500B86001              (L
                                OSWER


                        LIFE CYCLE MANAGEMENT
                        =»

                              GUIDANCE
Prepared by:

Information Management Staff
Office of Policy,  Budget,  and Program Management
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency
Washington, D.C. 20460
                            1 7 MAR 1986
                                                  ****** Agency
                                       South Dearborn ~^v<
                                                      ' '

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                           TABLE OF CONTENTS



                    LIFE CYCLE MANAGEMENT GUIDANCE

PART I: SUMMARY

A. PURPOSE OF LIFE CYCLE MANAGEMENT

     1.0 Purpose
     1.1 LCM Defined
     1.2 Objectives of LCM
 v   1.3 History of LCM
 v   1.4 Configuration Management

B. INFORMATION RESOURCE MANAGEMENT ROLES IN OSWER

     2.0 Program Offices
     2.1 OSWER Managers

C. SUMMARY OF LCM PHASES AND DECISIONS

     3.0 Five Phases of LCM


PART II: LIFE CYCLE MANAGEMENT GUIDANCE

A. SCOPE OF LIFE CYCLE MANAGEMENT

     1.0 LCM Decisions
     1.1 Life Cycle Phases
     1.2 LCM Roles

B. DETAILED EXPLANATION OF LCM PHASES

     Phase 1:  Project Initiation
     Phase 2:  Concept Development
     Phase 3:  Definition and Design
     Phase 4:  System Development
     Phase 5:  Operation and Maintenance

C. LCM DECISION FREQUENCY

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PART III: DOCUMENTATION REQUIREMENTS FOR
          SYSTEM DECISION PAPERS

A. APPLICATION OF LCM

     1.0 General
     1.1 New Systems
     1.2 Degree of Formality
     1.3 Private and Local Systems
     1.M Use of Existing Software
     1.5 Pilot Development
     1.6 Prototyping
     1.7 Hardware/Software Tradeoffs
     1.8 Test Data Bases
     1.9 Privacy and Security
     2.0 Individual Projects
     3.0 LCM Supporting Documentation
     4.0 System Decision Paper Information Requirements

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       PART I






       SUMMARY






LIFE CYCLE MANAGEMENT

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                                SUMMARY

                                PART I

                         LIFE CYCLE MANAGEMENT
A. PURPOSE OF LCM

     1.0 Purpose

     The purpose of this document is to provide guidance on the life
cycle management (LCM) process for the development of automated
information systems (AIS) in the Office of Solid Waste and Emergency
Response (OSWER).   The objective of LCM is to ensure that the
development of each AIS  is oriented to the mission of the organization
and that each AIS continues to fulfill this role throughout its
operational life span.

     This document describes the decisions that are made during each
phase of an AIS's  life cycle.  It describes the scope of LCM activity
related to the size and complexity of the system.  It explains the
basis for the frequency of decision-making.  In Parts II and III it
explains the scope of the decision-making process for each AIS and the
degree of formality required for documenting decisions.

     1.1 LCM Defined

     LCM is a decision-making process.   During the life of an AIS LCM
is used to determine whether an AIS is actually needed, whether once
operational it continues to meet the original needs, and whether the
AIS should be changed to meet new needs or abandoned in favor of a new
system.

     For the purposes of implementation of this guidance, an AIS is
defined as encompassing all  of the hardware and software, people,
documents,  and resources combined to satisfy an need for information.
The life cycle of a system spans the period in tine  from the first
action to IdMtify a system based on needs to the last action to shut
down the
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART I          Page 1

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     1.2 Objectives of LCM

     These are the major objectives for LCM.

     — To ensure that each AIS, as developed, addresses real needs for
information.

     — To address the total cost of the AIS from start to finish and
analyzes projected costs and benefits.

     — To provide a check against developing systems that may be more
elaborate than needed, that fail to satisfy the need for information
which created them in the first place, or that duplicate other systems
already in  existence.

     — To provide a means to close out systems that are no longer
needed, which have been replaced by new systems,  or that duplicate
other information collection efforts in other organizations.

     1.3 History of LCM

     LCM is a discipline developed during the 1950's as part of the
construction of large-scale software projects.  By the 1970's LCM had
achieved a place in the world of data processing as a well-defined
planning and development tool.  The growth of LCM as a philosophy, set
of practices,  and control mechanism came hand-in-hand with the growth
in the size, complexity, and cost of computer-based information
systems.

     LCM is practiced today in the Federal government based on two
parts of the Federal Information Processing Standards publications
(FIPS PUBS)  issued by ..the National Bureau of Standards, U.S. Department
of Commerce.  These are FIPS PUBS 38 and 64 which discuss software
documentation issues.   In 1986  the Office of  Management and Budget
emphasized the use of FIPS PUBS in its Circular A-130; "Information
Resources Management.11

     1.4 Configuration Management

     The development of an AIS  is guided by the review of its status by
a Configuration Management Board (CMB).  OSWER guidance on
Configuration Management (CM) describes the scope of work of the CMB in
determining the frequency of life cycle management decisions, whether
phases can be combined, and the degree of formality associated with the
decision-making process.  The chairman of the Steering Committee
appoints the permanent members of each CMB.  Each CMB supports the
Project Administrator  (PA)  for each AIS by reviewing the documentation
supporting LCM decisions.
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART I          Page 2

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     At project initiation,  the CMB reviews the PA's answers to the
following questions;

          — What must the system do?
          — Who will use the system?
          — How will the system operate?
          — When will the system be ready?
          — What will the system cost?

     At the definition and design phase (Phase 3), the CMB reviews the
PA's  answers to a new round of questions based on the work accomplished
in Phases 1 & 2.  The major question around which issues are formed is
how system parameters will be reviewed by the Steering Committee.   In
the system development phase the question to be answered is whether the
different parts of the system produce the responses specified in..the
original design.  Finally; In the operations and maintenance phase,  the
question to be answered is whether the parts of the system, taken
together as a whole, produce the required responses within the
constraints of time, dollars, and staffing.
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE ~ PART I          Page 3

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B. INFORMATION RESOURCE MANAGEMENT ROLES IN OSWER

     2.0 Program Offices

     Each program office in OSWER has a set of responsibilities for
information resources management (IRM).   These include the requirement
to define its information needs,  to monitor the effectiveness of each
AIS supporting these needs,  and to specify the requirements for each
new AIS or changes to existing systems as these needs  evolve over time.
The primary point of contact in each program office is the Information
Management Coordinator  (IMC).

     The IMC is an EPA employee,  usually a line supervisor, who
performs the technical oversight of his/her office's compliance with
LCM guidance.  AIS Project Administrators usually report to the IMC or
work closely with the IMC regardless of organizational lines of..
authority.   The IMC is ultimately responsible to  the IM Steering
Committee for its review of each AIS at each LCM decision point.

     The Project Administrator (PA) is usually the project manager for
an AIS or several AISs depending on program office priorities and staff
assignments.   The PA is responsible for day-to-day management of the
AIS in terms of costs, schedules,  staffing, and overall technical
performance of the system.

     2.1 OSWER Managers

     Office Directors and Deputy Office Directors have IRM related
responsibilities in the following areas.

     — Policy and planning
     — Communications
     — Program Development
     — Resource Management
     — Supervision
     — Evaluation

     These responsibilities are detailed in the annual performance
standards of SES managers in OSWER.
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART I          Page 4

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C. SUMMARY OF LCM PHASES AND DECISIONS

     3.0 Five Phases of LCM

     There are five phases in the life cycle management process.   The
work to develop an AIS  in each phase proceeds based on a go/no-go
decision by the Steering Committee (SC)  at the end of the previous
phase.   This decision-making process is the heart of LCM.  The Steering
Committee has the option to go straight ahead as planned, order
modifications to the AIS, postpone,  or cancel the project.  The system
decision paper presented to the SC by the PA is modified as a result of
the decision.

          Phase 1: The first phase begins when an OSWER program office
develops a "mission element needs statement," or MENS, which describes
the need for information.  The MENS is submitted to the Steering
Committee (SC)  for a decision to proceed to Phase 2,  but only after the
MENS has been reviewed  by the appropriate configuration management
board.

          Phase 2: A concept of the AIS is developed that documents
the solution identified to meet the information need described in the
MENS in Phase 1.  System Decision Paper I  (SDP I) is the formal
document transmitted to the Steering Committee after review by the
Configuration Management Board.   The Steering Committee gives a green
light to proceed to Phase 3 or directs the Project Administrator to do
additional work.  The Steering Committee also has the option of halting
further work because of considerations external to the system itself.
These may be program issues within OSWER or EPA, or result from
direction from central agencies like OMB or GSA.

          Phase 3: The PA now proceeds with the definition and design
of the AIS.   SDP II is submitted to the CMB for review and to the SC
for a decision.  In SDP II the PA certifies that the design of the AIS
will meet the need  for  information  identified in the MENS.  As in the
previous phases, the SC has the action to make the go/no-go decision to
the next step in the LCM process.
                4: The PA develops the system.  This includes coding,
system testing, and development of operations and user documents.  SDP
III docunents that the system functions as planned.  The decision to be
made by the SC at the end of Phase 4 is to put the AIS into operation
in Phase  5.

          Phase 5: This is the operations and maintenance phase of the
AIS's life cycle.  SDP IV documents the fact that the need for the AIS
still exists and that the system continues to fulfill this need.
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART I          Page 5

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     The following flow charts illustrate the LCM process for each
phase, the questions to be resolved, the decisions to be made,  and the
information which is needed to make the decisions.
    OSWER LIFE CYCLE MANAGEMENT GUIDANCE  ~ PART I          Page 6

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       PART II
      GUIDANCE
LIFE CYCLE MANAGEMENT

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                                PART II

                               GUIDANCE
A. SCOPE OF LIFE CYCLE MANAGEMENT

     1.0 LCM Decisions

     Life cycle management is a structured decision-making process used
to develop automated  information systems.  The guidance in this section
addresses the five phases of the process, the actions that are required
of the AIS project administrator,  and the documentation that is re-
quired to support decisions of the Steering  Committee  (SC).

     The Steering Committee is composed of OSWER Office Directors and
is chaired by the Deputy Assistant Administrator,  OSWER.   The chairman
appoints the permanent members of each program's Configuration Manage-
ment Board.   Each AIS will be reviewed by the appropriate CMB prior to
submission of the system decision paper to the Steering Committee.  The
CMB must review all relevant  documents prepared by the Project Adminis-
trator and forward a recommendation to the Steering Committee on the
pending decision.

     Decision-making under the life cycle management process is not a
substitute for ongoing project management functions such as budget,
time, and staff allocations, tracking of expenditures,  review of draft
deliverables, etc.  Decisions by the SC authorize further development
or actions with regard to an AIS.

     1.1 Life Cycle Phases

     Life cycle management decisions are made at least five times in
the development span  of an AIS.  These decisions may or may not corres-
pond to project development phases, although for the purposes of
resource allocation for large projects,  such a match is mandatory. The
five phases of LCM are:

     — Project Initiation (Mission Needs Analysis)
     — Concept Development
     — Definition and Design
     — System Development
     — Operational Evaluation
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 1

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     The CMS has the responsibility to recommend the extent to which
the formal requirements of LCM will be applied to each AIS.  The review
by the CMB includes factors such as size, cost,  complexity, and other
project management considerations.  The CMB may  also recommend that
some phases be combined to save time or to accommodate system develop-
ment methodology such as rapid prototyping.  However,  every AIS will be
subject to Phase 1, "Project Initiation."  The PA will document how LCM
phases are combined or are subordinate to each other.

     1.2 LCM Roles

     The primary participants in the LCM process are as follows:

     — Project Administrator:   is the EPA employee directly managing
the development of the AIS, usually with contractor support.  The PA
prepares the system decision papers for the Steering Committee.  The
papers are reviewed by the Information Management Coordinator  (IMC) and
the CMB.

     — Information Management Coordinator:  the line supervisor in the
OSWER program office responsible for all operational matters related to
information resources in that office.

     — Configuration Management Board:   the EPA employees with direct
interest in the management and operation of the  AIS under development.
Members are appointed by the chairman of the Steering Committee.

     — Information Management Staff:   the branch in the AA's immediate
office with oversight and policy responsibilities for life cycle and
configuration management.   Members of  this staff serve on program
office CMBs.

     — Steering Committee;  the convening of OSWER Office Directors as
a policy making body for information resources management issues and
for review of IRM plans, budgets, and system development decisions.
The committee is chaired by the Deputy Assistant Administrator, OSWER.
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 2

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B. DETAILED EXPLANATION OF LCM PHASES


Phase l:  Project Initiation

     Action Items; Review and approval of the "Mission Element Needs
                   Statement" (MENS)

     PA Role; Prepare the MENS

Note: A checklist of information topics to be covered at this stage is
included in  Part III of this guidance.

     The initiation of an AIS is the responsibility of the project
manager.  The need for the AIS can be prompted by any number of factors
such as new legislation, changes to regulations, or the growth of a
program putting additional* demands on systems that involve manual
processing of data.   The need for an AIS  does not stem from the simple
fact of available, unused computer capability.  Further, the need does
not define the system and capacity does not drive design.

     The question to be answered in Phase 1 is  whether OSWER resources-
should be committed to resolving the problem identified by the informa-
tion need.   The PA addresses this question and  supplies his proposed
solution in the documents submitted to the SC — the "Mission Element
Needs Statement" and proposed project plan.

     The PA must submit the MENS to the Configuration Management Board
for review before it is submitted to the Steering Committee.  The role
of the CMB is to ensure that the MENS is complete.  If not, it is
returned to the PA for a rewrite.

     The decision to be made by the SC in Phase 1 is whether a new
system is needed.   If not,  the request for the AIS is rejected.   If the
answer is yes, the next question is whether the budget will allow
further development.  If the answer to the budget question is yes, the
SC gives th« green light to work on Phase  2, "Concept Development."
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 3

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   Phase 1
   System
   Initiation
    MENS
   Phase 2
   Concept
 Development
   SDPl
  Phases
  Definition
 and,Design
   SDP II
  Phase 4
   System
Development
   SDP III
  Phases
Operation and
 Maintenance
  SDP IV
                                                          PA
 CMB
Steering
Committee
Steering
Committee
                           System  Initiation

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Phase "l\  Concept Development
     Action Items:
     1. Approve recommendations in System Decision Paper I.
     2. Formal acceptance of proposed project management plan.
     3. Review and approval of system requirements documentation.
   PA Role:
     1. Prepare the MENS.
     2. Prepare the project management plan.
     3. Prepare the feasibility study.
Note; A checklist of information topics to be covered at this stage is
included in Part  III of  this guidance.
     In Phase 2 the PA must prepare a "Feasibility Study" and an
"Economic Analysis" to support further development of the AIS.   The PA
must analyze all  the appropriate cost factors as part of the
justification to the SC  that further work on the AIS is cost-effective.
These studies are incorporated into "System Decision Paper I" which is
reviewed by the CMB prior to submittal to the SC.
     Questions that must be addressed by the CMB include:
     — Is the mission need for the AIS still valid?
     — Does the best alternative available satisfy the need?
     — Is the best alternative viable within OSWER's budget?
     These are questions that the Steering Committee will ask and it
is the responsibility of the CMB to make a recommendation to the SC on
each issue*  If the SC accepts a recommendation to proceed,  it gives
the PA authorization to proceed to Phase 3, "Definition and Design."
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 4

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                                             MENS
                                           Acceptance
   Phase 1
   System
   Initiation
           Prepare
        Feasibility Study
        ——and——^
           Economic
           Analysis
  Phase 2
  Concept
 Development
                                             Mission
                                              Need
                                               Still
                                              Valid?
  Phase 3
  Definition
 and Design
             Beat
           Alternative
            Satisfy
            Need?
  Phase 4
   System
Development
                                            Alternative
                                              Within
                                             Budget?
  Phases
Operation and
 Maintenance
                                             Budget
                                             Permit
                                              Dev?
 Repeat
Analysis
  and
Resubmrt
                                            Phase 3
                                           Authorization
                                                          PA
                         CMS
                                                          CMB
                         CMB
Steering
Committee
            Concept Development Phase  Flow

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Phase 2:  Definition and Design

     Action Items;

     1. Approve recommendations in System Decision Paper II.

     2. Accept Configuration Management Plan.

     3. Review and approve test plans, technical and user documenta-
        tion,  and training plan.

     4. Structured walk through the system.

   PA Role;

     1. Prepare system design documentation.

     2. Update the MENS.

     3. Update the project management plan.

     4. Prepare System Decision Paper II.

Note; A checklist of information topics to be covered at this stage is
included in Part III of this guidance.

     In Phases 1 and 2, the SC approved a specific concept to resolve a
mission need.   In  Phase 3  the PA must identify the detailed functional
and data requirements of the AIS.   He or she must document the specifi-
cations of the AIS needed to meet these requirements.   This includes
testing the AIS to prove it will meet the design specifications.   The
analyses conducted in Phase 2 may eliminate the need for Phase 3  for
smaller systems.  However, the PA still must inform the SC of this
approach and obtain their concurrence.

     In Phase 3, the AZS has progressed beyond strategic plans and has
entered a pbase in which the CMB must make informed judgements as to
whether tbir AXS will perform as intended by the PA. The CMB  reviews
the PA's «k by asking the following questions:

     — Do the functional and data requirements, as defined,  support
        the MENS?

     — Do the system specifications and design  follow the functional
        and data requirements?  Are they consistent?

     — Is the system,  as designed,  still cost-effective and within the
        budget approved by the SC?
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE ~ PART II         Page 5

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   Phase 1
   System
   Initiation
   MENS
   Phase 2
   Concept
 Development
  PhaMS
Operation and
 Maintenance
   SOP IV
    MENS*\
  Acceptance   ]

      *      '
C   Concept   ^
   Appfoval    J
  Phases
  Definition
 and Design
  Pha*e4
   System
 Development
Define Functional
   and Data
 Requirements
                                          Prepare System
                                           liner rtfc; atjonn
                                          System Design
                                                           PA
                                                          CMB
                                                          CMB
                                                          Steering
                                                          Committee
                         Definition and Design  Phase

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     If the CMB agrees that the answer to these questions is affirma-
tive, it will  forward its recommendation for action to the Steering
Committee.   The SC reviews SDP II.   If it decides to accept the recom-
mendations of the CMB and the PA, it authorizes continuation of work in
Phase 4, "System Development."


Phase 4_:  System Development

     Action Items;

     1. Approve recommendations in System Decision Paper III.

     2. Certify that the system meets user needs.

   PA Role;

     1. Review user comments and evaluations.

     2. Update the MENS.

     3. Update the project management plan.

     4. Prepare System Decision Paper III.

Note; A checklist of information topics to be  covered at this stage is
included in Part III of this guidance.

     By the end of Phase 4 a great  deal of work will have been com-
pleted.  The MENS was accepted in Phase 1.   The system concept was
accepted in Phase 2.   In Phase 3 the PA developed and gained  approval
for the system design.   In this  phase the PA develops and tests the
system.   This is where programmers  do their work,  where the system  is
"debugged," and where users pass on the question of whether the system
as developed will  meet the needs identified in the MENS.

     But it is not only the users who must pass on the question of
whether the JOS meets the needs identified in  the MENS.  SDP III must
be prepared by the PA for consideration by the CMB and approval by  the
SC.  It mu«t address the question of whether the AIS meets the original
and detailed requirements laid down in Phases 1 ,2, and 3.  SDP III
addresses the issue of whether the AIS is still cost-effective.

     The CMB has a major role at this point.  It must review the
detailed technical documentation, the results of system tests, user
comments, and other project reports which indicate whether the AIS  is
acceptable for use in OSWER.  The CMB makes a  recommendation to the SC
based on these reviews.  Ordinarily, the SC will not review the docu-
ments read by the CMB.  However, the PA should be prepared to brief the
SC on any aspect of the AIS should  questions arise.
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 6

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                                               MENS
                                            Acceptance
                                              Concept
                                              Approval
Phase 1
System
Initiation
                                            Function and
                                            Specifications
                                              Approval
   Phase 2
   Concept
 Development
                                              Develop
                                              and lest
                                              System
   Phases
  Definition
 and Design
                                 Return
                                   to
                              Development
  Phase 4
   System
 Development
                                            System
                                             Cost
                                           Effective?
                                Modify
                               or Find
                              Alternative
  Phases
Operation and
 Maintenance
                                            MENS
                                            Valid &
                                           Satisfied?
                                Modify,
                                 Find
                              Alternative
                                or Stop
                                              Phases
                                            Authorization
                                                            PA
                                                              CMB
Steering
Committee
Steering
Committee
                          System Development Phase

-------
     Questions that must be addressed in SDP III include:

     — Does the system, as programmed,  meet specifications?
     — Is the system cost-effective?
     — Is the MENS still valid and are the needs in it still satisfied
        by the system?

     If the SC accepts the recommendations in SDP III,  the PA gets the
green light to put the system into operation.  At least once a year
after operations have begun, the PA will review the status of the AIS
to determine whether it should continue to be an OSWER system.  This
work is done in Phase 5.
Phase 5:  Operation and Maintenance

     Action Items;

     1. Approve recommendations in System Decision Paper IV.

     2. Certify that the system continues to meets user needs.

   PA Role:

     1. Review user comments and evaluations.

     2. Update the MENS.

     3. Update the project management plan.

     4. Prepare System Decision Paper IV.

Note; A checklist of information topics to be covered at this stage  is
included in Part III of this guidance.

     A CMB im responsible for oversight of each operational AIS in
OSWER.   It is also responsible for advising the SC of the continued
need for and satisfactory operation of each AIS.   If changes  are pro-
posed for the system,  the PA and CMB work together to prepare SDP  IV.
This decision document addresses the issues of AIS retention,  phasing
it out, modification,  or replacement.  In addition,  SDP IV addresses
technical and budgetary considerations.  The CMB bases its review on
the knowledge gained thorugh change control activities under configura-
tion management practices over the overational life of the system.
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 7

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     Questions that must be addressed in SDP IV include:

     — Is the system still needed?
     — Is the system economical?
     — Are there system problems?
     — Should the system be adandoned or replaced?


     Enhancements to existing systems are subject to LCM  control and
review by the CMB.  These changes require approval by the SC.   Major
enhancements,  such as the acquisition of new software or  equipment,  may
require recycling of the entire LCM process.
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 8

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                                                                              C"MENS"N
                                                                                 Acceptance    J
                                        Phase 1
                                         System
                                        Initiation
                                         MENS
                                        Phase 2
                                        Concept
                                       Development
                                         SOP I
                                         Phase 3
                                        Definition
                                       and De*ign
                                         SOPH
                                        Phase 4
                                        System
                                      Development
                                         SOP III
                                        PnueS
                                      Operation and
                                       Maintenance
                                         SOP IV
H
(
                                                                                  Concept
                                                                                  Approval
(
                              Function and
                             Specifications
                               Approval
                                (System    A.
                              Performance   I
                               Approval   J
                           System Operation and
                              Maintenance
                             iv*Juat«"syst»m
                                                                                                 PA
                                                CMB
                                                 CMB
CMB
                                                                        Enw
                                                                     Decision in
                                                                      AOPPIan
                                                                                                   Steering
                                                                                                   Committee
                                                                                  (Phases   A
                                                                                   Annual      I
                                                                                 Authorization  J
                                                           Operation and Maintenance  Phase

-------
C.  LCM DECISION FREQUENCY

     The PA may cateogrize the proposed AIS in terms of complexity and
criticality for the purpose of requesting a reduction in the number of
mandatory LCM decisions.  In terms of LCM decision frequency,  there are
three levels.  Depending on the level detemined, the PA may request
limited relief from the normal frequency of LCM decisions.   However,
the Steering Committee makes all final determinations.  The levels of
decision frequency are:

     Level 1:  The PA may request relief from all decision points
               except the MENS and SDP IV.

     Level 2:  The PA may request relief from SDP I and SDP III.

     Level 3:  All LCM decision points and documents apply.

     To determine the level of the AIS,  the PA should consult the
Attributes Chart,  which follows this section.  For any  AIS  with attri-
butes listed under Level 1 only (with no attributes falling in Level 2
or Level 3), the PA may request classification as Level 1.   Profes-
sional judgment and experience are required for systems with Level 2
attributes.   The ambiguous columns of level 3 are for Steering
Committee use in determining supporting documentation requirements;
AISs in Level 3 are subject to all LCM decision.

     Estimation of the AIS level  by the PA at project initiation is
preliminary only.  Final determination will  be made at the end of  Phase
1 when more is known about the characteristics of the AIS.   Most of the
attributes,  except for those specifically ADP-related,  are  evident at
project initiation.  Classification usually can be made at that time.

     In requesting decision reduction, the PA should make a copy of the
Attributes Chart and draw vertical lines to the right of each
applicable attribute.  These vertical lines will constitute an AIS
profile that will  expedite the  Steering Committee's determination  of
the permissible levej. for the AIS.  (Visually, the profile is clearer if
horizontal lines connect the vertical delineators.)
   OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART II         Page 9

-------
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-------
         PART III






DOCUMENTATION REQUIREMENTS



            FOR



  SYSTEM DECISION PAPERS

-------
                               PART III

         DOCUMENTATION REQUIREMENTS FOR SYSTEM DECISION PAPERS
A.   Application of LCM

     1.0  General

     Within OSWER all AIS systems, whether existing or planned, will be
subjected to LCM control.

     1.1  New Systems

     An AIS includes hardware, software, and secondary equipment,  along
with the facilities and operations required to support them, designed
to satisfy a functional OSWER need.   OSWER offices will  develop and
implement all new systems under LCM control whether the systems require
additional equipment or not.  In general, applications that make use of
existing data bases without change to data input will be considered
modifications rather than new systems.   In each instance,  the decision
will be made by the Steering Committee after receiving recommendations
from the CMB.

     1.2  Degree of Formality

     Project Administrators will follow all provisions  of Phase I of
LCM control for each AIS.  The decision to proceed to the next phase is
determined by the Steering Committee.  For minor changes to existing
AISs,  the CMB will determine  if the  change is subject to LCM.  For
minor AISs for which the need is readily apparent,  a brief transmittal
memorandum may suffice for project initiation and be acceptable as the
MENS,  at the discretion of the Steering Committee.

     1.3  Private and Local Systems

     It is the policy of OSWER that private and local systems (either
hardware or software) be discouraged.  Such systems cause maintenance
and compatibility problems, compete for resources with approved general
systems,  result in incompatible data bases,  and prevent  comparability
of output nmng programs and systems.

     1.4  QM of Existing Software

     The burden of proof that no existing Government-owned or off-the-
shelf software exists to satisfy a mission need, or that no existing
OSWER or EPA system is able to meet the need, rests with the sponsor of
an AIS.  The Steering Committee will  closely examine the following
against existing software and systems:

     o  Data base management systems and report writers.
     o  Tracking systems.
     o  Project and program management systems.
     o  Budgeting, account, and spread sheet systems.


 OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART III        Page 1

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     o  Personnel accounting systems.
     o  Mailing list systems.

     1.5  Pilot Development

     OSWER encourages pilot development of major systems,  even though
they may not require major hardware acquisition,  as a prudent measure
to ensure satisfactory system performance.

     1.6  Prototyping

     OSWER accepts prototyping as a method for system development if it
can be demonstrated that such an approach is likely to be cost-
effective and can ensure satisfaction of mission needs.  All prototype
projects must include a proven and workable method for generating
required system documentation, including fully commented source code;
there must be a plan for guaranteeing maintainability; and ensuring
total traceability of all data elements.  Use of an approved data
element dictionary is mandatory.

     1.7  Hardware/Software Tradeoffs

     Even though hardware is relatively less expensive than software in
most systems, OSWER discourages excessive hardware over-capacity, and
the Steering Committee will closely examine all hardware acquisitions.

     1.8  Test Data Bases

     To provide a basis for Steering Committee decisions,  test data
bases shall  be designed to  "stress" the system at maximum input,
output, and capacity limits and to demonstrate the ability of the
system to recover from error conditions and failure modes.  Concurrent
processing of live delta may be utilized if it satisfies these other
conditions of the test data base.

     1.9  Privacy and Security

     Privacy and security provisions will be demonstrated to the CMB
prior to operation of any system using live data and shall be
specifically reported to the steering Committee.

     2.0  Individual Projects

     OSWER will control subsidiary AIS task orders that occur within
the overall  life cycle of a new or existing major AIS.  In addition,
the PA will subject these subsidiary task orders to review as part of
the continuing LCM process.   This situation arises  primarily when
changes, modification,  and enhancements to  an AIS are developed as
individual projects.  The situation may result from parallel
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE ~ PART III       "Page 2

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development or acquisition projects.  Further,  the  Steering Committee
may designate a group of related small projects as  a single AIS for LCM
purposes.

     The Information Management Staff will identify the relationship of
each subsidiary task order to the mission need  and  objective  of new or
existing major AISs.   The Steering Committee will examine this
relationship during reviews of both the AIS task order and the major
AIS.

     3.0  LCM Supporting Documentation

     The Steering Committee will determine the number of decisions to
be made over the life of an AIS.  The Project Administrator will
propose an LCM review schedule as part of his project  management plan.

     LCM documentation must be submitted to the CMS in advance of
scheduled reviews, and allownace must be made in the project management
plan for the LCM decision process at the end of each phase.  The
Director,  IMS, will provide technical oversight and direction of the
review schedule.

     OSWER policy states that the documentation guidance of FIPS PUBS
38 and 64  will be followed for all AIS development. Copies of FIPS
PUBS 38 and 64,  and of instruction manuals implementing this guidance
are available on loan from the Information Management  Staff.
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART III        Page  3

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     4.0  System Decision Paper Information Requirements

               SYSTEM DECISION PAPER I SUMMARY, GENERAL

YES  NO  N/A

              The mission need is reaffirmed to be essential.

              A Project Administrator has been appointed and necessary
              staffing approved.

              The alternative system design concepts adequately reflect
              a broad segment of the technology base and provide an
              acceptable competitive environment.

              The functional objectives have been prioritized.

              The general functional requirements, including security
              requirements,  have been developed and validated.

              The alternatives considered satisfy the misson element
              need.

              The projected resource investment for the selected alter-
              native has been estimated and is consistent with the
              stated constraints.

              Preliminary plans adequately describe concepts for train-
              ing, logistical support, organizational relationships,
              post-implementation support,  and operation of an auto-
              mated system.

              Use of available and existing automated systems has been
              adequately considered.

              The acquisition strategy effectively integrates the tech-
              nical  and management elements of the project and supports
              the achievement of project goals and objectives.

              LCM policies have been adequately treated in the planning.

              Standardization and operational requirements have been
              adequately considered.

              Risk and obscure areas have  been identified and
              adequately treated in the planning.

              Strategies have been conceived to facilitate the transi-
              tion of the current functional system to any of the
              alternative systems to be explored.

              Configuration management has  been established for control
              of functional requirements.
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE ~  PART  III        Page 4

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               SYSTEM DECISION PAPER I SUMMARY, GENERAL
YES  NO  N/A
              Interfaces with other systems that have been adequately
              identified and defined.
              An Economic Analysis has been prepared.
              No existing EPA or other Federal AIS is known that will
              meet the requirements of the MENS.

                    SYSTEM DECISION PAPER I SUMMARY
                   FUNCTIONAL AND DATA REQUIREMENTS
YES  NO  N/A  Input Analysis
              Is similar data collected only once by the same unit?
              Are input forms consolidated to serve multiple  purposes?
              Are the controls adequate?
              Are duplicate data types and elements eliminated?
              Is the timing or response time adequate?
              Is the flow between units smooth?
              Do all conditions seem to be anticipated by all units?
              Are the described actions adequate?
              File Analysis
              Can the files be grouped by a commonality of needed currency?
              Can the files be grouped by a commonality of content and
              structure?
              Are major divisions of the files fully mechanized?
              Output Analysis
              Can the reports be grouped by their content?
              Have duplicative reports that are the same except for
              sequence or a few minor fields been eliminated?
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE  — PART  III        Page  5

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YES  NO  N/A
              Are the same reports,  produced in different phases  of  the
              same process,  eliminated?
              Are reports eliminated or combined where possible?
              Are the frequencies justified for management  of the process?
              Are the controls duplicated or common to various reports?
              Procedure Analysis
              Do the functions and data satisfy the original  stated
              request or objective of the project?
              Is all of the required data to accomplish the objective
              present?
              Do new files have to be created or new processes
              established to accomplish the objective?
              Performance Analysis
              Is the system well used?
              Do the controls delay the system so that the  reports are
              not timely?
              Is the present organization sufficient to handle the new
              system based on:
                   Location?
                   Specialized personnel?
                   Assignment of responsibility?
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART III        Page  6

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                SYSTEM DECISION PAPER II SUMMARY


YES  NO  N/A

              The mission need is reaffirmed.

              The functional system design has been revalidated and the
              baseline for the functional system has been established.

              Specifications for hardware,  software,  and  data base  have
              been developed.

              Plans for logistics support,  security and privacy
              protection, training,  operational test and  evaluation,
              configuration management,  organizational relationships,
              development, acquisition,  and post-implementation support
              have been updated.

              Risk analysis has been performed reflecting total system
              development.

              The Economic 'Analysis has been updated.

              Configuration management for the total system has been
              established.

              Acquisition plans to obtain the required ADP equipment
              and other resources are finalized.

              Planned computer resources will meet stated operational
              needs.

              Future changes to hardware, software and data bases can
              be accommodated without system redesign.

              Interface and operational requirements can be met.

              Trade-offs between hardware,  software and manual  proce-
              dures have been made.

              If parallel development efforts  are to be used, appro-
              priate control mechanisms will be designed.

              Contractor versus Government development issues have  been
              resolved.

              Planning for preparation of test and evaluation is
              adequate.

              Test data are representative of the total range of data
              and conditions that the system might encounter.
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE ~ PART III        Page 7

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YES  NO  N/A
              Testing will clearly identify whether deficiencies are
              software or hardware related.

              No existing Federal AIS could satisfy the requirement.
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART III        Page 8

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                   SYSTEM DECISION PAPER III  SUMMARY


YES  NO  N/A

              The mission need is reaffirmed.

              Computer programs and data bases have been fully
              developed.

              Standardization and operational requirements have
              been satisfied.

              System support documentation has been developed.   (This
              includes maintenance manuals, user manuals, and operation
              manuals.)

              Unit and system(s) level test and evaluation results
              support a decision to proceed with development of  opera-
              tional capabilities.

              The results &f a functional configuration audit, the
              physical configuration audit, and  a product verification
              review have been evaluated; all support products  (e.g.,
              users,  operations and maintenance manuals) have been
              reviewed.

              An intensive internal review has confirmed that the
              developed system satisfies the  design and functional
              requirements.

              Life cycle schedule, cost, and  budget estimates are
              realistic and acceptable.

              The Economic Analysis has  been  updated.

              The system is  cost effective and affordable and remains
              the best acceptable solution.

              Trade-offs have been made  to effectively balance cost,
              schedule and performance.

              The acquisition strategy has been  updated and  is being
              «OMCUt«d.

              The end products of development are controlled as
              configured items.

              Planning supports the acquisition  strategy and provides
              flexibility for delivery dates and quantities  when
              options are used.

              Issues concerning delivery,  quality  assurance,  and facil-
              ities are identified and satisfactorily  resolved.
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YES  NO  N/A
              The project management structure and plan are sound and
              adequately supported.

              Planning for implementation is adequate including
              staffing and training,  documentation, operational
              considerations,  security and privacy, and integration
              with existing operational systems.

              System deficiencies revealed in testing have been
              satisfactorily resolved.

              Support facilities are ready.

              Plans for anticipated system improvements have been
              established.

              ADP equipment acquisition is on schedule.
 OSWER LIFE CYCLE MANAGEMENT GUIDANCE — PART III        Page 10

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