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L/rvX
                                           EPA MAJOR SYSTEMS PROFILES
                                                TABLE OF CONTENTS
                            SECTION I

                            1.0  BACKGROUND

                            1.2  PURPOSE

                            1.3  METHODOLOGY
                            SECTION II

                            2.0  PCS SYSTEM PROFILE       	  *

                            2.1  NEEDS SYSTEM PROFILE     	  26

                            2.2  CERCLIS SYSTEM PROFILE   	  63  ,

                            2.3  FRDS-II SYSTEM PROFILE   	.'.  39

                            2.4  STORET SYSTEM PROFILE   	  131

                            2.5  CLP/SMO SYSTEM PROFILE   	  150
                                HEADQUARTERS U8RARY
                                ENVIRONMENTAL PROTECTION AGENCY
                                WASHINGTON, D.C. 20460

-------
 J/WlMPOflf''
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1<
                                        EPA SYSTEM  PROFIXJ
                            Sine* 1974 the Environmental Protection Agency (EPA) has
                  expanded to  support additional  legislative Acts  such as  the clean
                  Water Act, the Toxic Substances  Control Act, and the Super fund Act.
                  For  each Act the Agency  establishes a supporting program office
                  which  is responsible for carrying  out  the  functions intended by
                  legislation.   In order to  carry  out these  functions the program
                  offices often develop information systems (IS)  which are  necessary
                  to exercise  their responsibilities.  Program offices often develop
                  an IS with their own standards considering their specific problem.
                  This can result in the existence of several  computing systems that
                  overlap  one  another in  the  scope  of system  functions and the data
                  universe which they operate in.  In  order to provide better service
                  and  coordination  to  the Agency's  program  offices,  the Program
                  Systems  Division is gathering available  information on existing and
                  planned  AOP systems.   This information will be used to plan  and
                  support  guidance activities  with PSD.   This EPA  system  Profile
                  document provides  a summary of  several  existing EPA systems.   The
                  intent of  this  document  that  is  to  provide  a  mechanism  for
                  coordinating future  development  activities  and aid in locating
                  information. This  document contains profiles for the  following
                  systems:

                             o   Permit compliance  System (PCS)

                             o   NEEDS Survey (NEEDS)

                             o   Comprehensive Environmental Response,  Compensation &
                                Liability Information System (CERCLIS)
                             o  Storage of Retrieval of water Quality Data (STORET)

                             o
Contract Lab Progam/Sample Managment  Office Systems
(includes:   SAM,  STAT,  CCS,  MIS-RAS &  TIP).

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          Th«  purpose of the Profile t»»Jc is to provide EPA with
a  high-level  profile of major  EPA  information  systems.
                                                          .
profiles  are desired to b«  effectively ussd for different u»er
groups including EPA management and technical staff.  Th« Profiui
should be broad enough to includs all ksy systam points and narrow
enough  for  the parson  reading  the document  to determine  the
following:

          o   significant differences between systems profiled

          o   purpose the system wee developed to support

          o   functions the system performs

          o   how the system performs it  functions

          o   kind of support  the system  and  its maintenance
              staff provide to its users

          o   type of system documentation available

          o   data domain of the system on a  broad  scale

          o   who the users are

          o   what is the status of the system

          o   background of the system

          o   technical configuration of  the  system.
          This  document  can be  used by  system developers   to
identify the  systems they need to interface, provide  information
about a  specific system; and to  anyone  at EPA who needs to  kr>ow
where specific data  is being retained and  how to access  it.

          The document can provide guidance for the development of
future  information  systems in  terms  of  developing standards,
identifying  weaknesses,   improving system performance  and  user
support,  as  well  as  how  to  streamline  information   system
development.

          Although this  document  profiles  ten major EPA  systems a
full examination of  the  EPA  system environment  cannot  be obtained
without  further  examining other  EPA systems.   Some  recommended
systems are:

          o  Aerometric  Information Retrieval Systems  (AIRS)

          o  Compliance  Data System  (CDS)

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          o  EPAY Payroll System (EPAM)

          o  Facilities Ind«x System (PIMM)

          o  Financial Management systa» (PUS)

          o  Grant* Information and control Syateat (Gics)

          o  Hazardous Wasta Data Management Syataa (KWOKS)

          o  Raaourcaa Managaaant Information syatan (RMIS)
     METHODOLOGY

          Ona key element  of the profile task wa» to  develop an
outline for tha profile document which would ba conaiatant for each
system; would identify the  functionality  of each system; and would
focus  on  other key  attributaa such  aa  hardware, software,  key
files, data  base,  data domain,  communications,  interfaces,  user
training,  user correspondence, and  documentation.   Also included
in each profile is a  background section which explains how and why
the system was developed,  and what  changes had thus far occurred
from the time of system implementation up until the time the system
was profiled.

          Developing  each  profile  began  with  an  information
gathering  stage  which  included   interviewing  system  owners  and
developers,  and  reviewing  all available documentation including
memos,  newsletters,   user  guides,  specification documents,  and
program documentation.   Some profiles contain  more  details than
others. Tha depth and scope of tha information raaources available
varied among the systems  profiled.   Some  systems  had extensive
resources available while others  did not.  The inconsistency of the
resources is reflected in the profiles.

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2.0  PCS SYSTEM PROFILE

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 i I

 M.
 5 B I
 III
 i i
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 1 i
 5 I
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111
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                          PCS PROFILE


                            QUTLIHE
1.0

1.1
1.2

2.0

2.1
2.2

3.0

3.1
3.2

3.2.1
3.2.2
3.2.3
3.2.4

3.3

 3.3.1
 3.3.2

 3.4

 3.4.1
 3.4.2

 3.5

 3.5.1
 3.5.2
 3.5.3

 4.0

 4.1

  4.1.1
  4.1.2
          Svatea
Systea Purpose
System Background

User Environment

User Support
User Training

Technical Overview

Hardware/Software Environment
Subsystem Environments

   Data  Entry
   Data  Edits
   Updates
   Data  Retrieval

 Data

   Systea Data Base
   Files

 Hardware

   Type
   Peripherals

 Software

   online
   Batch
   CooBunications

  Svatea Functions

  System Input

    Data Input
    Update

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4.2

4.2.1
4.2.2

5.0

5.1

 5.1.1
 5.1-2

 5.2

 5.2.1
 5.2.2
 5.2.3
 5.2.4
 5.2.5

 6.0

 6.1
 6.2
 6.3
system output

  Ad-Hoc Data R«tri«v»l
. Reports
System
User Chang*  Control Proce»»

   System Enhancements
   System Problems

 Technical Change Control Process

   Change Control System Design
   Change control Documents
   Change Control Activity
   Change Control Testing
   Implementation of Changes

 Documentation

 User Documentation
 Technical Documentation
 Data Dictionary
  Appendix I  sample System Function screens
  Appendix II Documentation Matrix

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                             PCS PROFILE
 1.0
 1.1
SvstemOverviev
System Purpose
          The purpose of th« Permit Compliance System  (PCS) is to
 track and monitor over 130,000 industrial and public works
 facilities  in support of the National Pollutant Discharge
 Elimination System  (NPDES).  PCS trades permit information
 issuance through expiration as well as additional data including
 : general permit information, government grants issued; appeals
 and hearing requested by the permittees and facility inspection
 data.
1.2
System Background
           PCS was developed under the Office of Hater Enforcement
and Permits  (OWEP) to support NPDES.  The NPDES issues permits to
facilities discharging pollutants into our nation's waterways.
Each permit  limits the amount of pollutants a facility may
legally discharge. Actual measurement limits, for pollutants and
beneficial elements are specified on a permit. Maximal limits are
indicated  for acceptable levels of a pollutant. Minimum limits
are indicated for the minimal amount of beneficial elements that
are required, such as oxygen.

     One of  the major functions of the NPDES program is to
determine  which facilities violate permit regulations.
Depending  upon the severity of the violations, action may be
taken by the EPA to insure future compliance. These "enforcement
actions" that the EPA issues may appear in many forms. The
actions taken become more severe as the violations continue.

     Another important aspect of the NPDES program concerns the
maintenance  of discharge limits on existing permits as a result
of new laws  requiring stricter regulation.  These new laws may
require revisions to existing permits, resulting in pollution
discharge  limits being lowered or raised significantly. The
revised permit may contain instructions to build nev filtering
plants to  comply with new regulations. If this is necessary the
EPA will set a time schedule with completion date milestones for
building new plants. These "compliance schedules* must be met
within the time frame specified or enforcement actions will be
applied.

     Hany  reports are required by Congress to identify NPOES
violators  and the accompanying enforcement actions taken by the
EPA. Both  state and regional EPA employees use PCS as a tool to
determine  who is violating the Clean Water Act, to what extent.

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and what prior action ha* b««n taK*"-
2.0
          User
                                      of  th« state and regional
                               ,,-
          Th« viser community con?i5or»»tion.   Each
 employaa* needing MPOES program  *";igl,at«l states.  However,
 offica is responsible for their  JJJJy'vno have develop** their
 regions may contain interface  J**^'  mtarfaca states must
 own tracking and compliance »*»**•!; tn« PCS data basa (typically
 supply require MPOES information  to w
 via a batch upload process ).
                                                   contcal
 purposes .
  requests.
            contractors are e.
ploy^. .« create and run retrieval
  2.1       User Support
            A representative users group meets twice a year with
  Headquarters staff and technical staff to discuss PCS issues. The
  forua for these user conferences includes discussion o£ new
  policy decisions, and present and future enhancements. These
  conferences are attended on a volunteer basis.

             Headquarters maintains a "status" dataset  in TSO/SPF.
  This dataset  contains the  status of the update runs.  Users may
  determine whether the update  is still  running or if any problems
  have occurred by browsing  the status  dataset. This dataset also
  contains scheduling information such  as dates  for future  training
  and implementation  dates  for  major  enhancements.

   2.2       User Training
             Training is conducted by the Headquarters staff on a
   monthly basis. Generally, between ten and fifteen users need to
   request training before a training class is scheduled.
   Headquarter* offers a two and  a half day beginners seminar and a
   two day advanced course. Only  one of the two courses is offered
   each month.  Training is offered regionally and usually occurs
   onsite  or in the vicinity of the requesting majority.

             The PCS  training program encompasses  all aspects  of
   using  PCS however,  the  following items are not  included  ;
   references  to PCS  Oser Guides used in the field, a detailed
   overview of the HPDES  application  and TSO/SPF training ( TSO/SPF

    is offered by the  MCC  ).

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         Technical
         Hardware/Software Environ***           — 1BM
         Th. PCS costing «.»     iiK u«ing
sections.


  2      Subsystem Environments

, , ,     Data Entry
          PCEHTK,  - D.« "try pro,r».
                   III

 3.2.2    Data
, 2 2     Data Edits
         Mt. -i«.« ^-«- ssa1-Sv^vgiTr-
»«" ^i!.!>ss's~" ^nr.iln«r.~ -i«u* «• »1"-"
 Batc  e
 are written CICS COBOL.
 ADABAS/NATUFAL.

 3.2.3     Updates

           All regular updates are performed biweekly in a batch
  COBOL mode. A "Direct Call" COBOL program is used to apply
  transactions to the database.  DIRECT ***TfT- programs access   the
  database at a lower level than Fourth Generation NATURAL.  Lower
  level meaning "closer* to machine cod*. This software is more
  difficult to develop  and maintain,  but provides more efficient

  transaction processing.

            valid edits for records which are dependent upon the
  existence of other related records are performed during online
  editing and batch update processing.  If the necessary records
  exist the record  is added to the data base.


   3.2.4    Retrieval
            GENERALIZED RETRIEVAL -  A series of batch COBOL
            programs which  generate  NATURAL code to access  database

            records.
             INQUIRY - CICS COBOL and Dynamic Source NATURAL code
                                 10

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               used in con
          tha  database.
                         ,-unction to generate NATURAL queries to
3.3
         PCS Data
                          •-jin PCS i» related to th* events
          Information r«tain**acjivitie».  Data related to permit
surrounding permit compliance »°";ctionm, government grants
issuance and acceptance, site inspec     £ ^    enforcement
issuance, scheduling, wast* di*P°.sT>   oermittee protests and
actions, identification-otvioUtions  Permittee pr^
regulations appeals are all part or ww
 3.3.1
           Data  Base

 „   .
 in a hierarchical format.
           PCS data base acces.  i»
 primary key.  The
                                                         sasa
                                          through the
                                          .  is called L
                                  tni.gue.Ly identifies each
EM**.*.*., .  	               part of the key in every PCS
data base record.
          The PCS data base contains approximately 8 million
records.
                                                 »

3.3.2     Files
          PCS uses approximately 8 different files called the
Permit  Facility, Effluent, Compliance,  Inspection,  Enforcement,
Evidentiary  Hearings, Grant and Permit  Events.
          Permit Facility data contains general  facility
 information  such as  name, address and classification.
           Effluent data includes three levels of data; pipe
 schedule (  identifies currently monitored pipe  ), parameter
 limits ( identifies  pipe parameters being- measured ), and
 measurements' ( records the parameter measurements ).
           Compliance data tracks schedules for milestone events
 and scheduling violations.
           Inspection data records the  inspection  date,  type and
 inspector.
           Enforcement  data identifies  actions taken and which
 violations  occurred to provoke enforcement.
           Evidentiary  Hearings stores data related to permittee
 protests and  regulations  appeals.
                                  II

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          The Grants CU« contain. record* of which
      watertreaEint Junts «r. I..*** <,ov.r»ent
          Mnlt *.»« -» "«" °" U5amn°' •"" •Ce"t"C'
of the permits.
3 4       Hardwar*


3.4.1
                           IBM 3090 - 300 (SIERRA SERIES)
          CPU   	* *
   4.2     p«riph«rals
                   *
                   -            u .».«

  3. S       Software


            PROGRAMMING
                      	 COBOL (Batch 6 CICS)
                             AOABAS/MA1
                             DBASE III
             coBWinications
   -53

             „,.„  in
   central  controller

   4  0
                                    IZ

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4.1

4.1.1
         System Input

         Data Input

         The PCS design
          l. card image processing
character card i»ag. data sets and
once the card is submitted and the
                                   thr«« methods to «nt«r data
                                     and 3.  PCEHTRYV
                                          section,.
                                                      bat"'™?
                                                         the card
                                                               The
            ie:   D-NHD0002323001A9	861231

            The  first character  '0' identifies the transaction as a
            Delete transaction.
            The  next two characters '-N1 identifies the record type
            as a measurement.
            The  remaining  characters  represent measurement data.


            Card Image processing requires extensive TSO^SPF

  knowledge.
            2. PCSADE is an on-line,  menu driven, full screen
  system that allows users to add new records and display existing
  records for deletion or change.  PCSADE provides online editing
  so data is edited as it is entered.

            PCSADE  offers Add, Change and Delete transactions,
  however a Browse  or View option is not available.  The  Change
  function  does not immediately update  the data base, it  submits an
  update transaction which takes effect when the Batch Update
  process is  run.   PCSADE provides a Help function.  The  Help
  function  contains information about how to use PCSADE,  it does
  not include a list of any  acceptable  entry codes.

             3.  PCEHTRt allows users  to  enter data  on a PC and
  upload the data to the mainframe.  This system is menu driven with
   full screen access similar to PCSADE.
                                    13

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4.1.2
          Although three ways to enter data exist,  there  is only
one vay to apply the transactions to the PCS database,  ie...
update tha database.  Due to the high volume of data entered, no
data  is updated online.  All-update transactions are processed by
a standard Update Job run twice a week.

4.2       System Output

4.2.1    Ad-Hoc Data Retrieval

            Once the data has been applied to the database it can
be retrieved.  Currently there are two ways to retrieve data.
They  are  :  Generalized Retrieval and INQUIRY.

      Generalized Retrieval is-the most widely used PCS tool. This
facility allows users to set up batch retrieval statements in a
manner similar to the card image data entry. The user submits
these statements and receives either a "canned4* report: or a
customized report. The following example conveys how Generalized
Retrieval works.

          ie:  10 STTE - HO
               10 SIC2 * 49S2
               20 FAC-NAME

     The numbers 10,20 identify tha commands.
     A 10 command indicates selection criteria
     A 20 command indicates what is requested to be displayed
     The first 10 command requests the state  (STTE) of
     Maryland(MD)
     The second 10 command indicates the user requests  all sewage
     treatment plants(internally identified by code 4952)
     The 20 command indicates the user requests the Facility name
      (FAC-NAME) be displayed on the report.

          The subsequent report produced would display  the names
of all the sewage treatment, plants in Maryland. Although, widely
used because of its tremendous flexibility. Generalized Retrieval
has batch limitations similar to the batch data entry method.

      The online "IKQOIRY" system provides an interactive  single
query function.  Bach request must be followed by pressing the
•ENTER' key, after which another request may be made.   INQUIRY
has two separate modes, Prompt and Command. The Prompt  mode  is
menu driven and the user selects from a series of "canned
reports". Examples of "line by line" processing and Prompt and
Command modes can be found in Appendix A. The reports produced  by
the INQUIRY system appear online.
                                14

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i 4  *
s.o
5 i
                           U,.r Chang* Control Ptoc««»
                                         —fierio d«pict» th* process wliicn
                           Th« following scenario
                           »Y«t«» ca.
                                            _,.- to  PCS H«adquart«r* hotlin*.
                           -  u»«r report* probl«« «        «t
                                         >.IM is logg«d on th« PCS o»«r R«qu«»t
                                       probl«« i» 10^^

                            -  Headquarters staff analy«s th. proble.

                            -  Headquarters staff d.t.r»in.s  extent of
                                                 -.issa arssss staf
                            -  Head^arters
                                                      software -oaif icat.cn
  s.l.l
                             syst«M Enhanc«««nt

                             sy.t«i

                    accomaodate the change.

                    5  1.2     System  "Problems"
                              svst«  "problems"   are ^'"owirsrch.  (

-------
5.a        Technical change Control Process
ar*
tti« »«ctianic* of tha technical change control process
   Cor «yata» enhancement* as thay
to b«
 5.2.1
tha sa»a for system enhancement* a* they ara for softwara
bl***?l* ^^ tYP** of approacha* require existing software
a modified.
Changa Control systaa Oasign
      PCS  incorporataa two softvara anvironnants, davalopmant and
production  thus adharing to standards sat by MOPO. Tha production
environmant contains tha actual softwara and data tha usar
accessas. Controls hava baan iaplaaantad which rastrict
production  updatas outsida of tha ragular updata procass. Tha
development environmant allows software modification and testing
to ba dona  on  subsets, of actual data. This dual system allows
softwara  aaintenanca and modification without interrupting the
production  system.
5.2.2
tha
Changa Control Documents

Documents involved in tha change, control process are


    PCS User Request

    PCS Cobol/Fortran Tracking Form    \

    PCS Natural Program Tracking Form

    Change/Enhancement Test and Acceptance Form for
    Natural Progra
5.2.3
    PCS Program Updata Log

Changa control Activity
          After tha softwara ha* baan changed tha  programmer is
responsible for testing tha change.

          once tasting is complete tha original  request form is
updated to indicate a resolution for tha problem is in effect.
Additionally, tha softwara tracking forms and change acceptance
forms both online and bound copies ara completed.   All forms are
reviewed by a senior project manager.
5.2.4
Changa Control Tasting
          Testing is performed both by tha programmer making the
change and Headquarters personnel.  Tha modification* must ba
tested and cleared by both parties before being passed to tha
National Computer Center  (NCC).
                                16

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5.2.5     Implementation of Change*

          Th« HCC is responsible Cor moving « software change
fro* development into production.
6.0
     PCS User's
6.1
GENERALIZED RETRIEVAL
DATA ENTRY, EDIT and UPDATE (PCSADE,  PCENTRY,  Batch)
INQUIRY
DATA DICTIONARY

Technical Documentation

PCS Maintenance Manual
Production Control Guide

     User Documentation
          Users Guides exist Cor each PCS subsystem.  Each guide
contains an overview of the PCS data organization,  as well, as
detailed procedures pertaining to accessing the subsystem, such
as ; interactive sessions, screen displays, prompts and reports.

          Users Guides are currently under revision.
Headquarters plans to have these revised documents online
sometime in fiscal year 89.  Online manuals will benefit the
users in that updates to the users guides will be more
manageable, and the time consuming and costly process of mailing
manuals will be eliminated.
6.2
     Program Documentation
Maintenance Manuals - There is an extensive collection of program
maintenance documentation on each of the PCS subsystems.  These
documents contain detailed program descriptions of the subsystem
programs. For instance, the PCSADE document describes each data
entry screen program (NATURAL) and all of the CICS COBOL editing
programs. The description includes a general overview of each
program and the input and output formats where appropriate. In
addition, program flow diagrams are also contained in these
documents.

The PCS project team also keeps a "hard copy" library of every
program in the system filed by program name.

Production Control -  The Production Control manual is an
extensive document detailing the staffs responsibilities. This
document contains listings of all update JCL jobs, the most
common errors that may be encountered, and the appropriate
responses to resolve them.
                                17

-------
6 3       0*** Dictionary
      Th« PCS data dictionary information includes data •Iwwt
descriptions and formats.

-------
          Appendix I
            •  .
System Function
                       scr««ns
                  19

-------
    17"*1*
SCRESK 10   SCREEN HAKE
                     PCS-ADC

                nAIX flENU SCREEN
                                  SC1ECN 10   SC&EEK KAHE
  FAC1
  FACZ
  f AC*
  fACO
  IKSP
  CSCH
  PTRK
  CVHft
  GKNT
  tins
  iron
  EKAC
  EAKS
FACILttt DATA 3CUEEX 1
FACItlTTC DATA 3C1EEK t
FACILITY AOOIE33
OUXEft/OPEftATOA ABD1ESS •
IKSPECTIONS
COMP1IAXCE SCHEDULES
PEinIT T1ACKIX6.
EViaCKTXAKY  KEAtlKGS
QtAKTS
LiniTS
LiniT noorricAtiOMS
EMFOKCtntKT  ACTION
CMFQtCEntXT  ACTION KEYS

PCIi
TAIS
COMLiAXCE SCHEDULE VIOLATIOKS
SIX«IE EVEXT V«"«';Ssca£EK
nETMATnext con? IKS»  "*««
M«rii»tnncT COR? IKS*  SC»EEK
PMTMATHEXt AUDIT  *C*EEK »
PtETltXT«Xt AODIt  SCJEEX 2
P»ETltAT«KT AUDT  3CIEEX 1
 PCS  CODE tiBLE
 •» TEErtlXATES SESSION
  EXTE* SCREEN 10'
                          DO YOU BANT THE CHANCE OPTION  (Y/K)?
                                         20

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                            PCS-AOC
             Facility Owner/Operator  Address  Screen
                    TRAHS coot _   OUXER/OPEI ADDRESS  SCREEX ID. r.co
               	 - - FACILITY OHXEt ADDRESS 	 	 .


FACILITY XAM <«XAN>	__	

ADDRESS LIXE1 (OST1) 	.	_^	

ADDRESS LIXE2 COSTZ) 	-	
CITY COCTY) 	 STATE COSTT) 	 ZIP  COZIPJ

               TELEPHOXZ (OTEL)           _
                                                       1





             	  - FACILITY  OPE»ATOt  ADOtESS  	  -


FACILITY MAHE (EXAF1)    - -  -	

ADDRESS LIME1 CEST1)   ]r - 	 _

ADDRESS LIKE2 (EST2)    ,	  ,	      	 -  ,	 -
CITY  (ECTY)  	 STATE  
-------
   03x09/87
    PCS PC-ENTRY
    VERSION 2.0t
DATA. ENTRY F(INCT:ON
                                                                  PANEL  E.KSNU
SCREEN 10 SCREEN NAME SCREEN ID
FAC\
FAC2
FACA
FACO
INS?
CSCK
PTRK
EVHR
CUNT
LIMS
LI MM
ENAC
EAKS
ENTER
FACILITY DATA SCREEN 1
FACILITY DATA SCREEN 2
FACILITY ADDRESS
OWNER/OPERATOR ADDRESS
INSPECTIONS
COHfLlAHCS SCHEDULES
PERMIT TRACKING
EVIDENTIARY S£AAtNGS
GRANTS
LIMITS
LIMIT MODIFICATIONS
ENFORCEMENT ACTIONS
ENFORCEMENT ACTIONS K£YS
SCREEN ID'.
OFLG
OFLT
EDMR
EVIO
CV1O
SVIO
FCU
PCI 2
PAU\
PAU2
PAU*
PPSl


                                                SCRE~N  NAME
                                              OUTFALL  GENERAL  DATA
                                              OUTFALL  TREATMENT TYPESCOMMEHTS
                                              EFFLUENT DMR PAGE
                                              EFFLUENT MEASUREMENTS/VIOLATIONS
                                              COMPLIANCE SCHEDULE VIOLATIONS
                                              SINGLE SYSHT VIOLATIONS
                                              PRSTRtATMeHT COMP INSP SCREEN  1
                                              PRXTRSATMSNT COMP. INSP SCREEN  2
                                              PRSTUATMENT AUDIT SCREEN t
                                              PRETRXATMENT AUDIT SCREEN 2
                                              PRSTREATMSNT AUDIT SCREEN 3
                                              PRlTRSATMSilT SUMA*Y
IESC:  End Data Entry Function:

-------
                               INQUIRY REPORT:
                       FACILITY  OVERVIEW  REPORT
PERMIT NUMBER: CTOOOOQ86
GENERAL INFORMATION


    FACILITY NAME:  AMERICAN CYANAHID6 COMPANY


            ACTIVITY DATE:
ACTIVITY STATUS          :  ACTIVE
MAJOR/MINOR DISCHARGER   :  MAJOR
TYP£ OF OWNERSHIP        :  PRIVATE
STD INDUSTRIAL CLASS(SIC):  PLASTICS MATERIALS AND RESINS
;i!uJ?!m"til?J*Nc"  '.  PRIORY    PRIMARY CATEGORY: PLAST

CTTY  • WALLINGFORD /T/               STAT6 : CONNECTICUT-
STY; NEW HA""                    «M""« o*  SUB-REGION: z

RIVER BASIN      : NE/PAHCATUCK                    "VER REACH:
RECEIVING WATERS: QUINNIPIAC RIV
   ENTER A CARRIAGE RETURN TO CONTINUE, OR
   ENTER 'SKIP' TO SKIP THE NEXT SECTION —  PERMIT INFORMATION

-------
    Appendix II
Documentation Matrix
          24

-------
25

-------
2.1  HHfflS StSTW PHOFIL8
                                  26

-------

-------
2.0
, i
3 ; 2
   21
                   EPA KAJOR SYSTEMS PROFILE



                            QUTLIHE
i i       System purpose
1.2       system Background
2 i       User support
2.2       User Training

3.0       T'inTiri1rril '•~«™i««
          Hardware/software Environment
          subsystem Environments
 3
 ?  2  2       Data Edits
 3*2  3       Updates
 3 ".2. 4       Dat* Retrieval

 3.3        Data

 3 3  i       system Data Base

 3 '.3 ".2       *il«*

 3 . 4       Hardware
  3.5       Software

  -.51       on-line
  352       Batch
  3.5. 3       communications
  4 0
  4>1        system Input

  4.1.1       Data input
  4.1.2       update


  4 2       system output
                                   28

-------
4.2.1
4.2.2

5.0

5.1

5.1-1
5.1-2

 5.2

 5.2.1
 5.2.2
 5.2.3
 5.2.4
 5.2.5

 6.0

 6.1
 6.2
 €.3
  A* Hoc Data. Retrieval
  Reports
Svati
User Chang* control Process

  System Enhancements
  System Problems

Technical  Chang* Control  Process

  Changa Control system Design
  Change Control Documents
  Change Control Activity
  Change Control Testing
  Change Control  implementation

 TVacmty^t* t ion

 User Documentation
 Technical Documentation
 Data Dictionary
                                    29

-------
1  0      Svste»
,  i        System Purpose                                 .   ,, .
                               — survev  which is technically
          The  purpose of the «••*• *"? Q^~ Sy»te« <*«<»*> •  ^
supported by the  Retrieval .*£££  ". EPlT'7 biennial a"""^
|o summarizs and  report to cwj^  publicly-owned waste  water
"  the  cost  of  constructinq  a^. |oal, o/the Clean Water Act,
          Baclcground

                s»r».y
  itut technical  support, «**"* ^  contractor.
  the Needs data bas«.                              arant-«ligible
                           ssar — - — '"
                                                            -
                          problem
                                  30

-------
       will provid€  .  construction *rant baaa-lin. against which
future SKT data can be compared.
2.0
          Oaer Environment
          Needs  is used  by  the
private firms, public interest .
states are the source of the data
through RUQuS.
                                          and  *tat« governments,
                                          ^de associations.  The
                                         in I* tne Needs data basa
 2.1
          User Support
           User support services were developed based on the  fact
 that  a  substantial  number of  RUQuS  users will  not  have TSO
 experience.   User  support  includes  a Hot-Line, On-Line Bulletin
 Board, user communications,  and Meeds Survey Workgroup.

           The user Hot-Lin* is available to any user with questions
 concerning  hardware,  communication  linkage problems  and  RUQuS
 software  use.   The  National  Computer Center  (NCC)  may  also  be
 contacted regarding questions concerning hardware configurations.

           The On-Line Bulletin Board will make available  at regular
 intervals information about Needs Survey activities, meetings, data
 analysis, and RUQus system-related information.
                                                       *

           The Needs  Survey Workgroup serves to disseminate  Needs
 Survey  and  RUQuS  information  and  as a  forum to  discuss  Needs
 progress,   problems,  and  enhancements.    The  Needs  Workgroup
 comprises  regional,  local,  and Headquarters  staff,  and  meets

 annually.

 2.2       User  Training

            During the spring of 1987, RUQuS training sessions were
 held at  various  locations  around  the  country.   These  training
 sessions served to introduce state Needs Survey personnel to both
 the NCC  and to the use of  RUQuS software.   Feedback  from these
 training sessions resulted in further enhancements and refinements
 to the RUQuS software,  which were included in the Version  I release
  of RUQus in November 1987.
  3.0

  3.1
            Technical, Overview

            Hardware/Software Environment
   3.2
             Subsystem Environment
                                    31

-------
3,2.1
Data
                Entry
          The  data entry  portion of  RUQuS  resides  in  the TSO
environment.  Menu, and screens support the «ntry of Needs Survey
data.

3.2.2     Data Edits

          Data which arc entered via th« RUQuS screens are edited
by tha "Master Edit" process.   This process checks for data format
and performs a cross-edit of the data relationships.

3.2.3     Updates

          Updates are applied to the data base as soon as a record
either passes the "Master Edit" process or an operator stores the
record in "Interim*1 status, which allows  for later  updates to be
applied.
3.2.4
Retrieval
          Information is retrieved from RUQuS by retrieval screens,
reports, or ad hoc query.  All retrieval requests are made in the
TSO environment.   Tha General Query function is the  only query
method which operates in line-by-line mode.           ,
3.3
Data
          The data which comprises the Needs Survey data base  are
facility  needs,   population,   flow,  effluent,   unit  process,
documentation, and state-related.  For data integration purposes,
facility compliance  records are stored separate  from Needs in a
shared file.

          Tha Needs Survey reports present and future  resident  and
non-resident year populations  for each facility in four specific
categories.  Tha categories ara:

          - Receiving Treatment

          - Not Receiving Treatment

          - Receiving Collection  (sewage)

          - Not Receiving Collection.

The populations  are reported from a number of sources  including
Section 208 planning documents, facilities planning documents,
and  state planning  offices  that deal  with  population  issues.
Population data ara essential for calculating EPA cost curve-based
estimates  for those facilities  with a  documented  problem  but
insufficient information from which  to obtain a cost  estimate.
                               32

-------
          Flow  U th*  total
treatment  piwit.  total «<
iMtitutlonal, industrial, and
in  millions of  gallons P«f
reportad In  tha K««d«  survay
                                         all
                                                    through  the
                                                     commercial,
                                                     U «««*ur«d
                                                             ««
                                   retained  in th«  <**ta
                                    onth     **
           Effluent infection i*
 design permit limits and onca a»
 of  treatment  category  for  the
 concentration data  are reported
 (BOD),  suspended solid.  (SS)
                                              lants.     Effluent
                                           parPa1Mt.rs  biological
                                                and  phosphorous
                                             '           Effluent
    - Existing
                         -  recent  12 month  averages  for
                          Discharge Monitoring Report
     *  Present Design  - current national Pollutant Discharge
                         Elimination System  (NPDES) permit limits

     -  Future Design   - future NPDES permit limits if a
                         plant upgrade is planned or more
                         stringent state limits are imposed.

          Unit processes refer to tha treatment and sludge handling
for each  treatment facility.   Unit  process coda  information is
retained in a RUQuS table for the  following categories:

          - physical/chemical treatment

          - biological treatment

          - land treatment

          - sludge treatment and  disposal

          - disinfection

          -  noncentralized collection/treatment

          -  facility control

           - type of facility construction.

           Documentation  of  the  findings  of  Needs  survey   is
 necessary to support the conclusions of the Survey. RUQuS provides
 a variety of documentation data types  including:
           - Capital improvement Plan  (CIP)
                                 33

-------
           ~ ^nitration/inflow (I/I)  Analyst,
           - Sewer system Evaluation Survey
           - Final Engineer's Estimate
           - Cost of Previous comparable Construction
           - Facility Plan
           - Plan of study (POS)
           - state Project Priority  List
           - state-Approved Area wide or Regional Basin Plan
           - Grant Application
           - Municipal Compliance Plan  (MCP)
           - Diagnostic Evaluation
           - Administrative Orders
           - Court Orders  or  Consent Decrees
           - Sanitary Survey
           - State-Approved Local Comprehensive Water and Sewer Plan
           - State Certification of  Excessive Plow
           - State-Approved Municipal Wasteland Allocation.

           In order to support the  separate needs  of the states,
RUQuS  retains and  services  all undocumented  facilities.   State
Meeds data are stored in  the  same fashion  as are Needs facilities
records with the exception of an additional  flag indicating the
record as  state only.
3.3.1
System Data Base
          The Needs  Survey data base contains cost and technical
information  on  approximately  24,133  wastewater treatment and
collection facilities nationwide, including facilities with  unmet
needs and those for which needs have already been met.
          The  Keeds/RUQus data  base is  a single  inverted  file
structure which utilizes In-house Software  (IKS).

-------
3.3.2
PilM
          RUQUS data i, .tor* in
contain* all the application record
                                IHS
                                                   **** flU WhiCh
3.4


3.4.1
Hardware

Type
           RUQuS and the Needs data base are active on the IBM 3090
 Located at the NCC.
 Peripherals
 3,4.2
           Peripherals  selected  for   RUQuS/Needs   are  at   the
 discretion of the user, however, peripherals selected must be able
 to emulate  an IBM  3270  or   VT-100  and have  telecommunications
 software.   An  asynchronous  modem with 1200 to 2400 baud  is also

 required.

 3 . 5       Software

           PL1  is used extensively for RUQuS software.
                                                       >

 3.5.1     On-Line                               »

           PL1, Assembler, and COBOL are used for RUQuS screens and
 online programs.  The programs are run  in the  ISPF environment.
 3.5.2
            Batch
            PLl,  Assembler,  and COBOL  are  used for  RUQuS  batch
 programming needs.
  3.5.3
            Communications
            Any  terminal  or  PC  used  to  access  RUQuS  must  use
  Crosstalk or an equivalent.

  4.0       System Functions

            RUQuS is an on-line,  full  screen software system which
  provides data input and querying capabilities for the EPA's Needs
  Survey data base.  RUQuS's primary purpose is for use by EPA and
  the states as  a management tool for analyzing and inputing Heeds
  Survey data and generating custom-made reports.  Eventually, RUQuS
  will  help link the  major Office  of  Water  data bases  and will
  support  the  management of the State  Revolving  Loan Program. In
  order to effectively depict the costs and needs of sites. Needs
  must have the  technical support to allow for the entry, updating
  and  retrieval  of  all  necessary  survey  data  including flow,
  effluent,  liquid,  liquid effluent disposal, treatment and sludge

-------
                                                      , and

    Vs in lin-by-Un.

         syst«m Input
 .
         Data ar« input
screens .


4'111    r^- «
 4 2      system output

  '
 O.n.r.l
  4.2.2     Reports
           RtJQuS provides a variety  of reports,  including standard
  and custom report generation,  via the General Query function.
  Facility fact  sheets  (FPS)  comprise  standard  reports  and  are
  available as either a two or three page report.   The two page
  report contains all survey data.   The  three page report  contains
  -11 survey data plus review record  data such as historical screen,
                   **~—' •*• code status.

    S£s«»=5-

-------
5.1       U««r Clung* control Proc«»«
S.I.I     System Enhancements
                             »««••• *nh«nc«»«nt rsqu«»t« to  their
          Users  report any «y«ta* "w
Keeds Survey Regional  Representative.
          _   „   .   „      uarkoroup  r«vi«ws  all  «nhanc«n«nts
          Th«  N««da  Survey WorKgrw«r    h
submitted,  and prioritizas  th«  acc.pt«d changes.


 reflect the changes.
 5.1.2     System Problems
           Users report  system  problem,  or bugs to the  User Hot-
 Line.

                                           *

            The  status  of  syst« probl«»  i.  reflected  on  the
 Bulletin Board.
  5.2

  5.2.1
Technical change Control Process

Change Control System Design
            A development/test version of software is kept separate
  from production.
  5.2.2     Change control Documents
            A change control  log is maintained for system problems
  and enhancements.  The log resides in a TSO data set.
  5.2.3
 Change Control  Activity
             Changes  to  Meeds  are  examined,  and approved or rejected
  by  the  Needs  Workgroup.    Needs  technical staff  modifies  the
  software necessary to facilitate the change(s).
   5.2.4
             Change Control Testing
                                   37

-------
5.2.5     Change Control
          After a th<
software to the production
 5.0
           User Documentation
           U.S.  1988 H««ds Survey User Manual
           RUQuS User's Guide
 functions .
  6.2        Technical  Documentation
            No technical documentation exists for RUQuS  outside of
  the  commented statements inside the software programs.
  6.3        Data Dictionary
            A data dictionary  is  maintained and accessible on-line
  through the TSO environment.  The Needs data base data dictionary
  was written in IKS.

-------
          Appendix I
Sample System Function Screens
               39

-------
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                                             45

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i/' x*"**™
         n^^w
          Ham
•> X
 : xxxxxxxxx
NfBCS
                                          st»t««
 city «*«••
 county Kama    •'
 county Hu«b«t  -> XXXXX
 r*"_JI.-.« TO  «> XXXXXXXXX

           Deductions «•> XXXXXXXX
                                                 «> xxxxxxxxx
                                                 »> x
                                                  '*
                                  rutuza

                                       v vvXXXXXX ««>  XXXXXXXX
                         ..> xxxxxxxx ••> xxxxx***
Gt
»nt Mu«b«*«
xxxxxxxx
xxxxxxxx
xxxxxxxx
xxxxxxxx
xxxxxxxx
xxxxxxxx
xxxxxxxx
xxxxxxxx
: XXXXXXXX

comuixD «••>
K«itt Scraon »> X
Efft MX*»» *»**••»•— -
r.t««ory 0«»i«n T«a*
cat«***r >B> XXJtxxMX
z -•> xxxxxxxx
,. -•> xxxxxxxx
,_ ..> xxxxxxxx
;.. .-> xxxxxxxx
u. --> XXXXXXXX
5 ..> XXXXXXXX

— roPOLATlOM BA« (S«E=*

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• *>
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• •>
• «>
• •>
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»«>
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>•>
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• •>




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        Futur.
           MO COll


          > XXXXXXXX


          > xxxxxxxx
rutur.
            KO C011

         .> xxxxxxxx
                   ;.; c.11

                 ., „»««  -«» ««»»" -» """"
                 ., IXIxx«x  ."> «»««» —' """"
                          Kon-tos
                             Coll
                                               KO
                                .> xxxxxxxx «

                                .> xxxxxxxx -
                             «-> XXXXXXXX  -»«> XXXXXXXX


                             «»> xxxxxxxx  *•*> xxxxxxxx
                          46

-------
                           -riou
                                      cscactH
conntM»
N«Bt ««••» •> *
              > xxxxxxxxx
                            rto«
                                               OF
         total       — > XXXXXXX



         Industrial  -»»> XXXXX**


         Ra.idantial     = XXXXXXX



             Ctotal flou -
                                       .»•> xxxxxxx   «»•> ixxxxxx


                                                      ia*> ZXXXXZZ
                ,..> xxxxxxx


                    . XXXXXXX
                                                          •. zxxxxzx
conruKD «••>

Maxt Option  *>  X
                                     OAT*  CSCMCK o	
                                           xxxxxxxxx
       prasant
       .«»>  X
                 rutura
                 »»«> X
                                          u c
                                          X X
                      DISPOSAL or
                            DOC
                       «»»> XXX
                                                              o u c
                                                       »»«>
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    Phos    >
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    PH
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           xxxxxxx
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 > xxxxxxx
COKCCKT1ATXQKS. rtOKTHlt XTtHOtS	
       	PEESEKT  OESX8K—    —•-rUTEIX
                   Effluant
                  > xxxxxxs
                  > xxxxxxx
                  > xxxxxxz
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                  > xxxxxxz
                  > xxxxxxz
                   > xxxxxxz
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 lafluant
> xxxxxxx
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> XXXXXXX
> XXXXXXX
> xxxxxxx
 > XXXXXXX
 > xxxxxxx
 liiluai*
> ZXXXXIX
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> IXXXXIX
 > IXXXXI1
 > SXXXXIX
 > IXXXXIX
  xxxxxxxxx
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                                     ,m»>
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                                       xxxx  «•«>
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 > IXXXT.IX
 > IXXXSIS.
                                                                      s»i> XXT.X
                                                                      «,t> xxri
                                    47

-------
connAMo ••»>
K*xt optioa •>
    —	unit rioctis  DATA octtcK

          A/r Mu*b*C  : XXXXXXXXX
                                                              •—  iou x or
                                                               SCtOlJ.  »««> X
                    Facility Status
                    Matuc* Pt*s*nt
                                    - 7A -«>
                                    - 7» ..>
                   Katuz* *roj«ct*d - 7C -«>
                   facility Chmn««  - 7n «•> x
                                           > x
stt
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
                             X
                             X
                             X
                             X
                             X
                             X
                             X
                             X
                             X
                             X
                             X
                                       Chma«*
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
                                         X
connAMD •-•>
                        -niSCClLAXCOUS DAtA (SCtXCK H)-
X*xt Scz**iv *> X        A/f Ku«h«t = XXXXXXXXX
               Phas«d/S*t««at*4 C Hon"Ph«*«4/Korv-S*9««nt«d Info
 Award
 Status

 :  X   >
 =  X   '•
 •  X
           axes
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        XXXXXXXXX
        XXXXXXXXX
        XXXXXXXXX
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      = XXXXXXXXX
      : XXXXXXXXX
      : XXXXXXXXX
 Fun*
 Out*

xxxxxx
xxxxxx
xxxxxx
P/S
•  X
:  X
>  X
X
X
X
X
X
X
 3X

••  x
'  X
  X
 R«»eh Nuaa«S           «««> XXXXXXXXXXX
 1971 P«f t«^ Coil      «•«> XXXXXXXXX
 CoM«nt Cod«s          «»> XXXX
 9t-SOO/Sub funding     «»»> X
 Can9x«ssi«n«l District ««•> XXXX
 Location Codos         «»«> XXXX
 facility tatitudo.      *>» XXXXXX
 facility Lon^titud*    -««> XXXXXXX
                                          taach nil«s        <<*> ixxxxr.
                                          Subbasin Kuab«c    ***> xx
                                          stcoaa Us*         -»*> xxxxxx
                                          Coaplianca Status  >«» x
                                          najoz/ninoc Status »»*> X
                                          Co*fllianeo Souxc*  ***> xxxxx
                                          Compliant* Oat**   *-«> XXX
                                          Coasliane*
                                          co***nt -«> XXXXXXXXXXXixxxxxra:
                               4S

-------
conn»»» ""*

X*«t Of ti«« •> *
 *          "
                              . MMXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
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                           ••
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         _______________ 5TAtE ESTIHATE OAT* CSC1EEK S)

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                   >
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xxxxxxxx
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                                                         xx*
                ,wl> "xxxxxxxxxxxxxxxxxx x JX
                st»Li> xxxxxxxxxxxxxxxxxxxxxxxxx         xxxxxx
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                                                          xxxxxx
                                    49

-------
1 1
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                                       IJJ*JM, „
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 .>
                          «««HlSCtLLANCO«S  OATA«««
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Location CodM
Dun £ Bt»dstr««t Mo.
•> xxxxxxxxxxx
«> XXXXXXXX
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• > XX
-> XXXXXXXXX
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                                           Strata Us*
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                                           Plac* Cod*
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         = > x
         »> XX
         «> XX XX
         *> xxxxxx
         »> xxxxxx
         .»> XXXX
connAMD  •*•>
                          AMD UXIT P10CCSS DATA  (SC1EEK  X)
                                     	  ROU 1  OF
                                      SCROLL -==> C
                                         OISPOSAI  or tiauio EFFLUENTS
                                                    C      0«C      OU
Kext
Screen *> S
u « <-
— m. U u |«
---•» * * Y *
»»> XXX =*=
A/F Xumber : XXXXXXXXX =•-•' * * * 	 ~ „ „
«"COXCEMTaATIOMS DATA CHG/L)*"
EXISTING PRESENT OCSIGX FUTURE
Influent Effluent Influent Effluent Influent
BOO > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
Sus Sol > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
Phos > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
Acaaonia > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
pH > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
T*«p > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
D.O. > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
K Deox > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX > XXXXXXX
•"UNIT PROCESS OATA»" Pres Effluent
SEX. Tteataent Type Use Chan?* Fut Effluent
v Y v y
A A n «









XX
XX
XX
xx
XX





X
X
X
X
X










A
X
X
X
X










> X X X
DESIGX
Effluent
> XXXXXXX
> xxxxxxx
> xxxxxxx
> xxxxxxx
> xxxxxxx
> xxxxxxx
> xxxxxxx
> xxxxxxx.
= = *> X
= »»> X










                                  51

-------
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              t« «•*«*• t «« r*:i*. infozmmtion S«z*«a
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COftflAKD  • ••>
                                                               «»
Facility Maa*

NFOCS Kuabar

City Kama

County  Xa>«

      i  Cod* or
           Stat« »bhr«vi»tioa
                                ...> XXXXXXXX    TO
                                ,..> XX
                                                     „>
                                                         xiixxxrx

             ** Tna r»**^*4t.,  _
               (KKDtCAD).  is  	
               a  Salactad Facility Tail
               ation of tha £ollouia$ c
               City  Kaa*. Cotaty Haa*

              • th* facility S*l«ctio£ Sczaaa is csaful uh«a uantia?  to
               updata or r««iau faeilitias 5? cocaty, iot isstaaea.  or
                for finding  iacilitias foe «iich you do aot iaou -^ie  A/r  I.
         **««>**»*>ia«*B*aB***a«««a*a****a**a»BB»«**a'>axsx»**x*x*aassxsx23::
                                    S3

-------
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        • •«>
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     H20020001
                                 AOtHOtITT
                                   tHOCNXXVXLlC
                                   SOOTH COATCS
                                   UCSt CKCSTCK
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                                                       S»tXX03 CXtt
     «»20061001
     (420070001
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     1,20076001
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      H20086001
      H20095001
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                     KOITH COVtKTlt
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sftxxa CITY
UEST CHtSTtl
UEST CHESTER
EXTOK
etVEXSOX
KEMXETT  Stt«*«
UEST a*OVE
 LOKOOK saovE
 HOKETtMOK
 K  COVEHTXY
                                       «a
  COnnXKTS
           «   -
              to sczoll up on* »«««<_..
              to sczoll down on* scr««n
              to go back to  th* Facility Selection Screen (if in
                   Shozt au*zy) ox to th*  K**ds  Survey Selection Sczeon

                   (if  in  General 3u*zy>
                to  access  a h*lp  scz**n
                Th* S*l*ct*d Facility  Y&bl* displays all th* facilities
                selected »ith*r through Shozt ftuery or  General  Query

              - Although th«r* is no limit to th* number of  facilities  that
                can b* selected,  only 20 will be displayed at  a tiae  on the
                screen.  Us* th*  sezoll commands to go up  or doun the table

               - To select  facilities  foe  update oz zeviou. tab doun the
                 left-hand  column and  typo in an  beside each A/F nu«

                 you wish to see,
               - Uh*n finished with th* facilities  selected, you will be
                 returned  to th*  Selected  Facility  Tabl*.   Th* "S" markers
                 will b* conveztod to "m*  to  indicate  that tho facilities

                 haw* b**n reviewed.
                •  Us* SELECT Alt to  select all of the facilities on a screen
                  foz review oz update by  placing an  at  th*  prompt.

                - Us* VALIDATE EX flASSE to do a  mass update  of facilities foe
                  either all th*  A/F Mumb«zs  selected  through  placing an *S*
                  in th* loft column  oz by selecting all A/F numbers  through
                  SELECT Alt.   An Update  Validation Screen will appear to
                  update all  the  A/F  numbers  chosen.  Only on* screen can be

                  mass  updated at a tim*.
             «»aaa»a»»«»B»»»«»«»«»»«•««»»•»•»»»•»«»»»•»»»«»•»•«»****»*»»****--

-------
conn*MO
                       r*!**
                                  XXXX
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                       BOX/*11*
 COHMIIH-
               """"
          <«»>
                             •«•«
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                            Fmet Sh««t Scr««n*
           . „.
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             3.
=.«" -> r.r.J%£ .»:«•'" -"•
                               Ft » Us«c ID («.9..


                                     a*«a*»a***

-------
          IBS  6«aecai auery Facility
                  sanoio
            teieese oate< 01/1«/»«
           « «  *— NXCDS*«  —« « »
             Prompting Levels*
  «••  7.UICK   — For the expert      user.
  K:  XOMUL  — For th« «icp«ri«ne«d u*«r,
  V:  VC180SC — Foe th« b«ffinftin?   us«c.
                     KCtBSA*.

n»in B*nu: You h&«« th« following froa uhieh to choose

     X: Exit. Don* with S«r for now.
     H: H«l>. Disflay s«l«ction, descriptions.
     0> Diet. Disffl«y the «»tm «l*««nt 4i«tion«zy.
     C: Celt. Catec or modify data set«*nii\s critorim.
     o: Out.  Cater or modify output report specifications.
     S: Sott. tatec or modify sorting specifications.
     a: »eks. tater or modify actions at coatrol breaks.
     K: Keep. Keep tuery specifications in a library.
     L: Load. Load fuery specifications from a library.
     E: Exec. Execute the «,uery.

For help, enter "H" followed by the Latter for which you  want help.
Example:  For help uith selecting the C<cazi option, enter "HC".

Uhich would you like?
                                56

-------
Selection Crit.  You have the

    X: Exit, aeturn to the
    K: Hew.  Enter all i
                                       «ftl"M
                             »
                          data
    t-
    E: Edit. Oodify
             Add  additional
           i. Display  soee
                                                    thi* *   v'
                                           this
Foe help.
Example1  Toe

Uhich uould you like?
 Output:
                   the following

                Done  specifying  the  output  format.
                Eater all  new output specifications.
                Display  the output specifications alzeady entered.
                (lake  modifications to the existing output specs.
                Add neu  specifications to those already stored.
                Select one of the standard, fixed-format eepocts.
                Turn off standard ceport and let you specify  the  format.

                Enter ceport  title(s).
                Direct report output  to  a  data file.
                Get  further  information  about  this menu.

    for  help,  enter "H"  followed by  the  letter  for which you want help.
    Example:   for  help with selecting HEW specifications, enter "HH".


    Uhich would you like?
      X:  Exit.
      H'  *•»••
      I.:  List.
      E:  Edit.
      Hi  Add.
      S'-  Std.
      U:  user.
      TS  Titl.
      r-  rile.
      K:  Help.
                                    57

-------
                              _ t    $T»T«S    rt e * « "
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                             f0 .->  x*xx«                   SHOH
                                  tS>     10

  CT>     K*>                      t>     «>     no>     C0>
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                                          KR>             S0>       >    , UJl
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                                                                   tt>
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                           SO                           SELECT ILL REGXOKS =


                           TH>
                   to  90
CQnn&KOS*.
            t« tceos* a h*lr «cx*«a

COPirtEKTS--  - Th« Sua»acy  St*tus  tt«au  »llous  you to ehoost'th* st»t* *nd/
             or t?l  t«9ion foe which  you want to obtain a Suxvty status

             laport.
            • Jlceo.»*  to K««da  information i* autoaatically castrictad  by
              tha aa*«uoKd saeucity systaa, .  Than  typa  in an  basida "SHOU
              OOlLAtS?" if you want a raaoct showing Kaads dollar aaounts
              This raport will ba  currant  to tha last systaa u?data.
              displayad on tha Maads  Susvay Salaction Ranu and on tha
                           scraan.
                                                  «»»«a«»»««aaaa*a»=»»»=i3
                dispay
                top of this scraan.
                              »»«m»
                                       58

-------
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                                     59

-------
                        tl0H AMD acn*axs  	

                        ~«*XXXXX      FUCStlTt
PLCASC VCEIFT \*1 MO. «  XX«**M
	  UVOATC V4LIO*
connAxo ••*•>

m •> lt«w*e-»—— •"'—•—•—•— -••—••• «•-•——	
..> xxxxxxxxxxxxxxxxxxxx«xx*j—----xxxixxxxxxxxxxxxxxxxxxx»«*»*---—-—
..> xxxxxxxxxxxxxxxxxxxxxxxxxxx«      KKMjiKMJiMlttJ{XXXXxxxxxxxxKixx
..> XXXXXXXXXXXXXXXXXXXXXXXXXXXK**
  ««a«»»*«-««1
 —
             last  sta»e  «ia*B.u*Z* conn»Ml> ••• > »*••»*•  lls
             cen be entexe* »*.^t.C;racc.ss a help «***»
                     the
             u««4 ii   *
                                                   ^
             - TH« Updmt« V»Xtd»tion  and  l«a*xks Scc««n =*".
               Z. Type in the tevieu Cede «SH> ii the S-»t« is hapsy
                  with the data inputted, o:  ii the State uan^s to
                   subeit an intezie  update).
                1. Type in yeuz initials.
                4. Type in  specific  comments  eelatad te ti«  update oi th*
                   facility.   These  uill hei; the £?l ta»-.»u*t ?e usi*:-
                   stand  changes  te  the  facility.
               -  By  pressing tKTtt after  typii? in *.i« abov* Ln.ictai-.cn.
                 the user uill be eetuxned ts the Ktads Survey s*l*eiion
                 nenu or to the next  selected facility.
                                      a»»»«»»»«»«»»a««»a»»««a»»>i»»*i»»«i = :
                                    60

-------
     Appendix II
Documentation Matrix
           61

-------
62

-------
2.2  C1RCLIS SYSTEM PROFILE

-------
64

-------
                    EPA MAJOR SYSTEMS PROFILE
1.0

1.1
1.2

2.0

2.1
2.2

3.0

3.1
3.2

3.2.1
3.2.2
3.2.3
 3.2.4

 3.3

 3.3.1
 3.3.2

 3.4

 3.4.1
 3.4.2

 3.5

 3.5.1
 3.5.2
 3.5.3

  4.0

  4.1

  4.1.1
  4.1.2
          System
System Purpose
System Background

User Envirpninent

User Support
User Training

Technical Overview

Hardware/Software Environment
Subsystem Environments

   Data Entry
   Data Edits
   Updates
   Data Retrieval

 Data

   System Data Base
   Files

 Hardware

   Type
   Peripherals

 Software

   On-Line
   Batch
   Communications

  System Functions

  System Input

    Data Input
    Update
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4.2       System Output

4.2.1       Ad Hoc Data Retrieval
4.2.2       Reports
5.0
5.i       User Change Control Process

5.1.1        System Enhancements
5! 1.2        system Problems

5.2       Technical change Control  Process

s 2  !        Change Control System Design
| 22        Change Control Documents
|'5  3        Change Control Activity
I 2  4        Change Control Testing
I'l'l        Change Control Implementation
 6.0        Qntat ion

 6.1       User Documentation
 6.2       Technical Documentation
 6.3       Data Dictionary

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1.0
1.1
System Purpose
          The purpose of the comprehensive Environmental Response,
compensation  and Liability  information  System (CERCLIS)  is to
provide tracking, scheduling,  and financial management services to
regional  sites  in  support  of  the Comprehensive Environmental
Response Compensation  and Liability Act  (CERCLA).   CERCLIS is a
tool  which helps  a  region or  site to  meet  Superfund  program
management and  reporting needs.   The data maintained in CERCLIS
include  regional site information  which  is available through  a
regional area network called WasteLAN and  through direct linkup to
the mainframe.  Other site-related information includes financial
information such as budget allowances, administrative data such as
targets and accomplishments, event tracking, site information, and
enforcement activities.
1.2
System Background
          CERCLIS  was developed  by  the  Office  of Solid  Waste
Emergency  Response  (OSWER)  to  support  the  Superfund  program.
Superfund provides a mechanism to  track  and clean up hazardous
waste  sites  located throughout the  ten national regions.   Each
region's activities are tracked through CERCLIS and are monitored
both regionally and by headquarters.

          Originally,  CERCLIS  was  planned as  a site inventory
application.  However, CERCLIS was  expanded to accommodate other
non-site specific and site-related functions, previously available
through systems external to CERCLIS.   CERCLIS expanded to maintain
all necessary functions for operation under one integrated system,
the "new" CERCLIS. The systems made obsolete by this expansion are
the  Removal Tracking System  (RTS),  Removal-Remedial Financial
System  (RRFS),  and  the  Case Management  System  (CMS).   CERCLIS
integrated the Superfund Comprehensive Accomplishments  Plan  (SCAP)
into the "new" system as well.  Therefore, CERCLIS  is currently a
full functioning system supporting all activities necessary for the
collection and reporting of an integrated Superfund program with
project management information.

          To date, CERCLIS has been implemented in all ten regions.
Two  regions  are  currently utilizing  the  WasteLAN,  while  the
remaining regions plan to  link  up  to  the regional area network
shortly.    Those  regions  and users not  accessing CERCLIS  via
WasteLAN are currently accessing CERCHS directly on the mainframe.

          CERCLIS is  currently in the production stage  of  its life
cycle.   During  the  development  stage,  CERCLIS was  piloted at
designated regions to provide a real world environment for  system
testing.    During the pilot, CERCLIS was  modified  to correct
problems and enhance performance.  Currently, additional computing
resources and mirror  image  copies  of the data  base are used to
                                67

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          alow response tim« *nd accommodate user community needs.

            Headquarters has  access  to  tha  CERHELP saction  of
CERCLIS and is rasponsibla for maintaining non-sita specific data
and CERCLXS rafaranca tables,  regional uaara hava accaaa to tha
entire CERCLIS systaa, including CERHELP.


2.0       User Environment:

          Tha  user  community  consists of  Headquarters staff, tha
Army Corps of Engineers and tha regional sita  staff which  includes
an  Information Management Coordinator  (IMC),  Data Administrator
 (DA),  Data  Base  Administrator   (DBA),  and  Data  Handler  (DH).
Headquarters  accesses the data contained  in the CERHELP data base
and updates tha  coda  files and tables contained in CERHELP.   The
Army  Corps of Engineers is integrated with CERCLIS at some  sites
and take on  tha  functions  of  site personnel  since  they are
contracted through the  EPA  to perform cleanup activities.

           Each region should have an IMC,  DA,  DBA,  and DH.  The IMC
 is responsible  for the  Superfund program and systems  management
 activities and will coordinate with tha Environmental Services and
 Management divisions where necessary.  The DA  is responsible for
 directly maintaining and managing CEP.CLIS.   Tha  DA also conducts
 QA/QC activities, generates and designs reports, performs CERCLIS
 queries, maintains tha  regional  CERCLIS  data element dictionary,
 maintains tha documentation library, and coordinates and conducts
 regional training.   DBA functions  aro more technical than the DA
 and include  the development and maintenance of regional CERCLIS
 software,  user  support, and data quality control support:.  Data
 Handlers (DHs) enter data through CERCLIS data entry screens (CICS

 or WastcLAN).
            Contract personnel are sometimes employed to perform some
 technical  and data entry tasks.

 2.1        User  Support
            The CERCLIS  user  group  01:  CERCLIS Management Council
  (CMC) as it is now called includes ten regional representatives and
 ten representatives from Headquarters.   The  CMC meets twice a year
 to discuss CERCLIS concerns  and issues.  The CMC  is organized into
  four work groups which meet  at  least four times a year and  include
  regional  and  Headquarters  staff  (IMC,DA,DBA).  The  four areas
  supported by the work groups are:  Technical  Enhancement; Report
  Development; Support,  Training,  and User Documentation; and Data
  Usage and Quality Improvement.  The work groups support the CMC and
  the CMC reports to, coordinates with, and supports the Management
  Advisory  Council (MAC).   Th«  CMC submits proposed work  plans,
  analyses  of  issues, and problem notifications  to the MAC.

            The   Technical   Enhancement   Work  Group   identifies,
  analyzes, and  plans the activities needed to  improve the system's
                                  68

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hardware, software, and telecommunications  capabilities.
          The  Report Development Work Group identifies  needs for
nev  or upgraded  standard reports,  designs report layouts,  and
proposes report development priorities.

          The  Support, Training, and User Documentation Work Group
identifies,  analyzes and plans the  activities needed to  improve
user support services, training materials and strategies, and  user
documentation .

          The  Data  Usage  and  Quality  Improvement  Work Group
identifies  the needs  and planning activities  necessary for the
promotion of CERCLis usage.   This group ensures that the quality
of  all CERCLIS  data  is  maintained at  an acceptable  level, is
standard  across user  groups,  and includes region  specific data
elements .

          CERCLIS news is included in two dedicated publications:
the  CERCLIS Progress Report,  published biweekly  and the CERCLIS
Connection,    published  monthly.   The  CERCLIS  Progress  Report
contains  information regarding development activities,  training,
documentation,  regional  implementation  status,  highlights of
selected CERCLIS areas, CERCLIS idiosyncrasies,  key milestones, and
meetings.   The  CERCLIS  Connection contains update information,
discussions  of target  CERCLIS areas, regional report information,
practical applications for data handling,  new CERCLIS information,
summaries of proposed and actual changes,  Hot Line information and
upcoming system enhancements.  These publications are  distributed
to the regional Information Management Coordinator  (IMC) .
2.2
User Training
          Initial  regional  training is conducted by Headquarters
either at Headquarters or at the requesting region. Any subsequent
training is the responsibility of the regions and is conducted at
a  regionally  specified  location.     Initial  regional  training
includes classroom presentations on the CERCLIS data base schema,
system documentation and user manuals, demonstration of event and
enforcement activity  screens and a session where live  data are
entered.    Personnel   targeted  for  training  range  from  senior
management to data entry support staff.

          The following courses are available upon demand:

               Introduction to the Enforcement Program

               CERCLIS Report Writer

               Genius and Interactive S2K.

          Courses  available through the CERCLIS  training program
are Headquarters courses such as:
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               Superfund ovarview

               CERCLIs/WasteLAN ori«nt«tion

               C1RCLIS Data Quality I»»ue»

               Using a SAS interface to S2K for CERCLZS Reporting
               and Customized CERCLIS Raporting.

          And regional coursas such ait:

               Casa Budgat CERCLIS

               Raaoval osc and FHS Raconciliation Procadures

               RPM/OSC CERCLIS

               FMS Raconciliation

               CERHELP.

          In   fiscal   yaar  '89,  training   materials  will  be
standardizad  and upgradad.  A Central  Training Library  will be
established and the CERCLIS Hot Line will be expanded to serve as
a mechanism for users to request training.
3.0

3.1
          Technical Overview

          Hardware/software Environment
          The  CERCLIS computing  environment  uses two  IBM 3090
computers, versions 200 and 300.   Th« version 200 is available for
data entry via CICS  screens and  the version 300 is a single user
machine dedicated to data base retrievals only.

          WasteLAN   is  a   regional   area   network  providing
applications written in dBASE III  and  access to system software
such as Timeline and Teleplan.

3.2       subsystem Environment

3.2.1     Data Entry

          CERCLIS  supports two  forms  of  data  entry.   Programs
written  in  CICS COBOL  provida screens on  the central computer.
Programs  written in dBASE  III provide screens  for the WasteLAN
users.
3.2.2
          Data Edits
          Screen data are edited as they are  submitted,  therefore
the edit programs  ara written in tlae same languages as  the  entry
                                70

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                              TIT
                              x"
         /*T^C ^.~.   „  .       .
scraens; CICS COBOL and  B       '««i»r»lly writtan in COBOL PLEX
data diractly to tha »ainfra»« «* •_ g««   transactio
                                   o      MMrtw
                                  B&tch upload* and downloads of
                                                  n COBOL PLEX.
                                                  f il« which i»
                                                  M
                                 _
Batch uploads raquira tha craation o^j
aditad prior to tha application or upa  ^^^   and  corr«ct
submitting   region  is   "{*£**£ tha data basa aftar passing the
transactions which ara appli*** co
edit process.
 3.2.3
         Updates
 uniueviA»«»'»'" j  —————  .— ———— —
 Other batch updates occur  as  neeaea.

 3.2.4    Retrieval

 Ill  for
                   and are
            SO« r.port
                                                 the two
                                                   ous»»ix«l
                                                                to
   national  perspective.
  3.3
            Data
          Wdb.«

          Information retrieval in CERCLIS is related to the events
surrounding Superfund site cleanup removal activities, enforcement
activity, financial activity,  budget and control activity and non-
site specific activities.  Regional data ara also included.  Data
related to  non-site specific  incident (NSI)  activities reside in
the CERHELP data base.   Incident and enforcement activities are

part of the data domain.
            Data  ara  maintained  regionally  through wasteLAK and
centrally at tha CERCLIS mainframe.   Regional data are uploaded to
the mainframe on a weekly basis to permit regional integration into

the national  basa.
          NSI data ara  not related to a sita specific  incident.
They  include:  Targets  and  Accomplishments  such  as,  SCAP/SPHS;
Target/Measure setting and tracking, and  non-site specific (NSS)
accomplishments  reporting.     IMC   staff  enters,  updates,  and
maintains all WasteLAN NSI data.
           Budget and Control  and Advice of Allowance  are functions
 of Superfund program management  and include  items like SCAP budget
 development and control, and tracking of tha Advice of Allowance
 process.   These data are maintained by  Headquarters and provided
 to regions for viewing purposes only.
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          Financial data may or nay  not  be site specific and ar«
part  of the  CERCLIS data  base.    Site-specific  financial data
include obligation data, amount, operable  unit  and events.  Non-
site  specific  financial data encompass all of  the site-specific
data except operable unit and events.

          Enforcement data  include enforcement  activity, planned
and actual milestone dates, scheduled and  achieved milestone dates,
compliances  statutes,   actions  required,  remedies  achieved,
negotiations, judicial actions, and litigation results.

          site-specific  data  are   all  data   involved  in  the
investigation, assessment,  inspection, removal, etc of Superfund
sites.   site-specific  data include  pre-remedial, remedial  and
removal.     Pre-remedial  data  are  related   to  the  initial
investigative phase  of site cleanup.   These activities include
site-initialization,   preliminary  assessment,  site  inspections,
expanded site inspections, list site inspections,  and site hazard
ranking  processing   (NPL  listing).    Remedial   data  contain
information related to tracking fund financial remedial projects.
This  includes  activities   surrounding site project completion,
forward planning, Community Relations, Corps of Engineers design,
technical  assistance,  and  topographical mapping.    Removal data
contains information related to tracking removals  such as removal
action milestones and financial data.
3.3.1
Data Base
          System 2000 is used as the CERCLIS mainframe data base.
The CERCLIS  data  base has related data bases  called CERHELP and
CERTRAN.  CERHELP contains non-site specific (NSS) data which are
maintained by  Headquarters,  and CERTRAN which  is an audit trail
type  of  data  base which  contains  records  of  all data  base
transactions and who made them.  System 2000 is a hierarchical data
base design.

          dBASE III is used  as the WastelAK  regional data base
system.  All the data available in the WastelAN base  are  regional
specific only.  dBASE III is a relational data  base architecture.


          The  CERCLIS mainframe base contains  regional data that
is uploaded from the regions approximately every week. The central
base contains  Enforcement information and the other side  contains
data  related to the events, sub-events,  financial  matters, and
chemicals used during site cleanup.
3.3.2
 Files
          Files documented for use in CERCLIS are transaction files
which are used in the upload and download process.  These files are
temporary and are used as an intermediate cache to hold the data
                                72

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until it can be stripped or integrated into the data base.
3.4

3.4.1
          Hardware

          Typ«
           CERCLIS mainframe  uses  an  IBM  3090/200  andI  an  IBM
 3090/300.  WasteLAM uses IBM or IBM compatible personal computers.

 3.4.2     Peripherals

           The peripherals used  in addition to the
            board,  full   screen  color  ^tors,
            Associated printers include the high
         the local site dependent printers.
 3.5
           Software

           CERCLIS mainframe programming languages include:

                CICS COBOL
                PLEX COBOL
                Genius
                S2K Hatural Language
                SAS
                                                  1
           CERCLIS/WASTELAM  programming languages include:
                 dBASE III  or equivalent
                 CLOOT
  3.5.1
            On-Lin<
            CICS COBOL is used for on-line CERCLIS mainframe screens
  and screen edits.  dBASE III is used for on-line WasteLAM screens
  and screen edits.
  3.5.2
            Batch
            COBOL  PLEX is used for batch  processes on the CERCLIS
  mainframe and dBASE  III  is used on WasteLAM.
  3.5.3
            Communications
             Personal computers on the WasteLAM utilize Crosstalk and
   Carbon Copy to support  their  communication needs to  the CERCLIS

   mainframe.
   4.0

   4.1
             System Functions

             System Input
                                   73

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 4.1-1
Data Input
           Data are input into CERCUS and WasteLAN through several
 diff««n* mechanisms:   1)  FMS data download,   2) WasteLAN upload
 to  CERCUS,  3)  CERCLIS data screens,   4)  WasteLAN  data  entry
 screens,  and  5)  CERHELP  screens  and CERHELP batch  upload and
 download.

           1) FMS data are copied from FMS into CERCLIS.  These data
 are usually copied every Thursday, however the two weeks prior to
 the close of a quarter  and after the close  of  a  quarter,  daily
 updates  can be run at the  Regions'  request.   The  copy procedure
 takes place in batch mode.

           Once the  data are  in  CERCLIS  the regional  WasteLAN
 downloads the FMS central data to the respective regional  LAN.  The
 data are then integrated into the  WasteLAN data base.  Reports are
 generated  which  document all FMS activities.  The WasteLAN Menu
 permits access to the Download FMS Data option.

           2) WasteLAN Upload to CERCLXS occurs approximately every
 week.  Regional WasteLAN data are uploaded to the mainframe upon
 request from the IMC.  The  CERHELP and CERCLIS data may be loaded
 separately or together.  The upload process generates reports which
 verify data integrity.  These reports are: WasteLAN Upload Report,
which prints  the keys of all records contained in the < upload and
Generate  Audit Report,  which lists  the records  that  were not
accepted into CERCLIS.

          3)  CERCLIS  data   entry  screens on the mainframe  are a
completely  separate set  of screens  from  those on WasteLAN.   once
WasteLAN is implemented in  every region these  screens will become
 obsolete.  The screens have the option to Change, Delete, and view
 and are accessed through a  menu.   The CERCLIS data entry supports
the same  functional areas  that WasteLAN supports: Pre-Remedial,
Remedial, Removal, Enforcement, and Financial. Data entry screens
are designed to be user-friendly.


          4) WasteLAN data entry  screens are designed to be user
 friendly.   The screen design is  color-coded, and display windows
 are used for messages and help information  such as  a list of valid
entry codes.   One  of the beneficial features of WasteLAN screens
 is the operator's ability to display a window which contains a list
 of acceptable codes, tab  to the  appropriate  code,  and have the
 system enter the selected code automatically.  National  Core data
 elements  are highlighted  with an asterisk  (*)  to differentiate
 between National and regional data.  The RETURN key must be pressed
 to enter data  at the end of each field.  At the  end of the screen
 the operator  can store  the data  oir re-edit  the screen.  Status
 lines are displayed  at  the bottom of every screen.  The types of
 screens  available are  menu  screens,  summary screens,  and data
 screens.  Once the screens  have been accessed the  user can choose
Next screen;  Prior screen; to Edit,  Update, Add, Delete, or Exit
                                74

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 the screen without applying an updat*.

           5)  CERHBLP  data are  updated by Headouart***  and the
 Regions.   Access to rational CERHELP data. i» made DOS*ibl« through
 th« wastetAN CERHELP Maintenance Menu.   This screen enable* the
 operator to Insert, Edit, and Delate Headquarters defined codes in
 WasteLAN.  The screen allows  NSI, Target/Accomplishments, Budget
 Type,  and Advice of Allowance  codes to  be updated.

           The updated  CERHELP  data  are  uploaded  to  mainframe
 CERCLIS usually every week.   Once the  upload process is  run the
 current version of mainframe CERHELP is available to be downloaded
 for integration into  the WasteLAN CERHELP base.  These  processes
 are available through the Upload WasteLAN Menu.   CERHELP data are
 accessible to both Headquarters  and regional personnel.
 4.1.2
Updates
           Batch loads require additional edit checks  and steps in
order to  integrate the  file data into the  receiving data base.
Updates  made  through  mainframe CERCLIS  data entry  screens are
applied  immediately to the CERCLIS data base after passing the edit
checks.  WasteLAN data entry screens work in the same manner except
they  update  the regional base.

                                                       ^
4.2        System output                          ,

4.2.1     Ad Hoc Data Retrieval

           Ad hoc retrievals are used to select information from the
mainframe  CERCLIS  data base  and  regional  CERCLIS   data base.
Information  retrieved from the mainframe CERCLIS is from the mirror
image data base which resides on the IBM 3090/300. The information
on  this  machine  is  typically  one  day  behind  actual  data.
Retrievals are requested via the S2K natural language interface,
which is accessed through the corresponding option on the CERCLIS
Retrieval  Screen.

           WasteLAN ad hoc  retrieval  is  available for all systems
as is CERCLIS mainframe ad hoc retrieval.  The systems represented
are Pre-Remedial, Removal,  Enforcement,  Remedial, and Financial (a
financial  system exists  as part  of  each other system category in
addition to a separate system).  Retrieval is available through the
WasteLAN Reports option, using dBASE III.
4.2.2
Reports
          Ad  hoc  and  standard
mainframe and on WasteLAN.
                       CERCLIS  reports  exist  on  the
          Ad hoc reports are also a CERCLIS/WasteLAN feature.
Ad hoc  reports can  be created in a  variety of  formats.   These
include Gantt Charts, data dumps, matrix, and Critical path.
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          There are currently approximately standard ISO reports
on the «ainfra««,  some of which are duplicate* of regional reports.
Reports on the mainframe  integrate data fro* all  the regions and
are often added as a request from  the  regional users.   Regional
reports on the mainframe are usually reports which require a great
deal of number crunching and can be run  faster on the mainframe
than on a  PC.  When a region requests a mainframe report the report
is printed at the computer site in Reuearch  Triangle Park (RTF) or
routed to the local printer.  If it is necessary the site staff can
federal express a  report  to  the requesting  Region.   When a local
report is requested it  is printed at the  local printer,  which is
connected to the requesting site.

          In  order  to  efficiently  utilize  CERCLIS  reporting
capabilities, report usage and issuance are monitored by the Report
Development Work Group.  If a report has not been requested for a
while it will be targeted  for investigation.   If no future need for
the report is discovered  it  will be removed from the Report Menu
and the system.  Regions are responsible for  keeping  track of their
own reports.

          Reports  are supported by Report Library which contains
a  sample  page from  each  report  accompanied by  documentation
explaining the purpose of the report and describing its format.
are:
5.0
          Some of  the report applications which. CERCLIS supports
-  SCAP, SPMS 6 SPR Planning and Evaluation Reports.

   Site Summary which provides a  site history and
   current status.

-  Planned vs. Actual which compares actual progress to
   planned progress.

-  Project Schedule which provides a list of action
   items for next quarter.

-  Delayed-Event which provides a, listing of which
   activities the site has fallen behind on.

-  Tickler which  provides a  listing of items requiring
   immediate action.

Svstem Maintenance
          A change control process is in effect for three types of
situations which are classified as follows:

          -  Tier  1   requests which the project manager makes an
             immediate decision.   Tier 1 requests  are  considered
             emergency situations.

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-  Tier

                            which go through th* proj«ct manager,
                                i* not expedited until it : has gone
                                       Procedure outlined in 5.1.
                                 through the formal change
                                      ,  ._ _ j , _ ,  	i.._^4AM r
5.1
User Change Control Process
           1)
            2)
      System "problems"  represent the Tier 1 and Tier 2
      situations  and are usually identified when a user
      calls the CERCLIS  Hot Line or submits a CERCLIS
      Change Request Form.   The process to accommodate
      Tier 1 requests follows:

      The Hot Line operator or technical staff  member
      re-creates the problem,  performs  an analysis  to
      determine the cause/source of the problem, and
      documents the problem in the CERCLIS Change control
      Log.

      The problem is presented to the project manager, who
      decides whether or  not to implement  the change
      request.

      If  the problem is to be  corrected the technical
      staff  are notified  and the problem corrected.

      The outcome of the Change Request is  documented and
      distributed  to relative parties.

      The Change Request Log is updated.

      All changes submitted via the Hot Line are published
       in the CERCLIS connection.


       Tier 2 change requests are processed in  the
       following manner:

        -  The problem is identified and a Change Request
           Form is submitted to Headquarters.

        -  The request  is presented  to  the progress
           forum where  an analysis and recommendation is
           prepared.

        -  A decision about the request is made,
           documented,  and distributed to appropriate
           parties.
                                  77

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5.1.1
      -  A summary off the decision is sent to the MAC.

      -  The chang«  is  implemented as  indicated by th«
         outcome of the decision.

3)  System enhancements require user*  to submit change
    Request Forms to their CI1C representatives.

    An open window for CERCLIS enhancements is activated
    every quarter with plans to activate biyearly in the
    future.

    The submitted enhancements are reviewed by  the
    Technical Enhancement work Group who perform a
    cost/benefits analysis for each request.

    The results of the analysis are submitted to the MAC
    who maXes the final decision as to which
    enhancements will be implemented.

    Once a decision is reached the MAC sends  out
    notifications, which indicate the status  of the
    enhancement, to all users who submitted requests.

System Enhancement
          System enhancements or Tier 3 change requests are defined
as unsolicited changes to the system which affect original design
or  processes.    The  mechanics of  the  enhancement  process are
documented in section 5.1.  Approved enhancements are planned and
initiated  by  the  Technical  Enhancement Work Group.    System
enhancements are BETA tested.
5.1.2
System "Problems"
          System "problems'* comprise Tier l and Tier 2 requests and
are  defined as  system  inadequacies  which  impede  the intended
function  of the system.   A  problem  is logged by  the Hot Line
operator  or project manager  and  then assigned  to the technical
staff for resolution.   Once the problem is  corrected  the log is
updated.
5.2
Technical Change Control Process
          The mechanics of the technical change control process are
the  same for  system enhancements and  system  "problems."    Both
require existing software  to be modified and tested.

5.2.1     Change Control System Design

               CERCLIS  currently  resides  in  the   development
environment,  however,  plans to accommodate test/development and
production environments separately are  in effect.  The existence

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of  a dual system  environment allows  software  maintenance  and
modification  without  intarrupting tha  production  systaa.    NO
information has baan provided regarding tha typa of data available
for tha development anvironnant.

5.2.2     Changa Control Documents

          Documents involved in tha changa control process are:

               -  CERCLIS Change Request Log

               -  CERCLIS Connection Publication

               -  CERCLIS User Change Request

               -  Programmer's Maintenance Manual.

5.2.3     Change control Activity

          After the software has been changed the programmer(s) is
responsible for testing the change.
5.2.4
Change Control Testing
               CERCLIS  is  not  implemented  in  the  production
environment  therefore  current software released is part  of the
system test.                                    ,

          Formal  methods  for  interfacing to  tha  NCC regarding
changes to the production environment have yet to be defined.
5.2.5
Implementation of Changes
          The NCC is responsible for moving a software change from
development into production.
6.0
Documentation
          Tha following list comprises tha documentation discovered
for CERCLIS:

     User Documentation


CERCLIS :    Regional System Administration Handbook
             CERCLIS Data Element Dictionary
             CERCLIS Data Entry and Retrieval Guide
             CERCLIS National Reports Library

WastelAN :   User's Guide to tha WasteLAN Pre-Remedial System
             User's Guide to tha WastelAN Remedial System
             User's Guide to tha WastelAN Removal System
             User's Guide to the WastelAN Enforcement System
             User's Guide to the WasteLAN CERHELP System
                               79

-------
     Technical
 6.1
   CERCLXS System Documentation
   CERCLIS Programmer's Manual

User Documentation
          User's  guides  exist for  each WasteLAN  system  and a
General  Data Entry and Retrieval Guide  for CERCLIS.   Each guide
contains an  overview of the CERCLIS or WasteLAN system as well as
detailed procedures explaining access to  each subsystem including:
interactive  sessions (query, ad hoc retrievals), screen displays,
prompts, and reports.

          User's guides for mainframe CERCLIS are maintained  by the
Support, Training, and User Documentation Work Group which reports
to the CMC.

          WasteLAN  documentation   i»  maintained  by  the  Data
Administrator (DA),  who  is  also  responsible  for  the  regional
documentation library.   The  DA  issues regional  documentation
updates.
6.2
Program Documentation
          Technical  documentation for  CERCLIS is  maintained by
contractor personnel.   Program documentation  is  included in the
CERCLIS  Programmer's Maintenance  Manual.   The  manual contains
information  regarding  program  structure,  subroutines,  common
elements,  security,  help processing,    error messages,  update
logging, rollback,  and  abend processing.  The manual also lists
CICS,  COBOL,  and  S2K programming  standards.   Each  program is
documented by transaction id, program id, mapset, map,  functions,
language,  source,   program  type,  sample screen  or  output,  and
psuedocode.

          The CERCLIS System Documentation manual  contains general
documentation or CERCLIS functions/features such as:  VSAM files,
implementation plan,  CICS registration,  system overview, program
change control, change control procedure, logs, operations and test
plan.
6.3
Data Dictionary
          The CERCLIS Data Element Dictionary (DED) was originally
implemented  in  BASIS on the IBM  3090  mainframe.   Although BASIS
provided users with  an on-line search and reporting capability  it
was difficult to  maintain and  use.   Therefore, a switch to dBASE
III DED occurred.  Currently,  the DED is maintained in dBASE ill
and copied to floppy diskette for site distribution.
                                SO

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          Appendix I
Sample System Function Screens
                 SI

-------
        LAK  MENU
Relational Report  Writer
Tla«lin«
      IZZ
     th«  UUf
MultiMat*
Lotu«

-------
    K»m«:
Password:
          83

-------
         	MAIN  MENU
          1) PRE-REMEOXAX,
          2) REMEDIAL
          3) REMOVAL
          4 ) ENFORCEMENT
          5) GENERIC  EVENTS
          6) REPORTS
          7) CERHELP  SYSTEM
                                                            f
                                                          0
ENTER  SELECTION  (1-7)  or  X  to  Exit;
                       84

-------
r  SITX  IMITIXLItXtlOK
                      3ITX
           Scr*«a  1  of 4 —i
        FMS  10 Muab*c: •
                  Ham*:•
               Couaty : •
      Own«r  Indicator:*
             L*tit«d«:*
                                 DI3COVIRT
                                        R*p«rt«d  By  K
                                            Pboa*  Ktwb«r
                  TO: m
         (H]*xt,  [F)r*Tiou«,
                  •er*«a,  (C)dit or
             D«t*:|
,  or  (C]oatiau*:(  ]
                                       85

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                        EVENT  MEKO
1)  SITE  SELECTIOV

2)  FORWARD  PLANKING

3)  RI/FS  TRACKING

4)  RECORD  OF  DECISION

5)  WORK  PLAN

6)  REMEDIAL DESIGN
  7)  DXSZGN  ASSISTANCE

  8)  RJQODIAX, ACTION

  9)  COMMUNITY  RELATIOSS

10)  OPERATIONS   6  MAIFTENASCE
                        1
11)  NSl DELETION,

12)  G1N2RIC EVENTS
                  13)  KISAGEMSNT  RX90RTS
          ENTER  SELECTION  (1-13)  or  (M)«nu:|
j

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     Appendix II
Documentation Matrix
            87

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                EEl-2
                Preyminary Design
                and Option* Analyst*
                EEt-3
                Project Management
                Plan
                 EEI-4
                 System implementation
                 Ran
                 EEI-S
                 Detailed Requirements
                 Document
                          Manag«m«nt
                  EEI-7
                  Software last  &
                  Accsptanc* Plan
                  EEI-8
                  Softwar*  Preliminary
                         Document
                   EEI-9
                   Softt»ai» Detailed
                   Design Document
                   EEMO
                   Software Maintenance
                   Document
                   EEM1
                   Software Operations
                   Document
                    EEI-12
                    Software User's
                    Reference Guide
                    EEI-13
                    System Integration
                    Test Report
S8

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2.3  FRDS-II SYSTEM PROFILE

-------

-------
                         EPA MAJOR SYSTEMS PROFILE
1.0

1.1
1.2

2.0

2.1
2.2

3.0

3.1
3.2

3.2.1
3.2.2
3.2.3
3.2.4

3.3

3.3.1
3.3.2

3.4

3.4.1
3.4.2

3.5

3.5.1
3.5.2
3.5.3

4.0

4.1

4.1.1
4.1.2
  system Purpose
  System Background

  User Environment

  User Support
  User Training

  Technical Overview

  Hardware/Software Environment
  Subsystem Environments

Data Entry
Data Edits
Updates
Data Retrieval

  Data

System Data Base
Files

  Hardware

Type
Peripherals
            «
  Software

On-Line
Batch
  System Input

    Data Input
    Update
4.2
  System Output
                               91

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4 2.1     Ad Hoc Data Retri«*al
4.2.2
« A

5>1       User Chang* control

5  j^i   systea Enhanc«»«nt3
5^1*2   System Problems
5.2        Technical Change Control Process

 _ _
 6.0
           User Documentation
           Data Dictionary
                                    92

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 1.0

 l.l.       System Purpose

           The purpose of version II of the Federal Reporting Data
 system (FRDS)  is to  provide  oversight  information services  in
 support of the  Drinking Hater Program which monitors  compliance
 with  the  Safe  Drinking Hater  Act of  1974.    FRDS-II  provides
 compliance information for 220,000 water supply sites.  These data
 include violations,   regulations,  and  status  of  bearings and
 exemptions.

           FRDS-II   provides   interactive   services    to   EPA
 headquarters,  regional,  and state personnel which allows searching
 through files of FRDS-II and retrieving the information available
 for each Public Hater System (PHS).
 1.2
System Background
           Three versions of FRDS have been produced over the last
 10  years,  FRDS, FRDS vs 1.5, and FRDS-II. The development  of each
 version  has  been  the  result  of  changes  in  the  reporting
 requirements of primacy agents (Agencies of State government who
 have jurisdiction over public water sources) to the EPA Office  of
 Drinking Hater (ODH).

           The original FRDS became operational in fiscal year 1977
 and was designed to accommodate the needs- of the  Federal oversight
 activities of the Public Hater Supply Supervision  (PWSS) program.
 The summary data  stored in FRDS were collected on an  annual basis
 and submitted 'to the EPA National Computer Center (NCC),  where they
 were loaded into the System 2000 (S2K) data  base residing on EPA's
 UNXVAC  1108 computer system.

           The annual collection and  entry  of FRDS  summary data
 continued unchanged during fiscal years  1978  through 1984.   The
 original design produced a new  data base  for each fiscal year.
 During  the fiscal period between  1978  and  1984  the FRDS system
 environment migrated from the UNXVAC  1108  to the  IBH 370,  also
 located in the NCC.

           During  the fiscal year 1985  the ODW  issued guidance
 requiring  primacy agencies  to  modify the frequency of their data
 submissions from an annual to a quarterly basis.    In order  to
 accommodate the new guidance  as quickly  as possible FRDS vs 1.5
 was  developed as an interim solution.   FRDS vs  1.5 combined the
 most recently submitted quarterly summary  data  with the  summary
data submitted over the prior three quarters and generated a data
base from  these combined summary data.  The FRDS vs l.S data base
 contained  four quarters of summary data.  Although FRDS 1.5  enabled
 the  submission of  quarterly  summary data,  it was  deficient  in
conducting effective oversight for periods of over 12 months.
                               93

-------
          Also daring 1985, the EPA revi*«4 tAm Federal reporting
requirement* for  the Public Water Supervision  (PWS)  program and
created the Water Supply Guidance V-2, Public  water supervision
Revised Reporting Requirements  (RRR)  document.   This  document
identified the present and future information needs envisioned by
the Public Water Supply Supervision (1PWSS) program.  As a result,
FRDS-II has been  designed  to  meet th«>  needs of RRR,  and increase
the flexibility of PROS to meet  new requirements.   FRDS-II will
accommodate  four  main  modifications  which  include Data  Base
Integration, Non-compliance Tracking,  Historical Data Retention,
and the Storage of State Discretionary Data.

           FRDS-II integrates all the historical data  into one data
base,  which is accessed and  organized by  the  water supply site
 indicator.  The redesign effort  includes  a  data base  redesign and
development of software to support the FRDS-II design.  Some of the
code  from the  original FRDS was  reused in FRDS-II.

           Prior  to  development,  an  outline  for   the  FRDS-II
 capabilities baseline  was submitted  to  the  user community  for
 comments and suggestions.  FRDS-II is currently in the development
 phase of its  life  cycle,  although the  FRDS-II baseline is  now

 readily available.


 2.0       Usar Enyironaent
           The FRDS  user population includes EPA headquarters ODW,
 FRDS-II  Data Base Administrator  (DBA), FRDS-II Production Control
 and User Assistance,  state,  and  regional program  users,  including
 regional branch  chiefs.
            The FRDS-II DBA and Production Control personnel perform
 data base maintenance functions such as updating, backup, recovery,

 archiving,  and reloading.

  2.1        User support
            FRDS-II  like  the original   system relies  upon  user
  correspondence through surveys and the FRDS Hot-line to accommodate
  the user's needs.  User messages and notices  are provided on-line
  immediately after  signing on to FRDS-II.

  2.2       user  Training
            FRDS-II  user training is  organized similarly to  FRDS.
  Training  classes are held regionally and  encompass an overview of
  the entire Drinking Water Program as part of the training agenda.
                                   94

-------
3.0

3.1
          Technics^ oyarviev

          Hardware/software Environment
                                                        utilizing
                                                          language
                                     «
                                    IBM TSO.
          FRDS-II is developed on
the System  2000 data base
extension (PLEX) and operates

3.2       Subsystem Environment

3.2.1     Data  Entry

          Afttr tb. St..:.. co-pl.t. *£j?£?™££tt> ^


 ^ pro=^ur»  «^.l«t tt^lr ojm^oo^^^       supporting

 2££'i«S£./Tr5i£w -**" to "* "•"-

           Bv.ntu.Uy,  . «=--..«>  <"« -*" "IU M  tBPlelM"""
 using PC-based software.
 3.2.2
           Data Edits
           Extensive data edits are performed on FRDS-lf data prior
 to entry  to the data base.   Specific edits are documented  in  the
 Federal  Reporting Data System  
-------
3.3
         Data
         inform., r.tri.v-
surrounding th. »nitorin, "d   S".^  .^u-r..  •«*•
          Thr.. kind, of ».t.r
     ar.: ""r,^ •"Stiti-
 factories, »?»»»                a. oonMcutiv. w.t«r
public
       sector.

                                                      '  ss:

           6)  Nonco»pliance profiles.

           7)  state discretionary data.

           8)  cm-site visit data.
  for entry into IBM-XI.

                 x d.t.
                                 96

-------
3.3.1     System Data Base
          •m.          MM TT data basa structure is th« result of
          Tha current FRDS-H. «*   auooort  chanoas in  reporting
design  modifications over tiW  to support  ££*£.. resulted in
requirements.  The first »«*"*?£;* of lOdata bases with a total
the FRDS 1.5 version which <^^SJ«£T versioiTof the database for
of 2.5 billion characters. The <**™f ^"databases with the most
FRDS-II combines the last eight fiscal ye.        integration took
current PWS information.    When «^aj  i         correct match
place a Batching J^gori^.-  tf^tching WSs  were  flagged  as
                                           base is
System

3.3.2
        2000.
           Files
           FRDS-II documentation indicated three primary files used
 by the system,  these are the Data Transfer Pile, Command Files, and
 the Locate Data Files.  Other files were not described.

           Data  Transfer  File   is  80  charactars  long,  supports
 multiple  record types,  and provides  a  standard'  format  for the
 submission  of  quarterly FRDS updates.   The format  for the Data
 Transfer  File  is  tha  EPA preferred format  for use by States when
 they  submit updates.
           r9IPinflnfl Files are used intermittently throughout FRDS to

 expedite  user  requests.
           Locate  Data Files serve aa a temporary storage cache for
 data  selected from a user  search  request.   Up to 11 Locate Data
 Files  may  be created  during  on  user  session  without  being
 overwritten.   The contents of these files are  retained until the
 user  signs  off of FRDS-II.   They are typically used as  input data
 to further  output processing,  such as  reports.
                       - i. tapl— »f« on
                                 at th.
                                                IBH 30SO/300
            Peripherals
3.4       Hardware

3.4.1


in

3.4.2      rw*. *inw» —._
           Use of FRDS-II requires an approved interactive terminal
or PC with a telephone connection  to MCC.  This  linkup requires
either an external  or internal modem.

 3.5       Software
           TSO,  S2K natural language,  and COBOL PLEX.  Crosstalk or
 other  approved communication software  is  necessary  for  users

 accessing FRDS-II from a PC.
                                    97

-------
 3.5.1     On-lin«

          S2K natural language.

 3.5.2     Batch

          FRDS-II batch applications are supported by COBOL PLEX.
 3.5.3
Communications
        In  order  to access  FRDS-II  the user must have an approved
 interactive  terminal  or  a  PC with  a telephone connection to HCC.
 Access  to  FRDS-II varies with geographical location.   Access is
 available  through  Tymnet and multiplexers for those users located
 in Washington, D.C. and Research Triangle Park.

           Users  may access FRDS-II  from personal computers with
 crosstalk.

           Users  with  a minimum of 4800 baud,  can access FRDS-II
 full screen  mode,  anything less incurs intolerably slow response
 time.
4.0
System Functions
          Access  to  FRDS-II  capabilities  is  provided  by the
Function Menu which is the first menu displayed after user sign-on
and includes the  FRDS-II/Interactive option* which permits  entry
to the FRDS-II Main Menu*  The FRDS-II Main Menu  has  eight options
:  Terminate,  Assisted  Preparation  of  a  System  2000 Locate
Statement, Re-display Broadcast Messages, Retrieve PWSs whose IDs
are stored in an external file. Obtain Geographic Information for
a specified  city or county.  Reprocess Retrieval data via  Post-
retrieval Output  Options, System  2000 Self Contained Facility,
Formulate one  or more  S21C locate  clauses and  generate a  batch
report.   These options  are  discussed in  more  detail  in the
succeeding sections.


4.1       System Input

4.1.1     Data Input

          The procedures involved in entering FRDS-II data are two-
fold.  Initially, data are entered on FRDS-II  Data capture Forms.
These forms  are intended for data  collection only,  not  for data
entry into the  FRDS-II  data  base.   The forms provide  a mechanism
for organizing FRDS data so  that the next step,  data  transfer to
the FRDS-II data base, is simplified.
                               91

-------
          There  are eight diff«r«nt  FROS-li oata Capture  Forms
(Forma A-G and a Record Deletion Font).   A brief description of
each For* (A-G) follows:

          o   Fora  A is us«d to document the  facility name and
             address for a PWS,  the characteristics of th* PWS,
             and any additional address information such as owner
             address or related facility addresses.

          o   Form  B serves to  record  the data that characterizes
             a water source utilized by a  PWS,  that identify
             treatment objectives, and processes that are applied
             to a unique source of water used by a PWS.

          o  Fora C  records data which identify geographic areas
             or jurisdictions served by a PWS, characteristics of
             the geographic area,  and data related to  on-site
             visits, by the EPA, made to a PWS.

          o   Form  D records data which characterize a violation
             of a  primary drinking water  regulation issued to a
             PWS by either a State or Federal agency.

          o   ifera  E records data which characterize an
             enforcement action taken against a PWS by, a State or
             a Federal agency.

          o   F_ora_F records data which characterize a variance
             or exemption that is pending for, or has been
             granted to, a PWS and characterizes a schedule of
             events and/or actions that are related to a variance
             or exemption that is either pending or has been
             granted to a PWS.

          o   Form  G is used to enter data that characterizes a
             specific set of values defined at  the discretion of
             the State.

          The FRDS-II Data Transfer File format includes a record
definition for each type of Oata Capture Fora.  The Transfer File
format  is  the  only   format   which  allows  Revised  Reporting
Requirement  (RRR)  data to be  entered in the FRDS-II data base.
The EPA prefers that the States use this format  to input their
data.  States that do not yet have the capability to use the FRDS-
II format have the  option of using FRDS version 1.5 format to enter
data.  However, if this alternative is selected  no RRR data can be
entered via the FRDS version 1.5 format.  Eventually,  FRDS-II Data
Transfer File  format will be the only acceptable format in which
to enter FRDS-II data to the data base.
                                99

-------
          The  States  submit  FRDS-II  data to  their  respective
regional offices each quarter.  The mechanism which the States use
to transport the data is arranged by the region.  Regardless of the
mechanism selected the data must arrive in an approved FRDS format.

          After the States submit their FRDS data, the regions are
responsible for entering the quarterly data into FRDS.  The method
selected for this activity is up to the regions.

4.1.2     Updates
          The  Data  Transfer File is the mechanism for permitting
updates to the FRDS-II data base.  The file is created at  the State
level and submitted to the regions on any medium they select  (tape,
diskette. ..etc.)   Batch data updates are  submitted to the FRDS-II
system  every quarter.  Each Data Transfer record should contain the
appropriate data value along  with the Section  Id,  Data Address
Qualifiers (to  identify  activity for  an individual data  item),
Action   Code  (indicates   activity   such  as  update,  deletion),
Component Number,  and Batch Date.

 4.2       System Output

 4.2.1     Ad Hoc Data Retrieval
           FRDS-II data are  retrieved  using a variety of features
 available on  the  FRDS-II Main Menu.   The following FRDS-II  Main
 Menu options provide retrieval capability:       '

           o  Function "A" - Assisted  (Prompted)  Query.

           o   Function "E" - Retrieve  FWSs Whose Ids are in  an
               External File.

            o  Function "G" -  Obtain Geographic  Information for a
               specified City or County.

            o  Function "S" - Enter  the System 2000 Self-contained
               Facility (Natural Language).

            o  Function "X* - Formulate Non-prompted Retrieval
               Selection Clauses.

            o  Function "2" - Formulate non-prompted Retrieval
               selection Clauses.


            Function "A"  - Assisted Query  refers to the "Assisted"
  or prompted  preparation of an S2K Locate statement  which is used
  to search the data base and to retrieve selected  data.   Function
   "A"  provides general  retrieval capabilities  and is  intended to
            _  —-i««+.  to the more powerful "X" and "Z" functions.
   serve
                                   100

-------
           Function  "A"  provides   assistance  for   novic«  and
 intermediate users.    The  prompts  for novice  users  are  more
 informative where the intermediate  user receives  more streamlined
 prompts.   The user selects  the  search domain frost the  following
 five general  data  categories,   PWS  Inventory  Characteristics,
 violation   Characteristics,    Enforcement    characteristics,
 Variance/Exemption Characteristics, and  Data Base Administrator
 Characteristics.

           Function "E" - Retrieve PHSs Whose Ids are in an External
 File enables  the  user  to  examine  a  previously created  file
 containing selected PWS  IDs.

           Function "G"  - Obtain Geographic  Information  for a
 Specified City  or County enables the user to retrieve geographic
 information about a city or county such  as  latitude, longitude,
 and  Hydro-Id.

           Function "S" - Enters the user  into the  S2K Natural
 Language  environment.

           Functions "X" and "Z" are both user-defined queries which
 allow users to enter their own formulated data selection criteria
 statement in S2K.  Function  "X* provides the user with the ability
 to select and temporarily store as many as 11 different locate data
 files which can be used for later output processing.   Function "2"
 offers a  non-prompted user-defined  facility  to generate standard
 batch jobs  routed to a remote high-speed printer. *  It  produces one
 or  more  standard  reports   from the  data  selection criteria.
 Function  "2" differs from Function "X" in that retrievals for  "Zn
 occur at  the time of  batch  job  execution as  opposed to online.
 Similar to Function "X," Function "2" is a non-prompted S2K  locate
 statement facility allowing up to 11 different search criteria to
 be performed during one session.
4.2.2
Reports
          Both ad  hoc and standard reports are  available on the
FRDS-II Post-Retrieval Processing Options. Menu, which is displayed
whenever  Function  'P1 is  selected from the FRDS-II  Main Menu.
Typically reports  will be generated  for a select  group of data
extracted from a user defined S2K Locate  clause,  this clause is
typically printed on the bottom to the first report  page.  Some of
the  report  options are  not  currently available,  however,  these
options are  expected to  be operational at a later time.     The
following reports are listed on the menu:

          o  FRDSOl - Public Water System Comprehensive
             is a summary report  of the comprehensive  PWS
             inventory.

          o  FRDSQ3 - Public Water System Area and Source Area is
             a detailed report of facilities  and populations
             served by PWS sources.
                               101

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(not available)
PKLia.1.9 —  c...^j»m.»—
(not available)•




            loffion^^uSJIo^ateorv  for

            FRDS19B respectively.
 source is a summary
 PWS source.
        •—<•»"• ""t
      ^ J  	 ^ ^M,^	

      :« Data  (not available)
 FSPS24 ~ Public Water  Suoialv Sva^^j ayjnmgu.T «»..^
 violation  Data in a d«taU«d report of PUS plant
 location and violation sunoary data including
 violation  duration  in  month*.

 FRDS31 - Pits Montha in violation is a summary report
 calculating the month* in violation for select  PWSs.
 This auvaarization is pec formed for various
  categories of FtfSs and their violations.   Two
  elementary statistics  -  number of PWSs and their
  population served - are provided.

i  yRDS35 —  Xnimal. Pa**%  Evaluation vill generate a list
  of  PWS Ids  to b« used as input other FRDS-II
  reports.  The  entire  population of  PWS Ids may be
  extracted or a selected subgroup may  be specified.
  PWS subgroups  are specified  by sample size.   Sample
  sizes may be organized by  state or applied to the
  entire population.

                                          (not
   available).
                     102

-------
              ir.lBlt Ytaf
(not available)
Other Post-Retrieval Menu options include:
                       * File for gAS.  (not available) ,
   Option  'F* - Frequency distribution. -
   Distribution of Data Report, generates  a
   distribution report which Bay displayed at a
   terminal  or printed on an off-line, high speed
   printer.   The  report provides a  frequency
   distribution  table of unique code value occurrences
    for a specified data element based upon the
    currently selected PWS(s).   The report always lists
    the unique code values and  the total  number of
    occurrences.   The frequency distribution may
    optionally be sorted  by  occurrence  -  from most to
    fewest.

    Option 'G' - Graphs and Maps  (not available) .

       -  Graph 1  , Number of PWSs by Administrative
         Region.

       -  Graph 2, Percentage of  PWSs by Administrative

         Region.

       •  Graph 3, Number of PWSs by Population.

       •  Graph 4, Percentage of PWSs by  Population.

       -   Graph 5, Number of Violations by County.

       -  Graph 6, Location  of  PWSs.

     Option  "I* * Invo)ce IDRS/CERCHS -  IDRS Region Map,
     IDRS United  States Map, Report For  Crosswalk One,
     Reports for  Crosswalks Two through Five (not
     available) .

     option  «K« - Kounts or Sums of PWS Elements  -
     Count/Summation of Data Report (not available) .

     option  «L« - Hat in standard Screen Format Re
     for subootion Screens  allows the user to list
     information  for previously  selected  PWSs.   The user
     say optionally  sort the selected PWSs or browse
     through the output in an on-line mode.  The reports
     may be displayed one at a time or  a terminal or the
     entire set  of selected PWSs may be printed off-line
      on a high speed printer.
                        103

-------
             Tfj^mt      ^_a«.^MB        ^^^      *H|^b^_£ 4fe«m
             State«  -  PWS State M«P» *»» Region
             (not available)*
                                                      permits the
                            and print  a custom report
                    (not available)
5.0       System Maintenance
          Although  FRDS-II  is  currently  under  development the
change control process from PROS is still in effect.  The process
accommodates three types of change situations.
            1)  Software  bugs,  where the project  manager makes  an
               immediate decision about the change.

            2)  Minor Enhancements.
            3)   Major Enhancements or addition of nev system
                functions.
                                                        *
 2)  and  3)  are  handled in  the same  way by  the.  change control
 process .
 S.i       User Change Control Process
            l)  System bugs are reported to the PROS  Hot-line.
               The Hot-line operator documents the problem.

               The reported bug  is prioritized.
               The problem/bug is submitted to technical staff for
               resolution.

            2)   System enhancements are treated in the  same way for
                minor requests as well as the addition of new
                functions.
                The enhancement request is prioritized, and the lead
  contact group and steering committee review the available resources
  and perform a cost/benefit analysis.
                The  steering committee evaluates the analysis  and
  makes  a decision to either enact or  disallow the change.
                                  104

-------
5.1.1
System Enhancement
          System enhancements are minor or major unsolicited system
changes which affect intended design or process**.  The mechanics
of the enhancement process are illustrated in section S.I.
5.1.2
System "Problems'
          System  "problems,"  also  called bugs,  are  defined as
system  inadequacies which  impede  the  intended function  of the
system.   A problem  is logged, by the Hot-line operator and assigned
to the technical staff for resolution.
5.2
Technical Change Control Process
          The mechanics  of the technical change  control process
are the same for system enhancements and system "problems,"  both
require existing software to be modified.
6.0
Documentation
6.1
                                             >
User Documentation                     t

o    Federal Reporting Data system Interactive
     Retrieval System User's Guide

o         Federal  Reporting  Data  System  Data  Entry
     Instructions
6.2
Data Dictionary

o   Federal Reporting Data System Data Element
    Dictionary

     -  Section VT, List  of  Acceptable Code Values and
        Associated Descriptions

     -  Section VIII,  Glossary of Technical and
        Drinking Water Programmatic Terms
                               lOS

-------
     Appendix I
Data capture Forms
         106

-------
-«. SPA
                          <-'
                                 c.m
PUBLIC
DATA CAPTURE FORM A

                          107 -•

-------
                                                       DATE
                        SOUBC61 fNTITY DATA
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                                  108

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                 U ...H«-
                  GEOGRAPHIC AREAS SERVED
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                            109

-------
                PUBLIC WATER SYSTEM
                DATA CAPTURE FORM Q
       »  » i
             ACTION CODE

               LJ ••••"'-<
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    EPA
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DATA CAPTURE FORM F
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                          PUBLIC WATER
                          DATA CAPTURE FORM G


                                   ACTION COOE
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               i  . .  I  L
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                                         21
                                     113

-------
 Appendix II
Sample Reports
      114

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                                128
                                                              _J

-------
    Appendix III
Documentation Matrix
        129

-------
               EEI-2
               Pnrfminaiy Design
               and Options Analysis
                EEI-3
                Project Management
                Plan
                EEM
                System  implementation
                Plan
                EEI-S
                Detailed Requirements
                Document
                 EE1-7
                 Softwmr* T«st &
                 Acceptance Plan
                 EEI-6
                 Softwar*  Praliminary
                        OocuRwnt
                  EEt-9
                  Softwmra  0«tait«d
                  Design Document
                  EEI-10
                  Softwars Malnt«ianc»
                  Documsnt
                   EEI-11
                   Softwara
                   Ooeunwnt
                   EEM 2
                   Softwar*
                   EEI-13
                   Systwn Integration
                   Test Report
130

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2.4  STORIT SYSTEM PROFILE
                                  131

-------
    sill!
132

-------
                    EPA MAJOR SYSTEMS  PROFILE
                             OUTLIHE
1.0       System Overview
1.1       System Purpose
1.2       system Background
2.0       u§e,r Environment
2.1       User Support
2.2       User Training
3.0       Technical Overview
3.1       Hardware/Software Environment
3.2       subsystem Environments
3.2.1        Data Entry
3.2.2        Data Edits
3.2.3        Updates
3.2.4        Data Retrieval
3.3        Data
 3.3.1        System Data Base
 3.3.2        Files
 3.4        Hardware
 3.4.1       Type
 3.4.2       Peripherals
 3.5       Software
 3.5.1       On-line
 3.5.2       Batch
 3.5.3       Communications
  4.0       System Functions
  4.1       System Input
  4.1.1       Data Input
  4.1.2       Update
                                  133

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4.2       System. Output

4.2.1       Ad Hoe Data Retrieval
4.2.2       Reports

5.0       System Maintenance

5.1       User Chang* Control Process

5.1.1       System Enhancements
5.1.2       System Problems

5.2       Technical Change Control Process

5.2.1       Change Control System Design
5.2.2       Change Control Documents
5.2.3       Change Control Activity
5.2.4       Change Control Testing
5.2.5       Change Control Implementation

6.0       Documentstion

6.1       User Documentation
6.2       Technical Documentation
                                 134

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1.0

1.1
          Svsten Overview
Purpos*
          The purpose of the Storage and Retrieval system  (STORET)
is  to serve  as a  repository and  analysis tool  for Federally,
locally,  and  state supplied  data  relating to  the  quality of
national  water ways,  in  support of the  Federal  Water Pollution
Control Act Amendment  of  1972  (PL 92-500).  Titles  I-IV of  PL 92-
500 require STORET to perform and support the following provisions:

           -   Title I,  Research and  Related  Programs

              Title I requires the establishment of an operative
              national  water quality surveillance system,  the
              renderence of technical services and  the collection
              and dissemination of water quality data. Title I  is
              the justification for  the establishment of  STORET.

           -  Title II, Grants for construction of Treatment Plans

              STORET provides  quantitative  data used  for  stream
              waste  load  capacities  and incipient overloading
              projections to support the  development  and
               implementation of waste treatment management plans and
              practices.                          ,

           -   Title III,  Standards  and  Enforcements

               A substantial portion of STORET's report programs help
               states to trace their progress of water quality
               improvement and enforcement efforts.

            -  Title IV,  Permits and Licenses

               STORET data identify  sources of  effluent  violations
               and can be analyzed to assure compliance with the
               legal limit of allowable discharges.

  1.2       Background

            Public  Law  92-500  is  the  current   program  for  the
  prevention, reduction, and elimination of water pollution.  PL 92-
  500  built  upon and  improved the  water pollution control program
  initiated  by Congress  in 1948  and  amended  periodically  in the
  1950's  and   1960's.    PL  92-500  requires  the collection  and
  dissemination of basic water  quality data by EPA  in cooperation
  with other Federal  departments and  agencies  and with public  or
  private institutions and organizations.   STORET  is the computer-
  based mechanism which enables agencies, to comply with 92-500.
                                  135

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          *&* activities which influenced the development of STORET
as a  fully functioning computer systw  b«g*n a* early  as I960.
Prior  to  the development  of  STORET,  water  quality data  were
collected  by  local   state,  and Federal,  agencies without computer
support.  Information was not shared throughout the user community
and retrievals were  costly  to produce.   Data   retrieved from the
agencies  w«re not  in  a  standard  format that  could be  easily
accessed by any agency. Therefore,  a basic concept for the storage
and retrieval of water quality data was  introduced  in August of
1961  by  the  Basic  Data Branch,  Division of  Water  supply and
Pollution  control of  the U.S. Public Health Service.

           Initially,   STORET  data,   representing   140  sample
locations, were  formatted and stored on the Public Health Service
Honeywell  computer in 1964.   STORET processing on the Honeywell was
limited to computer operator initiated batch jobs run from the main
computer site.  All data entered  in STORET have to be mailed to the
computer  site.   However,  as  the number of  sampling  locations
expanded and  as  the jurisdiction for  pollution control moved from
the Public Health Service to the Department of Interior's  Federal
Water Pollution Control Administration,  the need and opportunity
 arose  to  switch  STORET from  the Honeywell  to' the IBM  system
 maintained by the Department of the Interior.

           The 1968  switch to the IBM  computer enabled users to
 communicate  with  STORET from  the regional offices  via% a medium-
 speed  card reading  terminal.   Further  enhancements occurred to
 accommodate   growth.      These   included   improved  retrieval
 capabilities, and the  addition of municipal waste,  fish kill, and
 contract  awards files.

 2.0        User Environment

            Any Federal,  interstate,  state, or  local agency, and
 contractors  employed thereof,  can subscribe to STORET  for  a  fee.
 A payment plan  between the subscribing agency and  the EPA must  be
 established   prior  to  the connection  of  STORET   service.   EPA
 typically reimburses the state subscriber a prearranged allotment
 allowance.   Any  amount of  computer  resources used  beyond  the
 allotment  amount   is  the responsibility   of  the  subscriber.
  Subscribers pay for STORET access by either paying the EPA directly
                             o   rovides  the computer time-sharing
   scribers pay *.«*. d*vc>«.	  .
or  paying  the company  who provides
services
            The U.S.  Geological Survey, the U.S. Forest Service, the
  U.S.  Army Corps  of  Engineers,  the  Bureau of  Reclamation, the
  National  Academy of  Sciences,  the National  oceanic  Atmospheric
  Administration,  and  the  Tennessee Valley  Authority all  utilize

  STORET«s  data.
            The  primary STORET user at an agency  is  an experienced
  Water Quality Analyst.  In order to accurately formulate retrieval
  requests  and analyze STORET output a  high degree of technical and
  water quality  knowledge is necessary*
                                   136

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2.1
Us«r support
          Th*   Data  Processing  and   User  Assistance   Branch,
Monitoring  and Data support  Division  (MDSD) of  EPA's Office of
wat«r  and  Hazardous  Materials  is  responsible  for providing
operational and assistance support to STORET users.  User support
for STORET subscribers is provided in the folloving ways:

          A STORET Interagency Panel was established  in  1974 to
recommend policies,  priorities, and  approaches  to be  followed in
managing STORET.  In addition to representatives  front EPA's Offices
of  Water and  Hazardous  Materials,  Planning and  Management and
Research and Development  the panel is comprised of  selected regions
and states,  the Council  on Environmental Quality,  the Office of
Management and  Budget, and other  Federal agencies including; the
U.S. Geological Survey, the National Academy of Sciences,  and the
National Oceanic Atmospheric Administration.  The panel  meets twice
yearly  to  provide  members  the  opportunity to   review  current
activities and future plans.

          Annual  STORET  user meetings provide   users  with  an
opportunity to discuss and exchange ideas on their uses of  STORET.
The meeting covers presentations on current  status,  planned future
capabilities and methods for improved system efficiency, and cost
effectiveness.
                                                       v
          STORET has a representative in each of,the ten regions.
Each regional STORET representative is responsible  for establishing
and implementing STORET policies for all users within  the  region.
The  regional  STORET  representative  is  also  responsible  for
providing assistance to  new  users.    User  Representatives  meet
annually   with   Headquarters  to   discuss   STORET   problems,
enhancements, and progress.  User's report problems and  programming
changes to their regional representative.

          General user support is provided by Headquarters staff.
This support includes a  STORET Hot Line, which is available from
eight a.m. to five p.m. weekdays EST,  and questions to Headquarters
staff via time-sharing STORET terminals.

          A quarterly periodical called STOR ET cetera  keeps users
abreast of current enhancements.

          STORET  provides  a  mechanism  for  users  to  contact one
another by maintaining an accessible data  set list of all users,
their addresses, and phone numbers as well  as the data each user
site enters  into  STORET.   The list  can be requested by a JCL
runstream.
2.2
User Training
          Headquarters  offers  Beginning  and Advanced courses.
Beginning training, which  assumes  the user is inexperienced with
                               137

-------
TSO, covers storage and retrieval techniques and access to on-line
data sets.  Advanced training,  which requires six months of STORET
experience and coapletion of the  Beginning course, covers advanced
retrieval  techniques,  machine readable  output  options,  related
internal logic of STORET, and sophisticated TSO usage.

          Training is provided by Headquarters on an annual or as
needed basis.  An attendance requirement of 12 to 24 attendees is
necessary  for a  class to  be  scheduled, with  the  exception of
situations  where training  is  crucial to  the agency's  program.
Scheduling  and class training information is  available  on one of
STORET's HELP data sets.
3.0
3.1
Technical Overview
Hardware/Software Environment
          STORET  resides  on an  IBM 3090  mainframe utilizing  a
custom file system designed by EPA staff.

3.2       Subsystem Environment

3.2.1     Data Entry

          The STORET  data  entry  system is based  upon  card image
entry  through the TSO environment.   Card  image data  sets are
bundled with  canned JCL streams  to perform the* entry function.
Each user  is  responsible  for entering their own  data.   Once the
data entry job  stream is  run the  input  data  is written  to a
transaction file, which is later read and edited as part of the
weekly update process.

          An enhancement effort  to  add an  interactive menu-based
user interface  is currently in progress.  The STORET menu-based
system exists in TSO utilizing ISPF dialogue and  PL1.
3.2.2
Data Edits
          The STORET  data editing process is driven by parameter
codes.   STORET  card  image records  used for data entry contain
parameter codes which indicate what kinds of edits the data record
should activate.

          For the most commonly used parameter codes each value on
the  card is  checked against  a pre-established  high/low range.
Values which exist outside the range are rejected unless otherwise
specified by an  override  code.

          Individual  agencies  can customize edits by  supplying
their own high/low ranges and edit checks on the  parameter card.

          Data  edits for  the  on-line portion  of STORET are  two
phased.  A format edit is performed with the data on the screen (s)
and  a   cross-edit  is  performed offline   and  applied to  the
                                 Ul:

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transaction fix« created by screen entry.

3.2.3     Updates

          Updates  ara applied  to tha  STORET files  on a weekly
basis.   All  updatas wist  pass  through tha  corresponding edit
process before being added to tha system.
3.2.4
Retrieval
          Data retrieved from STORET take place via ad hoc requests
through  TSO.   The requests  are  activated  through JCL runstreams
that can be bundled with pre-established STORET functions and SAS
commands.  This feature allows the user the capability to alter and
customize output.
 3.3
Retrieval is available through the STORET screen system.

Data
          STORET data are primarily used as a decision making tool
 for  the water quality manager.  Other  ways STORET data are used
 include:

          -  To fulfill PL 92-500 305 (b) reporting requirements.
                                                 \
          -  Update state and areawide water quality plans.

          -  Provide background information for research studies.

          -  Summarize compliance with standards and criteria.

          -  Access the availability of data on priority
             pollutants.

          -  Evaluate  the  effectiveness of the water pollution
             control program.

          -  Check MPDES permit compliance.


          Users enter their own data in  STORET  and are responsible
 for  the quality of  the data which they enter.   Data contained  in
 STORET  are available to all of the users, are often historical, and
 are  related to quality of water,  identification of waste treatment
 plants,  pollution-related  fish kills,  and progress of  government
 grants  awarded to sewage treatment  plants.

          Water quality data, which coaprisas  the bulk  of  data  in
 STORET,  include station and parametric data.  Station data identify
 where a sample is takan from; and the date, time, and depth of the
 sample.  The number of stations have increased from 150 in 1964  to
 approximately 200,000  in 1976.  Station data include such elements
                                139

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&• unique station identifiar, station location longitude/latitude,
station  stat* and  county codas,  station1* political location,
station's hydrological location, and major/minor riv*r basins which
th« station  is close to.   Parametric data identify th* parameter
a«asur«d  and  th*  result  of  th« measurement.    Each  time  «
measurement  is taken it is classified as an observation.  STORET
presently serves as a repository for over 100 million observations
with  approximately  1800 unique water quality parameters.  Eighty
percent  of  all  sample  observations  pertain  to  200  of  these
parameters.

          Municipal  waste  treatment  plant  data  are  another
 component of STORET data. An  inventory  of municipal waste plants
 is crucial  to  the  execution of  pollution  abatement and control
 programs at all  levels of government.   These  data are used  for
 the preparation of  basin plans,  annual budgets, annual  reports;
 to   perform  periodic  assessments   of  the  effectiveness   of
 control/abatement measures and to monitor the degrees of compliance
 with  standards.    Privately  and publicly  owned municipal  waste
 facilities are accounted for in STORET.

           Fish kill  data are entered into STORET  whenever water
 pollution is determined  to be  the  cause of  a fish kill incident.
 Fish  till  data include tissue  sample analysis,  water  sample
 analysis, and site location.   Data  in  STORET for pollution-related
 fish  kills  date back to  the 1960's.

           Contract  awards data help  interested parties to track
 the  progress  of thousands of contracts awarded to municipalities
 for sewage facilities construction, gather statistics on the nature
 of award and quantify trends in contract award activity.  Contract
 awards  data date back to 1952.

            Discrepancies in the STORE!? data have been known to occur
 when two or more differing interpretations have been submitted for
 the  same body of water.

  3.3.1     System Data Base

            There is  no commercial  DBMS  used  for STORET.   Instead,
  a file system was  developed to accommodate the information.  These
  files are discussed below.

  3.3.2      Files

             STORET  data are stored in a number of main data  files

  designed in-house  by  EPA staff.

             These include:

             -   Water Quality file which contains station and
               parametric data.
                                   140

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          -  Wast* Facility  file which contains an inventory of
             municipal and industrial vasts treatment plants.

          -  Pish Kill fils which contains information rslatsd to
             pollution-related fish kills.

          -  Contract Awards  file which tracks  the progress of
             government grants awarded to sewage treatment plants.


          A series of HELP data  sets  or files are a component of
STORET which exist for user support functions.

3.4       Hardware

3.4.1     Type

          IBM 3090

3.4.2     Peripherals

          All STORET users are responsible  for providing their own
computer peripherals and supplies.  Sixty-one percent of all STORET
users  access the  system  from a  PC, while  the  remaining user
population accesses the system via line-by-line terminals.
3.5



3.5.1


system.

3.5.2
Software                              ,

PL1, SAS, WYLBUR, COBOL

On-line

PL1  and TSPF  dialogue support  the STORET  menu-based


Batch
          Batch software used for STORET include SAS, COBOL, PLl,
FORTRAN, and WYLBUR.
3.5.3
Communications
          Communications take  place via remote  dialup to STORET
using  1200  baud modems.   A switch to  2400  buad is  planned to
accommodate more users using the screen-based STORET system vs. the
TSO line-by-line STORET system.
4.0
System Functions
          STORET  functions  are available  via  line-by-line and
through an on-line menu system.  The ability to enter, retrieve,
and analyze  STORET data  in  line-by-line mode  is  supported by a
collection of  related software and  software  elements, which are
                                141

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activated by control  cards.   The menu-based system is support by
a second set of software and will eventually replace line-by-line
•ode once all of the users are technically compatible.

4.1       System Input

4.1.1     Data Input

          State, local,  and Federal agencies enter data into STORET
via the TSO environment command language.  In order to submit the
data to the  system they must be entered into a data  set in card
image format with additional parameters to indicate type of edits
to be  performed on  the data.   The data  set contains  the data
referenced by the JCL runstream which creates the data transaction
file used in the edit process.
4.1.2
Updates
          User's edits are not immediately applied to the system.
They  must wait  for  the weekly  update process  to run  prior to
retrieving their updates.
4.2
System Output
          Output from STORET exists in a variety of  forms to serve
a variety of purposes. These include:           ,

          -  Listings of sampling station information.

          -  Statistical summaries of parametric data.

             Graphical plots of  variations in parametric values
             over time or along a waterway.

          -  Location maps which show sample station locations.

          -  Summaries of parametric values which violate
             standards.

          -  Various maps,  such as  contour, area-shaded, or trend,
             which show variations  in parametric  values over a
             geographical area.

          -  Linear regression plots and statistical calculations
             depicting relationships amongst variables.

          -  Cards containing station codes and parametric data.

          -  Disk, magnetic tape,  cards,  or microfilm containing
             STORET data.


          Users can route their  job output to their own printers
                                142

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requesting user.

4.2.1     Ad Hoc Data Retrieval
          Ad Hoc data retrieved are available via TSO environment
command language.
 4.2.2
         Reports
 III ?ornlaTeponr1: «5£?t£?S* report is requested,  allowing the
 analyst to exclude unessential sample data.
 5.0
                  Maintenance
 s.i
          User Change Control

5.1.1     System Enhancements
          Users submit programming changes to their regional STORET
representative, who  presents the request  to STORET Headquarters
staff.
          The  STORET technical staff  reviews  the  request  for
further  action.    If  approved the  request  is  issued to  the
appropriate programming staff.

5.1.2     System  Problems
          System  problems are  reported to  the  STORET  Hot  Line,
where the Hot Line operator reports the problem to STORET technical
staff for rectification.

5.2      Technical change control  Process

 5.2.1     Chang* Control system Design

           STORET uses  the same data  base  for  modifications and
 production.  Software which is currently being modified is retained
 separately from software in production.

 5.2.2     Change Control Documents
           No  formal  change control documents exist to support the
 change control process.  However,  with the addition of the on-line
 system the process may be formalized if demand  permits.
                                   143

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5.2.3     Chang* Control Activity

          Software  files  are   modified  for  enhancements  and
probl

5.2.4     Chang* control Testing

          The  programmer (s)  implementing  the  software changes is
responsible for testing the modifications.

5.2.5     Change Control Implementation

          Once  the software  modifications are  tested,  the  new
software is moved to production.


6.0       Documentation


          STORET User's Guides

          STORET/BIOS Field Survey Data Base User's Guide

          STORET Flow File User's Guide

          STORET User's Handbook

          STORET Seminar Guide

          Technical Documentation

          A library of program documentation is available.

          STORET HELP Data Sets

          A series of HELP data sets are available to all users.

6.1       User Documentation


          STORET provides users with documentation concerning each
main data file, overall STORET functions, and execution of specific
programs.   The documentation  is offered  in manuals as well as
through the TSO environment  (HELP data sets) .
6.2       Program Documentation

          The STORET  technical  documentation is contained  in  the
STORET library.  The  library documents the software and  includes
a program overview, purpose, preliminary notes, files accessed,  and
structure for each software program.
                                144

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          Thi«  documentation was  last  r«vis«d so.*ti*«  in  th«
1970'S.
g.3       Data Dictionary
          Ko data dictionary exists  Cor STORET.
                                   145

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          Appendix I
Sample System Function Screens
                 146

-------
STORET screen samples are available.
                147

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     Appendix II
Documentation Matrix
           148

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                   EEI-1
                   UssJonHMds
                   Analysis
                   sEI-2
                   pt»fitTW-JtY Design
                   and Owens Anaiyw
                      =£1-8
                      SoJt
                      0«sicn Cocumam
                      =£1-9
                      Softwii 0«tail«c
                          f Cocunwnt
                        =£1-13
                        3yst«.-
                        Test Rwort
149

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2.5  CLP/SMO SYSTEM PROFILE
                                   150

-------
     i S
  Hill
131

-------
132

-------
I S3

-------
154

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  ii it
15S

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          EVA MAJOR SYSTEMS PROFILE
                   QOTLIKg
1.0

1.1
1.2

2.0

2.1
2.2

3.0

3.1
3.2

3.2.1
3.2.2
3.2.3
3.2.4

3.3

3.3.1
3.3.2

3.4

3.4.1
3.4.2

3.5

3.5.1
3.5.2
3.5.3

4.0

4.1

4.1.1
4.1.2
system overview

system Purpose
system Background
     environment
User Support
User Training

TechnJ^c^jL overview

Hardware/Software Environment
Subsystem Environments

 Data Entry
 Data Edits
 Updates
 Data Retrieval

Data

 system Data Base
 Files

Hardware

  Type
  Peripherals

Software

  on-line
  Baton
  Communications

Svfltem Functions
system input

  Data Input
  Update
                      156

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4.2       SY«ta» Output
4.2.1
4.2.2


5.0


5.1


5.1.1
5.1.2


 5.2


 5.2.1
 5.2.2
 5.2.3
 5.2.4
 5.2.5


 6.0


 6.1
 6.2
 6.3
  A4 Hoe Data
  Raporta
s vat <
Kaintananea
nsar Cbanga Control Procaas

  Syataa Bahaneaaanta
  syataa Problt
Tachnical Chaaga control  Procass

   cnanga Control systaa Dasign
   cnanga Control Documanta
   Changa control Activity
   cnanga Control Taating
   Changa control  implamantation

  ^f.iimta.t ion
 Oaar oocumantation
 Technical oocumantation
 Data Dictionary
                                    157

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1.0
1.1
System Purpose
          *ne  purpose of  the  contract Lab  Program  (CLP)  is to
provide  state-of-the-art chemical  analytical services  of known
quality on a high volume,  cost-effective  basis in support of the
Environmental   Protection  Agency's   (EPA)    superfund  effort,
originally   under  the  comprehensive  Environmental  Response,
compensation,  and Liability Act  (CERCLA)  and presently under the
198«  superfund Amendments and Reauthorisation Act  (SARA).   The
contractor-operated   Sample  Management   Office  (SMO)  provides
management,  operations,  and administrative  support to  the CLP.
The  primary  objective  of SMO is  to  facilitate  optimal  use  of
program  analytical  resources.    SMO  activities   fall into  the
following areas:

          l)    sample scheduling and tracking

          2)   Contract Compliance screening

          3)   maintenance of CLP records and subcontracting

          4)    laboratory invoice processing

          5)    procurement/m development and statement of work
              production

          6)   management reporting

          7)   coordinating CLP meetings and conferences

          8)   National Program Office (MPO) management, technical
              and administrative support.
          SMO  routinely receives  Regional  analytical requests;
coordinates and schedules sample analyses;  tracks sample shipments
and  analyses,  receives and  checks  data  for completeness and
compliance;  processes   laboratory   invoices;   and  maintains  a
repository of sampling  records  and program data.   In response to
client requests for nonroutine types  of analyses, SMO subcontracts
for Special Analytical services, scheduling and tracking for  these
efforts as outlined above.  SMO maintains a comprehensive data base
of CLP services, performance,  and utilisation in order  to generate
a variety  of management and  user  reports.  In order to  support
these functions five automated systems were developed,  the  systems
that were developed are;  the Scheduling,  Allocation and Monitoring
(SAM) system, the Statistical  data base (STAY) system, the Contract
compliance System (CCS), the Management Information System  Routine
for Analytical  services (MIS/RAS),  and  the Tracking and  Invoice
Payment (TIP) system. Bach of these five systems will be discussed
in the following sections.
                                1SS

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                              amM  system is to  provide BPA  with
          the purpose  of the 8MI   Jtoow  successfully BPA  regions
management  reports  used to  asses»  Bd  ^4  BOaSuperfund).   on
predicted  their  CLP  needs  <8apV orojected UM,  SAK can be  used
occasions when capacity is short osr  to r€qu€Sting its  assigned
to  determine how close region's o»» ^^ r.gion snipped what was
sample allocations, and whether or  ov   information:
scheduled.   SAK  captures the foll««1B*
                            *   ..a inorganic sample  projections,
      -   Each region's organic "V required by  month.
         and assigned allocations i*  *•«*»"•      *

                     *  ^     *fi* regional weekly requests for
      .  Site and project specific re?*"-
         CLP support.
                                            for
allocations
                      are not
          processing
                                            t-_  £s  to  provide  a
            Th«  purpose  of  the  8TM  sy.       £   results from

  statistically ^*  •"'iSSJj.d0 tSo«gh SJ Lutin. Analytical
  superfund investigations conducted tnroug         j^t,, occurrence





           on a customise basis.                        ^   ^^^


            The   main  goals  of   CCS  "•   ^^.a^rovWed by the
       E»X'» right to
                                   159

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          The purpose of the Sample Tracking and invoice processing
(TIP)   system is  to correctly  compute  the amounts  payable  to
laboratories based upon the terms of each contract.   According to
the terms of the contract, laboratories nay incur cost adjustments.
The factors examined in determining cost adjustments include data
turnaround  (amount  of  time taken by the  laboratory to  analyse a
sample and send a data package to Viar/8MO), quality control sample
data results/ and holding time criteria,  TIP supports the payment
recommendation function of CCS by calculating the sample due dates.

1.2       System Background

          The  backgrounds of the five  systems  which support CLP
through the SMO are discussed in  the following paragraphs.

           SAM  was  developed  in  1985   by  viar   for  the  U.S.
Environmental  Protection Agency's CLP at a time when EPA needed to
allocate limited laboratory capacity to EPA regions with extensive
hazardous waste  sampling demands.
           STAT was created by  Viar in, 1983/84  in  response  to  an
 EPA request for  data on compound  occurrence at Superfund sites for
 taxation studies required by CSRCLA.  The 1983 version of STAT was
 statistically modeled on the computer records of Routine Analytical
 Services  (RAB) which  had been  provided by the CLP up to January
 1984.  Thirty percent of the sites serviced were selected as were
 nine  percent  of  the  samples  analyzed.   Sites  were 'stratified
 according to National Priority  List (N7L) status. "Nineteen percent
 of the 354 randomly selected  sites were on  the NPL at the time.
 Up  to «  organic  and  4 inorganic samples*  or 12  organic and  8
 inorganic  samples  were selected from each  site using a systematic
 selection method,  depending on the number  of sampling episodes
  (eases)  which had been done for the site,  subsequently/ the system
 has been revised to include randomly selected samples derived from
 HAS  information up through 198«.
            CCS was developed in  198S by  Viar  for  the BPA's CLP in
  response to EPA regional concerns about the quality of data being
  provided by contract laboratories,   ccs was  designed to  rapidly
  determine  the  contractual  compliance  and  completeness  of  data
  submitted to EPA under the RAS programs of CERCLA.

            KXS/RAS  is  a computerised  case  and  contract   summary
  system  designed  to meet the  management information needs of  the
  EPA's CLP program.  MXS/RA8 was developed in July 1982 to  capture/
  maintain/  process/   and  report  CLP  information  relating   to
  laboratory performance/ adherence  to contract requirements/  and
  financial and utilisation data.
             TIP  was developed in 1982 for the BPA*s CLP.   TIP forms
  the  basis of Viar1 a recommendation to EPA for laboratory payment/
  to   labs  which  analyse  samples  from sites deemed  potentially
  dangerous by  the   EPA.    TIP  tracks the   collection/   contract
   schedules/ cost/ and payment of individual samples.  TIP  has been
                                   160

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procedure  »*•  modifi.d TI»

additional proc«dur«.
                                         •nhaac«d  to
 2
           us«r support
                8KO  syt^s-  us.r .support [
 2.2
 on  an
                                                        are
                              users «««  ajf»*.«- —	

 liy B«»*»«   »«•• — —  --

 within the same office area.



    User Training


            44    *  r all SHO systems is performed informally
    User training for all snw »*

as-needed basis.
                                    161

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3.0

3.1
Hardware/Software Environment
          3MO computer systems are supported by th« HOC IBM 3090,
Cincinnati IBM 4381 model R23, and the WXC IBM 4381.  VIM HOC 3090
is the central nod* in « series of logical mainframes (UUT).  All
SMO production computing is on the Cincinnati IBM 4381.   Tit* wic
IBM 4381 is used as a communications vehicle to the HCC's 3090.

3.2       subsystem Environments

3.2.1     Data Entry

          The  SAM  data  entry   function   resides  in  the  TSO
environment utilising FOCUS to generate the screens.  Menus and
screens support the entry of SAM data.

          STAT acquires new data from  PC-based file uploads to the
mainframe  via  a  batch  SAS  program  which  runs  in  the  TSO
environment.

          ccs data entry processing is carried out by screen data
entry or uploading of data diskettes from PCs. Both forms of entry
are supported by SAS programs  which reside ia the TSO environment.
screen programs are further supported by CLIST.

          MIS/HAS data are entered   through on-line  data entry
screens..   These screens  reside in the TSO environment  and are
further supported by CLIST,

          TIP data are entered through on-line data entry screens,
which reside in the TSO environment and are supported by CLIST, and
through the uploading of data diskettes.
3.2.2
Data Edits
          Mo specific information concerning SAM or STAT data edits
has been provided.

          CCS data  are edited after they  have been submitted to
the system.   Due to the limitations of  8AS/FSP software, no on-
screen error checking  is performed.  Two types of edit processes
occur, one  for  each data entry method:  upload from diskette and
on-line entry.  The kinds of edits for uploaded data include:

          -  Record format (key fields,  record type).

          -  Valid number of data records  per  header record.

          -  Checks for illegal characters in  data variables.


          -  correct  information  (such as  case, lab and
                                162

-------
             contract).

          -  V»U4 data grouping*, for «xaapi, fractional  sets,


     The  types Of adits  performed on  the data  files ara quit*
extensive.  IB summary/ the data adita encompass ehacks on  illagal
field  values,  range cheeks, time  sequences,  visaing  information
from fields and screens, and illagal  field combinations.

          MIS/RAS checks for tha validity of known fields  such as
case number and tha sample dollar count as vail as  others.   Samples
with erroneous fielda ara rejected and must be resubaitted.

          TIP data edits check for  value,  format,  and existence of
required  fields.   Cross-edits  ara  performed  across tha  TIP,
MIS/RAS, and CCS systems.
3.2.3
updates
          Updates to the SAM data base occur at tha time tha screen
update takes place via  FOCUS  programs.   Users may also select to
update tha Sample Tracking  data base  which interfaces to SAM and
contains some of tha same data elements.  Users may elect to update
the  data  baaa after  tha data entry  or update process when tha
system prompts for update of tha Sample Tracking data base.

          STAT data uploaded  from  tha PC-based data entry system
are  stored in  a temporary file.   Periodically as tha process of
accumulating  data   for  tha  complete  population  of  samples
progresses, tha contents of this fila ara  addad to tha main STAT
data base.

          In order for  STAT to maintain tha statistical validity
of its data base, tha data base must be updated at the end of each
year with a sample of that year's RAS work.  By updating tha data
base, tha fixed  percentage  of sitaa and samples  included in the
data base  is maintained as  tha  universe  of sites  and samples
expands.  During tais process  comparisons to the MIS/RAS data base
are necessary for items such aa new sites,  ratio of NPL  to non-HPL
sites,  and new casea.
          CCS  data is  updated nightly.
consists of tha following four steps:
                                  The update  procedure
          l)  Post daily transactions to  a master data set and
              backup of all daily data entry filaa.

          2)  Compare the CCS data basa against tha TIP data base
              so that tha unscreened samples may ba identified,
              scheduled for screening, and addad to tha CCS
              sample fila.
                               163

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3)
                                                     in
              Evaluate CCS  results  and produce p«yaaat
              recommendation.   The  tccoaaendations are stored i
              tha sample  fll*.  The TIP system win ratriave
              payment  recommendations from ccs during its daily
              update process.

          4)  Refresh  the individual data entry files from the
              aastar fila.

          5)  Produce  an  extract  of ccs information for tha CARD
              system managed by tha USBPA RMSL/Las Vegas.  This
              fila contain* all ccs data processed in tha last
              week.  Tha  fila is produced each Wadnasday.

          MIS/RAS updatas ara  performed  on a monthly basis and
contain all raconcilad data antry activity for ona month.

          TIP  updatas occur  nightly.,    Uploadad  diskattas  ara
appliad  iaaadiataly to CCS and  ara appliad  to  TIP  during tha
nightly updata procass.
3.2.4
Data Ratriaval
          Tha Ad Hoc option allows tha usar to inquira on tha SAM
data alamants by building FOCUS  rapoxt ganarator raquasts on tha
scraan.  To parform data inquiry functions on tha data "basa using
tha Ad Hoc manu, tha usar must ba familiar with tha FOCUS report
ganarator command  syntax  and  data alamant namas.   Tha usar is
racommandad to  raad tha "Raport Gan«iratorn saction of tha FOCUS
usar's Manual.   Tha manual will instruct  tha  usar on formatting
custom raports,  craating summary raports,  and parforming simple
inquiries to tha SAM data basa.

          STAT providas  no spacial data inquiry facilities. For
interactive query  standard  8A8/FSP procedures  can ba  used,  or
custom batch  programs written to  extract and  print tha desired
data.

          CCS providas menu-driven data  antry  screens  for each
phase of the CCS procass where information must  ba  input into tha
system or modified to allow data entry without extensive training
requirements.   The data  entry environment  exists  in TSO and
utilises ISPF, SAS/FSP, and SAS Basics.

          MIS/RAS data entry is  facilitated  by the  use of data
entry screens which enable entry operators  to spacify whether data
should ba added, changed, or deleted  from tha master file.  Tha
MIS/RAS data antry  environment exists in TSO and is supported by
ISPF, SAS and CLIST.
                                164

-------
                                       no  special  data  inquiry
          —  »——»»  **«•  r-- -.--•dures  arc  used  with  menus
faciliti"*   Standard  SM/FSP JgJStio. sWystem of TIP, which
constructed*£»••'.  ». co.t Xllo«•« ^^f     .,
is written in FOCUS,  provides a set w»
                 In  general,  TIP  r-
                 i.    standard SAS/FSP
                                                          m       ,
                                                          query screens.
        3.3
                  Data
                  SAM data support the scheduling allocation and monitoring
        system.    SAM  data comprise  all  elements  related  to  sample
        projections, allocations*  regional requests for CLP support, which
        includes identification of the requesting organization, preferred
        laboratory  and  month of allocation* sample  shipment information
        such  as:  estimated ship  date  and total   sample  quantity  per
        shipment,   nonallocation  projections  and  performance,  and  QC
        frequency for invoice processing.

                  Additional related data  are  case-number  (which is the
        same  under all  SMO  systems),  geographical  regions,   sampling
        activity purpose, site*related information such as spill*id, site-
        name and site status, lab-related information such as QC frequency

        and lab name.
                   STAT  contains a data universe which is  representative of
        approximately 30 percent of CLP sites.  A  statistical sample of
        17,197  environmental  samples representing  10.4 percent of  the
        samples analyzed under routine analytical procedures was  selected
         from  each  chosen  site  using a modified,   stratified  systematic
         random sampling procedure.
                   A  total  of  18  organic  and 18  inorganic  samples  was
         selected from each  site where available.  Sample  data are available
         for over 160 organic  and inorganic target compounds and elements
         and nontarget  organic compounds for each site.   Sample selected
         Chemical Abstracts Service  (CAS) Registry number, actual  detection
         limits, and  sample matrix   (e.g.,  surface water,  soil,  etc.)  are
         available  for   each analysis.   Blank data assist  in  assessing
         possible laboratory or contamination of samples  is also available.

                    CCS  data concern the results  of  the  CCS inspection of
         each   sample.    This  includes a  summary  of   completeness  and
         compliance status  of  the data divided into  27 specific evaluation
         criteria  for organic  analyses, and 19 for inorganic analyses.  The
         status for each of these criteria  is entered into the CCS data base

         for  each  sample.
                    MIS/HAS data are related to the  activities surrounding
         payment of laboratory sample  analysis  activities and the graphical
          reporting thereof.  Some general  categories of KXS/RAS  data are :

                    *   Accounting and  payment  information such as: program
          responsible for payment (Superfund and non-superfund),  processing
          of 2550 invoice,  costlot  per sample  price for a specified number
          of  samples under a lab contract,  total  value of   government
C
                                          165

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obligated  funds   to  purchase  sample  aaalyn*,  penalties  and
incentives  for  late  and  early  performance and  analysis  and
appropriation*.

          -  Laboratory and sample data such as:   lab capacity,
late samples, required fraction analysis per sample, dat« of sample
analysis, and sample weight.

               Contract  data  such  a»  contract  and  contract
modification  numbers.
3.3.1
System Data Base
          The SMC  data base  utilizes  the FOCUS DBMS and contains
a  single FOCOS  file,  which is  further organized  into separate
segments.  Several 8X8 files comprise the STXT data, base.  These
files are discussed in the following Section 3.3.2.

          8X8 files comprise the CCS  data base.  These files are
discussed in following Section 3.3.2.   The CCS data base usually
contains two months1  data in an active file at all times.  Data
older than  two months are stored in  a separate  file,  which is
called  an  archive   file.    The   entire  CCS  system  occupies
approximately 50,000 tracks  and is  expected to grow at a rate of
looo tracks per month.

          MX8/RXS  data are organised,  maintained * and accessed by
SX8 files, which are discussed in Section 3.3.2.

          TIP is organised and maintained in 8X8 and FOCUS files.
The TIP  data  base contains  approximately 300,000  sample records
and processes  approximately 8000 samples and  70O invoices each
month.
3.3.2
system.
Files

SXM uses intermediary files in the update portion of the
          STXT uses  six primary files,
following datas
                               These  files contain the
             The XLLDXTX file is the result of the selection of a
             random sample of K*X  samples for 1980-1983.  This
             file contains information of vox/BNX/PEST  compounds
             distribution during that period.

             The MZTXLBLK file  include* blank data for  inorganic
             soil samples for 1980-1983.   These blank data are
             associated with the inorganic soil samples in
             XLLDXTX. This file helps  in monitoring QX/QC of
             inorganic soil samples.
                               166

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fil.
        ganarmtad for

Th. fil.
tna compound la*«  ganarm
                           i.tr tt
          rio     Th. fil. gi~. th^ Ji.tr

          compound during Ift4 and sp«cifi«s

          ia of B«WOVW« fraction.
                     fti« i» «• ?f J*;0;12.
           uniqu* sit. n««s •«• «tT*f» 'f- loc«t«d and wh«th«r
           also d««crib*« irh«r« th« sit« i» i«««*
           th« sita is on tha MPL or not.
           Th.
           for a coliaotion o* '"P^*,*^ th. data basa for
                                     "
           analysis.


                   486
                      of a collaotion, « --*«-  -~  tna data
 an
             alysis
"'" ""-                       raw was-
             quarterly

         •  S
             ?iirand is updatad quartarly


          •
             quartarly
              updatad quartarly


          •
              updatad quartarly.
              •ontnly.
                               167

-------
         7)   CASESAVE - is the backup  til*  for  the CASBMF file
             and is updated monthly.

         8)   COMTMF - contains contract status  and funding
             information for each contract awarded to  the
             laboratory and is updated, monthly.

         9)   CONTRACT - contains  information regarding contract
             rules and delivery perfomance  analysis for each
             contract awarded to the laboratory.

        10)  CONTSA7B - is  the backup  file  for  the COMTMF file
             and is updated monthly.

             LABPLOT - contains information regarding  laboratory
             performance analysis.  Tliis file is a derivative of
             the BACXMF file and is updated quarterly.

             PLODAT  -  contains  monthly analysis of sample and
             financial utilisation  at  the case  level.   This  file
             is derived by  combining  the  COMTMF and CASEMF
             Master  Files,  and is updated monthly.

             PROQPLOT  -  contains information regarding RAS
             program performance analysis organised by calendar
             year.   This  file is derived form  the BACKMF file
             and  is  updated quarterly.
                                                 >

              SAMPLE - contains the most current sample data as
             well as historical samples,  and is updated daily.

              SITES6 - provides invoice information which tracks
              the costs incurred at each site with an  EPA
              site/spill identifier.

          TIP contains several files including  contract Bid  File,
Case Cost Adjustments File,  Contract  Master File,  CostLot Master
File, Diorin Active Sample File, several invoice files reflecting
the different invoice types,  inorganic and organic active,  semi-
active and nonaotive sample files.  The Cost Allocation subsystem
contains the Financial Balance file  and  the Invoice  Transaction

file.
        12)
        13)
         14)
         15)
3.4


3.4.1
          Hardware

          Type
          All SMO systems utilise two IBM  4381s  and an IBM 3090
                                 I6S

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3.4.2
P«ripherals
           SMO users access  CLP systems vta  3270 tar«inals with
 dedicated Haas or ASCII m terminals with dial-up  capability.
 PCS ara availabla to users and help  them to customize soma of tha
 applications.


 3.s       Software

           SAM Utilizes TSO,  CLIST, SAS, and FOCUS.

           STAT  utilizes TSO  and SAS.

           CCS utilizes TSO,  ISPF, and SAS  (Basics and FSP).

           KIS/RAS utilizes TSO, ISPF, CLIST, and SAS.

           TIP utilizes TSO,  CLIST, SAS, ISPF and FOCUS.

 3.S.I      on-line

           SAM on-line programs utiliza FOCUS FIDEL.

           STAT  has no on-line programs.

           ccs,  MIS/RAS,  and  TIP on-line programs  are 'written  in
 SAS and CLIST.  The Cost Allocation subsystem  to TIP  is written in
 FOCUS.
3.5.2
Batch
          SAX  batch programs  utiliza FOCUS  Financial Reporting
Language usad  for reports, TSO, CLIST, SAS, and FOCUS.
in SAS.

3.5.3
          STAT, CCS, MIS/RAS,  and  TIP batch programs are written
Communications
          SAM user
             tunications  are mada possible through the
USBPA telecommunications Network Menu.

4.0       System ^M^ctions

          SAM  is  a menu-driven  system which provides data base
maintenance and reporting functions*  SAM  functions include CLP
Tracking System,  RAS  data reports,  LAB  data reports, allocation
reports, projection/scheduling reports, and maintenance features.

          Although the  RAS  and LAB data reports  are on the main
menu, these options are currently unavailable.
                                169

-------
          STKT  exists as  a collection  of si*  files  from which
reports ar« generated using customised SAS programs.  There are no
menus  oc specially designed  inquiry screens for  the  data base.
The primar? functions of STAT are to select data base population,
cheek  data collection  status, add data to the data base* and run
ad hoc reports.

          CCS is a menu-based system which allows for a variety of
functions including calculations of initial payment racommendaton,
tracking  of  laboratory responses  to CCS, production  reconciled
sample status reports, modifying payment recommendation based on
the  timeliness  of the  laboratories*  responses, and tracking of
laboratory and program performance trends over viable time frames.

          MIS/HAS is a menu-driven on-line access system with batch
reporting available  at scheduled intervals and on  request.   All
available information maintained in the system can be  viewed or
updated by authorised users.

          TIP is a menu-driven on-line access system which allows
for the entry of data from screens  and uploading of diskettes, and
the generation of hundreds of different reports.

4.1       System Input

4.1.1     Data Input

          The initiation  of the data entry  process for  SAM is
dependent upon the weekly  receipt of the  CLP-SHO Weekly scheduling
worksheets from  the  SMO Environment Program  Coordinators.  Each
coordinator is responsible for tracking every sample scheduled and
shipped by a particular EPA region.  This detailed scheduling and
shipment information is placed on the Scheduling Worksheet  and, at
the end of each week, is given to the system user for data entry.

          The SAX entry menu allows  access  to  the  add, update,
delete/ and  inquiry screens  for the initial  information, which
comprises nonsuperfund document  control number, client projections
for allocating sample analyses by region and new case number; and
for laboratory  assignment and  shipment  records,  sample request
records,  and  separate maintenance of case  number  and document
control records.

          STAT has no user interface for  entering data besides the
PC-based upload procedure.

          CCS data entry  procedures include  diskette  upload and
on-line screen entry.


          The entry of MIS/MS data  occurs  through  the  HAS  -
contract and RAS-Case Data Entry screens.  Access to these  screens
allows for the entry of new contract and case records.  The  screens
which pass validation and are accepted to the system are stored in
                                170

-------
a  transaction  ell,
whenever the «T.t€>
                           ia  incorporated  into the  data  base
                           pr*ce«»  *» initiate.

              data are entered via  SAB/FSF and FOCUS screens.


4.1.2     Update
          SMC data ar« updated automatically after a screen entry
of new data or  a  chang*  is successfully  submitted to the system.
Each time a successful updat* occurs an archive is mad*.  Archive
files of SAM data base updates are held for 30 days.

          Updates  to  SAM occur through the  CLP  Tracking System,
CLP  Sched/M location  Maintenance screen, and  Contract Lab Table
Maintenance screen.
          STAT  does not allow updates  to data once  it has been
uploaded.   It  does however  allow  for the  analysis  results for
selected samples  that must be retrieved  from archived  storage and
input to the  system  through a  PC-based generalized data  entry
system.   Progress made by  this process is checked using  three
status reports.  These reports compare the file of selected target
samples with the samples  in  a file  containing data uploaded from
 the PC-based data entry system.
           Updates to CCS  are  applied to  the data base Curing the
 nightly update process.  Any data entered during the interim before
 this process are written to  one  of many data entry  data set files.
 These are referred to as "slave files."  The slave files mirror the
 current state of the data base,  which serves to allow  for updating
 of  existing records as  well  as addition of  new records. The first
 step  in the nightly  update  process is to  extract all new entry
 transactions from each slave file.  The update process is discussed

 in  detail in section 3.2.3.
           MXS/RAS data are  applied to the  MIS/RAS data base when
 the update process,  which typically occurs on a monthly basis,  is
 activated from the Data entry/Update Menu.  The update process is
 not requested until  the data  entry  transaction  files have  been
 reviewed by the  MX8/RAS MIS  coordinator.  The contract Master File
  and case Master File  are  updated  as  separate processes,  which
  produce update confirmation listings.  Any changes  made to existing
  contract or   case  records  are initiated  through  the case  and
  contract  Maintenance  options  on   the  Date Entry/Update  Menu.
  changes to existing records are not applied to the data base until
  after the update process has been  initiated.


            TIP data  enters  the  system  immediately  upon entry.
  Multiuser database access is provided through S AS/ SHARE.  A nightly
  adjustment program is run to perform computations  based on contract

  provisions.
                                   171

-------
 4.2
system output
 location*
8AM  output  My be  directed to me  or tiro  contractor
via a printer destination menu.
 4.2.1
Ad Hoc Data Retrieval
          8AM  ad hoc retrievals are available through FOCUS, which
requires users to be fasdliar with the FOCUS  query language and
allows Cor custom report formats, graphics, and special calculation
for financial  data.

          Requests  for STAT data retrievals must  be directed to
SMO's project  officer at  the 1PA Analytical  operations Branch.
STAT data retrievals require reference to the list of data elements
to determine which elements are needed for the report, rather than
making a choice from a menu.   Data retrievals  are negotiated and
refined orally with the  system manager to  define  necessary data
elements and statistical treatment of numerical  data. Some typical
requests from  STAT ares

          -  occurrence and concentration data for  surface water,
             groundwatar, and  soils for use in listing 200 (most
             commonly detected) toxic chemicals  at superfund
             sites.  Toxicological profiles are produced for the
             200 chemicals  by  the  Agency of Toxic  substances and
             Disease Registry.

          -  occurrence/concentration reports for EPA'S Office of
             Toxic Substances.  Test Rules  Development Branch,
             for use in  determining if 90-subchronic  toxicity
             tests are required under TSCA Section  4.

          -  Occurrence/concentration reports for BPA's office of
             solid Waste to determine  the presence of Appendix
             VIZI and Appendix IX compounds in groundwater.

          -  Occurrence/concentration reports  for  OTS  for
             compounds on the 1977 TSCA Inventory.

          CCS is net designed to accommodate ad  hoc  query requests.

          MZ8/RA8 supports  ad hoc queries  through requests made
for ad hoe reports on the ADROC Reports menu.   The ADBOC Reports
menu allows the user to run management reports that are the basis
for evaluating,  planning,  and improving analytical services; as
well  as  effectively managing and  enforcing all  CL* laboratory
contracts,  responding  to   ad hoc reporting  requirements,  and
producing reports used to perform quality control checks on KIS/RAS
data.

          TIP,  like ccs, has  no built-in  provision  for ad hoc
queries.  Advanced users familiar with basic SAS and tocos commands
can however perform such queries.

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4.2.2

          «*M  reports are generated  on a  routine  weekly  basis.
Monthly  and quarterly summaries are  also produced.   The reports
are generated for each analytical program (organic and inorganic).
The  monthly reports  (which  include weekly summary  reports) are
first produced as a preliminary report.  After the data entered
into the systems have been thoroughly quality controlled, a final
report  is  produced for  distribution.   Three report options are
available   to   the   user.   They   are   allocation   reports,
projection/scheduling  reports,  and ad  hoc  reports  discussed in
Section  4.2.1.

The following reports are available through SAM:

          -  Monthly Allocation Summary Report

          -  Monthly Allocation Cumulative Report

          -  weekly Allocation summary Report

          •  Quarterly Allocation Management Report

          -  Monthly Allocation Management Report

          -  Projection/Scheduling Monthly summary Report

          -  Weekly Projection/Scheduling Summary Report

          *  Quarterly Projection/Scheduling Management Report

          -  Monthly Scheduling/Projection Management Report.
          STAT reports are generated on an ad hoc basis only.
hoc retrieval for STAT is discussed in Section 4.2.1.
Ad
          CCS reports serve three primary directives.  They are:

               1)  Provide a method of  feedback for the labs
                   regarding their perfomance  following their
                   original data submissions and subsequent
                   reconciliation efforts.

               2)  Produce a nightly  system error report which
                   reports on any illogical occurrences of
                   combinations of data.  This report is used for
                   quality control.

               3)  Produce a reprocessed  samples report to
                   monitor sample status changes in the system.
                               173

-------
                  reports are available 1:o the UMr graphically as
¥•11 as textual ly.  fi% tvo Beau* which support these capabilities
axe the R*S Performance Reports Menu »nd the HAS Graphic Menu.  The
HAS Performance Exports Menu allow* users to run aui»9«a«nt reports
th«t «r« th« b»»i,  (or Managing ud «nforcing all CLP laboratory
contracts.   Th« Rxa Graphie Honn  allows tho us«r  to  ma graphs
depicting  CLP  laboratory  co«t»,  us«ig«,  backlog*   and  data
turnaround. Typ« of reports and graphic* available are:
               I)
               2)
               3)
               «)
               5)
               «)
               7)
               8)
               9)
              10)
Backlog data update
Trends in sample timeliness
T/A time distribution by quarters
T/A tiae distribution by months
Data backlog report
Samples in backlog
caseeost report
nr/CY financial and utilization by month
Data backlog by progri
Data backlog  aging-rotating months by
lab/program
              11)  T/A time-trends in samples' timeliness
              12)  samples analysed by rotating months
              13)  samples analysed by fiscal year
              14)  RAS guarterly financiel/util. by programs
          TIP produces hundreds of different reports which pertain
to sample lists, invoice reports, and reconciliation.
s.o
          Since the  SMO systems environment  is a highly  dynamic
one, the ability for  fast implementation of system changes has been
built-in to all SMO systems,  controls over change implementation
have been established to maximise the stability of system behavior
and to  allow  for  the most effieieat and effective use  of system
maintenance and enhancement resources.
                                174

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0i*r Chang* Control Froc*»»
                                       th*
                                    syst«m  »aaag*r  is
                                    Chang* worsts  for
                                    manager  i» usually
                           .  ,  Of th. syst*«, who h*lp
                               changa* to th*  attention
                                       r**pon*ibl*   for
S.I

          *•  with  all   ...
responsible- for specifying and
th*  corresponding  data  bas*.
assisted by on* or  two ex
in problem  resolution and
of   th*   system  manager  and  th*
implementing the requested changes.

          SMO system  users report problems to th* system manager
or  other  users  assigned by  the system  manager  to coordinate
 requests for programmer  support.


 5.1.1     System Enhancements
           SMO enhancements are report/requested much the same way
 that problems are reported,   system enhancements must be submitted
 in  writing  and are reviewed  for  action  by the  system manager and

 appropriate staff.

 5.1.2     system Problems
            SMO  problems   are   initially  submitted  to the  system
 manager  and/or a representative for  rectification.  The SMO  user
 should fully document the problem to the greatest ^extent possible.

            Whenever a problem encountered  with  a  SMO system  will
 take less  than a day to correct, the  request may be made verbally
 to  the programmer.   SMO problems/changes requiring more than a day
 must be submitted  in writing.
            In instances  where the SMO system manager cannot resolve
  the problem,  the problem is  assigned directly  to  the programmer,
  who is responsible for  diagnosing and resolving the problem.
  Technical Change Control Process

  Chang* Control system Design
5.2

5.2.1     	,.
          The SMO  test environment is the set  of  data files and
programs the maintenance programmer uses to test procedures prior
to updating production programs,  when maintaining  the system, the
programmer should follow a standard procedure for moving production
programs  from the production environment to the test environment
-and vice versa.  Even though the procedures of moving programs from
the production environment to the  test environment seem simple, the
lack  of  a  standard  procedure can  cause  considerable  problems.
Therefore,  standard maintenance procedures have been established
 for   use  by  the  data  processing  staff  with  the  maintenance

 responsibility.
                         175

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change control
         MO
         i
                                       cl»ng«i
                                         in vriti.,
       5.2.3
                 Chang« Control Activity
                                                                      s:
       program*!
       problem/enhance
       5.2.4      Change Control  Testing
        the system manager and corresponding r«j
        s.2.5     Change control implementation
                  onoe a 8MO change passes thiro
               	-—-.#•«> to the production
                         tasted by the progn
                        '— representatives.
                                                             •ammer and by
                                                               — "
        ...
c
                                          176

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€.0

          ft major documentation effort Cor all SHO systems occurred
in  1988.    Viar was  responsible  for  the  development  of  the
documentation,  which is  OB  an on-going  basis,  reviewed by  an
independent party (PRO).  The currency of the documentation Batches
the current  life cycle stage of the system documented.

          viar'3 SMO documentation is rigorously kept up-to-date.
Viar's change control procedures for system documentation  rely on
the use  of  a written Documentation Change  Request (OCR) form to
record any changes to documentation necessitated by  system changes.
Another key element of the change control process for documents is
that every page of each document has the  date printed in  the lower
left corner of the page and the document title appears in  the upper
right  corner.   These  headers will   support  accurate  document
identification  when requesting changes  and will  facilitate the
issuance of single updated pages for timely incorporation into the
documentation.
6.1
User Documentation
          SAM User Manual

          STAT User Manual

          FOCUS User Manual

          ccs user Manual

          MIS/RAS User Manual

          TIP user Manual *
6.2
Technical Documentation
          SAM Maintenance Manual

          SAM Operation Manual

          STAT operation/Maintenance Manual

          ccs Test Plan **

          CCS Design Document

          ccs Maintenance Manual *

          ccs Operations Manual *
                                177

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t"

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