisitions
6. Public Dissemination
7. Electronic Data Reporting.
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FY 1991 IRM REVIEW PROGRAM REPORT
IRM Review Program
EPA is confident that the diversity of its FY 1992 review portfo-
lio will enable the Agency to measure its progress in achieving the
new government-wide and EPA-specific priorities, as well as IRM
strategic goals. EPA has planned nine reviews for FY 1992. A
summary description of each of the planned reviews is included in
the Appendix. The reviews planned for 1992 are:
IRM Communications Strategy Study
Review of EPA Privacy Act Guidance
Review of EPA's System Design and Development Guidance
Review of the Secondary Use of Scientific Data
Review of Agency's Data Integration Initiative
Review of Superfund Records Disposition Schedules
Impact Analysis for OTS Image Processing System
Review of DFMS Account Number Structure
LAN Security Review.
EPA will continue to strive to meet the IRM Review Program
objectives set in FY 1991, as described in Section I, since the
Agency believes that these objectives are integral to a thorough,
well-managed review program. OIRM will continue to coordinate
the review program through meetings of SIRMOs and the IRM
Steering Committee. As in years past, the reviews for the coming
fiscal year will be led by a variety of program offices and cover
multiple facets of IRM. This breadth and depth of program scope
helps to ensure that the importance of efficient and effective
utilization of information resources is kept at the forefront of every-
onc's mind.
To measure progress in EPA's IRM Review Program, the re-
view team will compare the number of reviews planned to the
number of reviews conducted. The review team will also examine
the reviews' contributions to the IRM program's progress in
supporting the priorities and initiatives which were described in this
section. These assessments will be tailored to the individual reviews
in recognition of the unique aspects in each review. The review team
will also examine the review program outreach activities.
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Appendix
FY 1992 Review Summaries:
92-1 IRM Communications Strategy Study
92-2 Review of EPA Privacy Act Guidance
92-3 Review of EPA's System Design and Development
Guidance
92-4 Review of the Secondary Use of Scientific Data
92-5 Review of Agency's Data Integration Initiative
92-6 Review of Superfund Records Disposition Schedules
92-7 Impact Analysis for OTS Image Processing System
92-8 Review of IFMS Account Number Structure
92-9 LAN Security Review
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APPENDIX: 1992 REVIEW SUMMARIES
TITLE: IRM Communications Strategy Study
REVIEW NUMBER: 92-1
REVIEW SCOPE:
BRIEF
DESCRIPTION:
pIRM and the National Data Processing Division (NDPD) are
jointly responsible for managing most aspects of EPA's IRM
Program. Establishing and maintaining effective communication
channels is a fundamental ingredient in delivering IRM services to
the Agency. The volume of information managed, the complexity of
the issues involved, and the large number of people and
organizations needing to be informed requires OIRM/NDPD to
ensure that they are using the most effective and efficient methods to
reach their constituents. Fulfilling their commitment to EPA's total
quality management program, OIRM/NDPD will assess the
effectiveness of their communication systems and clients'
perceptions of Agency IRM services.
OIRM, with contractor assistance, will review the current IRM
communications environment within EPA. The analysis will focus
on identifying major work processes/products and events that
require communication with organizations outside of OIRM/NDPD,
determining the respective target audiences, and selecting the most
appropriate processes and communications media to use. This study
will involve:
• Reviewing OIRM pilot survey results.
• Surveying managers and staff and conducting individual and
group interviews with selected personnel in order to collect data
on current communications systems.
• Assessing current OIRM/NDPD communications systems by
identifying areas of concern, such as duplicative efforts or
communication gaps, and earmarking what is working well.
• Developing a communications strategy and implementation plan.
The plan will identify steps OIRM/NDPD management can
implement to improve delivery of IRM services to their clients.
AGENCY CONTACT
AND PHONE NO.: Jean Sammon, (202) 260-7820
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FY 1991 IRM REVIEW PROGRAM REPORT
TITLE: Review of EPA Privacy Act Guidance
REVIEW NUMBER: 92-2
REVIEW SCOPE:
BRIEF
DESCRIPTION:
OIRM is responsible for managing the Privacy Act Program in EPA.
OIRM works closely with the Office of General Counsel in advising
clients of their responsibilities under the Privacy Act The original
EPA Privacy Act Manual was issued in 1986. This document needs
to be updated and expanded to include recent legislative
requirements such as the Computer Matching and Privacy Protection
Act of 1988. It also needs to include more useful procedural detail
than is included in the existing manual. The objective of this project
is to develop a revised draft in preparation for Agency-wide review.
This review will be conducted by OIRM with contractor support. It
will involve reviewing established and proposed Federal Privacy Act
legislation. In the course of EPA's revision of this guidance
document, OIRM's Privacy Act Officer, personnel from the Office
of General Counsel, and managers of past Privacy Act systems of
record will be interviewed in order to develop an understanding of
their respective needs and requirements which should be addressed
in the revised Privacy Act Manual. These individuals will also
identify appropriate format, style, and content changes. Based on
this research, OIRM will produce an options paper containing a
detailed outline of the topics needing to be addressed in the revised
Privacy Act Manual and recommended changes in style and format.
AGENCY CONTACT
AND PHONE NO.: James Keys, (202) 260-8236
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APPENDIX: 1992 REVIEW SUMMARIES
TITLE: Review of EPA's System Design and Development Guidance
REVIEW NUMBER: 92-3
REVIEW SCOPE:
BRIEF
DESCRIPTION:
EPA's System Design and Development Guidance provides the
framework for all information system design and development
activities at EPA, whether they are conducted by EPA or contractor
personnel. Information is one of EPA's primary products, and the
Guidance helps determine how well EPA's information systems
manage Agency information. Because of the great importance of the
system design and development process to resultant automated
support for EPA's mission functions and because of the need for
guidance of the highest quality, OIRM is engaging the Agency IRM
community in planning an update to the Guidance. The core
Guidance currently has six volumes, most of which were originally
produced in 1987 and reproduced in 1989, so many are in need of
technical refreshment.
The updated Guidance must address issues and new technologies
that dramatically change systems development, such as: emphasizing
prototyping, recommending computer-assisted software engineering
tools and information engineering methodologies, promoting open
system development, clarifying mainframe versus local area network
platform issues, promoting common user interface, and promoting
electronic data interchange in systems' communications.
OIRM, with contractor assistance, will analyze issues related to
revising and updating the Agency's Guidance. The objective is to
thoroughly plan an effective, focused, and forward-looking revision
for the Guidance and to communicate that plan to all affected parties.
It will involve the following steps:
• Assessing EPA's current system design and development
environment within which the Guidance will be updated.
• Conducting a work session to define the scope and identify key
issues for the update.
• Analyzing the high priority issues identified during the work
session and recommending options for addressing them.
• Conducting work sessions to achieve consensus and resolve key
issues for the update.
• Developing a comprehensive approach for the update.
AGENCY CONTACT
AND PHONE NO.: Steve Hufford, (202) 260-5914
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FY 1991 IRM REVIEW PROGRAM REPORT
TITLE: Review of the Secondary Use of Scientific Data
REVIEW NUMBER: 92-4
REVIEW SCOPE:
BRIEF
DESCRIPTION:
OIRM is responsible for ensuring the effective and efficient use of
EPA's information resources. OIRM's Scientific Systems Staff
(SSS) is delegated responsibility for oversight of the IRM activities
in EPA's Office of Research and Development (ORD).
The SSS is currently assisting the Science Subcommittee of EPA's
IRM Steering Committee in reviewing the effective utilization of
EPA's scientific data. The review will focus on how that data are
currently used for purposes beyond that for which it was originally
intended and will identify opportunities for improving the data to
maximize secondary use.
This review is being conducted in two stages. The first stage
involves review of the general status and trends of effective use of
EPA's scientific data. Interviews will be conducted with two broad
groups of Agency staff—• individuals involved in developing
environmental data and individuals involved in managing that data.
Other groups will likely be added to the interview schedule. The
objective of this first stage is to develop recommendations designed
to improve the reusability of environmental data. Phase two involves
the development of data elements that will aid future decisions
utilizing scientific data— "data usability indicators."
AGENCY CONTACT
AND PHONE No.: Richard Johnson, (919)541-1132
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APPENDIX: 1992 REVIEW SUMMARIES
TITLE: Review of Agency's Data Integration Initiative
REVIEW NUMBER: 92-5
REVIEW SCOPE:
BRIEF
DESCRIPTION:
EPA must integrate comprehensive sets of environmental, health,
economic, legislative, and social demographic information in order
to evaluate remedies for a variety of domestic and international
environmental problems. Information that is shared with the larger
environmental community is recognized and managed as a valuable
resource. Vigilant management ensures that data definitions, data
formats, and data quality are effectively designed into automated
systems and document collections. Advanced environmental data
integration models and analytical techniques promote more
intelligent, proactive environmental policy.
Data integration is pivotal to achieving the Agency's overall mission.
The current emphasis on a broad environmental agenda presents the
best opportunity since EPA was established to restructure its data
and capabilities outside the confines of single media approaches.
This review will evaluate EPA's foundation for data integration.
This review, conducted by OIRM and the IRM Steering Committee
with contractor assistance, will assess progress to date on numerous
activities necessary for data integration including:
• Planning an information strategy which defines the mission-
critical functions and information needs of EPA's programs and
developing appropriate information architectures. The Scientific
Systems Staff will be integrally involved in this planning and are
reviewing secondary usage of scientific data (review 92-4).
• Organizing currently available Agency data and databases by
identifying and categorizing existing program systems and
databases, developing data models of priority and mission-
critical databases, auditing data quality and consistency, and
working with program offices to implement data standards and
data quality objectives necessary for data integration.
• Assessing, prioritizing, acquiring, and preparing base
geographic data sets in anticipation of the spatial analysis and
display needs of environmental managers.
• Prototyping the hardware/software environment to support the
anticipated storage, analysis, access, and delivery needs of any
data integration system.
AGENCY CONTACT
AND PHONE NO.: Rick Martin, (703) 883-8789
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FY 1991 IRM REVIEW PROGRAM REPORT
TITLE: Review of Superfund Records Disposition Schedules
REVIEW NUMBER: 92-6
REVIEW SCOPE:
BRIEF
DESCRIPTION:
Document management is critical to the management, administration,
and execution of the Superfund program. Documents are generated
to: initiate cleanup actions; record technical conditions, activities,
decisions, and remedies; communicate with the public; identify,
negotiate or litigate with responsible parties; and track costs and
schedules for cleanup activities.
This review supplements the FY 1991 Review of Superfund
Document Management Initiatives (91-3) which developed and
refined guidance for managing Superfund records. One of the
findings of the review was that the current Superfund records
disposition schedules are inadequate. As a result, new records
disposition schedules for the Regional Superfund offices were
drafted. This review will support the development of a new records
disposition schedule for the Headquarters Superfund program.
The study will be conducted, with contractor support, by OIRM and
the Office of Solid Waste and Emergency Response (OSWER). The
scope of the study deals with site-related documents supporting pre-
remedial, remedial, removal, and enforcement actions. These
include management, financial, technical, and enforcement
documents and exclude documents supporting program activities
unrelated to the cleanup of hazardous waste sites, such as program
management and regulatory development
AGENCY CONTACT
AND PHONE NO.: Michael Miller, (202) 260-5911
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APPENDIX: 1992 REVIEW SUMMARIES
TITLE: Impact Analysis for OTS Image Processing System
REVIEW NUMBER: 92-7
REVIEW SCOPE:
BRIEF
DESCRIPTION:
The Office of Toxic Substances (OTS) receives, safeguards, and
disseminates documents received as a result of the Toxic Substances
Control Act (TSCA). Each year, OTS receives tens of thousands of
pages of documents from the chemical industry and other entities
regulated by TSCA. Also, the review of these documents generates
similar tens of thousands of pages of documents each year.
Currently, OTS is using microform technology to provide an
archival function for these documents. This technology is no longer
practical, efficient, or timely. Following extensive preliminary
analyses, it was determined that use of optical disk imaging
technology was the best means to alleviate the problems associated
with the receipt and handling of certain TSCA documents. The
specialized imaging equipment has been purchased, and software
has been developed. The production system will be run as a pilot,
using the New Chemicals Program (NCP) documents and review
process as its inputs. This analysis seeks to ensure that OTS project
managers have thoroughly planned the integration of this new
technology into the processes of the NCP by identifying potential
risks and their solutions.
This review will be conducted by OTS with contractor assistance. It
will determine the degree to which OTS is ready to accept and use
imaging technology in the NCP and the effects of integrating
imaging into OTS' current work practices. The focus of the analysis
is the OTS organization as a whole, regarding the NCP and any
damage that may be done to the process if problems arise with the
imaging system implementation. The result will be an impact
analysis which presents analytical results as well as
recommendations.
Documents prepared during the imaging system life-cycle
development will be used as references, and interviews will be
conducted with project managers, selected OTS managers and users,
and other persons as are determined to be necessary. These staff will
provide the perspective of their individual offices and information on
the consequences of use or non-use of the imaging system. They
may also give input on future plans that are undocumented and,
therefore, otherwise unavailable.
AGENCY CONTACT
AND PHONE No.: Joanne Martin, (202) 260-3756
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FY I99t IRM REVIEW PROGRAM REPORT
TITLE: Review of IFMS Account Number Structure
REVIEW NUMBER: 92-8
REVIEW SCOPE:
BRIEF
DESCRIPTION:
The existing financial account number structure has been used by the
Agency since 1970. The account number is used to identify
programs and functions throughout the Agency; it is included in aU
the administrative systems comprising the overall financial
management system and numerous other systems with which it
interfaces. Subsequent to the development of the original account
number structure, the Agency implemented the Integrated Financial
Management System (IFMS). Recent reviews have indicated that
the existing structure for classifying financial data may not be able to
accommodate the Agency needs beyond the next three to four fiscal
years.
It is essential that a redesigned account number structure be
technically compatible with the commercial financial software which
is the basis of the IFMS, while providing appropriate financial,
budgetary, and organizational information for the foreseeable future.
This review will be conducted by the Office of Administration and
Resources Management with contractor assistance. The review will
involve surveying Headquarters and field program, financial
management, and budget offices to develop an understanding of
their requirements. The result of the review will be detailed technical
specifications for the revised EPA account number structure. The
technical specifications will be developed at a level of detail and in a
format that is suitable for use by EPA systems development staff
and system managers to guide the modification of their systems to
accommodate the redesigned account number structure.
After technical specifications are developed, walk-through sessions
will be conducted with key users of the account number structure to
obtain their concurrence on the specifications. Once issues or
problems raised in these sessions are resolved, documentation and
training materials will be developed to explain the recommended
structure.
AGENCY CONTACT
AND PHONE No.: Thomas Hammond, (202) 260-9141
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APPENDIX: 1992 REVIEW SUMMARIES
TITLE: LAN Security Review
REVIEW NUMBER: 92-9
REVIEW SCOPE:
BRIEF
DBS IPTION:
This review will deal with the integrity, availability, confidentiality
and appropriate use of selected local area networks (LANs) within
the Office of Solid Waste and Emergency Response (OSWER).
The Information Management staff within the Office of the Assistant
Administrator for OSWER plans to conduct security review of
selected LANs within that organization. The first LAN to be
reviewed will be one which provides office automation support to
the Assistant Administrator and Staff organizations. A qualitative
risk analysis which identifies potential adverse events, threats, and
vulnerabilities of all LAN resources will be conducted. Cost-
effective security measures will be identified and recommended and
their implementation monitored.
AGENCY CONTACT
AND PHONE NO.: Asa R. Frost, Jr. (202) 260-6760
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