ENVIRONMENTAL PROTECTION AGENCY
I
        Information Resources Management
                   Review Program
                    FY1990 Report
                      NOVEMBER 1990
              U.S. Environmental Protection Agency
        Assistant Administrator, Administration and Resources Management
        I       Office of Information Resources Management
EPA
220/
1990.2
                                             Printed on Recycled Paper

-------


-------
"I f
        Federal  IRM  Review  Program

        FY 1990 Report
                                                             Prepared/or:
                                           General Services Administration
                               Procurement and Management Reviews Branch (KMAP)
                                             18th and F Streets NW, Room 2014
                                                    Washington, D.C. 20405
                                                             Prepared by:
                                      U.S. Environmental  Protection Agency
                                      Office of Information Resources Management
                                                         401 M Street SW
                                                    Washington, D.C. 20460
                                                          November 1990
                               -(FSriQiiARTERS LIBRARY
                               .;NV!H!>NMF.NTAl PROTECTION AGENCY
                               WASHINGTON, D.C. 20460

-------
L

-------
Printed on



Recycled Paper

-------


-------
Preface
                      Through the Federal IRM (Information Resources Management)
                   Review Program, EPA assesses its ability to gather timely and
                   accurate data and to evaluate the tools used to compile it across
                   programs and media into information which supports environmental
                   decision making.

                      The Federal IRM Review Program was initiated in FY 1986 to
                   carry out the provisions of the Paperwork Reduction  Act of 1980.
                   The Office of Management and  Budget (OMB) and the General
                   Services Administration (GSA) provide guidance and oversight in
                   implementing  the program,  with GSA  providing  overall
                   management.

                      The Federal IRM Review Program seeks to determine:

                      •  If each agency is carrying out its information  management
                         activities in an efficient, effective and economical manner in
                         support of program missions and objectives;

                      •  How well each  agency is complying with established IRM
                         policies, procedures, principles, standards and guidelines;
                         and

                      •  If  each agency is complying with  Federal  agency
                         responsibilities of Section 3506 of the Paperwork Reduction
                         Act (PRA).

                      This document is the U.S. Environmental Protection Agency's
                   fifth annual submittal under the Federal IRM Review Program.  It
                   contains a report on program results for FY 1990 and summarizes
                   the Agency's review plan for FY 1991.

                      The structure of this document is  as follows:

                      •  An  EXECUTIVE  SUMMARY  follows  the Table of
                         Contents. It provides a summary of the accomplishments of
                         the 1990 fiscal year and discusses planned  reviews and
                         changes in the IRM program for next year.

                      •  Chapter 1— INTRODUCTION,  provides  background
                         information on the Agency's mission and IRM organization,
                         policies and procedures.  It also describes how the IRM
                         Review Program is implemented within the Agency.

                      •  Chapter 2— FY 1990 PRIORITIES AND INITIATIVES,
                         describes government-wide and Agency-specific goals and

-------
PREFACE
                          IRM initiatives which led to the reviews presented in this
                          report.

                      •   Chapter 3— FY 1990 IRM REVIEWS, summarizes  the
                          reviews conducted during FY 1990 and the benefits received
                          from those reviews. As mandated by GSA, this chapter also
                          evaluates the Agency's compliance with the PRA ง3506 (see
                          above).

                      •   Chapter 4— FY 1991 IRM REVIEWS, summarizes  the
                          initiatives and reviews planned for FY 1991 and describes
                          the reporting changes required by GSA.

                      Four appendices complete the document. Appendix A contains
                   the synopses of reviews  conducted  during FY  1990.   It also
                   contains the completed synopsis data sheets for these same reviews,
                   as required by GSA. Appendix B contains brief descriptions of the
                   IRM reviews planned for FY 1991.   Appendix C contains  the
                   formats for the  initial and annual reports on major information
                   systems. The last appendix contains, as required by GSA, the initial
                   report on the Agency's SCRIPS (Superfund Cost Recovery Image
                   Processing System).

                      Please direct comments on this report to one of the following
                   individuals:

                      Mr. Alvin M. Pesachowitz
                      Director, Office of Information Resources Management (OIRM)
                      U.S. EPA(PM-211)
                      401 M Street, SW
                      Washington, D.C.  20460
                      EMAIL:  EPA3400
                      Telephone: (202)382-4465

                      Ms. Daiva A. Balkus
                      Director, OIRM Information Management and Services Division
                      U.S. EPA(PM-211D)
                      401 M Street, SW
                      Washington, D.C.  20460
                      EMAIL:  EPA3414
                      Telephone: (202)382-5914
ii

-------
Table  of  Contents
                  Preface  	  i


                  Executive  Summary  	  v


                  Chapter 1:    Introduction	  1

                                Agency Background 	  1
                                IRM Organization  	  2
                                IRM Policies and Procedures 	  5
                                IRM Strategic Planning 	  6
                                IRM Review Program 	  7


                  Chapter 2:    FY 1990 Priorities  and Initiatives	  9

                                Government-Wide Priorities	  9
                                EPA Priorities 	  11
                                IRM Review Program Objectives	  14
                                IRM Initiatives for FY 1990 	  15


                  Chapter 3:    FY 1990 IRM Reviews  	20

                                Analysis of the IRM Review Program	  20
                                Benefits of the IRM Review Program	  25
                                Status of ADP Security Plans 	  29
                                Evaluation of ง3506 Compliance 	  30


                  Chapter 4:    FY 1991 IRM Reviews  	35

                                Planned Priorities and IRM Goals 	  35
                                Reporting Changes for FY 1991 	  40
                                Summary of Planned Reviews 	  42


                  Appendix A:  FY 1990  Review Synopses  	  A-l


                  Appendix  B:  FY 1991 Planned Reviews   	  B-l


                  Appendix C:  Major  Information  System Reports...  C-l


                  Appendix D:  Initial MIS  Report  for  SCRIPS	D-l
                                                                       III

-------
iv

-------
Executive   Summary
                      Through the Federal IRM (Information Resources Management)
                   Review Program, EPA assesses its ability to gather timely and
                   accurate data and to integrate it across programs and media into
                   information which supports environmental decision making.

                      The Federal IRM Review Program was initiated in FY 1986 to
                   carry out the provisions of the Paperwork Reduction Act of 1980.
                   The Office of Management and Budget (OMB) and the General
                   Services Administration (GSA) provide guidance and oversight in
                   implementing the  program, with  GSA  providing  overall
                   management.

                      IRM reviews  may encompass any or all activities of planning,
                   budgeting, organizing, directing, training, and controlling associated
                   with the  creation, collection,  processing,  transmission,
                   dissemination, use,  storage and disposition of information by
                   Federal agencies. IRM encompasses  both information  itself and
                   resources, such as personnel, equipment, funds, and technology.

                      Each year for the program, GSA identifies priority areas that
                   Agencies should  address that could lead to better management of
                   resources throughout the government. The five priority areas for
                   FY 1990 were: telecommunications, information management, ADP
                   management, ADP security, and major information systems.

                      The EPA has set its own Agency priorities which are specific to
                   the  Agency's mission  of protecting human  health  and the
                   environment.  EPA's mission-based priorities for FY 1990 were:
                   enforcement, pollution prevention, risk  reduction, ecosystem
                   protection, and leadership in the international arena.

                      In FY 1990, EPA conducted its fifth successful IRM review
                   program. A total of eleven  IRM reviews were conducted to address
                   IRM initiatives  such as program systems modernization  and
                   improved records management. The eleven reviews were:

                      •   Physical Security Reviews;

                      •   Integrated  Contracts Management System Study;

                         Review of Records and Forms Management Programs;

                      •   Review of Public Information Access Services;

                      •   Telecommunications Evaluation;

-------
EXECUTIVE SUMMARY
                       •   Review of Data Management  Practices for Automated
                          Laboratories;

                       •   Evaluation of Electronic Forms;

                       •   Office  of Water Data Sharing and System Compatibility
                          Study;

                       •   Toxic Release Inventory Productivity Review;

                       •   Superfund Document Management Review; and

                       •   Electronic Reporting Study.

                   The reviews covered program systems, administrative systems,
                   public information mechanisms, and the technology on which they
                   are based.  Several reviews took the opportunity to go beyond the
                   basic analysis of the present situation and investigate technical and
                   work-related trends.

                       Some of the findings and recommendations resulting from these
                   studies include the following.  The Office of Water study found that
                   current modernization initiatives afford them the opportunity to
                   integrate many program data systems. The Toxic Release Inventory
                   review found  that the system accuracy was extremely high, but
                   recommended  that the accuracy be balanced against the costs of
                   achieving it. A review of automated laboratories determined that a
                   guide should  be developed  as an authoritative  guide  on data
                   management

                       Beginning  in this year, GSA is paying increased attention to the
                   government's  major information systems due  to the enormous
                   investment they represent.  In its instructions for the Federal IRM
                   Review Program, GSA has mandated that, for all major information
                   systems, agencies will be required to track their development efforts
                   against a "baseline" cost and  schedule.  GSA is  requiring EPA to
                   report in such a manner for the SCRIPS (Superfund Cost Recovery
                   Image  Processing System, formerly known as  the Superfund
                   Transactions Automated Retrieval System (STARS)) development
                   effort. The initial report is contained in Appendix D. GSA requires
                   updates to this  baseline report  annually, and IRM reviews must then
                   be conducted, at a minimum, every three years.

                       GSA has set seven government-wide priorities for the FY 1991
                   IRM review program, many of which are carried over from previous
                   years.  The updated priorities are: major  information systems,
                   software modernization, security/privacy, information management,
                   service to the citizen, telecommunications, and ADP management.
                   EPA  will continue to emphasize  the Agency-specific priorities
VI

-------
        FY 1990  IRM  REVIEW  PROGRAM  REPORT
initially chosen in FY  1990.  EPA will also emphasize the goals
documented in its IRM Strategic Plan (1991-1995). These strategic
goals will be the focus of IRM initiatives for the next four years:

   (1)  Establish data integration tools and activities;

   (2)  Create and manage information systems supporting the
        environmental community;

   (3)  Establish a program to promote information sharing;

   (4)  Renew  EPA's technology base to provide increased
        functionality and/or to reduce costs;

   (5)  Manage a data administration program to ensure the
        Agency's ability to use its data fully;

   (6)  Enhance productivity  through the educated  use  of
        technology;

   (7)  Improve planning and communications to ensure effective
        deployment of information and technology; and

   (8)  Provide quality  service with proactive leadership  as
        custodians of EPA information and systems.

   Nine reviews are planned  for FY  1991  — several  are
outgrowths of 1990 reviews.  Program systems will  be reviewed,
standards  analyzed, information collection and dissemination
mechanisms  evaluated, and  technology issues investigated.
Specifically, the reviews planned for FY 1991 are:

   •   Information Collection Review— Improvements  to the
       Hazardous Waste Manifest System;

   •   State/EPA Data Management Review;

   •   Review of Superfund Document Management Initiatives;

   •   Review of the Integrated Administrative System Concept;

   •   Review of Modernization of FINDS;

   •   Review Public Access Program Needs;

   •   Review of Strategic Architectural Issues;

   •   Modernization of STORET; and
                                                       vii

-------
EXECUTIVE SUMMARY
                       •   Locational Accuracy Task Force Review.

                       The Federal IRM Review Program has been beneficial to the
                   Agency in instigating a ctoser scrutiny of how its information
                   resources are managed. The program also necessitates a more
                   consistent and all-inclusive nature to the reviews themselves.  As a
                   result of these reviews, the Agency is aware of the strengths and
                   weaknesses of current IRM operations and has already begun to take
                   corrective actions.
VIII

-------
chapter  1:  Introduction
                  This chapter establishes the  context for the EPA IRM review
                  program by providing information on the:

                         Agency background and mission;
                         IRM organization;
                         IRM policies and procedures;
                         IRM strategic planning process; and
                         IRM review program.

                  The results of the Agency's FY  1990 reviews can be more
                  effectively evaluated within this context.
                  Agency Background
                      Established as an independent agency in the Executive Branch in
                  December 1970, the U.S. Environmental Protection Agency (EPA)
                  is responsible for executing the Federal  laws protecting the
                  environment.  The Agency now administers nine comprehensive
                  environmental protection laws, such as the Clean Air Act, the Clean
                  Water Act, the Toxic Substances Control Act, the  Resource
                  Conservation  and Recovery Act,  and  the  Comprehensive
                  Environmental Response, Compensation, and Liability Act (or
                  "Superfund").

                      The EPA  was created to permit  coordinated and effective
                  governmental action on behalf of the environment.  The  EPA
                  endeavors to systematically reduce and control pollution through the
                  appropriate integration of a variety of research, monitoring, standard
                  setting, and enforcement activities.  The EPA also coordinates and
                  supports research and pollution prevention activities by State and
                  local governments, private and public groups,  individuals, and
                  educational institutions.  In total, the EPA is designed to serve as the
                  public's advocate for a livable environment.

                      A simplified version of the EPA organization is presented in
                  Figure 1.  The Agency is directed by an Administrator and a Deputy
                  Administrator. The Agency's executive staff includes nine Assistant
                  Administrators who manage specific environmental programs or
                  direct other Agency functions, as well as Associate Administrators
                  and the Agency's General Counsel and its Inspector General.

-------
1:  INTRODUCTION
                                  cmctvnc
                                  Hum
                                 awn*
                 nwr
                 rmioN
               FORWmttR
•VSCWOKKI
Figure 1. THE EPA ORGANIZATION
                      Ten Regional offices across the country represent the Agency's
                   commitment to strong local programs for pollution abatement and
                   enforcement. The Regional Administrators cooperate closely with
                   State and local governments to make sure that Regional needs are
                   considered  and that Federal  environmental laws  are properly
                   implemented.  They are also responsible for accomplishing within
                   their Regions  the national program  objectives established by the
                   Agency.
                   IRM Organization
                      The primary responsibility for overall management of the
                   Agency's information resources is shared by two offices:  (1) the
                   Office of Policy, Planning and Evaluation (OPPE); and (2) the
                   Office of Administration and Resources Management (OARM).
                   Within OARM, IRM responsibilities are shared between the Office
                   of Information Resources Management (OIRM) and the National
                   Data Processing Division (NDPD).  Because information resources
                   are vital to the success of the EPA, the Agency has created two
                   institutional frameworks for IRM — the IRM Steering Committee
                   and a cadre of Senior IRM Officials (SIRMOs).  These five IRM
                   organizational elements are illustrated in Figure 2 and described in
                   the sections which follow.

-------
                          FY 1990 IRM  REVIEW  PROGRAM  REPORT
                OIRM
        IRM Steering
         Committee
INFORMATION RESOURCES
    MANAGEMENT
                               NDPD
                            SIRMOs
Figure 2. ERA'S IRM ORGANIZATION
                   OPPE
                      The  Assistant Administrator for Policy,  Planning,  and
                   Evaluation (OPPE) is the senior official responsible for directing and
                   overseeing  the  Agency's activities administered  under the
                   Paperwork  Reduction Act  of 1980.   While  the  Assistant
                   Administrator has delegated much of his authority under the Act, he
                   has retained the authority for managing information resources in
                   regulatory situations, reviewing all Agency rules and regulations and
                   other data collection instruments to ensure that the Agency does not
                   impose an unnecessary paperwork burden on the public.
                   OIRM

                      The  Director  of the  Office of  Information  Resources
                   Management (OIRM) has primary functional responsibility for IRM
                   policy development and overall management of the Agency's IRM
                   program. He chairs the IRM Steering Committee and is responsible
                   for the planning, development and operation of information systems
                   and services in  support of the Agency's administrative,
                   programmatic, and research functions. He also administers Agency
                   programs for:

-------
1:  INTRODUCTION
                         IRM strategic planning;
                         management of IRM support contracts;
                         library systems and services;
                         records and forms management;
                         information security/privacy;
                         data administration;
                         State/EPA Data Management;
                         international data sharing; and
                         the Systems Development Center.

                      The  Director of OIRM  also handles approval of software
                   development initiatives, waivers for Federal Information Processing
                   Standards, and microcomputer requisitions.
                   NDPD

                      The National  Data Processing  Division  (NDPD), through
                   delegation of responsibilities from the Director of OIRM, is
                   responsible for the definition, acquisition and  implementation of
                   computing and telecommunications technology for the Agency.
                   More specifically, the functional responsibilities of NDPD include:

                          Management of information processing resources, including
                          telecommunications in EPA;

                      •   Operation and maintenance of all general purpose computers
                          and Local Area Networks in Headquarters and RTP; and

                      •   Development of architectural strategies and procurement of
                          advanced systems,  support equipment  and processing
                          technology to meet Agency-wide requirements.


                   IRM   Steering  Committee

                      In light of the importance of information resources to the EPA, it
                   was imperative that senior line management become better informed
                   about and more actively involved in the development and use of
                   those  resources. To this end, the IRM Steering Committee was
                   established in September 1985.  The IRM Steering Committee is
                   chaired by the Director of OIRM and has members appointed by the
                   Deputy Administrator representing EPA national, international and
                   Regional programs, the EPA research community, and the States.

                      The committee is responsible for advising the Agency's Deputy
                   Administrator on matters of IRM policy and improvements in the
                   responsiveness  and efficiency of  EPA's IRM  programs and
                   operations by:

-------
       FY  1990 IRM REVIEW PROGRAM  REPORT
   Promoting effective  communications  and  exchange on
   information management policy, standards, and technology
   issues among senior EPA and State environmental officials;

   Providing a forum for prioritizing and disseminating information
   regarding IRM issues and concerns of mutual interest to Federal
   and State agencies;

   Promoting the development of practices and procedures  that
   support improvements in quality and sharing of environmental
   data across agency lines;

   Assisting in  the formulation of EPA's strategic information
   resources management planning and policy agenda; and

   Serving as Board of Directors for EPA's System Development
   Center. In this capacity, the Committee provides advice  and
   guidance on the selection of EPA Systems Modernization Fund
   project proposals.
Senior IRM Officials

   Senior IRM Officials (SIRMOs) are generally responsible for
directing and managing office-wide information resources planning,
and for ensuring that the information systems and information
technology  acquisitions within their organizations comply with
Federal and EPA policies and regulations.  There are twenty-two
SIRMOs within the Agency — one for each environmental program
and major administrative function, one for the Office of International
Activities, and one for each of the ten Regions.
IRM Policies and Procedures
   ORIM in  partnership with NDPD has established general
operating principles for Agency information resources management
and has established core IRM policies in the EPA IRM Policy
Manual, issued  in  1987  and revised in 1988  and  1990.
Comprehensive in  scope, the manual consists of thirteen distinct
statements of IRM policy,  a glossary  of IRM  terms, and an
appendix of the primary IRM laws and regulations.  The thirteen
individual policy statements may be grouped into the following three
broad policy categories:

-------
1: INTRODUCTION
                      •   institutional policies such as State/EPA Data Management;

                      •   information systems and technology management policies
                         such as data standards; and

                      *   information management policies such as information
                         security.

                      Operating principles governing the IRM review program are
                  contained in the policy statement on IRM management controls.
                  Together, these policy statements provide the overall framework for
                  implementing EPA information  resources management and the
                  review program.

                      Policy development at EPA is a dynamic process. In order to
                  provide continued coherent direction to the Agency's IRM program,
                  additional guidance documents are  required.  During FY 1988,
                  OIRM built upon the basic  policy framework established in the
                  original EPA IRM Policy Manual by issuing guidance in the areas of
                  local area networks, geographic information systems, and system
                  design and development. During FY 1989, OIRM issued guidance
                  in system operations and maintenance and drafted a comprehensive
                  set of procedures governing information security. This procedural
                  guidance on information security was issued during FY  1990. It
                  included the EPA Information Security Manual which addresses
                  requirements for all types of information  systems, as well as an
                  Information Security Manual specifically dealing with  personal
                  computers.  FY 1990 also saw the issuance of another life-cycle
                  management document entitled EPA ADP Applications Guidance on
                  Hardware and Software Selection and promulgation of an  Agency-
                  wide policy on locational (spatial) data. The Agency also drafted a
                  policy addressing the acquisition and use of image processing
                  systems in EPA and a guidance  document to assist managers in
                  examining the feasibility of this technology.
                   IRM  Strategic  Planning
                      EPA's IRM planning process is built on  a mission-based
                  foundation. More than an OMB A-130 requirement, mission-based
                  planning is one of the key tools that the Agency employs to achieve
                  its goal of further decentralizing program authority.  EPA's own
                  policy on mission-based planning establishes  the principles of
                  planning for the acquisition and management of information and
                  information technology such that it is strategic, linked to program

-------
        FY 1990 IBM  REVIEW  PROGRAM  REPORT
missions, coordinated with the budget process, and reflective of
sound information management practices.

   Within EPA, OIRM and NDPD have primary roles in delivering
IRM expertise and services to the Agency. In keeping with their
leadership role, OIRM and NDPD prepared an IRM strategic plan,
which  will be updated annually.  Together with  more detailed
operational and tactical plans from OIRM, NDPD, and other EPA
organizations, the IRM Strategic Plan establishes a clear baseline of
the Agency's plans to use information resources  to support its
environmental priorities and investment decisions.  The  IRM
Strategic Plan presents a vision of the Agency's future computing
environment.   Chapter  2, FY  1990  PRIORITIES  AND
INITIATIVES, presents many of the key themes in the  strategic
plan.
IRM  Review Program
   The EPA  needs to make full  use  of the existing  IRM
organization and other IRM-related review activities to implement
this review  program with the resources available (dollars for
contractor support are limited, as are in-house personnel).  The
Agency does not have the resources to establish a full-time staff
dedicated to the IRM review process.

   The reviews are staffed and conducted in a variety of ways.
While Appendices A and B present the approach on a review-by-
review  basis, a description of the overall review structure is
appropriate here.

   Central coordination of the review process is the responsibility
of OIRM. More than one-half of the reviews are led by OIRM or
NDPD; most of the remaining reviews are program-led (that is, led
by program office staffs with  oversight by  the SIRMOs).  This
allocation of "lead responsibility" helps ensure that the reviews use
an appropriate mix of headquarters, Regional, program and technical
personnel.

   OIRM achieves  overall coordination  of the review process
through the regularly scheduled SIRMO meetings and the  IRM
Steering Committee. By discussing the review program at the
meetings, OIRM ensures that any potential duplication in review
content is eliminated. In addition, OIRM staff periodically interview
SIRMOs to identify IRM-related program initiatives and to ensure
that program-led reviews are on track.

-------
1:  INTRODUCTION
                      This chapter provided background information on the Agency
                   and its IRM review program.

                      •  EPA is the public's advocate for a livable environment

                         Responsibilities within the Agency for managing information
                         resources are shared among the Office of Policy, Planning
                         and Evaluation (OPPE), the Office of Information Resources
                         Management (OIRM), the National Data Processing Division
                         (NDPD), an IRM Steering Committee, and 22 designated
                         Senior IRM Officials (SIRMOs).

                      •  EPA's IRM policies and procedures are fully documented in
                         its EPA IRM Policy Manual.

                      •  EPA's IRM Strategic Plan (1991-1995) establishes a clear
                         baseline of the Agency's plans to use information resources
                         to support its environmental  priorities and investment
                         decisions.

                      •  Central coordination for  the IRM review process is the
                         responsibility of OIRM.   Reviews may  be staffed and
                         conducted by OIRM or by the Agency's mission-based
                         programs.
8

-------
chapter 2:  FY  1990   Priorities  and
                  Initiatives
                  This chapter further establishes the context for the EPA IRM review
                  program by providing information on:

                     •  FY 1990 government-wide priorities for the IRM review
                        program;

                     •  EPA's priorities for achieving its environmental mission;

                     •  the Agency's IRM review program objectives; and

                     •  the Agency's IRM initiatives for FY 1990.

                  These priorities and initiatives, which are summarized in Figure 3,
                  were the focus of many IRM reviews during FY 1990.
                  Government-Wide  Priorities
                     Each year for the Federal IRM Review Program, GSA identifies
                  priority areas that agencies should address which could lead to better
                  management of resources throughout the government. The five
                  priority areas for fiscal year 1990 were:

                     •  Telecommunications— In fiscal year 1990, GSA expected
                        agencies to devote a portion of the telecommunications
                        reviews to  electronic  data interchange within and among
                        agencies.  Specifically, Agencies should have conducted
                        reviews which examined the standards for and security of
                        transmissions of mission-based data.

                     •  Information Management— The Federal government is
                        changing rapidly from the use of paper for business and
                        financial transactions to electronic alternatives. For instance,
                        under OMB Bulletin 89-17, agencies are required to address
                        their initiatives to convert business and financial transactions
                        from  paper  to  a  standard electronic  form and the
                        transmission of that information between industry and the
                        Federal government using magnetic tape, diskette, or other
                        means.  This process  is known  as Electronic  Data
                        Interchange (EDI). In FY 1990, agencies were expected to
                        review their current usage of electronic forms technologies
                        and applicable standards and to identify opportunities for
                        improvements.

-------
2:  FY 1990  PRIORITIES  AND  INITIATIVES
Rgure3.  FY1990

PRIORITIES AND

INITIATIVES.

These priorities and

initiatives ware tha

focus of many  IRM

reviews during

FY 1990.
                      FY1990
      PRIORITIES AND INITIATIVES
GOVERNMENT-WIDE
PRIORITIES
Telecommunication
Information management
ADP security
A DP management
Major information systems
                            EPA MISSION-BASED
                            PRIORITIES
                            IRM REVIEW
                            PROGRAM
                            OBJECTIVES
                            IRM INITIATIVES
                        Biforcemcnl
                        Pollution prevention
                        RUk reduction
                        Ecosystem protection
                        Leadership in the environmental arena
                        Improved science and data management
                        Provide high quality information twice*
                        Use effectively IRM-relaled resource* and
                        technologies
                        Comply with Federal IRM laws
                        Work toward dalm integration
                        Provide fiffrnT data iccuhry
                        Minimize unnecessary duplication of dau
                        Reduce the Federal information col lection
                        burden
                        Promote dau than nx
                        Provide effective ADP and
                        telecommunications capabilities
                        Emphasize government-wide IRM priorities
                        Promote productive use of human resource*
                        Data sharing and integration
                        Program nctern* modernization
                        Standards
                        unproved records management
                        Information technology acquisitions
                        Public dissemimlion
                        Electronic data reporting
                              ADP Security— In FY 1990, GSA expected agencies to
                              review the extent of implementation of their security plans.
                              [See Chapter 3, Status of ADP Security Plans]

                              ADP Management—  In addressing ADP management in
                              fiscal years 1990-1991, GSA expects agencies to emphasize
                              reviews that attempt to determine whether mechanisms are in
                              place to satisfy the agency's regulatory  and managerial
                              responsibilities  for the  effective and efficient  use  of
                              information  technology.  Agencies should, in particular,
                              focus on: (1) Multiple Award Schedule Contracts (MASC),
                              as governed by procedures in FIRMR 201-32.206;  and (2)
10 (Draft—12/12/90)

-------
        FY 1990 IRM REVIEW PROGRAM  REPORT
       Access to information technology by users with disabilities,
       as mandated by  the  Rehabilitation Act of  1973 and
       reauthorized in 1986.

    •   Major Information Systems— GSA will be focusing special
       attention on the government's major information systems
       next year.  [See Chapter 4 for more information.] In FY
       1990, agencies were  expected  to  have reviewed  the
       efficiency, effectiveness, and economic  viability of their
       information resources.

    The benefits of the reviews in  addressing government-wide
priorities will be described  in the next chapter.
EPA Priorities
    Under the leadership of its current Administrator, William K.
Reilly, EPA in FY 1990 established six priorities for achieving its
environmental mission:
       enforcement,
       pollution prevention,
       risk reduction,
       ecosystem protection,
       leadership in the international environmental arena, and
       improved science and data management.
   EPA's first priority is enforcement.  Opinion polls confirm
that the public continues to put a very high priority on environmental
protection. Recently passed Federal environmental statutes have
made new administrative penalties available, and States have
developed strong law enforcement capabilities as well. In the years
ahead, EPA  will  be looking  for more and  better  ways of
coordinating its enforcement efforts with States— especially in the
Superfund program, in  protecting  wetlands, and in cleaning up
Federal facilities.

   EPA's ability to monitor compliance or control enforcement
would be seriously hampered without complete and  timely
information. In addition, without the proper tools, information that
was reliable would not be easily analyzed or shared with States and
other Federal  agencies.  It is,  therefore, essential that the Agency
continue to address issues of sound science and data management—
to develop collection and analysis tools, ensure data quality, and
provide for access to and dissemination of data.
                                                        1 1

-------
2:  FY  1990  PRIORITIES AND INITIATIVES
                       EPA's  second priority is pollution prevention.  Pollution
                    prevention has become a guiding principle for all EPA programs—
                    from municipal wastewater treatment to toxic air pollution. Among
                    the  many  pollution  prevention initiatives underway within the
                    Agency are:

                       •  achieving a 25% waste reduction by 1992 through recycling
                          and reducing wastes at the source;

                       •  increasing the amount of private sector  involvement in
                          financing and providing environmental services (the concept
                          of public-private partnerships); and

                          fostering economic growth and progress without irreversibly
                          depleting  the natural capital of  the planet (the concept of
                          sustainable development).

                       It would be difficult to effectively persuade the public of the
                    continued value of these initiatives without sound evidence of the
                    long term benefits and the costs of inaction.  Improved science and
                    data management go hand-in-hand with the success of these
                    initiatives.

                       EPA's  third priority is risk reduction.  One of the greatest
                    challenges facing the Agency today is the setting of priorities and
                    strategies for reducing risk to human health and the environment.
                    Despite the inherent  uncertainties in, and continuing controversies
                    over, how to assess risks such as ozone depletion and global climate
                    change, comparative risk assessment is  still one of the best
                    indicators of where the U.S.  should be  directing  its  limited
                    resources to achieve the greatest results.

                       Sound  science and data management can help to establish
                    priorities and allocate resources based on risk. Science can lend
                    much-needed coherence, order and integrity to the often costly and
                    controversial decisions that must be made. Sound data management
                    is needed to demonstrate results in risk reduction.

                       EPA's  fourth priority is ecosystem  protection.  Natural
                    ecosystems such as forests, wetlands, and oceans are extraordinarily
                    valuable.  Ecosystems  contain  economically valuable  natural
                    resources that feed, clothe, and house the human race.

                       Existing EPA programs designed to protect ecosystems, such as
                    the "no net loss of wetlands" and the new medical waste tracking
                    program to protect our nation's coasts, require the strengthening of
                    existing Federal programs and regulations that protect, maintain, and
                    restore those systems.   EPA must also  work  toward  a  fully
                    integrated  management  approach  with  the Departments  of
1 2

-------
        FY 1990 IRM  REVIEW PROGRAM REPORT
Agriculture,  Commerce, and  Interior to  protect the nation's
groundwater and surface water resources.   The Agency has
embarked on an ambitious program of environmental monitoring
and  assessment  to obtain a baseline understanding of major
ecosystems.  Improved science and data management are essential to
the success of this ecosystem characterization effort.

   The fifth priority set by the Administrator of EPA is to reassert
U.S. leadership in the international environmental arena.
In response to the President's international  initiatives for the
environment,  a  new international data sharing program  was
launched with a three-fold goal:

       establish  the U.S. as a reliable partner in international
       information exchange relationships;

   •   ensure environmental data is  in a form  useful to other
       nations; and

   •   assist developing nations to establish  effective  local
       information management capabilities.

The development of this new program combines a realistic analysis
of Agency international data sharing activities with a plan to build
firmly on existing international  relationships.  EPA will  also
strengthen its relationships with  international organizations,
especially the United Nations INFOTERRA program, a worldwide
network for sharing environmental information.

   EPA's  final  priority  is improved  science  and  data
management. It is no surprise that science and data management
issues are essential  to  each of the  previous  five priorities.
Environmental protection is data intensive, with over two million
regulated sources, and effectively managing  that data is key to all
environmental protection efforts.  As the EPA Administrator recently
said,  "All  we really have is  information... Nothing  is more
important to our integrity in environmental protection than a
reputation for dealing in facts, for respecting  sound science and
sound information."   EPA must be able to document its vigorous
enforcement programs and to show environmental results.  That
means that the information technology EPA deploys today will be
the cornerstone for protecting our natural resources tomorrow.
                                                       13

-------
2:  FY  1990 PRIORITIES AND  INITIATIVES
                   IRM  Review Program  Objectives
                      The goal of information resources management  within the
                   Agency is to provide a means of carrying out information
                   management activities in an efficient, effective, and economical
                   manner that supports the Agency's missions (as stated above) and is
                   consistent with all applicable laws and regulations. It is the mission
                   of OIRM  and NDPD to provide leadership in managing  and
                   delivering information resources and services.

                      To achieve this goal, the EPA has established several IRM-
                   related objectives which reflect the uniqueness of its overall mission,
                   Agency priorities, government-wide priorities, and the requirements
                   of ง3506 of the Paperwork Reduction ACL These objectives are to:

                      •   Support  programs and  administrative functions in the
                          fulfillment of their responsibilities by providing them with
                          high quality information services in an efficient and cost-
                          effective  manner.

                      •   Use effectively the capabilities afforded through rapidly
                          evolving information-related resources and technologies in
                          support of.the Agency's mission and  implementation of
                          EPA's basic  programs,  with a  focus on  achieving
                          environmental results.

                      •   Ensure that EPA information goals, policies,  plans, and
                          strategies comply with Federal IRM laws and  regulations
                          and support Agency missions.

                      •   Work toward the integration and coordination of information
                          systems across media, functional, and program lines.

                      •   Provide adequate security for sensitive Agency information
                          and applications and promote the sharing of information
                          resources consistent with security requirements.

                          Minimize unnecessary duplication of information systems
                          and databases.

                      •   Reduce  the Federal information collection  burden on
                          members of the public and on State and local governments.

                      •   Promote  data sharing with States, national and international
                          environmental organizations, as well as the general public.

                      •   Provide  effective  automated  data  processing  and
                          telecommunications resources and facilities.
14

-------
       FY  1990  IRM REVIEW PROGRAM REPORT
   •  Emphasize  government-wide information technology
      priorities, especially  as  they relate to promoting  the
      effectiveness of Agency programs.

   •  Promote productive utilization of EPA's human resources in
      support of the Agency's mission.

The focus of the EPA IRM review program for FY 1990 continues
to be the assessment of how well the Agency is meeting the above
IRM objectives and furthering its mission-based goals.
IRM Initiatives for FY 1990
   To respond to new government-wide priorities and evolving
Agency IRM needs, the EPA has undertaken several IRM initiatives
during FY 1990. The seven initiatives listed below address all five
government-wide priorities, as well as the Agency-specific priorities
described earlier.
1.     Data  Sharing and  Integration

       EPA's IRM planners realize the significance of data sharing
       and  integration and are involved in various efforts to
       improve these activities. The Agency recently developed a
       multi-year Information Integration Initiative to promote
       enhanced access  to  data and  to permit  integrated
       environmental analysis.  It  also recently initiated the
       International Data Sharing Program to promote reliable and
       innovative use of environmental data with our international
       neighbors.

       In addition to the State/EPA Data Management Program, the
       Agency has implemented a Geographic Information System
       in all ten Regions.  Recent efforts were also focused on the
       development of the data communications network required to
       provide increased access to internal and external parties.
       This includes establishing a communications line or "point of
       presence" in every State to support the delegation of
       authority.  To date, forty-six States and Puerto Rico have
       established direct communications capabilities, and the
       remaining States are scheduled to do so within the next year.
       This telecommunications network supports six of EPA's
       national systems.
                                                      15

-------
2:  FY  1990 PRIORITIES AND INITIATIVES
                   2.     Program Systems  Modernization

                          A significant, ongoing IRM initiative is program systems
                          modernization.  This modernization effort is critical to
                          effectively integrating environmental data among various
                          program systems. Two major information systems, FINDS
                          (the Facility INDex System) and STORET (STOrage and
                          RETrieval of Water Quality Data) are currently examining the
                          alternatives and feasibility for modernization.

                          This initiative also involves the creation of four new services
                          and IRM  activities to support  the systems development
                          process.   First, the EPA  Systems Development Center,
                          which became  operational in  October 1989, supports,
                          develops, and enhances EPA's mission-critical data systems.
                          The center is the Agency Center of Excellence for systems
                          development.   The center institutes more standardized
                          methods of developing  systems, thus facilitating the
                          integration of data maintained by the various  program
                          systems.

                          The second new service  is the EPA Systems Modernization
                          Fund which provides funding  assistance for  projects to
                          improve the quality of EPA's environmental data and the
                          systems  for managing those data.   Third,  a  Systems
                          Development Support Team supports systems planning and
                          development efforts throughout the Agency,  Finally, the
                          charter for the IRM Steering Committee has been expanded
                          to establish  it as the Board of Directors for  the overall
                          initiative.
                   3.    Standards

                         The success of other IRM  initiatives  depends on  the
                         availability of, and adherence to, well-defined data standards
                         for data elements common among Agency information
                         systems. Development of standards is critical to progress in
                         data integration  and improvements in  managing  for
                         environmental results.

                         Several initiatives were devoted to the development and
                         adoption of  standards within the Agency.  A standard for
                         facility identification was adopted by the  Agency in  FY
                         1990, as were a locational data policy and a standard for the
                         minimum set of groundwater data elements.  Also issued
                         during the past year, the EPA ADP Applications Guidance
                         on Hardware and Software Selection is intended to provide
                         guidance on standardizing application platforms.
16

-------
 FY 1990 IRM REVIEW PROGRAM REPORT
Improved  Records  Management

Emphasis  has been  placed  on  improving  records
management procedures and evaluating opportunities for
automating  access to and control  of records  as one
mechanism for enforcing and litigating pollution clean-up
efforts.  These improvements directly support the mission-
based goal of ensuring a strong enforcement presence.

A major Agency initiative involves development of an image
processing system using  optical disk technology for
expanded storage and rapid retrieval of financial documents
supporting cost recovery efforts.  Other  initiatives  involve
training Headquarters and Regional EPA  staffs in the
discipline of records management and establishing Regional
records centers for better control and management of Agency
records.  In addition, the Agency recently organized and
conducted a very successful records management clean-up
campaign in its Headquarters.
Information  Technology  Acquisitions

In addition to efforts to improve information and records
management through  procurement of  optical  disk
technology, the Agency is pursuing other  information
technology acquisitions.  EPA will continue to acquire
mainstream commercial hardware to ensure that compatible
software and technical  support will  be  available in the
foreseeable future. EPA's current OMB budget request
includes funds to purchase a supercomputer.

Additional acquisitions of information technology include the
expansion of the telecommunications network to meet data
sharing needs of the Regions and States and the continued
acquisition of microcomputers to improve analysis of data
for enhanced decision making.
Public Dissemination

There is an increasing demand on EPA for disseminating
information to the public. Specific legal requirements to
disseminate information that are  affecting EPA include
SARA Title HI, the Federal Insecticide, Fungicide, and
Rodenticide Act, and the Asbestos Information Act.  In
addition, several environmental bills introduced in the
current session of Congress include some requirement for
                                                17

-------
2:  FY 1990  PRIORITIES AND INITIATIVES
                          disseminating  information.    Fulfillment  of  these
                          requirements demands significant IRM resources.

                          On a selective basis, EPA is evaluating various technology
                          solutions  for disseminating information to the public.
                          Current initiatives include use of paper, micrographics, on-
                          line data bases, and CD-ROM.  Moreover, OIRM recently
                          developed a draft policy on data sharing.  This policy is
                          particularly relevant as Congress debates Community-Right-
                          To-Know legislation and re-authorization of the Paperwork
                          Reduction Act.  Recent reviews evaluated the efficiency and
                          effectiveness of the Agency's clearinghouses, electronic
                          bulletin boards, dockets, and hotlines for providing access to
                          public  information.  More specifically, EPA also reviewed
                          the reliability and turnaround time  of  data in the  Toxic
                          Release Inventory.
                    7.    Electronic Data Reporting

                          Since the majority of EPA's data are externally generated,
                          initiatives involving improvements in data reporting by
                          external panics offer considerable potential for progress in
                          information  management at EPA. Increased manageability
                          and  quality of data are  arguments in support of these
                          initiatives in electronic reporting.

                          Several efforts are currently underway  to enhance data
                          reporting by accepting electronic submissions from external
                          parties. These include electronic submissions under the Title
                          III, Toxic Release Inventory, and Superfund Contract Lab
                          programs. The Agency has convened a task force within the
                          last year to examine issues relating to electronic reporting
                          standards and develop a policy on electronic data reporting.
                       This chapter described the priorities and initiatives that were the
                    focus of the FY 1990 IRM reviews. Specifically, there are:

                       •  five government-wide  priorities (telecommunications,
                          information management, ADP security, ADP management,
                          and major information systems) for the FY 1990 Federal
                          IRM Review Program;

                       •  six Agency mission-based priorities (enforcement, pollution
                          prevention, risk reduction, ecosystem protection, leadership
18

-------
 FY 1990  IRM REVIEW PROGRAM  REPORT
in  the international environmental arena, and improved
science and data management);

many IRM review program objectives for which the Agency
strives, including integrating  environmental information,
providing public access to data, and promoting data sharing
with State, local and international organizations; and

seven  major IRM initiatives,  including improved records
management and program systems modernization, many of
which  were or will be the subject of IRM reviews.
                                              19

-------
chapters:  FY  1990  IRM   Reviews
                  The purpose of this chapter is to summarize the results of the fifth
                  year of the EPA's IRM review program. Included in this chapter are
                  four sections which:

                     •   describe and categorize the FY 1990 reviews;
                     •   summarize the benefits of the review program;
                     •   document the status of the Agency's ADP security plans; and
                     •   evaluate compliance with ง3506 of the Paperwork Reduction
                        Act.
                  Analysis of the  IRM Review  Program
                     In FY 1990, EPA has conducted another successful IRM review
                  program.  Numerous initiatives were begun which address the
                  Agency's mission and government-wide priorities.  The reviews
                  conducted of many of these projects identified or confirmed
                  weaknesses and recommended appropriate courses of action. The
                  next two sections below summarize the number and types of
                  reviews conducted and some of their more important findings.
                  Summary of 1990  Reviews

                     In FY 1990, the Agency completed eleven reviews while making
                  considerable progress  towards improving the  efficiency and
                  effectiveness of information management activities. Table 1 lists
                  and describes the reviews.  Brief synopses are presented  in
                  Appendix A.

                     Four reviews this year were led by OIRM, one by OPPE, two
                  by the National Data Processing Division (NDPD), three reviews by
                  program offices, and one jointly by the Procurement and Contracts
                  Management Division (PCMD) and OIRM.  All of the reviews
                  addressed at least one requirement of the Paperwork Reduction Act
                  (as will be discussed in a later section of this chapter).

                     All of the reviews focused on Agency-specific IRM initiatives,
                  and all reviews dealt with at least one government-wide priority
                  described in Chapter 2.  Information management received special
                  attention, with nine of the reviews addressing this priority.
20

-------
                        FY  1990  IRM REVIEW  PROGRAM  REPORT
                                 Table 1.
                 SUMMARY OF  REVIEWS FOR  FY  1990

 90-1  Security Reviews — The objective of these reviews was to assess the
       adequacy of physical security controls at EPA's National Computer Center and
       Washington Information Center.

 90-2  Integrated Contracts  Management System Study — This analysis
       was conducted to assess the extent of the need for a system to manage the
       procurement process and to establish exactly what would be required of such a
       system if it is needed.

 90-3  Review of Records and Forms Management Programs — The intent
       of this analysis was to provide a comprehensive evaluation of records and
       forms management programs in EPA Headquarters offices. The analysis
       yielded three reports which helped to define the future office environment for
       EPA staff from an administrative perspective.

 90-4  Review of Public Information Access Services —  This review
       evaluated the efficiency and effectiveness of the four major systems and
       services currently used by EPA to facilitate information access by the public.
       These are: clearinghouses, electronic bulletin boards, dockets, and hotlines.

 90-5  Telecommunications Evaluation — The purpose of this review was to
       identify the available suite of data communications services to satisfy mission-
       based and administrative requirements through 1995.

 90-6  Review of Data  Management Practices  for Automated
       Laboratories— The Agency initiated this review (1) to ensure the integrity
       of computer-resident laboratory information, and (2) to examine the need for
       establishing standard data management practices for automated laboratory
       operations.
	      	Continued on next pass
                    Four of the six reviews previously planned for FY 1990 were
                 completed (90-3, 90-4, 90-5, and 90-6).  Two reviews (formerly
                 90-1  and 90-2) were postponed because of resource constraints.
                 Seven new reviews (90-1, 90-2, 90-7, 90-8, 90-9, 90-10, and 90-
                 11) were added to address other information resources  issues of
                 concern to the Agency.

                    Several different methodologies  were used to conduct the
                 reviews, depending on the nature and objectives  of the review.
                 Review  data  were obtained from  interviews, documentation
                 analyses, telephone surveys, symposium discussions, research of
                 technical and regulatory issues, case studies, and analysis of work
                 processes.
                                                                              21

-------
3:   FY 1990  IRM REVIEWS
             SUMMARY OF REVIEWS FOR FY  1990 (Continued)

   90-7   Evaluation of Electronic Forms — The purpose of the evaluation was
           to study the feasibility of utilizing LAN-based electronic forms applications
           as a front-end to the planned Integrated Administrative System (IAS).

   90-8   Office of Water  Data Sharing and System Compatibility Study—
           This project was intended to identify impediments to data sharing and system
           compatibility in priority data systems maintained by/for the Office of Water
           (OW) and to evaluate potential solutions to those impediments for feasibility
           and effectiveness.

   90-9   Toxic Release Inventory Productivity Review — The  purpose of the
           study  was to conduct a productivity review of the Toxic Release Inventory
           (TRI). The task was to identify strengths and weaknesses and to target
           specific areas where operations may be improved to lessen costs, strengthen
           data reliability, and reduce the time required to release data.

   90-10  Superfund Document Management Review — The purpose of the
           study  was to (1) develop a comprehensive understanding of the current
           document management environment throughout the Superfund program; (2)
           determine where advanced technologies might be appropriate; and (3)
           propose long-term improvements and system solutions.

   90-11  Electronic Reporting Study — The objectives of this study were to:  (1)
           assess the scope and success of having the regulated community submit
           reports to EPA in an electronic or magnetic medium; (2) identify EPA
           programs that would benefit most from new EPA electronic reporting
           initiatives; (3) assess the feasibility of such initiatives; and (4) determine the
           costs and benefits of a coordinated Agency-wide approach to electronic
           reporting.
                   Review  Findings and Recommendations

                      FY 1990 reviews resulted in a number of recommendations for
                   improving the efficiency and effectiveness of Agency information
                   management activities.  Some highlights of review findings and
                   recommendations were as follows:

                      •   The security reviews (90-1) conducted by NDPD identified
                          areas in which access controls could be strengthened to
                          reduce the potential for security violations.

                      •   The Integrated Contracts Management System (ICMS) study
                          (90-2) found that the current execution of procurement and
22

-------
 FY  1990  IRM  REVIEW  PROGRAM REPORT
contracts management functions involves at least 12 different
systems, as well as  a variety of manual processes and
systems.

A review of the Agency's records and forms management
programs (90-3) concluded that, to minimize the amount of
time that OIRM must spend on administrative support in the
future, administrative activities need to be streamlined. This
can be accomplished by developing automated systems and
revamping disposition schedules. An "office of the future"
concept was developed to visualize the Agency's future
office automation needs.

A review of the Agency's clearinghouses, hotlines, dockets,
and electronic bulletin boards (90-4) recommended that the
consistency of access and quality of information could be
improved through the use of a single referral source and an
automated listing of EPA information sources.

The telecommunications evaluation (90-5)  found that,
although reliable data communication service has always
been important, in the 1990s, it will become imperative as
telecommunications services expand and their use increases.

The review of data management practices for automated
laboratories (90-6) determined that there are serious gaps in
system security, data validation, and documentation that may
jeopardize  the  integrity of computer resident data.   It
recommended that a guide be developed to provide a single
authoritative directory and summary for use by laboratories
in the design and use of automated data collection systems.

A benefit/cost analysis conducted during the evaluation of
electronic forms (90-7) demonstrated that using Local Area
Network-based electronic forms systems as the front-end to
an  integrated administrative  system is a cost-effective
investment.  Automation of the input from  local office
administrative forms to  national administrative systems
would provide further savings and increased capabilities and
efficiencies.

The Office of Water Data Sharing and Systems Compatibility
Study (90-8) found that there are many reasons why data
and system integration initiatives must be actively supported,
and modernization initiatives have commenced which afford
the opportunity to integrate many program data systems.

The TRI Productivity Review (90-9) found that the accuracy
of data in the system is extremely high.  However, it has
                                                        23

-------
3:  FY  1990  IRM REVIEWS
                          come at the expense of timeliness and cost. Therefore, it
                          was recommended that EPA establish unambiguous goals
                          for accuracy and timeliness which balance the two with
                          operational costs.

                       •   The Superfund  Document Management Review (90-10)
                          concluded that, although the Regions have made significant
                          progress in addressing document management problems, the
                          management of Superfund records continues to be critical to
                          support effectively the program's mission.
                                                j

                       •   The electronic reporting study (90-11) found no serious legal
                          or security obstacles to instituting electronic reporting. The
                          study also identified the TRI Form Rs, the NPDES (National
                          Pollutant Discharge  Elimination  System)  Discharge
                          Monitoring Reports (DMRs), and the RCRA (Resource
                          Conservation  and Recovery Act) Biennial Reports to be
                          likely candidates for electronic reporting.

                       The Agency has taken many initiatives and actions in response to
                   the review findings and recommendations.  Some highlights of
                   initiatives and actions are as follows:

                       •   As a result of the security reviews, badges will be displayed
                          in computer areas at all times, and water chillers and cutoff
                          valves have been secured from general access.

                       •   As a result of the review of contract management systems
                          (90-2) an integrated contracts management system (ICMS) is
                          being developed which will track the contract from initiation
                          through contract close-out.

                       •   The Agency has begun to revamp its records disposition
                          schedules and is drafting  new policy  and procedures for
                          creating, reviewing, and approving schedules. EPA has also
                          begun the development of an automated system for records
                          disposition schedules.

                       •   An  implementation schedule  through  1995 has  been
                          developed to phase in upgrades  in  telecommunications
                          services and equipment.

                       •   The Automated Laboratory Standards: Good Automated
                          Laboratory Practices (GALPs)for EPA Programs has been
                          completed to guide automated laboratories in ensuring that
                          computer-resident data are of high quality and can be relied
                          upon by the Agency.
24

-------
       FY 1990 IRM REVIEW PROGRAM  REPORT
   •  An integrated  administrative system (IAS) concept is
      scheduled to be refined and analyzed in FY 1991 (91-4).

   •  The Office of Water Data Sharing and System Compatibility
      Study  has received senior  management  support, and
      modernization efforts have already begun for STORET.

   •  EPA has initiated action to consolidate the TRI operational
      contract under one contractor to improve efficiency, and is
      acquiring a software package which TRI reporters can use to
      report data electronically.

   •  EPA's Office of Solid Waste and Emergency Response
      (OSWER) has initiated the development of an optical disk-
      based system to  manage Superfund records.

   The above list of findings and actions serves to emphasize the
extensiveness of this year's IRM review program. For a complete
listing of review findings and actions, refer to Appendix A.
Benefits of the IRM  Review  Program
   The eleven reviews completed by EPA during FY  1990
addressed many government-wide priorities and Agency IRM
initiatives. (See Figure 4.)  The two sections which follow describe
the benefits of the IRM review program in these two areas.
Government-wide Priorities Addressed

   The five government-wide priorities set by GSA, as described in
Chapter 2, were developed to help Agencies focus on policies and
procedures that could lead to better management of resources
throughout the government. The Agency's success in addressing
these priorities is summarized below.

   *  Telecommunications— Five reviews addressed aspects of
      this priority in FY 1990. The reviews were in direct support
      of the EPA IRM objective of providing effective automated
      data  processing  and telecommunications resources and
      facilities.
                                                          25

-------
 3:   FY 1990 IRM REVIEWS
 Rgure4.  FY1990

 EPA IRM REVIEWS

 AND PRIORITIES.

 This matrix shows

 the government-

 wida priorities and

 IBM initiatives

 addressed by

 FY 1990 reviews.



1
i+l



i

1
1

Gala Sharing and Integration
Program Systems Modernization


Improved Records Management
Information Technology AcQui&eions
Public Dissemination
Eledron.c Data Reporting
Major Information Systems

ADP Management
ADP Security
Inlormalion Management
Telecommunications











i
I
I











•






NDPD SflCurily Hevwws
^
8
•



•



•


•
•

S
*
n
ar
i
Integialod Contracts Manage
Study
tM
S
•



•
•

•



•
•


a
<ซ

CotntKehonsive Analysis ol 11
Forms Management Program
n
8
•



•

•




•
•
•
I
(0

1
Review ol Public Inlormalion
•9
8





•




•


*



s
Tetccommunicalions Evaluali
m
8




•


•


•
•
•

5
III
3
J-
Haviow ol Data Management
Alltom.ltnd laboratories

S




•

•
•
•



•
•
1

3ป*
3
Toxic Release Inventory Proc
o>
S




•



•

•
•
•

>,
3
(S

c
Super) und Document Manage
o
8




•


•



•
•
•




Electronic Heporlmg Study
^
S
                           Review 90-4 examined the methods by which EPA makes its
                           information publicly available, including  telecommuni-
                           cations.   Review  90-5  was  a  general evaluation of
                           telecommunications in EPA.  Review 90-7 addressed the
                           ability of EPA to electronically connect offices, in part via
                           telecommunications, for the purpose of utilizing electronic
26

-------
 FY  1990 IBM REVIEW PROGRAM  REPORT
administrative forms as opposed to the current paper-based
system.

Review 90-9 included telecommunications as one factor in
TRI  productivity, and  review  90-11  investigated
telecommunications aspects of electronic reporting to EPA
by regulated entities.

Information Management— EPA completed more reviews
addressing this priority than any other. Nine of the eleven
reviews completed in FY  1990  addressed some aspect of
information management.

Several of the reviews  addressed  the  efficiency and
effectiveness of current information management practices
and recommended improvements to upgrade, integrate, and
consolidate current paper-based and electronic  systems.
Review 90-3 was aimed specifically at evaluating records
and forms management programs within the Agency, with
the intent of preparing for the office of the future. Review
90-7 analyzed the possibility of moving to electronic forms
for administrative functions which would ultimately  be part
of an  integrated administrative system.  Review 90-6
analyzed  how  information  is  handled  in  automated
laboratories so that policies and standards may be developed
to manage  it more effectively.  Review 90-11 examined
opportunities for the regulated community to report  data in
electronic format.

Two reviews,  90-4 and  90-9,  assessed management  of
information that must be publicly accessible. The  former
addressed EPA's public information access services, such as
clearinghouses and hotlines, and  how data management
could  be  improved.  The latter review  looked  at  the
information system  on  toxic  releases  to  assess  (he
productivity and recommend enhancements.

Two reviews, 90-2 and 90-8, simultaneously assessed a
number of data systems so that a coordinated approach could
be used to manage them.   For  the multitude  of contract
management systems, consolidation  was recommended.
Among Office of  Water priority data systems,  it was
determined that future system modernization efforts  should
include improving the ability to share data.

Review 90-10 evaluated  how Superfund records are
managed and recommended several improvements, including
the development of a multi-media oriented system called the
Superfund Document Management System (SDMS).
                                                27

-------
3:  FY  1990 IBM REVIEWS
                          ADP Security— During FY 1990, eight reviews were
                          conducted which addressed aspects of this  priority.
                          Obviously, this was the primary focus of the NDPD security
                          reviews, 90-1. Security concerns and considerations were
                          also taken into account during the reviews of the Integrated
                          Contracts Management System (90-2), records and forms
                          management (90-3),  public information services  (90-4),
                          automated lab procedures (90-6), electronic forms (90-7),
                          Superfund document  management (90-10), and electronic
                          reporting (90-11).

                          ADP Management— Four reviews were conducted which
                          addressed this priority in FY 1990.  The Office of Water
                          analyzed in review 90-8 all their priority data systems so that
                          a  single,  comprehensive plan  could be developed for
                          managing these systems with the objective of improving the
                          data integration capabilities and the usefulness to end-users.
                          Review 90-5 was of the telecommunications aspect of ADP
                          management.  Review 90-6 investigated ADP management
                          of laboratory procedures, and  review  90-10 addressed
                          aspects of  ADP  management required for  effective
                          management of Superfund documents.

                          Major Information Systems— During FY 1990, the  EPA
                          completed four reviews addressing this priority area. One of
                          the reviews, 90-9, was of one of the Agency's more recent
                          information systems  on toxic releases.  It  assessed the
                          productivity of the system in terms of accuracy, timeliness,
                          and costs.  The EPA is required by law to make that
                          information publicly accessible,  so there is a  great deal of
                          interest in insuring that it is the best system possible. The
                          other review, 90-2, was of a variety of minor systems for
                          managing different aspects of the contracts  management
                          lifecycle.  However, the results of the review are that those
                          systems should be consolidated into one major information
                          system. Asa result, work has begun on such a system. The
                          mission needs for it have been analyzed and preliminary
                          requirements and options have been identified. The system
                          development will continue. Two reviews, 90-8 and 90-10,
                          evaluated areas where existing mission-based systems could
                          be improved  and where new  systems development is
                          necessary.
28

-------
        FY 1990  IBM  REVIEW  PROGRAM  REPORT
IRM Initiatives  Addressed

    As described in Chapter 2, EPA had a number of IRM initiatives
underway in FY 1990 to improve the efficiency and effectiveness of
Agency systems.

    Data  sharing and integration was addressed in reviews: 90-2,
90-3,90-4, 90-7, and 90-8, each of which simultaneously evaluated
multiple  systems to develop a common goal.  Program  systems
modernization was a major component of the Office of Water study
(90-8). Standards were a focus of a majority of the reviews because
they will facilitate data integration: 90-3, 90-4, 90-8, and 90-10;
improve  the legal defensibility of data: 90-6;  and be required for
electronic reporting and forms: 90-5, 90-7, and 90-11.

    Eight reviews were intended to improve records management:
three for administrative tasks: 90-2, 90-3, and 90-7; two to keep the
public informed: 90-4 and 90-9; and three for programs and
program support  90-6, 90-10, and 90-11. Information technology
acquisitions were pan of reviews 90-3, 90-5, and 90-7 all of which
attempt to predict future trends in technology and how the Agency
can plan for, utilize, and benefit from them.  Reviews 90-4 and 90-9
evaluated methods of public dissemination  of information  through
the Agency's clearinghouses, dockets, electronic  bulletin boards,
and hotlines as well as the toxic release data system.   Electronic
data reporting was  an important component of the reviews  of
records and forms (90-3), automated laboratories (90-6), and  of
electronic forms  (90-7).  Review 90-9 analyzed how electronic
reporting could impact the timeliness of TRI data reporting.  The
objective  of 90-11 was to study the potential for electronic reporting
within the Agency.

   All eleven reviews addressed many  or  most IRM review
program objectives as well. Refer to Chapter 2 for a listing  of these
objectives.
Status of ADP Security  Plans
   EPA reviewed all NIST/NSA (National Institute of Standards
and Technology/National Security Agency) requirements and shared
this information with SlRMOs and responsible system managers.
An outreach and awareness program is underway to ensure action
on the requirements.  EPA is assessing the need to revise the
original security plans and the  need to update its inventory of
sensitive systems.
                                                      29

-------
3;  FY  1990 IRM  REVIEWS
                   Evaluation  of  ง3506  Compliance
                      Addressing the requirements of Section 3506 of the Paperwork
                   Reduction Act is a central part of the EPA IRM program. Rather
                   than developing a single IRM review to evaluate 3506 compliance,
                   the Agency made compliance evaluation an integral pan of the
                   overall review process by weaving it into many different reviews
                   completed during FY 1990. By evaluating compliance in terms of a
                   set of reviews that are also designed to assess progress in achieving
                   government-wide and Agency-specific priorities, the EPA obtained a
                   more concrete picture of its status vis-a-vis ง3506.

                      Agency compliance with ง3506 is described in detail in the
                   sections that  follow.   The discussion  follows the overall
                   organization of ง3506, as documented in Table 2, dealing with each
                   of the requirements sequentially. Review numbers cited refer to the
                   reviews listed in the table presented earlier.
                   Effective, Efficient Information  Management
                   Activities; Compliance with  Information
                   Policies, Principles,  Standards,  and
                   Guidelines Prescribed by the Director

                      Several of the reviews focused on evaluating the effectiveness of
                   information management activities.  Review number 90-1 evaluated
                   the Agency's information  security  program.   In the  records
                   management area, the review program included a comprehensive
                   group of reviews — 90-2, 90-3, and 90-4. Reviews 90-3, 90-4,
                   90-7, and 90-8 dealt with the important information management
                   activity of end-user computing, and review  90-2 addressed the
                   software development process. Two reviews focused on legislated
                   provisions of making information available to  the public: 90-4 and
                   90-9.

                      Several reviews were also designed to assess whether or not the
                   Agency is  using its information resources efficiently and cost
                   effectively. These included reviews 90-2, 90-3, 90-4, 90-7, 90-8,
                   90-9, and 90-11.

                      When these reviews identified opportunities  for improvement,
                   appropriate actions were and are being taken. To incorporate OMB
                   guidance into EPA IRM operations, the Agency has established core
                   IRM policies in its EPA IRM Policy Manual, as explained earlier in
                   Chapter 1.
30

-------
                                  FY  1990  IRM  REVIEW PROGRAM  REPORT
                                            Table 2.
                             PAPERWORK  REDUCTION  ACT
                           ง3056.   Federal  agency  responsibilities
  (a) Each agency shall be responsible for carrying
out its information management activities in an
efficient, effective, and economical manner, and for
complying with the information policies,
principles, standards, and guidelines prescribed by
Ihe Director.
  (b) The head of each agency shall designate,
within three months after the effective date of this
Act, a senior official or, in case of military
departments, and the Office of the  Secretary of
Defense, officials who report directly to such
agency head to carry out Ihe responsibilities of the
agency under this chapter. If more than one official
is appointed for the military departments the
respective duties of the officials shall be clearly
delineated
  (c) Each agency shall—
    (I) systematically inventory its major
  information systems and periodically review its
  information management activities;
    (2) ensure its information systems do not
  overlap each other or duplicate the systems of
  other agencies;
    (3) develop procedures for assessing the
  paperwork and reporting burden  of proposed
  legislation affecting such agency;
    (4) assign to the official designated under
  subsection (b) the responsibility for the conduct
  of and accountability for any acquisitions made
  pursuant to a delegation of authority under
  section 111 of the Federal Property and
  Administrative Services Act of  1949 (40 U.S.C.
  759);
    (S) ensure that information collection requests
  required by law or to obtain a benefit, and
  submitted to nine or fewer persons, contain a
  statement to inform the person receiving the
  request that the request is not subject to the
  requirements of section 3507 of this chapter;
  (6) implement applicable Government-wide and
  agency information policies, principles,
  standards, and guidelines with respect to
  information collection, paperwork reduction,
  statistical activities, records management
  activities, privacy and security of records, sharing
  and dissemination of information, acquisition and
  use of information  technology, and other
  information resources management functions;
    (7) periodically evaluate and, as needed,
  improve, the accuracy, completeness, and
  reliability of data and records contained within
  Federal information systems; and
    (8) develop and annually revise a 5-ycar plan,
  in accordance with appropriate guidance provided
  by the Director, for meeting the agency's
  information technology needs.

  (d) The head of each agency shall establish such
procedures as necessary to ensure the compliance of
the agency with the requirements of die Federal
Information Locator System, including necessary
screening and compliance activities.

(Added Pub. L. 96-511, ง 2(a), Dec. 11, 1980,94
Stat. 2819.)

(As amended Pub. L. 99-500, ง 101(m) (title VIII,
ง 816], Oct. 18, 1986,  100 Stat. 1783-308, 1883-
338, and Pub. L. 99-591, ง I01(m) [title  VIII, ง
8161. Oct. 30. 1986,  100 Slat. 3341-308, 3341-
338.)

               REFERENCES IN TEXT
The effective dale of this Act, referred to in subscc. (b), is
Apr. 1, 1981.  See section 5 of Pub. L. 96-511, set out
as an Effective Date note under section 3501 of this title.

                 CODIFICATION
Pub. L. 99-591 is a corrected version of Pub. L. 99-500.
                                                                                             31

-------
3:   FY 1990  IBM REVIEWS
                   Senior Official to Carry Out Agency
                   Responsibilities

                      The delineation of responsibilities  between the Assistant
                   Administrator for OPPE and the Director of OIRM in carrying out
                   the responsibilities of the Act was explained in Chapter 1.
                   Specific Required Activities

                      Eight IRM-related activities are  mandated under the 1986
                   reauthorization of ง3506. Those requirements and the EPA IRM
                   activities addressing them are listed below.

                      •   Inventory Major Information Systems: Periodically Review
                          Information Resources  Management Activities — The
                          Agency has developed an inventory of its major information
                          systems. This inventory is automated, which allows users
                          to retrieve descriptive information on systems and to perform
                          searches.  The  EPA  also  publishes, semiannually, an
                          Information Resources Directory with  system descriptions
                          and contacts for funher reference. To periodically review
                          information resources management activities, the Agency has
                          fully implemented the Federal IRM Review Program, which
                          is coordinated by the Information Management and Services
                          Division of OIRM.  The Office of Water conducted a
                          comprehensive review of their priority information systems
                          to identify impediments to data  sharing and to come up with
                          a coordinated scheme for modernizing and improving the
                          systems (90-8).

                      •   Information System  Overlap — Because of the uniqueness
                          of the Agency's mission  in  administering the Federal
                          environmental statutes,  duplication or overlap  with  the
                          systems of other agencies is less an issue than duplication or
                          overlap with the systems of State environmental authorities.
                          The Agency is conducting the State/EPA Data Management
                          Program to  provide information sharing and integration.
                          This program eliminates the duplication and overlap of State
                          systems by providing States direct access to EPA systems.
                          The Agency also performed several reviews focusing in pan
                          on identifying  and eliminating duplication  in its own
                          information systems. (See review numbers 90-2, 90-3, and
                          90-8.)

                      •   Paperwork  and Reporting  Burden — The EPA  has
                          developed procedures for  assessing the  paperwork and
                          reporting burden of proposed legislation  affecting  the
32

-------
 FY  1990  IRM  REVIEW  PROGRAM REPORT
Agency.  To evaluate the compliance in controlling the
paperwork and reporting burden on the public, the review of
the Toxic Release Inventory (90-9), analyzed the reporting
burden that Form R  placed on industry.   The review
indicated that it was not unreasonable, so the form did not
need to be redesigned  for that reason. Review 90-11 also
explicitly considered reporting burden  in the context of
electronic reporting.

Accountability for Acquisitions — The Director^of OIRM
has been  assigned the responsibility for acquisitions  made
pursuant  to a  delegation of  authority  from  GSA.
Accountability  for  PCs  is maintained through the  PC
planning  process where acquisitions are formally approved
and tracked.

Information Collection Requests — The EPA has established
a process to ensure that small information collection requests
(to nine or fewer persons) contain  a statement to inform the
person receiving the request that the request is not subject to
the requirements of ง3506 of the ACL

Implementation of Applicable  Information  Policies.
Standards, and Guidelines— ง3506 also requires agencies
to implement applicable information policies, standards, and
guidelines   with respect to  certain  areas,  including
information collection,  records  management, security,
privacy, and information sharing.  As explained earlier, to
incorporate applicable  IRM guidance  into Agency
operations, the EPA has established core IRM policies in its
EPA IRM Policy Manual. The review program was then
used to  assess  Agency progress in implementing  those
policies.  (See reviews 90-1, 90-3,90-8 and 90-9.)

Accuracy. Completeness, and Reliability — Reviews 90-6
and 90-9 dealt  with  the accuracy, completeness, and
reliability of data and records contained  within Agency
laboratory information systems  and the  Toxic Release
Inventory System,  respectively.   In  instances where
problems  were identified, corrective actions were initiated.

5-year Ptan — In the mid-1980s, the Agency developed and
began to implement a 5-year ADP  modernization plan. The
Agency has now developed a new 5-year plan for meeting its
information technology needs, entitled IRM Strategic Plan
(1991-1995).
                                                        33

-------
3:  FY 1990 IBM  REVIEWS
                   Federal  Information Locator  System

                   The Agency has policies for complying with the requirements of the
                   Federal Information Locator System.
                      This chapter analyzed this year's contributions to the Federal
                   IRM Review Program. Among the findings were:

                      •   Eleven reviews were conducted this year, four of which
                         were previously planned and seven which were added.

                      •   Among the many reviews  conducted were a study of
                         hotlines, clearinghouses, and dockets; a  review of the
                         compatibility of data systems within the Office of Water, and
                         a productivity review of the Toxic Release Inventory System
                         (TRIS).

                      •   Among the recommendations of the reviews  was the
                         development of Good Automated Laboratory Practices to
                         guide and ensure the integrity of computer-resident data in
                         laboratories.

                      •   The Agency has remained in compliance with all provisions
                         of the Paperwork Reduction Act ง3506 during FY 1990.

                      The eleven reviews conducted this year were the result of an
                   ambitious and highly successful  IRM review program. Enormous
                   benefits were derived in addressing government and Agency IRM
                   priorities.
34

-------
Chapter 41  FY   1991   ReVIGWS
                  This chapter presents the Agency's plan for compliance with the FY
                  1991 Federal IRM Review Program.  Provided in this chapter are
                  the following:

                     •  planned priorities and IRM goals for the Agency;
                     •  reporting changes for next year; and
                     •  planned reviews for FY 1991.
                  Planned Priorities  and  IRM Goals
                     In order to focus energies on the issues and concerns of greatest
                  importance today, GSA and EPA have again identified government-
                  wide and EPA priorities for FY 1991. These priorities and eight
                  strategic IRM goals for the Agency are summarized in Figure 4 and
                  described in the sections which follow.
                  Government-Wide  Priorities

                     GSA has set seven government-wide priorities for the FY 1991
                  IRM review program, many of which are carried over from previous
                  years:

                     •  Major  Information Systems— In view of the Federal
                        government's substantial investment in major information
                        systems,  GSA is focusing special attention on those
                        systems.  Beginning in fiscal year 1991, GSA is asking
                        agencies to review their major information systems.  [See
                        also the next section on reporting changes for FY 1991]

                     •  Software  Modernization—  Many  of the  Federal
                        government's application programs are outdated and in need
                        of replacement or improvement.  In their fiscal year 1991
                        reviews,  GSA would like agencies  to  review  their
                        application programs from a "service delivery" standpoint.
                        The reviews should determine whether present software is
                        meeting agency needs and, if deficiencies exist,  what
                        improvements are necessary.
                                                                      35

-------
4:  FY 1991  REVIEWS
Rgure4.  FY1991

PRIORITIES AND

!RM GOALS.

These priorities and

IRM goals will be the

focus of nine IRM

reviews during

FY 1991.
                       FY 1991
      PRIORITIES AND IRM GOALS
GOVERNMENT-WIDE
PRIORITIES
                            EPA MISSION-BASED
                            PRIORITIES
Major information system*
Software modemizMion •
Security/Privacy
Information management
Service to the citizen
Telecommunicaijons
ADP management
                        Enforcement
                        Pollution prevention
                        Risk reduction
                        Ecosystem protection
                        Leadership the international environmental
                                                    Improved science nd data management
                            IRM STRATEGIC
                            GOALS
                        Establish data iniegntion loots and activities
                        Create and manage informalion systems
                        supporting the environmental community
                      • Establish a program to promote information
                        sharing
                      • Renew EPA'i technology base to provide
                        increased functionality and/or to reduce cons
                      • Manage a data administration program to ensure
                        the Agencys ability to use iu data fully
                      • Enhance productivity through the educated use
                        of technology
                      - Improve planning and communications to
                        enure effective deployment of informalion and
                        technology
                      • Provide quality service with proactive
                        leadership as custodians of EPA information
                        and systems
                              Security/Privacy— Continuing with this priority from last
                              year, GSA would like agencies to review the  extent of
                              implementation of their security plans, and in particular, of
                              their efforts to provide security awareness and training.
                              Additionally, all Federal   agencies  must  operate in
                              accordance  with  Public  Law  100-503, the  "Computer
                              Matching and Privacy Protection Act of 1988."  This law
                              states that "No record which is contained in a system of
                              records may be disclosed to a recipient agency or  non-
                              Federal agency for use in a computer matching program
                              except pursuant of a written agreement between the source
                              agency and  the recipient agency or non-Federal agency."
                              Agencies should review their compliance with this Act as
                              pan of their IRM review program.
36

-------
 FY  1990  IRM  REVIEW  PROGRAM REPORT
Information Management— Continuing with this priority
from last year, agencies are expected to emphasize the EDI
(Electronic Data Interchange) process in their IRM review
programs.  Agencies should, for example,  conduct EDI
reviews to:  (1) identify potential agency applications, (2)
determine what agency  strategies have been developed for
using EDI, and (3) evaluate agency progress in  adopting
EDI.

Service to the Citizen— Service providers in the private
sector, in State and local governments, and in the European
governmental community have significantly raised the level
and quality of service  provided to their customers and
citizens by using information technology. Now, to maintain
parity with  rising citizen  expectations,  the  Federal
government is seeking to improve the quality of the Federal
service it provides to them.  To keep abreast of new and any
future activity in this category, GSA  would like agencies in
fiscal year 1991 to begin placing emphasis on the quality and
efficiency of delivery of service to citizens.  Possible review
areas  could include:   (1) citizen access to and use of
personal,  consumer  and  commercial  information;  (2)
interactive processes  such  as  citizen participation in
governmental processes;  and (3) direct service delivery to the
public.

Telecommunications—  In fiscal year 1991, GSA would like
agencies to devote a portion  of the telecommunications
reviews to data interchange within and among agencies. In
particular, agencies should conduct reviews to determine
whether Government Open System Interconnection Profile
(GOSIP) standards are  being implemented as required by
FIPS  PUB   146.   Additionally,  agencies should be
conducting reviews to determine whether  the  Portable
Operating Systems Interface for  Computer Operating
Environments (POSIX)  standard  is used in the acquisition
and development of operating systems for computer systems
in which application portability  is required. POSIX is a non-
mandatory standard set forth in FIPS  PUB 151.

ADP Management— In addressing ADP management in
fiscal  year 1991, GSA  would  like agencies to emphasize
reviews that attempt to determine whether mechanisms are in
place  to satisfy the agency's  regulatory and managerial
responsibilities for the effective and efficient use of
information technology. Agencies  should, in particular,
focus on: (1) Multiple Award Schedule Contracts (MASC),
as governed by procedures  in FIRMR 201-32.206; and (2)
                                                 37

-------
4:  FY  1991 REVIEWS
                         Access to information technology by users with disabilities,
                         as mandated by  the Rehabilitation  Act of 1973  and
                         reauthorized in 1986.
                   EPA Priorities

                      For FY 1991, the Agency has adopted the same Agency-specific
                   priorities that it did for the previous reporting year.  These top
                   priorities are:

                         enforcement;
                         pollution prevention;
                         risk reduction;
                         ecosystem protection;
                         leadership in the international environmental arena; and
                         improved science and data management

                   These priorities were described fully in Chapter 2 and will not be
                   repeated here.
                   1RM  Strategic  Goals  for  1991-1995

                      The Office of Information Resources Management recently
                   completed its IRM Strategic Plan (1991-1995).  In this plan EPA
                   identified eight strategic goals which will be the focus of IRM
                   initiatives for the next four years. These goals are to:
                         Establish data integration tools  and activities.

                         This goal is to be accomplished by providing seamless
                         connectivity  to  EPA's  hardware,  software,  and
                         telecommunications capabilities; defining formats and
                         protocols that facilitate the exchange and the meaning of
                         environmental and laboratory data; designing, developing
                         and implementing  common user information  access
                         techniques  for  major EPA  program systems;  and
                         incorporating data integration tools and activities into the
                         IRM programs of the State and EPA Regional offices.

                         Create  and manage  information systems
                         supporting  the  environmental community.

                         This goal can be met by developing and implementing a
                         software engineering development program; developing an
                         application  tool kit;  providing  systems to ensure  the
38

-------
       FY  1990 IRM REVIEW PROGRAM REPORT
      accuracy, consistency, and efficiency of Agency laboratory
      networks; and developing improved national administrative
      control and program systems.

3.    Establish  a program to promote information
      sharing.

      EPA  plans  to manage  and  deliver  information  and
      technology transfer for improved access and use of data
      needed by  its  own  staff,  the  public, international
      environmental programs and organizations, and the States.

4.    Renew  EPA's technology base  to  provide
      increased functionality  and/or to reduce  costs.

      To ensure that its technology base is responsive, affordable
      and manageable, EPA plans to assess the Agency's business
      needs; examine the direction of technology;  procure selected
      technologies and capabilities; and implement technologies in
      an orderly manner and evaluate the results.

5.    Manage a data administration program to ensure
      the Agency's  ability  to  use  its data fully.

      With  this program, EPA expects to define its information
      architecture to evaluate corporate  or shared data needs;
      provide models, establish data standards, and  promote
      common data management approaches for the management
      of program, administrative, and scientific data; and establish
      and manage a process for an effective data administration
      program.

6.    Enhance productivity through the educated  use  of
      technology.

      To achieve this goal, EPA plans to establish and manage
      training programs for IRM professional development;
      implement training programs for client communities which
      promote teamwork and information sharing; and provide
      tools  and capabilities  to improve  the personal  and
      organizational productivity and effectiveness of EPA staff.

7.    Improve planning and communications to ensure
      effective deployment of information and
      technology.

      The Agency's objectives  are to develop and implement a
      cooperative process for IRM strategic planning on an annual
                                                      39

-------
4:  FY  1991  REVIEWS
                         basis; to develop an Agency-wide information architecture
                         for program, administrative and scientific systems which
                         includes Information Strategy Plans  (ISPs),  major
                         acquisitions and maintenance; to engage in an active outreach
                         to the environmental community through newsletters, IRM
                         reports, etc.;  and to evaluate and  reorganize  IRM
                         management and communications networks.

                   8.    Provide quality  service  with proactive  leadership
                         as custodians of EPA information  and systems.

                         To achieve this goal, EPA must ensure the security of its
                         information,  systems, and ADP equipment; operate and
                         maintain national systems at a high level of performance; and
                         maintain and expand the library network to improve access
                         to information.
                   Reporting Changes for FY 1991
                      In addition to  changed priorities for the FY 1991 review
                   program, GSA has  also changed the type of reports submitted for
                   major information systems and the categories of reviews.  These
                   changes, which EPA will adhere to, are described briefly below.
                   Reports on  Major Information Systems

                      As mentioned previously, GSA is paying increased attention to
                   the  government's major information systems because of  the
                   enormous investment they represent.  EPA's interpretation of the
                   guidance from GSA concerning major information systems is that
                   the intent is to track these development efforts against a "baseline" of
                   costs and schedules in order to identify problems early. To do this,
                   the Agency should:

                      1. Identify the Agency's major information systems and select
                         the "most important, high dollar initiatives" for scrutiny by
                         GSA;

                      2. For the selected systems, complete  an Initial Major
                         Information System Report which defines the initiative's
                         baseline costs and schedule; [See format in Appendix C]
40

-------
        FY 1990  IRM  REVIEW  PROGRAM  REPORT
    3.  For subsequent years, update the baseline information using
       the Annual Report on Major Information Systems:  [See
       format in Appendix C]

    4.  Define a schedule (minimum once every three years) for
       conducting reviews of major information systems initiatives
       and reporting the findings in the annual report for the Federal
       IRM Review Program; and

    5.  As new major information system initiatives are  defined,
       report the baseline information and review schedule to GSA
       during the appropriate fiscal year.

    GSA is requiring EPA to report in the manner described above
the baseline  costs and schedule for the SCRIPS (Superfund  Cost
Recovery  Image Processing  System,  formerly known as the
Superfund Transactions Automated Retrieval System (STARS))
development effort. The  Initial Major Information System Report
on SCRIPS is given in Appendix D. EPA will report to GSA new
information  for this project on an annual basis, as required. In
addition, EPA will  conduct reviews as normal on this and other
Agency major information  systems once every three years.  The
FINDS and STORET modernization projects will begin baseline and
review reporting next year;  other systems will be defined in  later
submissions to GSA.
Classification of  Reviews

   In the past, agencies have been asked, in their synopses, to
classify reviews as to type (e.g.. Internal Control Review (A-123)),
as well as category (e.g., Telecommunications). GSA has decided
to reduce this scheme to a single list of categories as follows:
   Telecommunications
   End User Computer
   Software Management
   Software Modernization
   Information Management
   Electronic Filing
   Major Information Systems
   Other Information Systems
Compliance with PRA ง3506
ADP Management
Security/Privacy
Records Management
Internal Control (A-123)
Financial (A-127)
Service to the Citizen
Other
   Under this scheme, all reviews must be described in terms of
one or more of the above categories.  Care must  be taken in
distinguishing a major information system from other systems.
Care must also be taken in categorizing Internal Control (A-123) and
financial  (A-127) reviews.  The category must distinguish  those
reviews which are confined to verifying compliance with the OMB
                                                      41

-------
4;  FY  1991 REVIEWS
                   circulars from those which are information system reviews.  EPA
                   will update the synopsis data sheets to reflect these changes.
                   Summary  of Planned Reviews
                      EPA has planned nine reviews for FY 1991.  Table 3 describes
                   briefly those reviews.  Two reviews, 91-1 and 91-2,  have been
                   carried over from last year due to resource constraints.  A more
                   detailed description of each of the planned reviews is given in
                   Appendix B.  EPA is confident that the diversity of its FY 1991
                   review portfolio will enable the Agency to measure its progress in
                   achieving the government-wide and EPA-speciftc priorities, as well
                   as IRM strategic goals.
                      This chapter described EPA's plans for its FY 1991 IRM review
                   program.  Specifically, it described:

                      •  the seven government-wide priorities set by GSA for FY
                         1991 (major information systems, software modernization,
                         security/privacy,  information  management, service to the
                         citizen, telecommunications, and ADP management);

                      •  the six  Agency  mission-based priorities  (enforcement,
                         pollution prevention, risk reduction, ecosystem protection,
                         leadership in the international environmental arena, and
                         improved science and data management);

                      •  the eight strategic IRM goals for the Agency, which includes
                         establishing new data integration tools and renewing the
                         Agency's technology base; and

                      •  the nine planned reviews and reporting  changes for FY
                         1991.
42

-------
                        FY 1990 IBM  REVIEW  PROGRAM  REPORT
                                Table 3.
           SUMMARY OF PLANNED REVIEWS FOR FY 1991

91-1  Information Collection Review — Improvements to the
       Hazardous Waste Manifest System — This review is expected to
       enhance the ability of the State agencies and EPA to: (1) track interstate
       shipments of hazardous waste, (2) support RCRA  information systems, and
       (3) establish a historic record of waste transfers for reference.

91-2  State/EPA Data Management Review — This review will assess the
       progress of the Regions in meeting the objectives of the SEDM Program. It
       will be the basis for developing a comprehensive program strategy, including
       long and short-range goals and a formal national communications strategy.

91-3  Review of Superfund  Document Management  Initiatives — This
       review is a follow-up to last year's review (90-3) and will:  (1) assess training
       and interim records management activities; (2) suggest improvements to the
       dockets; (3) develop guidance for managing Superfund records; and continue
       with the development of the Superfund Document Management System.

91-4  Review of the IAS  Concept — This review will further refine the
       Integrated Administrative System (IAS) concept and its related components.

91-5  Review of the Modernization of FINDS — This review will provide
       recommendations  for enhancing the Facility INDex System (FINDS) in order
       to implement the Facility Identification Data Standard and the Locational Data
       Policy and meet changing user requirements.

91-6  Review of Public Access Program Needs —  This review will assess
       and effectively communicate public access trends, activities, policies and
       procedures to EPA program managers. Also developed will be the necessary
       strategy for meeting public access legislative requirements and Agency goals.

91-7  Review of Strategic Architectural  Issues — This review will evaluate
       the Agency's strategic approach to 7 architectural issues: the LAN as an
       application platform, the use of SQL/RDBMS, IRM training, e-mail and
       document distribution, common user interfaces, AS/400 utilization, and LMF
       futures and Regional servers.

91-8  Review of the Modernization of STORET — This review will analyze
       the STOrage and RETrieval of Water Quality Information (STORET) and its
       related systems in order to establish the feasibility and preliminary cost
       estimates associated with modernizing (upgrading) the software.

91-9  Locational Accuracy Task Force Review — The review will evaluate
       the benefits and costs of implementing minimum accuracy requirements for the
       Agency's locational (spatial) data.
                                                                       43

-------

-------

-------

-------
Appendix A:

FY  1990  Review  Synopses
                90-1   Physical Security Reviews


                90-2   Integrated Contracts Management System Study
                90-3   Review of Records and Forms Management
                      Programs
                90-4   Review of Public Information Access Services


                90-5   Telecommunications Evaluation
                90-6   Review of Data Management Practices for
                      Automated Laboratories
                90-7  Evaluation of Electronic Forms
                90-8  Office of Water Data Sharing and System
                     Compatibility Study
                90-9  Toxic Release Inventory Productivity Review


                90-10 Superfund Document Management Review


                90-11 Electronic Reporting Study

-------

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Physical Security Reviews
REVIEW NUMBER 90 - 1
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  1  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  I  FINANCIAL (A-127)
                [x]  TELECOMMUNICATIONS

                [  ]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [  ]  INFORMATION
                    MANAGEMENT

                [  ]  ELECTRONIC FILING

                [  ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [x]  SECURITY

                [  ]  RECORDS MANAGEMENT

                [  ]  OTHER 	
                                                        A-1

-------
APPENDIX A: 1990  REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
PROPOSED
ACTIONS:
EPA


Physical Security Reviews


90-1
The objective of conducting these reviews was to assess the
adequacy of physical security controls; identify problem areas
and present recommendations  to  remedy areas of potential
vulnerability.
These reviews were conducted by EPA's National Computer
Center (NCC) security staff.  The reviews focused on policies
and practices governing access to the NCC in RTP, N.C. and the
Washington Information Center (WIC) in  EPA Headquarters in
Washington,  D.C.   Both  facilities have  data processing
equipment which process  information upon which the Agency
relies to carry out  program and administrative functions  in a
timely, efficient and  accountable  manner.    Both of these
installations are accessed  by EPA  employees  as  well as
contractors employed by the Agency.  Both have a high volume
of traffic  during the course of a typical day and continue
operations  after normal business  hours.   In addition to
conducting on-site  investigations  at  these facilities, the NCC
security  staff conducted their assessment  by  researching
existing policies and procedures and interviewing managers and
staff.
Both reviews identified areas in which access controls could be
strengthened to reduce the potential for security violations.
The review team recommended a review by senior management
of the  list of personnel  who are granted access to  the NCC.
They also recommended that access to the hallway containing
water chillers and their  cutoff  valves should be more tightly
restricted.  In addition, the team recommended a simplification of
the badge color  scheme  to enable operations staff to identify
more quickly whether or not a  person should be in  a specific
area.
A-2

-------
                            FY 1990 IRM  REVIEW PROGRAM  REPORT
INITIATIVES
AND ACTIONS:
At the NCC, water chillers and water cutoff valves have been
secured from general access through inclusion in computer areas
resulting from physical plant renovations.

New badge access request forms have been distributed along
with  rules and  rationale to  prepare  the way for access
limitations. Advance  notice has been  given to all managers that
a review  of  access  by their  personnel  will take  place  in
accordance with  the rules distributed to them.  All  personnel
have been apprised through a memo  issued by the Director  of
NDPD that badges will be displayed in computer areas at all
times.

The review team has planned a follow-up visit to the WIC  in
December 1990, to assess the status of  implementations  of
recommendations resulting from their review.
BENEFITS:
Without effective access control over its computing facilities, the
Agency is vulnerable to damage  caused by  malicious actions
such as theft or data sabotage.  These reviews identified areas
where management could take action to reduce the potential for
security violations.

This review is in direct support of the government-wide priority
of ADP security. Numerous objectives of the EPA IRM review
program are also addressed: providing high quality information
services in an efficient  and cost-effective manner;  complying
with EPA  goals,  policies, plans, and  strategies;  securing
sensitive  documents;  and  emphasizing  government-wide
priorities.
AGENCY CONTACT
AND PHONE No.:    Charles Conger, FTS 629-0613.
                                                                       A-3

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Integrated Contracts Management System Study
REVIEW NUMBER9Q-2	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [  ]  TELECOMMUNICATIONS

                [x]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [x]  ELECTRONIC FILING

                [x]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [  j  ADP MANAGEMENT

                [  ]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER 	
A-4

-------
                            FY 1990 IRM REVIEW PROGRAM  REPORT
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
EPA
Integrated Contracts Management System (I'CMS) Study
90-2
                                     *
EPA chose to investigate the possible development of a national
contracts management system because  such  a system would
offer great  potential efficiency  and  effectiveness in  the
administration and management of Agency dollars.  The ability
to manage, control and analyze procurement information is an
important function for EPA personnel, as EPA currently awards
over one billion in contract dollars each fiscal year.

The  first step of the study, the  Mission Needs Analysis and
Initial System Concept, was conducted to assess the extent of
the need for a system to manage the procurement process and to
establish exactly what would be required of such a system if it is
needed.   This review also evaluated  whether all procurement
functions should be incorporated into one system  or  whether
multiple  systems are  needed.   The objectives were to  (I)
determine the  strengths  and  weaknesses  of the  current
operating environment, (2) identify current and potential system
users, (3) identify the various  needs for and benefits of a
procurement system, and (4)  identify input, processing, and
output requirements for a new system.

The  second  phase of  the study,   the  ICMS Preliminary
Requirements and Options Analysis had three objectives:

•   To identify  preliminary  system requirements to be used as
    evaluation criteria during the  options analysis;

•   To develop a range of feasible development options; and

•   To assess the pros and cons of each option in order to
    determine which optimizes  benefits, reduces  risks, and
    meets user requirements.

Both steps in the analysis followed the policies and procedures
prescribed for  major Agency/widely  accessed information
systems in EPA's System Design &. Development Guidance.
                                                                       A-5

-------
APPENDIX A: 1990  REVIEWS
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
This  review was conducted  by  EPA's  Procurement  and
Contracts  Management Division  (PCMD)  and  OIRM's
Administrative  Systems Division  (ASD) with  contractor
assistance.  The primary  bases for data collection  were
document  review, research,  and interviews  with key officials,
managers and staff involved  in the procurement processes.  The
interviews were  conducted to assess the need for improved and
integrated procurement management systems.  Specific needs
and benefits of the system were addressed, as were some of the
requirements for  the  system.   Applicable FAR  and OMB
documents were researched to develop an understanding of the
contract regulations and guidance currently enforced by  the
Federal Government and, specifically, the EPA.

The ICMS  preliminary requirements and options analysis was
conducted  in four steps:

•  Outline modular approach — The applications identified were
   grouped together into functional subcomponents or modules
   of an ICMS.  Modules  were created so that development
   efforts, if necessary, could be completed in phases.

*  Define preliminary requirements — The  information and
   functional  preliminary  requirements of  each  potential
   application of ICMS were identified.

•  Define options —  The development  options for the ICMS
   were identified and described on a macro-level.  The options
   will  be  fully  developed after detailed  requirements  are
   analyzed by ASD and PCMD.

•  Assess options — The advantages and disadvantages of the
   development options were  addressed.  Each option  was
   evaluated to determine  how well functional  requirements
   were satisfied.
The  Agency  has  a  critical  interest  in  developing  and
implementing an integrated procurement management system:

•  EPA has experienced tremendous growth in the dollar value
   and complexity of contracts awarded in the last few years.
A-6

-------
      FY 1990  IRM REVIEW PROGRAM  REPORT
This has resulted in the need to capture, store, and retrieve
massive amounts of data.

As  the  public's and the  Administration's concern for the
Agency's mission  has  grown, so too  has  the interest in
EPA's procurement and contract activities. This information
frequently is not available or is difficult and time consuming
to obtain.

Though the  demands for information and data concerning
procurements  and  contracts have increased significantly,
personnel resources have not kept pace.

The current  execution  of  procurement  and  contract
management functions involve at least 12 different systems,
as well as  a  variety of manual  processes and systems.
Many of these systems  are operating on hardware which is
near the end  of its useful and economic life cycle. The design
of these systems and the  software  used  hinder the effective
exchange of data and information.

The Agency-wide processes to support small purchases are
predominantly labor intensive, manual  procedures.   These
procedures are characterized as slow, paper-bound, prone-to-
error,  non-responsive  to  users'  immediate needs,  and
inherently inefficient.

Various systems have been  initiated  and implemented over
the  years to improve  the  small  purchasing  process  and
responsiveness to  user needs.    Small  purchasing is
essentially  a  manual  process  in  the Regions,  while
Headquarters  have  developed automated systems which
vary in  sophistication, functionality,  and compatibility with
other  systems.

The Government Bankcard  Program  was instituted within
the  Agency  to increase the systems' responsiveness.  Due
to the  current limitations on  the  Bankcard, however, the
impact on the small purchasing system has been negligible.

In order to  deal with the paper and forms administrative
bottlenecks of  the current system, several Headquarters and
Regional offices have created electronic  forms. This further
reflects the  frustration  of  users  with  the current  small
purchase processes.
                                                  A-7

-------
APPENDIX A: 1990 REVIEWS
PROPOSED
ACTIONS:          The  mission  needs analysis  demonstrated  that  there is an
                   urgent  need for a system which will provide comprehensive
                   procurement and contract management life-cycle support from
                   acquisition initiation through contract close-out.

                   The  analysis  also recommended that the current systems be
                   consolidated  into  two  systems:  'the  Integrated  Contracts
                   Management  System   (ICMS)  and  the  National  Small
                   Purchasing System (NSPS). ICMS would  be a procurement and
                   contract  management   system  to  effectively  support the
                   acquisition, administration,  work  assignment  monitoring,
                   contract  payment,  procurement/contract  budgeting  and
                   accounting  activities, and contract  management functions of
                   Headquarters staff, Regions, and  Laboratories. NSPS would be
                   a small purchasing system which would effectively support the
                   activities  of  personnel and organizations  involved  with
                   procurements of less that $25,000.

                   Senior OARM management considered ICMS and NSPS as two
                   distinct and separate development projects. Although they both
                   support the procurement process, significant differences  exist
                   between them. Typically,  management cited  the  following
                   reasons for separately evaluating the two systems:

                   •  NSPS and ICMS are  not interdependent systems;

                   •  Development of ICMS  is critical for EPA because of the
                      great volume of Agency contract dollars managed;

                   •  Oversight organizations and individuals are  focused on
                      accountability of contract dollars and contract performance;
                      and

                      Impact and implementation of the Bankcard initiative on the
                      needs for a small purchasing system may be significant.

                   The  ICMS was conceptualized  to  be  a life-cycle contract
                   management system and database linking  tool.  It would be an
                   Agency-wide, administrative system  involving  EPA  users
                   throughout  the nation.  Depth and breadth of database access,
                   as well as type of end-user capabilities, would  depend on the
                   individual's functional requirements.  The initial system concept
A-8

-------
                            FY  1990 IRM REVIEW PROGRAM REPORT
INITIATIVES
AND ACTIONS:
BENEFITS:
                   for ICMS recommended that it cover the  following functional
                   areas:  finance, pre-award,  management and policy, post-award,
                   and personnel.  It was also recommended that the ICMS be
                   composed  of 6 modules:   system administration, contract
                   management  (post-award),  pre-award  management,  human
                   resources management, contract  information  retrieval, and
                   contract or vendor management.

                   The feasibility and pros and cons of four  system  development
                   options were considered for the ICMS:

                   •   EPA could continue to improve the individual components of
                      existing systems.   The  implementation costs of this option
                      would be low, but the  Agency would  not benefit from the
                      integration of systems.

                   •   EPA could improve the functionality of individual components
                      with increased interfacing.  This fragmented approach would
                      require redundant interfaces and achieve limited  integration.

                   •   An ICMS  could be developed in phases by  module.  This
                      approach will require fewer committed resources but a longer
                      development timeframe.

                   •   All six  ICMS modules  could be developed simultaneously.
                      This  approach would  require extensive resources and
                      coordination, but  development  could  be completed  in a
                      relatively short timeframe.

                   The last  option  addresses  all user requirements  and  was
                   recommended for the development of the ICMS.
The general project management plan has been completed.  The
next steps for the project are to complete  the detailed system
requirements analysis  and perform  detailed  design  and
prototyping for the ICMS.

A large portion  of EPA's mission to protect human health and
the environment is supported through the use of contracts which
are  growing in size  and complexity  and are coming under
increasing Government and public  scrutiny.  As part of the
overall Integrated Administrative Systems (IAS) concept, ICMS
will  streamline  and integrate contract management functions.
More  specifically,  ICMS  will  improve   responsiveness,
                                                                      A-9

-------
APPENDIX A: 1990 REVIEWS
                   accountability  and efficiency  of the contracting function
                   throughout the Agency.  The major benefits will accrue in the
                   following areas:

                   •  Contracts administration, management and analysis;

                   •  Responsiveness to end users (contracting officers,  project
                      officers, work assignment managers, etc.);

                   •  Management information (internal and external);

                   •  Evaluation of contractor performance;

                   •  Integration  with other administrative systems; and

                   •  Management of organizational conflict of interest.

                   This review is in direct support of the government-wide priorities
                   of information management, ADP security, and major information
                   systems.   It also supports  the Agency IRM initiatives  of data
                   sharing and integration and  improved records management.
                   Numerous objectives of the EPA IRM review program are also
                   addressed:  providing high quality information services  in an
                   efficient and cost-effective  manner,  complying with EPA goals,
                   policies, plans, and strategies; integrating information systems
                   across  media, functional, and program lines; securing sensitive
                   documents;  minimizing duplication of information systems;
                   emphasizing  government-wide priorities; and  promoting
                   productive use  of human resources.

AGENCY CONTACT
AND PHONE NO.:    Tim Farris, (202) 382-3214  and Jack Johnson, (202) 382-2886.
A-10

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Review of Records and Forms Management Programs
REVIEW NUMBER 90-3	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  1  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
I  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

t  ]  FINANCIAL (A-127)
                [  ]  TELECOMMUNICATIONS

                [x]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [  ]  ELECTRONIC FILING

                [  ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [x]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER 	
                                                       A-11

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Review of Records and Forms Management Programs
90-3
The  intent of this review was to provide a comprehensive
evaluation of records  and forms management programs in EPA
Headquarters offices.  The analysis yielded three reports which
helped to define the future office environment for EPA staff from
an administrative perspective.   They were the Office of the
Future Concept, Technology Assessment and Technology Impact
Reports, and the Evaluation of Records and Forms Management.

The purpose of the Office of the Future  project was to assess
and evaluate the opportunities  for utilizing technology in the
future office environment to improve productivity and efficiency in
administrative activities.  The  technology  assessment and
technology impact studies reviewed the hardware, software, and
standards that will be required  to implement the Office of the
Future concept.  It also examined the impact of the introduction
of new  technologies into the  EPA environment from  the
perspectives  of  facilities,  management,  and  human factors.
These studies provided the parameters for the final evaluation.
The purpose of the evaluation of records and forms  management
was   to  assess  the present  role of  EPA's  Information
Management and Services Division (IMSD)  in  records and
forms management and to make recommendations regarding its
future role in these areas.
This review was conducted by OIRM with contractor assistance.
The review began with an evaluation of opportunities for the use
of technology to assist in common administrative operations in
the office.  Then, for select work processes, a comprehensive
analysis  was conducted  of (1)  the  types of administrative
activities which are commonly performed in offices throughout
the agency, and  (2) the information  sharing  requirements
involved in completing those activities. Six administrative work
processes were  selected for  analysis:   travel, controlled
correspondence, budget preparation,  purchase requisition,
payroll, and personnel.  Analysis of  these  work processes
A-12

-------
                                            FY 1990 IRM REVIEW  PROGRAM REPORT
                PRIMARY
                FINDINGS:
                                   provided  a  thorough  understanding  of the  EPA  work
                                   environment.

                                   The primary methods used to collect data for the evaluation of
                                   records and forms management were interviews with  key EPA
                                   records and forms staff and documentation reviews. The mission
                                   and  responsibilities  involved  with  records  and  forms
                                   management were analyzed from several different perspectives:

                                   •   Current mission, responsibilities,  and structure;

                                   •   Requirements of records and forms management in the Office
                                      of the Future;

                                   •   Conclusions drawn from the analysis of the current and future
                                      environments;

                                   •   Implications for the Agency of these conclusions; and

                                   •   Recommendations  for IMSD's role and responsibilities to
                                      meet current and future needs.

                                   The current environment was shown  through a discussion of the
                                   different roles and responsibilities for those offices involved with
                                   records and forms.  In order to provide a framework for analyzing
                                   the  responsibilities, the life-cycle stages of both records and
                                   forms were defined from a management perspective.
The technology assessment identified recent Agency trends that
have started to increase the need for IMSD leadership in records
and forms management:

•  The  Office  of the Future will require IMSD to  develop
   capabilities for  electronic routing of forms  and image
   processing systems (IPS) for storing and retrieving records,
   etc.;

•  The  focus of the enforcement  program has shifted toward
   additional  attention  to  cost  recovery,  increasing  the
   importance of data availability; and

•  EPA is emphasizing cross-media exchange  of information to
   accomplish Agency goals, underscoring the importance of
   data  integration.
L
                                                   A-13

-------
APPENDIX A: 1990 REVIEWS
                   Analysis of the current records  and forms mission  and the
                   delegation of responsibilities within EPA in the context of the
                   Office of the Future environment also led to the identification of
                   weaknesses  which  exist within IMSD's current  records and
                   forms management environment, as well as issues which IMSD
                   should consider when  planning its  role in records and forms
                   management in the future. The following are those weaknesses
                   and their impacts:

                   •  Technical and policy support for forms management is not
                      sufficiently proactive or up-to-date to allow the Agency to
                      take advantage of advanced technologies.  Currently, forms
                      designs are inefficient and inconsistent among offices. Also,
                      users tend to choose paper over electronic forms without
                      sufficient training.

                   •  Strong  leadership  and  national  coordination   in  the
                      development of policies,  standards,  and  applications is
                      needed  to  ensure successful implementation of electronic
                      forms technology. Without such  leadership, the Agency will
                      continue to  foster  the  development of  duplicative,  non-
                      standardized and expensive initiatives.

                   •  Overall administrative management of the forms clearance,
                      printing, stocking, and distribution process is time consuming
                      and inefficient.  As a result, obsolete or expired forms may be
                      used and subject to a challenge  if used in court.

                   -  There is a lack  of sufficient records management guidance
                      and training in applying  the technologies of the Office of the
                      Future.  This results in the procurement of incompatible
                      hardware and software and variations in data availability.

                   •  Records are  not managed consistently  throughout the
                      Agency, hindering efficient management  and integration of
                      information.  For example, the implementation of an image
                      processing  system  will  be complicated by the Agency's
                      diverse, existing records management practices.

                   •  Records   disposition  schedules   are  inefficient  and
                      incompatible with file structures, making it difficult to expand
                      to meet the needs of electronic records in the Office of the
                      Future.   In  particular, records  management staff spend
A-14

-------
                            FY 1990 IRM REVIEW PROGRAM  REPORT
PROPOSED
ACTIONS:
                      excessive amounts of time trying to understand where files
                      fit into the disposition schedule.
The following recommendations will aid IMSD in defining its
mission and responsibilities with regard to records and forms
management in the Office of the Future.  IMSD's records and
forms management responsibilities fall into three  main support
categories:  technical, administrative, and regulatory/policy.  The
emphasis placed on each  of these categories differs, and those
emphases need to be altered in the Office of the Future.

•  To minimize the amount of time which IMSD must spend on
   administrative support in the future, administrative activities
   need  to  be streamlined.   This can be accomplished by
   developing automated  systems and revamping  disposition
   schedules.

•  IMSD needs  to assume a stronger technical support role to
   encourage efficient records and forms management in the
   Office of the Future.  This aim can be accomplished through
   developing  and  providing training courses,  expanding
   contract vehicles to provide  technical support, and providing
   technical guidance in records and forms management, as  well
   as specific guidance  for  evaluating  and implementing
   technology in these areas.

•  To support the Office of the Future  environment, IMSD will
   need to take a more proactive role in developing records and
   forms management policies to promote standardization. This
   goal can be  accomplished  through  developing  policies to
   support electronic forms technology and to guide electronic
   recordkeeping.

To implement the three recommendations listed above and to
meet its changing support roles, IMSD will need  to consider a
reorganization  or a reallocation of its present resources.  When
assessing possible  reorganization/reallocation  alternatives,
IMSD will need to integrate many  of the responsibilities of
IMSD records and forms management staff and  also increase
coordination between  staff members who have responsibilities in
the areas of records and forms  management, data standards and
systems development to ensure effective implementation of
recommendations.
                                                                       A-15

-------
APPENDIX A: 1990 REVIEWS
INITIATIVES
AND ACTIONS:
BENEFITS:
The Agency has already begun to revamp its records disposition
schedules. Specifically, four actions are underway:

1. Drafting new policy and procedures for creating, reviewing.
   and  approving  schedules — This includes a new inventory
   sheet,  inventory procedures,  and procedures  for obtaining
   concurrence.

2. Developing an  automated system  for records disposition
   schedules  — EPA is preparing to identify necessary data
   elements, conduct a mission needs analysis, and select a
   system.  An automated system  will serve as the  repository
   of information  about  schedule  items and the records they
   cover, provide  custom outputs to meet varying  needs of
   users,, and  provide an electronic format for distributing the
   schedules that will allow programs to expand and customize
   the schedule to  fit their own needs. A basic prerequisite for
   the system is that it must allow for the addition of modules
   to automate other records management functions.

3. Revising records schedules — The revisions will proceed on
   three fronts:  revision of the  Superfund schedule as  part of
   the Review of Superfund Document Management Initiatives
   (see 91-3); revision  of the Regional schedules  by the
   Regional offices;  and identification  of records  retention
   requirements for the systems listed in the ISI.

4, Making the current schedules easier to use — This includes
   the following initiatives:  compiling an index to the  current
   schedules, producing guidance on the application of particular
   schedule items, and easing the way for records to be retired
   to the Federal records centers.

Review findings and recommendations  will provide the basis for
the preparation of a new OIRM strategic records and forms
management plan for FY  1991-1995.  The Office of the Future
Concept will  provide the Agency with a common/consistent
vision of how to automate work processes.

This review  is  in direct support of the government-wide priorities
of information management and ADP security.  It also supports
the Agency IRM initiatives of  data  sharing  and integration,
standards,  improved records  management,  information
technology  acquisitions,  and  electronic data  reporting.
A-16

-------
                           FY 1990 IBM  REVIEW PROGRAM REPORT
                  Numerous objectives of the EPA IRM review program are also
                  addressed: providing high quality  information services in an
                  efficient and cost-effective manner;  using effectively state-of-
                  the-an capabilities to achieve environmental  results; complying
                  with EPA goals,  policies, plans,  and  strategies; integrating
                  information systems across media, functional,  and program lines;
                  securing sensitive  documents; minimizing  duplication of
                  information   systems;  providing  effective  ADP  and
                  telecommunications  resources  and facilities;  emphasizing
                  government-wide priorities;  and promoting  productive use of
                  human resources.

AGKNCY CONTACT
AND PHONE NO.:   Geoff Steele, (202) 382-5636 and Mike Miller, (202) 475-8275.
                                                                    A-17

-------
AGENCY.
                    SYNOPSIS DATA SHEET
Environmental Protection Aeencv
REVIEW TITLE    Review of Public Information Access Services
REVIEW NUMBER9Q-4	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM
                    •
[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [x]  TELECOMMUNICATIONS

                [  ]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [  ]  ELECTRONIC FILING

                [  ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PR A
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [x]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER  	
A-18

-------
                            FY 1990 IRM REVIEW PROGRAM REPORT
AGENCY:

TITLE OF
REVIEW:
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
EPA
Review of Public Information Access Services
AGENCY REVIEW
NUMBER:          90-4
EPA is experiencing an increased  demand  by the public for
information. In addition, legislative  requirements to disseminate
information to the public have increased pressure upon EPA to
augment services for information  access and dissemination.
This review evaluated the efficiency and effectiveness of the four
major systems and services currently used by EPA to facilitate
information access by the public.  These are:

(1)  Clearinghouses —  consolidated reference sources on
     subject-specific  information  providing reference and
     referrals;
                   (2)  Electronic  bulletin  boards —
                        information for electronic access;
                                     a means of  posting
                   (3)  Dockets — official legal files of rule-making actions; and

                   (4)  Hotlines —  a point of contact for external panics to ask
                        technical or general questions.
The review, performed by OIRM with contractor assistance, was
conducted in three phases.  Phase I evaluated current systems
and  services  by  reviewing  existing  documentation  and
conducting management interviews.  Phase II surveyed state-of-
the-art technology  and methodology for public access by
reviewing the practices of other  agencies  and researching
technology trends  and initiatives.  Phase III developed a model
for service delivery, presented operational recommendations,
and formulated an implementation plan.
The following are the key conclusions of Phase I:

•  The general public is not a primary user of these services;
                                                                      A-19

-------
APPENDIX A: 1990 REVIEWS
                   •   Information access is hampered by lack of coordination and
                       cross-reference tools;

                   •   Potential audiences are  limited  somewhat by physical
                       characteristics of the service and method of accessing;

                   •   Most services ensure some degree of security and integrity;

                       Services do not adequately address liability issues;

                   •   Informality of the collection process does not assure that
                       current, reliable information is obtained;

                   •   Automation does  not currently play a  significant role in the
                       services provided;

                   •   Lack of policy guidance and standard operating  procedures
                       has led to inconsistencies in information distribution; and

                   •   OIRM  has not established a leadership role or policy for
                       sharing information with external parties.

                   Phase II of the  review surveyed the information management
                   practices of the  Agency for International Development (AID),
                   the Department of Commerce (DOC), the Department of Energy
                   (DOE), the National Aeronautics and  Space Administration
                   (NASA),  and the Department of Agriculture (USDA).   The
                   review found that other Federal agencies have managed to avoid
                   or overcome some of the  obstacles discovered in Phase I; for
                   example,  information access may be facilitated by  the use of
                   centralized databases and established networks to exchange
                   information with international parties.  It also documented some
                   trends in technology  which provide opportunities for improved
                   access and dissemination of information, such as:

                   •   Adoption of standards  which promote integration and data
                       exchange through common formats and data elements;

                   •   Improved access and retrieval of information through the use
                       of knowledge-based software;

                   •   Integration of voice, data, and image transmissions with FTS
                       2000; and
A-20

-------
                            FY 1990 IRM REVIEW PROGRAM  REPORT
PROPOSED
ACTIONS:
                      Integration of image processing systems (both microform and
                      optical technologies) with existing information systems.
The report for Phase III of the review presented management
and operations  models for improving information access and
dissemination.

The management model emphasized that OIRM should take an
active leadership role in providing information delivery systems
that ensure efficient and effective sharing of technical information
with the public.  To do so, OIRM must:

   Develop policies and procedures, including an Agency-wide
   document  numbering system and a mechanism for collecting
   documents in a central repository;

•  Develop a standardized storage  and access mechanism and
   a standardized distribution system;

•  Improve the consistency of access and quality of information
   through use of a single referral source and an automated
   listing  of EPA information sources;

•  Improve the Agency's understanding of present and potential
   users'  needs and the most effective outreach and  feedback
   mechanisms;

•  Improve coordination and efficient use of Agency resources
   through forums, training, and work groups; and

•  Establish  partnerships within  EPA, especially  with the
   Office  of External Affairs and the Office of General Counsel,
   and  with  other Federal  agency  groups using  Resource
   Support Service  Agreements to  promote the sharing of
   technical data.

Two operational models  were recommended to improve the
Agency's information access and dissemination capabilities:

•  The  clearinghouse model  proposes the use  of the Public
   Information  Center and  hotlines  to facilitate access to
   information.  It would also use a standard  thesaurus and
   allow users to order documents on-line.
                                                                       A-21

-------
APPENDIX A: 1990 REVIEWS
INITIATIVES
AND ACTIONS:
BENEFITS:
                   •  The docket model proposes an automated index to all rule-
                      making information.  In the  future, the dockets would be
                      expanded to the Regions and States.

                   In both models, the information  is centralized and access is
                   coordinated and controlled for accuracy.

                   The  review also  recommended a pilot study  to evaluate  the
                   effectiveness and viability  of the models.  Conducted  in two
                   phases, the  study would first  review requiremehts, standards
                   and feasibility and then convert documents to electronic media
                   and implement the automated tools for providing access.
In FY 1991, OIRM is planning a review (91-6) which is intended
to assess  and effectively  communicate public  access trends,
activities,  policies and procedures to EPA program managers.
The study  will result in the improved ability of EPA to fulfill its
mission of providing environmental information to the public. It
will build on the information documented in this review.

The benefit of the review  is that it  highlighted  weaknesses in
current information management practices  and  recommended
several improvements in information service delivery both within
and outside of the Agency.

This review is in direct support of the government-wide priorities
of telecommunications, information management,  and ADP
security.   It also supports  the  Agency IRM initiatives of data
sharing   and  integration,  standards,  improved  records
management,  and public dissemination.  Numerous objectives of
the EPA IRM review program are also addressed:  providing high
quality information services in an efficient and cost-effective
manner; using effectively state-of-the-art capabilities to achieve
environmental results; complying  with EPA goals, policies,
plans, and strategies; securing sensitive documents; minimizing
duplication of information systems; promoting data sharing;
providing  effective ADP and telecommunications resources and
facilities;  emphasizing  government-wide  priorities;   and
promoting productive use of human resources.
AGENCY CONTACT
AND PHONE NO.:   Brigid Rapp, (202) 475-8710.
A-22

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE
Telecommunications Evaluation
REVIEW NUMBER 90-5
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [x]  TELECOMMUNICATIONS

                [  ]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [  ]  INFORMATION
                    MANAGEMENT

                [  ]  ELECTRONIC FILING

                [  ]  MAJOR INFORMATION
                    SYSTEMS
                [xj  COMPLIANCE WITH PR A
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [  ]  SECURITY

                [  ]  RECORDS MANAGEMENT

                [  ]  OTHER 	
                                                       A-23

-------
          APPENDIX A: 1990 REVIEWS
         AGENCY:

         TITLE OF
         REVIEW:

         AGENCY REVIEW
         NUMBER:

         OBJECTIVES OF
         REVIEW:
         SYNOPSIS OF
         REVIEW:
EPA
Telecommunications Evaluation
90-5
EPA National Data Processing Division (NDPD) anticipates an
ever increasing demand for telecommunications services in 1995
and beyond. Satisfying the potential demand in an effective non-
disruptive manner is  the key  to successful  planning.  EPA's
Telecommunications  Vision  for 1995 began  as a  process that
anticipated future requirements, identified technical solutions,
and developed a network  evolution plan.  The vision will be
revised annually to update the five year perspective.

The purpose of this review was to identify the available suite of
data communications services in 1995 to satisfy mission-based
and  administrative  requirements.   Also identified were  the
technological and financial factors that will influence the types of
services and their availability.  Having identified  these items,
the report  then  recommended  an  orderly implementation
schedule to create the network that satisfies the "VISION for
Telecommunications."
In the  1980s, EPA modernized its telecommunications network
to replace batch  systems with on-line systems and replace line
mode  terminals  with  full  screen  display  terminals.   The
modernization effort produced many tangible  benefits including
improved productivity, data collection, and information retrieval.

A new modernization  plan  is emerging for the 1990s.  The
proliferation of intelligent  devices and  the  availability  of
discretionary computing  and data  storage sources generates
data transmission requirements that the 1980s network  cannot
accommodate. Image transfer, video, document interchange, and
other applications generate  the  additional  data traffic that
necessitates modernization.

The review,  conducted by NDPD with contractor assistance,
evaluated  hardware, software, and support services necessary
to achieve modernization objectives.
         A-24
L_

-------
                            FY  1990 IRM  REVIEW  PROGRAM REPORT
PRIMARY
FINDINGS:         In 1995, the network will support a combination of traditional and
                   new services.  Many of the existing host connection services for
                   ASCII VDTs,  RJEs, and 3270 devices communication will still
                   be  present.  Likewise, host-to-host  services,  (i.e., DEC-to-
                   DEC), EMAIL,  BDT, and micro-mainframe services will be
                   available, although perhaps in a somewhat different  format.

                   New network  services, including those  exclusive  to host
                   processors, are integrated into the EPA networks.  Slowly but
                   steadily, the emphasis of these  services will shift from host
                   connectivity to information delivery.  Network services, as a
                   result, must expand dramatically to  accommodate document
                   distribution, file transfer, national extended LAN, electronic mail
                   and messaging, directory services, video conferencing,  image
                   distribution,   off-site  LAN  access, and  application  peer
                   communications.  Other services will be available on a limited
                   basis, including co-operative processing, electronic conferencing,
                   VSAT services, electronic distribution services,  inter-agency
                   connection  services, and State LAN connections.

                   Additional findings of this evaluation include the following:

                   •   Although reliable data communication services have always
                       been  important, in the  1990s, it will  become imperative.
                       Computing and telecommunications will be integrated further
                       into  the   workers'  basic  job   functions,  creating  a
                       communication dependency that may have no substitutions.
                       Electronic imaging and electronic document distribution, for
                       example, will circumvent the need to photocopy  originals and
                       distribute  paper copies.   When electronic  distribution
                       methods displace paper distribution methods,  the  network
                       must become extremely reliable.

                   •   Technological advancements  will dramatically increase the
                       number of telecommunications services and their potential
                       transmission capabilities.   At  the same time,  costs for these
                       powerful and flexible services will decrease dramatically as
                       fiber and computer technology continue to improve.  As a
                       result, while Agency services may increase tenfold from now
                       until  1995,  their corresponding  costs do  not increase
                       proportionally.
                                                                       A-25

-------
APPENDIX A: 1990  REVIEWS
                      The infusion  of special purpose processing devices, LAN
                      servers, scientific workstations and image processors for
                      example, compound  the problem of integrating data located
                      on diverse  computing systems.  A mixed  environment of
                      state computer systems  further  magnifies the problems
                      which inhibit  data integration.  The requirement to integrate
                      data, internal and external,  necessitates the  adoption of
                      standard application and data communication techniques. Of
                      these standards, OSI and IBM's SAA embraced protocols
                      appear  to be most  advantageous to the Agency.

                      Standards development and acceptance is a political process.
                      As such, it can be  fiercely competitive and very  slow,
                      sometimes  taking  four  or  more  years  to complete.
                      Technological advances,  however,  are emerging daily,
                      thereby creating a service availability/standards gap which
                      forces  tough  decisions  concerning   non-standard
                      implementations.

                      By   1995,   existing  and   emerging   standards   for
                      telecommunications hardware and transmission services  will
                      be well defined and available in off-the-shelf products.  IEEE
                      802.3,  IEEE  802.5, IEEE 802.6, FDDI, ISDN, T3 and other
                      accepted  standards make it possible for vendors to offer
                      expansive transmissions bandwidth for local and wide-area
                      networks.  EPA will use the high bandwidth services to
                      support  image,  video,  graphics,  and   Extended-LAN
                      requirements.  Standard   network protocols, LU 6.2, SNA,
                      X.25,  GOSIP, OSI LAN  routing, and ISDN, for  example,
                      provide the  connections needed  to support the various
                      Agency terminal and processing platforms.

                      While  transmission  service  options  abound  because
                      hardware standards are widely accepted, software standards
                      do not have  similar universal  acceptance.   As vendors
                      increasingly  distinguish  their products  through  software
                      capabilities,  they are reluctant  to adopt  standards  that
                      mitigate their competitive  advantage.

                      The combination of  existing and new services will produce
                      many tangible benefits for the EPA including:

                         Work-at-home  support programs;
                         Network-wide data access and data exchange;
                         Worker-to-worker data and document exchange;
A-26

-------
                            FY 1990 IRM  REVIEW PROGRAM  REPORT
                      -   Workgroup problem solving and consensus building;
                         Visual presentations of complex analytical results;
                         High network availability; and
                      -   Responsive transaction and file processing.

PROPOSED
ACTIONS:          A  network modernization program should occur from  1990
                   through  1995.   As part of  that  modernization program, the
                   Agency  should  implement new  hardware,  software, network
                   management, and transmission services.  Among the changes
                   necessary to achieve the network vision are:

                      Because of the investment expense and expertise  needed to
                      perform comprehensive   network management,  network
                      management  should be conducted by contractors specializing
                      in network management.

                   •   Multi-vendor network management integration will  be a
                      problem.   One  potential  solution could be OSI network
                      management  standards,  but  since  that  will be a time-
                      consuming   process, proprietary,  expert  system-driven
                      network management systems  could  be  used  as  vital
                      management  tools throughout the  near future.

                   •   So that neither users nor implementors are overwhelmed by
                      massive change, new hardware  and  software  should be
                      introduced in stages. For example:

                      -   Upgrade  the  Agency's  local and  wide area highways to
                         accommodate the large volume of traffic generated by
                         applications such as scientific visualization, image, and
                         video conferencing.

                      -   Special purpose networks, extended-LAN,  video  and
                         image processing networks could be built on top of the
                         transmission  plant foundation.  New network  services,
                         including  file transfer, document transfer, and cooperative
                         processing would utilize new and  existing networks to
                         deliver these  functions to the EPA network users.

                         User demand and commercial  product availability should
                         guide service delivery.   For instance,  on-line image
                         services could begin initial deployment in 1991, with wide
                         spread use occurring in  1993.
                                                                      A-27

-------
APPENDIX A: 1990 REVIEWS
INITIATIVES
AND ACTIONS:
BENEFITS:
AGENCY CONTACT
AND PHONE No.:
Implementation schedules have already been developed for the
recommendations stated  previously.   The  schedule will be
influenced by a  variety  of factors including  standards
development, pricing, product maturity, service demand, and
budgetary  constraints.  The schedule consists of five phases of
acquisition   and  implementation   based  upon  today's
understanding of technology  viability and  service demands.
They are as follows:

•  Study — white paper analysis of technology;

   Evaluate  — marketplace  survey,  alternatives and impact
   analysis;

•  Procure — procurement activities and contract(s) award;

•  Implement  — Phase  1  implementation,  testing,  and
   functional  validation; and

•  Support and  Update  — full implementation and ongoing
   support.

Once the five year implementation schedule has been approved
by EPA management, it will guide  future planning and budget
activities in years 1992-1994.

This review is in direct support of the government-wide priorities
of telecommunications and ADP management.  It also supports
the Agency  IRM initiatives  of standards and  information
technology acquisitions.  Numerous  objectives of the EPA  IRM
review  program are  also addressed:  providing high quality
information services in an efficient and cost-effective manner;
using  effectively state-of-the-art  capabilities  to achieve
environmental results; complying  with EPA  goals, policies,
plans, and  strategies; promoting data sharing; providing effective
ADP  and  telecommunications resources  and  facilities; and
emphasizing government-wide  priorities.
Dave Bittenbender, FTS 629-0849; Don Worley, FTS 629-2740;
and Bruce Almich, FTS 629-3306.
A-28

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Review of Data Management Practices for Automated Labs
REVIEW NUMBER 90-6	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  J  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [ ]  TELECOMMUNICATIONS
                 ป
                [ ]  END USER COMPUTING



                [ ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [ ]  ELECTRONIC FILING

                [ ]  MAJOR INFORMATION
                    SYSTEMS
                [ x ]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [x]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER 	
                                                        A -29

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:
AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Review  of  Data  Management Practices  for  Automated
Laboratories
90-6
EPA depends heavily on laboratory data to reach decisions on
public health and the environment. The accuracy and integrity of
these data are fundamental to reaching the right decisions.  As a
result, several  EPA  programs have  adopted  and  require
laboratories to  follow Good  Laboratory Practices  (GLPs)
thereby  assuring that-laboratory-generated data are  accurate
and have integrity.  EPA has well-developed procedures and
practices to assess if manual operations in  laboratories comply
with the Agency's GLPs.

However, the computer is increasingly replacing many manual
operations in the laboratory.  It manages operations, interfaces
with laboratory  equipment, and generates scientific/technical
reports.    EPA  lacks  Agency-wide  standards to  guide
laboratories  as they replace manual operations with computer
technology. Similarly, the Agency has no definitive guidelines to
aid the  Agency's  auditors and inspectors when they inspect
laboratories that use computer technology.

These concerns  prompted EPA to  determine  if there is a
definitive  need for  standards for automated  laboratory
operations.  As a result, EPA initiated a review of laboratories
that rely on computer systems to develop  environmental data for
EPA.  This review quickly expanded to  examine how non-
environmental operations assure reliability of computer-resident
data.
EPA's Office of Information Resources Management (OIRM)
initially examined current automated laboratory practices and
procedures in both the Superfund Contract Laboratory Program
(CLP) and its Regional Office laboratories. OIRM conducted a
detailed  survey  of  automated laboratories  and  visited  five
laboratories to  evaluate,  first-hand,  the data  management
practices employed to protect data integrity.  The findings are
A -30

-------
                            FY 1990 IRM REVIEW PROGRAM REPORT
                   presented  in  Automated Laboratory  Standards:  Current
                   Automated Laboratory Data Management Practices (June 1990).

                   These findings prompted the need for further review in several
                   areas.

                   The first research project reviewed EPA's Good  Laboratory
                   Practices  and examined their applicability to  automated
                   laboratory  operations.  These  findings are  presented  in
                   Automated Laboratory Standards: Good Laboratory Practices for
                   EPA Programs (June 1990).

                   The second project surveyed vendors of laboratory information
                   management systems (LIMS) and researched state-of-the-art
                   automated technology. This project determined if there is an off-
                   the-shelf product that can guarantee integrity of computer-
                   resident data.   Automated Laboratory Standards: Survey  of
                   Current Automated  Technology (June 1990) describes the
                   findings of this survey.

                   The third project examined  how automated  financial systems
                   assure the integrity of computer-resident data.   The findings  of
                   this study are  presented in Automated Laboratory  Standards:
                   Evaluation of  the  Use of  Automated Financial  System
                   Procedures (June  1990).

                   The fourth project surveyed  standards  employed by automated
                   clinical  laboratories.   Automated  Laboratory  Standards:
                   Evaluation of the  Standards and Procedures Used in Automated
                   Clinical Laboratories (May 1990) details the  findings from this
                   survey.

PRIMARY
FINDINGS:         The integrity  of computer-resident data  is  at risk in many
                   laboratories providing scientific and  technical data to EPA.
                   Serious gaps  in system  security,   data  validation,  and
                   documentation are responsible for this risk.

                   Commercial laboratory staff unanimously expressed need for
                   guidance in protecting the integrity of computer-resident data.
                   The laboratories uniformly supported the idea of having a single
                   source of guidance for automated operations.

                   In  fact, commercial laboratory staff members  frequently
                   expressed frustration with their unsuccessful efforts to obtain
                                                                      A-31

-------
APPENDIX A: 1990 REVIEWS
                   guidance from EPA.  They were told that no written guidance
                   was  available and  often received no definitive response when
                   they raised specific questions.

                   Where EPA's Good  Laboratory  Practice (GLP)  requirements
                   apply, they also apply to computer  operations used  in  the
                   conduct of a study.  Thus, an autonomous quality assurance unit
                   must periodically inspect the computer operations and document
                   their inspection  and its results.

                   No vendors of  laboratory information  management systems
                   currently offer computer software that meet all the requirements
                   of EPA's GLPs; and no computer hardware technology currently
                   exists that will assure data integrity.

                   The main sources of risk to data integrity in automated financial
                   systems also exist in automated laboratory systems; financial
                   systems use time-proven controls that significantly reduce these
                   risks.

                   Clinical  laboratories, particularly  those doing forensic drug
                   testing, view security  as their top priority to assuring data
                   integrity.   They use numerous intensive control methods to
                   protect security  in their automated operations.

PROPOSED
ACTIONS:          Data management procedures  should  be standardized  in
                   laboratories supporting EPA programs and the Agency  should
                   assume responsibility for establishing these standards.

                   Standardized data management procedures  for  automated
                   laboratory operations should comply with the requirements of
                   EPA's Good Laboratory Practices (GLP).

                   Novel technology, such as the use of bar coding, can be useful in
                   automating laboratory operations.  This technology can minimize
                   errors in sample identification and other functions.

                   Risks to  data integrity in automated laboratory operations may
                   be reduced  by  adopting controls automated  financial systems
                   have proven to be effective.

                   Automated  clinical laboratories  employ several practical
                   measures to reduce security risks that should be evaluated in
A-32

-------
                            FY 1990 IRM REVIEW  PROGRAM REPORT
                   developing security control procedures in laboratories providing
                   data to EPA.

INITIATIVES
AND ACTIONS:      The Agency responded rapidly and responsibly to these findings.

                     •  In June  1990, EPA  published  the  draft  Automated
                       Laboratory Standards: A Guide to EPA Requirements for
                       Automated Laboratories. This document is a single source
                       to EPA's established principles for protecting the integrity of
                       computer-resident data. The Guide draws heavily from the
                       reviews  discussed above.  It  complies with EPA's GLP
                       requirements and includes applicable  requirements from
                       other Agency authorities.

                     •  A draft of Good Automated Laboratory Practices (GALP)
                       with Implementation Guidance is currently being reviewed
                       within EPA. It is  a definitive  statement  of what EPA
                       considers to be acceptable data management practices for
                       automated  laboratory operations and is  based almost
                       completely on the Guide discussed above.  These standard
                       practices will   impact  EPA's  Regional and contractor
                       laboratories and industries required by  Federal statutes to
                       provide data to  the Agency.

                     •  The Agency recently began drafting Compliance Evaluation
                       Guidance for EPA's Good Automated Laboratory Practices
                       which will describe evaluation  criteria  for laboratory
                       inspectors to use in auditing automated laboratories.  It will
                       also help in developing a  program to  ensure laboratory
                       compliance with the GALP.

BENEFITS:         This review  highlighted the urgent need for standardized data
                   management  practices in laboratories that provide data to EPA.
                   EPA has initiated a program which will respond to  this need.

                   This program will provide EPA with assurance that much of the
                   data the Agency uses in reaching decisions on human health and
                   the environment will be  reliable.  This program has produced a
                   set of data management standards with guidance  to implement
                   them.   These  standards  and guidance are scheduled to  be
                   published in the Federal Register in mid-1991 for public review
                   and comment.
                                                                      A-33

-------
APPENDIX A: 1990 REVIEWS
                   Together  these standards and implementation guidance will
                   enable laboratories  that provide data to EPA  to have a clear
                   understanding of what the Agency  considers  to be adequate
                   controls to assure data integrity.  Future decisions  on further
                   automating their operations will be  improved because  these
                   laboratories  will be  armed  with  the  knowledge  of  EPA's
                   laboratory data management requirements.

                   This review is in direct support of the government-wide priorities
                   of information  management,  ADP  security,  and  ADP
                   management.  It also supports the Agency IRM initiatives of
                   standards and improved records  management.    Numerous
                   objectives of the EPA IRM review program are also addressed:
                   providing high quality  information services in  an efficient  and
                   cost-effective  manner;   using effectively  state-of-the-art
                   capabilities to achieve environmental results;  complying with
                   EPA  goals,  policies, plans, and strategies; securing sensitive
                   documents; and emphasizing government-wide priorities.

AGENCY CONTACT
AND PHONE NO.:    Richard Johnson, (919) 541-1132 and FTS 629-1132.
A-34

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Evaluation of Electronic Forms
REVIEW NUMBER 90-7
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[xj  JRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [x]  TELECOMMUNICATIONS

                [ x ]  END USER COMPUTING


                [  1  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [x]  ELECTRONIC FILING

                [ ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [ ]  ADP MANAGEMENT

                [x]  SECURITY

                [x]  RECORDS MANAGEMENT

                [ ]  OTHER 	
                                                        A-35

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
EPA
Evaluation of Electronic Forms
90-7
The  electronic forms reviews were conducted  to identify
opportunities to mitigate the inefficiencies of  non-automated,
paper-based  administrative processes.   Current  processes
involve filling in pre-printed paper forms at the local office level
and  passing  these  forms  through several other offices  for
approval and  processing. Information  from the forms  often may
be re-keyed  into national  administrative systems.   Large
volumes of paper forms are retained for various time periods for
"official record" purposes,  creating document management and
storage space problems.

These reviews were conducted from two perspectives.  One was
from the design perspective; the other was from the perspective
of applications development and integration of forms data with
Integrated Administrative Systems data (IAS concept).  EPA is
developing the I AS concept, which entails unified  methods for
storing and accessing information in its national administrative
application systems  in  conjunction  with a suite of LAN-based
applications.  These applications are  intended to incorporate a
capability  for electronic fill-in and processing of  forms-based
data, without the need for generation of paper documents.  The
LAN-based applications are known collectively as Admin LAN.

Several initiatives  are underway to evaluate, test and implement
electronics forms capabilities in the Agency. The first involves
testing the  concept of widely  distributed LAN-based and
standalone applications to enter and edit data in a  database for
use in generating high-use electronic forms.

The  other major initiative involves  evaluation of current
commercially-available  electronic  forms  design   and
filler/processor  software for the purpose of acquiring efficient
products; converting  the existing forms inventory to an electronic
environment;  and developing a capability to retrieve  and print, or
electronically fill-in and process forms on demand.
A-36

-------
                             FY 1990 IRM REVIEW PROGRAM  REPORT
SYNOPSIS OF
REVIEW:          Three reviews were conducted  by the Office  of Information
                   Resources (OIRM) with contractor assistance.

                   One  review  was a comprehensive study involving the joint
                   participation  of OIRM's Information Management and Systems
                   Division (IMSD) and the  Administrative  Systems Division
                   (ASD). The following is a description of the review phases:

                   1)  Define requirements for front-end electronic forms processing
                       — To define the requirements for front-end electronic forms
                       within EPA, a review of current paper-based administrative
                       processes was conducted.  Beginning with a review of the
                       findings of the Review of Records  and Forms Management
                       Programs  (90-3), the  study  also required  interviews  with
                       support staff and  professionals in several areas of the
                       Agency.  Once the key activities needed to support typical
                       paper-based  administrative processes had  been identified,
                       those  activities  were translated  into  electronic  forms
                       requirements, such  as  the ability to create  forms templates
                       electronically.

                   2)  Assess the feasibility of using electronic forros^as the front-
                       end to the  IAS — To assess the feasibility of utilizing LAN-
                       based electronic forms  feeder systems as the front-end to the
                       proposed  IAS, a four stage  methodology  was developed.
                       The first stage was an evaluation of functional feasibility —
                       the ability of an electronic forms front-end system to meet
                       the  functional requirements.  The second  stage was an
                       analysis of the  technological feasibility —  the  ability of
                       current  technology  to  meet operational requirements.  The
                       third stage was a review of organizational feasibility — the
                       ability to fit an electronic forms system into the existing
                       organizational structure.  The fourth and  final stage was an
                       assessment of the  economic feasibility  —  a  benefit/cost
                       analysis.     For  each  stage,  obstacles  to  alternative
                       implementations were identified and rated for difficulty.

                   3)  Evaluate  external  electronic forms  applications — The
                       evaluation of the  ability of commercial electronic  forms
                       software to meet the needs of EPA was accomplished by
                       surveying the electronic-forms software market.  Four highly
                       rated software  packages  were  selected  and  tested by
                       designing, creating, processing, and printing  a  standard form.
                                                                        A-37

-------
APPENDIX A: 1990 REVIEWS
PRIMARY
FINDINGS:
                      Findings were then documented and the software packages
                      ranked to a achieve a final recommended product.

                   4) Analyze the costs  and  benefits of internal and  external
                      electronic  forms  alternatives — The  benefit/cost analysis
                      examined the economic viability of automating administrative
                      forms processing by comparing the costs and benefits of the
                      current manual  procedures  for  processing administrative
                      forms  with custom-developed and off-the-shelf electronic
                      forms applications.
                                                  ป
                   Another review was led by OIRM's ASD. This study  involved
                   reviewing existing  activities in  the  Agency  intended to  use
                   personal  computers  to generate forms. The  purpose of this
                   review included: (1) identification of promising systems which
                   could  be  pilot  tested on a wide  user  population,  and  (2)
                   identification  of  strengths  and  weaknesses  of the  most
                   promising of the applications. As a result, the  study provided a
                   critical review of several applications,  identified the  OFFice
                   Forms Facilitator (OFF) as the most promising and defined the
                   strengths and  weakness of  the OFF for use  in finalizing  the
                   application for subsequent pilot testing.

                   A third review was conducted by  IMSD.   This evaluation of
                   leading commercial form design  software tested four  products
                   (JetFORM, Per FORM, Form Maker and FJ) and rated their
                   capability to  meet all or  portions  of EPA's forms design
                   requirements.  This  evaluation  was a follow-up to the  other
                   assessment of commercial software mentioned above.
The following are findings from the joint ASD/IMSD study:

Fifteen  requirements  for  supporting  EPA's  administrative
activities using electronic forms were defined.  The requirements
were  grouped by  (1)  forms  design/mapping,  (2)  forms
processing,  (3) data  and  system  security, and (4)  forms
management.  The study also defined four levels of information
for electronic forms  applications.  The levels  ranged from
standalone  PCs  to   LANs  connected  to  the  Agency's
administrative systems.

The study of the feasibility of using electronic forms yielded
three conclusions:
A-38

-------
                            FY 1990 IRM REVIEW PROGRAM  REPORT
                   •  Currently available LAN-based software for electronic forms
                      processing can meet the functional requirements of EPA;

                      It is technologically feasible to use electronic forms as  the
                      front-end  to  the Integrated Administrative System  (IAS);
                      and

                   •  EPA's current organization will support the introduction of
                      LAN-based electronic  forms if roles and responsibilities  are
                      clearly delineated.

                   The  benefit/cost analysis  demonstrated  that using LAN-based
                   electronic forms  systems  as the front-end to  IAS is  a cost-
                   effective investment.  Automation of the input from local office
                   administrative forms  to national administrative systems would
                   provide  further  savings  and  increased capabilities  and
                   efficiencies.

                   The ASD study identified several applications of electronic forms
                   data  capture  and printing.  Strengths and weaknesses  of  the
                   respective applications were identified.  That information was
                   used as input to development of the modified OFF being used in
                   a pilot test of Admin LAN.

                   The  IMSD  design study indicated that the electronic design of
                   forms  templates  would  improve the  speed  of  design  and
                   modification  of  forms.   It  would  also  support electronic
                   distribution and on-demand printing of many forms in end-user
                   offices,  thereby mitigating  the labor  and cost associated with
                   pre-printing of paper forms and their manual distribution through
                   a centralized warehouse facility.

PROPOSED
ACTIONS:          The  following are  recommendations  resulting  from these
                   reviews:

                   •  OIRM should delay the adoption of a standard agency-wide
                      electronic forms application for 12 months because  of  the
                      rapidly  changing  and  developing  electronic forms market.
                      Meanwhile, OIRM should continue to pursue  the pilot
                      testing of the Office of Underground Storage Tanks (OUST)
                      developed electronic  forms software in  a  standalone
                      environment and conduct a pilot test of electronic forms in a
                      LAN environment.
                                                                       A-39

-------
APPENDIX A: 1990 REVIEWS
INITIATIVES
AND ACTIONS:
                      EPA should pursue LAN-based electronic forms, through a
                      phased implementation approach, to take advantage of local
                      processing  capabilities provided by  LAN-based electronic
                      forms  systems while developing  and refining  the  IAS
                      concept. The reviews further defined specific roles for OIRM
                      and  its  Divisions.   Forms  design  was  defined  the
                      responsibility of IMSD and forms processing software the
                      responsibility of ASD.
OIRM is planning a  review for FY 1991 (91-4) to further refine
and analyze the Integrated Administrative System  Concept.
The refinement  will result in the  identification  of potential
benefits for various groups.  The analysis will also result in the
identification  of issues relating  to  an  IAS  in the  EPA
environment and the development  of  an IAS  definition and
framework.

In the  electronic  forms  applications  arena, EPA's  major
initiatives for the upcoming year are:

(1) implementation of  production  systems  to automate the
    processing of high-use travel-related forms;

(2) the addition of new forms to the  system (Procurement
    Request,  Request for Personnel  Action and Claim for
    Reimbursement for Expenditures on Official Business);

(3) conversion  of  these  automated  administrative  forms
    applications to emerging Agency  standard  local area
    network architecture;

(4) conversion of forms  component  to emerging  Agency-
    standard forms design and processing products;

(5) conversion of applications  to comply with  emerging Agency
    standards  for common  user interface  and  graphical user
    interface  (e.g., Windows  and/or  OS/2  Presentation
    Manager); and

(6) starting efforts to introduce electronic signature within LAN
    environments based on the electronic forms information
    generated by the OFF system.
A -40

-------
                            FY 1990 IRM  REVIEW PROGRAM REPORT
                   Concurrently, an effort is underway to evaluate the capability to
                   centrally  store  electronic  forms  templates  on  the  Agency
                   mainframe computer and to download any form and its relevant
                   filler/processor  instructions  to  a LAN-based  end user on
                   request. This effort involves personnel from OIRM's IMSD and
                   ASD and the National Data Processing Division (NDPD).

                   Based  on  the findings of the IMSD electronic  forms design
                   evaluation as well as independent Agency research, a decision
                   was made  to procure microcomputer equipment and a copy of Per
                   Form "Pro" for computer  design of electronic form templates.
                   Delivery of  the equipment and software is expected during the
                   first quarter of FY 91 and work will begin immediately to convert
                   the inventory of Agency  forms to an electronic  design and
                   maintenance environment.

BENEFITS:         The benefit of this evaluation is that it provides a comprehensive
                   assessment of potentially more effective and efficient use  of
                   Agency resources. In addition, these reviews provided valuable
                   information  on  the state of electronic forms design capabilities
                   for use in  applications; clarified the functional responsibilities of
                   OIRM  Divisions; recommended appropriate  tactical  and
                   strategic directions for the Agency to  pursue  for effective
                   implementation; identified  whether real  benefits (tangible  or
                   intangible)  would accrue  from activities in  this  area; and
                   identified  specific alternative  tools  to  implement initial
                   applications.

                   As a result of conducting the design review, Agency learned that
                   electronic design of forms will  displace traditional manual
                   graphics methods, enabling more rapid design and modification
                   at a  lower cost  and production of improved quality pre-print
                   materials.  The ultimate use of fill-in and processing of forms will
                   dramatically reduce  the costs of  the  current  paper forms
                   processing environment.

                   This review is in direct support of the government-wide priorities
                   of telecommunications, information management,  and ADP
                   security.  It also supports the Agency  IRM  initiatives  of
                   standards,  improved   records   management,  information
                   technology  acquisitions,  and  electronic data  reporting.
                   Numerous objectives of the EPA IRM review program are also
                   addressed: providing high quality  information services in an
                   efficient and cost-effective manner;  using effectively state-of-
                   the-art  capabilities to achieve environmental results; complying
                                                                       A-41

-------
APPENDIX A: 1990 REVIEWS
                  with EPA  goals, policies, plans,  and strategies; securing
                  sensitive documents; minimizing duplication  of  information
                  systems; providing  effective ADP and telecommunications
                  resources  and  facilities;  emphasizing  government-wide
                  priorities; and promoting productive use of human resources.

AGENCY CONTACT
AND PHONE NO.:   George  Hesselbacher,   (202) 382-2408 (Application Studies)
                  and Geoff Steele, (202)  382-5636 (Design Study).
A -42

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Office of Water Data Sharing and System Compatibility Study
REVIEW NUMBER 90-8	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-123)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  j  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [ ]  TELECOMMUNICATIONS

                [ x ]  END USER COMPUTING


                [x]  SOFTWARE MANAGEMENT
                [ ]  INFORMATION
                    MANAGEMENT

                [ ]  ELECTRONIC FILING

                [ ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [ ]  ADP MANAGEMENT

                [ ]  SECURITY

                [x]  RECORDS MANAGEMENT

                [ ]  OTHER 	
                                                        A -43

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Office of Water Data Sharing and System Compatibility Study
90-8
This evaluation was conducted to identify impediments to data
sharing  and system compatibility in priority data systems
maintained  by/for the Office  of Water (OW) and to evaluate
potential solutions from the standpoint of  feasibility and
effectiveness.
This review  was conducted by OW's Steering Committee  for
Water  Quality  Data  Systems  with  contractor assistance.
Twelve OW  data systems were examined:  Natural Biological
Information  System  (BIOS), Drinking Water System (DWS),
Federal  Reporting Data  System  (FRDS), Stream/Gage  Flow
(GAGE), Grant Information  and Control System  (GICS),
Industrial Facilities Discharge (IFD), Needs Survey (NEEDS),
Ocean Data  Evaluation System  (ODES), Permit Compliance
System  (PCS),  River Reach Characteristic  File (REACH),
Storage and Retrieval of Water Quality Information (STORET),
and Water Body System (WBS).   Nine criteria were identified
by  the  Steering Committee  which  measure  a system's
amenability to data sharing and system compatibility:

•  Are there minimum data sets/fields facilitating linking of data
   between  independent systems?

•  Does the system provide a means  to readily access and
   display/overlay data from other systems?

•  Does  the system contain a  latitude/longitude or  other
   coordinate set allowing data integration through GIS?

•  Can  system  security  measures be  modified to encourage
   data  sharing  and  exchange  without   risking  data
   loss/corruption?

•  Are  data evaluated  to  determine their  quality  during
   collection and data entry?
A -44

-------
                            FY 1990 IRM  REVIEW PROGRAM REPORT
                   •  Are  on-line reports available that address data quality and
                      factors affecting interpretation?

                   •  Does the system provide a means for easily down- and up-
                      loading data via a PC?

                      Does  the  system  have  graphics/mapping   retrieval
                      capabilities?

                   •  Does the system include on-line reports which address the
                      timeliness of data that is required to be reported?

                   The  review analyzed  each  priority  data  system against the
                   above criteria, highlighting  the need for data sharing/system
                   compatibility.   Interviews with  program and system managers
                   and  Steering Committee members helped  establish  a list  of
                   options which could be used to help systems meet or exceed the
                   objectives established by the Steering  Committee criteria.

                   The  review  provided  a detailed look at each system and the
                   measures which would be most beneficial for each  system  in
                   order to meet data integration  objectives established by the
                   Steering Committee.  The options were evaluated for factors
                   such as ability to assist  in data sharing, whether the options
                   were compatible with the mission of the program the system
                   supports, whether management would approve of the option, and
                   an approximation of relative cost. The analysis yielded a unique
                   set of "recommended options" for each system.

PRIMARY
FINDINGS:         A multitude of factors  led to OW data compatibility problems.
                   Data collections in OW were created to support different laws
                   and sections of laws, and those data collections are managed  by
                   different organizations.  Resources  were  spent primarily  on
                   program mission needs, not office-wide needs.  In addition, most
                   of the data is supplied by entities outside of the Agency.

                   There are  many reasons why  data and  system integration
                   initiatives must be actively supported.  The incompatibility  of
                   information in OW systems seriously limits the utility of those
                   data.  Modernization initiatives  have  commenced which afford
                   the opportunity to integrate many  OW systems.  Recent trends
                   and events (e.g., the Community Right-to-Know Law, property
                   transfer  requirements, stepped-up  enforcement activities)
                                                                       A-45

-------
APPENDIX A: 1990 REVIEWS
PROPOSED
ACTIONS:
                   reinforce the need for data integration  mechanisms to support
                   secondary use of data collected by others.   Administration
                   priorities for data integration are clear, and many data managers
                   are  having to adopt  new practices to  make  their systems
                   amenable  to the secondary user.  Agency policies and  data
                   standards  (e.g., use  of CAS  numbers,  locational data policy,
                   facility identification data standard, and  minimum data elements
                   for  groundwater) will dramatically change data management
                   practices throughout  EPA to enhance data integratability.   New
                   tools and  techniques (e.g., GIS)  make data integration  more
                   achievable than ever.
When  all criteria  and all  systems were  assumed to be  of
equivalent  importance, the most  frequently  recommended
options for enhancing all OW data systems were:

•  Use  standard  identifiers  to  assure  that  compatible
   identification data are used;

•  Improve documentation for procedures such as downloading
   data to ensure  that users have  the instructional resources
   available to perform these functions;

•  Perform QA/QC screening prior to  data entry to improve the
   quality of information contained in the data bases; and

*  Include  documentation  of data quality  within  the  data
   systems as  searchable, sortable  data  elements offering
   secondary  users  the  tools  necessary  to determine  data
   quality.

When  the Steering Committee  prioritized both systems and
criteria, the  result was a list of system-specific, prioritized
recommendations for  enhancements of each  system. The above
recommendations still applied; however,  their importance was
changed for individual systems.  As  a result of this analysis,
enhancements  to  FRDS, PCS,  STORET,  BIOS, and  ODES
received the highest priority, enhancements to GICS and WBS
were  ranked  as  medium priorities,  and the remaining  OW
system enhancements (REACH,  DWS,  GAGE,  IFD,  and
NEEDS)  received the lowest priority.
A-46

-------
                            FY 1990 IRM REVIEW PROGRAM  REPORT
INITIATIVES
AND ACTIONS:
BENEFITS:
                   The recommendations/next steps resulting from this evaluation
                   are as follows:

                   •  Improve user training and support for priority data systems;

                   •  Develop  an awareness of GIS and other spatial  analysis
                      tools which can enhance data integration;

                   •  Coordinate activities with OIRM;

                   •  Support Agency policies (e.g., use of CAS numbers, lat/long
                      coordinates) which will enhance data integration;

                   •  Address  data  system  modernization  from an Office-wide
                      perspective;  and

                   •  Develop a long-term plan targeting  modernization priorities,
                      OW systems, steps to achieve,  constraints  to  overcome,
                      other  users  (e.g.,  States) requirements,  and  funding
                      requirements.
This study which has received support from senior management
within the Office of Water has been forwarded to office directors
and  system  managers.   The  Steering  Committee will  be
developing a long term plan which will include recommendations
from this study. Modernization efforts have begun for STORET,
BIOS,  and  ODES which will be the first phase of an overall
system modernization for the Office of Water.

The benefit of this review is that  it provides a cohesive overview
of all the systems in OW which will facilitate a more coordinated
approach to managing each of the systems.

This review is in direct support of the government-wide priorities
of information management, ADP management, and  major
information  systems.   It also supports the  Agency  IRM
initiatives of data sharing and  integration, program systems
modernization, and standards.  Numerous objectives of the EPA
IRM review program are also addressed: providing high quality
information services in an  efficient and cost-effective manner;
using  effectively state-of-the-art  capabilities to achieve
environmental results;  complying with  EPA goals, policies,
plans, and  strategies; integrating information systems across
media,  functional, and program  lines; promoting data sharing;
                                                                       A-47

-------
APPENDIX A: 1990 REVIEWS
                  providing effective ADP and telecommunications resources and
                  facilities; and emphasizing government-wide priorities.
AGENCY CONTACT
AND PHONE NO.:    Cynthia Warner, (202) 382-7028
A-48

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Toxic Release Inventory Productivity Review
REVIEW NUMBER 90-9	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  }  INTERNAL CONTROL REVIEW
    (A-I23)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [  }  TELECOMMUNICATIONS

                [  ]  END USER COMPUTING


                [  ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [  ]  ELECTRONIC FILING

                [x]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PR A
                    SECTION 3506
[  ]  OTHER
                [  J  ADP MANAGEMENT

                [  ]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER 	
                                                        A-49

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Toxic Release Inventory Productivity Review
90-9
The Emergency Planning and Community Right-to-Know Act,
Title III of the Superfund Amendments and Reauthorization Act
(SARA) of 1986,  requires facilities which manufacture, process
or use any of the specified toxic chemicals to report annually the
amount of those chemicals released directly to air, water, or land
or that are transported to off-site dumping facilities.  The same
law  requires  EPA to  establish  a  national  Toxic Release
Inventory (TRI) and to make this information  available to the
public annually via telecommunications and other means.  The
legislation is based on the belief that the public has a "right-to-
know" about toxic chemicals in their communities.

Reports are submitted  by industry on a Form R to the Title III
Reporting Center.  The  data is processed  onto a  local area
network  (LAN) at the center, verified for accuracy, and then
periodically uploaded to a database on one of EPA's mainframes.
The data is then analyzed for accuracy, and erroneous records in
the database are  corrected  by  EPA and contractor  personnel.
Finally, when an acceptable level of data quality is reached, the
data is delivered to the National Library of Medicine (NLM), the
organization which disseminates the data.

The purpose of this evaluation  was to conduct a  productivity
review of TRI, identifying the strengths and weaknesses of the
system and targeting  specific areas where operations may be
improved to reduce costs, strengthen data reliability, and reduce
the time required to release data to NLM.
This review was conducted by the Office of Toxic Substances
(OTS)  with contractor assistance.  It assessed the productivity
of TRI, including software, hardware, and management activities
and evaluated improvements EPA was in the process of making
to increase the effectiveness of the system.  The study focused
in particular on TRI data collection and receipt,  data entry,
A -50

-------
                             FY 1990  IRM REVIEW PROGRAM REPORT
                   quality control and assurance, storage, retrieval and tracking and
                   retention of data submissions.

                   For the purposes of this review, productivity was defined in
                   terms of accuracy, timeliness, and cost.  Accuracy is the degree
                   to which the data entered into the database is correct, both in
                   terms of data entry accuracy  and detection  and correction of
                   reporter errors.  Timeliness is the extent to which EPA was able
                   to provide  the TRI database to NLM in a timely manner.  Cost
                   reflects the adequacy of funding for TRI and the extent to which
                   the above criteria impact funding requirements.  Together these
                   three criteria represent the fundamental performance dynamics
                   that surround TRI and its user requirements, and they provide a
                   useful framework in which to evaluate the overall productivity of
                   the system.

PRIMARY
FINDINGS:         The productivity of TRI, as defined by the productivity standards,
                   was as follows:

                   •   Accuracy — The quality of the data is high and will improve
                       more as  further modifications  to  the system are made.
                       Currently, EPA attempts  not only  to correct data input errors
                       but also ensures that information provided by reporters  is as
                       accurate as possible.  In  reporting year 1988, EPA achieved
                       a data entry accuracy level  of 98.5% for all data fields in all
                       records in the system.

                   •   Timeliness — The internal goal of having the 1989  data
                       ready to release nine months after the filing deadline has not
                       been  met for previous years.  The FY88 data was released
                       to NLM on May 29,  1990, approximately 11 months after the
                       filing deadline.

                   •   Cost — TRI is operating with less  funding than originally
                       projected to  be necessary while  simultaneously trying to
                       meet more stringent data quality objectives.  Initial planning
                       for TRI projected variable processing costs assuming  only
                       very basic data quality controls.

                   EPA  has placed  an extraordinary level of emphasis on  data
                   accuracy in TRI  due to the public nature of the database.  This
                   level of accuracy has  been achieved  at  significant cost as
                   resources and attention have been directed from other activities
                   to focus  on extensive data quality/accuracy.   In  addition, this
                                                                        A-51

-------
APPENDIX A: 1990 REVIEWS
                   emphasis on accuracy  has  resulted in significant delays in
                   releasing the database to the public through NLM, preventing
                   EPA  from meeting timeliness standards.   This situation is
                   exacerbated by the lack of funding.   Ultimately, EPA  must
                   achieve a balance between data accuracy, timeliness, and cost if
                   management and  technical stability for the program are to be
                   achieved.
PROPOSED
ACTIONS:
The  following  are recommendations for critical  areas where
improvements can be made to enhance overall performance:

•  Wait to define  new  data  fields for the system — The
   potential for changes in regulations,  which  significantly
   increase the number of data fields stored in  the database
   and/or the number of reporting parties,  is high.  However,
   selecting a specific means  of adapting the system to meet
   the new requirements  is not possible until the full impact of
   the changes  is known.

*  Establish unambiguous, realistic, and achievable  goals for
   data  accuracy and  timeliness  — Although an  internal
   timeliness goal of 9 months from the reporting deadline has
   been selected, an unambiguous goal has not been identified
   for data accuracy. Selecting a specific goal for data accuracy
   would focus staff and contractor efforts on meeting a specific
   productivity goal.

*  Strengthen the planning environment by planning for ad hoc
   requirements,  establishing a formal software  development
   process, and  establish a  formal hardware  replacement
   process — A formal planning process within TRI does exist,
   but  plans  may not  be  followed  through  due  to  the
   responsibility  of the public system to respond in a timely
   manner to demands from external parties.

•  Utilize  one, not three, contractors  for  TRI operations —
   Currently,  three   contractors   share  the   operational
   responsibilities for TRI,  and this results in a  complex
   structure with some functional overlap.

•  Revise contractor Statements of Work (SOW) to reflect the
   continuing nature of the project  as opposed to the original
   start-up nature  —  The  SOWs  of TRI's  two primary
   contractors were written to support TRI during its start-up
A-52

-------
                             FY 1990  IBM REVIEW PROGRAM REPORT
                       phase;  therefore, several activities listed are obsolete and
                       current standards for productivity are not reflected.

                   •   Continue  efforts to improve the design and functionality  of
                       the current data input software — EPA should also continue
                       its efforts to improve data input speed and accuracy through
                       magnetic  media and  Optical Character  Recognition  (OCR)
                       scanning.

                   •   Upgrade  form  storage  and  access  by selecting and
                       implementing optical disk storage for Form Rs — EPA has
                       already recognized that the current practice of storing paper
                       forms in filing cabinets is neither cost effective nor practical
                       and  is investigating alternative  storage means.

                   •   Redesign  Form R and the instructions for completing it  to
                       improve efficiency and understandability — There are many
                       concerns regarding the inefficient design of the present Form
                       R as it is difficult for reporters to understand and hinders
                       data entry and OCR scanning.  Additionally, OMB approval
                       for the current form expires soon.

INITIATIVES
AND ACTIONS:     EPA  has initiated action  to consolidate the TRI operational
                   contract under one contractor. The Request  for Proposal  will  be
                   published in the Commerce Business Daily in early 1991 with a
                   new contract  award in early 1992.  At that time,  one contractor
                   will be responsible for all information management functions for
                   TRI.  The new statement of work reflects continuing nature  of
                   the project verses the original start-up nature. It also redefines
                   the data accuracy goals.

                   Design  and functionality changes are  being made to the input
                   software to increase data quality and timeliness.  EPA is field
                   testing OCR technology during the current reporting cycle. EPA
                   is also acquiring a software package which TRI reporters can
                   use to report  their data via magnetic media (Personal Computer
                   generated  diskette).   EPA will  disseminate  this software
                   package to all  TRI submitters  as  part of the general mailing
                   which occurs each reporting year.  EPA expects to reduce costs,
                   increase data reliability and timeliness with use  of these data
                   input technologies.
                                                                        A-53

-------
APPENDIX A: 1990 REVIEWS
BENEFITS:
During the current fiscal year,  EPA plans to utilize optical disk
technology to store and access the more than 500 thousand TRI
documents received during the past three years.

The  Toxic Release  Inventory  information  has  become  the
nation's  first  chemical  specific,  multi-media  database  of
emissions.  The TRI database  is a powerful tool for citizens to
evaluate the chemical risks in their community and set priorities
for risk reduction efforts.  Similar uses of the TRI database for
evaluating environmental quality are  apparent to  national  and
Regional EPA  and State and local environmental officials. The
productivity review of TRI recommends improvements which will
enable EPA to reduce costs, strengthen data reliability,  and
reduce the time required to release the  data to the public.  These
improvements will provide a more timely and better database for
the public to  use for long  term environmental  planning  and
pollution prevention.

This review is in direct support of the government-wide priorities
of telecommunications, information  management,  and  major
information systems.   It  also supports  the Agency  IRM
initiatives   of  improved   records  management,  public
dissemination, and  electronic data reporting.    Numerous
objectives of the EPA IRM review program are also addressed:
providing high quality information services in an  efficient and
cost-effective  manner,  complying with EPA goals, policies,
plans, and strategies; reducing the information collection burden;
promoting  data  sharing;  providing  effective  ADP and
telecommunications  resources and  facilities;   emphasizing
government-wide  priorities; and promoting productive use of
human resources.
AGENCY CONTACT
AND PHONE NO.:    Linda Travers, (202) 382-3938
A-54

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Superfund Document Management Review
REVIEW NUMBER 90-10	
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-I23)

[  1  VULNERABILITY ASSESSMENT
    (A-123)

[  ]  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [ ]  TELECOMMUNICATIONS

                [ ]  END USER COMPUTING


                [ ]  SOFTWARE MANAGEMENT
                [xj  INFORMATION
                    MANAGEMENT

                [ ]  ELECTRONIC FILING

                [x]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [ ]  ADP MANAGEMENT

                [x]  SECURITY

                [x]  RECORDS MANAGEMENT

                [ ]  OTHER 	
                                                        A-55

-------
APPENDIX A: 1990  REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Superfund Document Management Review
90-10
Document  management is  critical  to the  management,
administration, and  execution  of the Superfund  program.
Documents are generated to initiate cleanup actions; to record
technical conditions, activities, decisions, and  remedies;  to
communicate  with the public; to identify, negotiate or litigate
with responsible  parties; and to track costs and schedules for
cleanup activities.

The purpose of this review was to (1) develop  a comprehensive
understanding of the current document management environment
throughout  the Superfund  program, to  quantify the  costs  of
maintaining  this  environment,  and  to  assess  the  risks
associated with current practices; (2) determine where advanced
technologies  might streamline document capture and  secure
storage, or be used  to  improve efficiency, cut costs  and/or
minimize risks; and (3)  propose long-term improvements and
system solutions.
The study was conducted with contractor support by the Office of
Emergency and Remedial Response  and the Office of Waste
Programs Enforcement, under the direction of the Office of Solid
Waste and Emergency Response (OSWER).  The scope of the
study deals  with site-related  documents  supporting  pre-
remedial, remedial, removal, and enforcement  actions.  These
include  management, financial,  technical,  and enforcement
documents and exclude documents supporting  program activities
unrelated to the cleanup of hazardous  waste  sites, such as
program management and regulatory development.

A three-step methodology was used to collect  information for
this review.  The first step  was to review applicable policies,
procedures and guidelines, as well as  the results of previous
studies.  The second was  to conduct interviews with Regional
and  Headquarters  EPA  personnel and staff  working  for
contractors, States, and other Federal agencies  involved in the
A-56

-------
                            FY 1990 IRM  REVIEW PROGRAM REPORT
PRIMARY
FINDINGS:
PROPOSED
ACTIONS:
                   Superfund program. The final step was to organize a document
                   study workgroup  with Headquarters  and  Regional  EPA
                   representatives to identify document management issues.
The Regions have made significant progress in addressing  the
document management problem and in organizing the existing
backlog of Superfund program records.  However, the state of
Superfund  document  management across the  program is
inadequate to support the program mission. Additionally:
                            *
•  There is a veritable blizzard of paper being  generated and
   stored by the program which is bound to choke the Regions if
   decisive steps are  not  taken at once to bring about real
   solutions to this mission-critical problem.

•  Professional staff are frustrated by the  lack  of adequate
   administrative support.  The program currently experiences
   nearly $18 million per year in labor costs for technical staff to
   manage program documentation.

•  The lack of backup to vital records poses a tremendous risk
   to the program, which could have been significantly impacted
   by the recent earthquake which  damaged Region IX's office
   building.
The  primary recommendations  of this study  focused  on a
proactive  approach which  captures and  secures  Superfund
documents where  they originate  or enter the Agency.  In
implementing these recommendations, the  Superfund program
can build on existing Regional records management operations
and  can  utilize  advanced technologies,  integrated  with
automated information systems currently in operation throughout
the program.  This  front-end approach would enhance program
recordkeeping, improve  document availability,  increase
utilization, and more effectively support the management and
administration of the Superfund program.

It  was  recommended  that  the  Superfund   program's
administrators move on three fronts to effect  both  short and
long-term improvements  to  the  management of  program
documents. These are to:
                                                                     A-57

-------
APPENDIX A: 1990  REVIEWS
INITIATIVES
AND ACTIONS:
                      Develop  and promulgate comprehensive and  consistent
                      guidance to Agency  personnel, contractors,  associated
                      Federal  agencies,  States  and responsible parties on
                      document handling policies and procedures.  Contracts, inter-
                      agency agreements,  cooperative agreements,  and consent
                      decrees must contain explicit language on the procedures for
                      handling records  in  compliance  with  this  document
                      management policy.

                      Implement  recommended  interim  improvements  to the
                      current document management process in a timely fashion.
                      Preliminary proposals  for the interim improvements  were
                      made, for example, establishing a central records center at
                      EPA Headquarters and microfilming the site administrative
                      records.

                      Develop and implement a program-wide system  solution, a
                      Superfund  Document  Management System  (SDMS), for
                      managing Superfund document records.  The system should
                      incorporate  a multi-media approach which includes paper,
                      micrographic,  and  image-based  storage and retrieval
                      technologies.  The high-level  functional requirements,
                      conceptual  design, preliminary plan for development, and
                      rough estimates for annual operating costs for implementing
                      SDMS have been outlined.
The follow-up to this  study will be the Review of Superfund
Document  Management  Initiatives,  91-3.   One  of those
initiatives will be to identify, define, and develop interim steps
for improving current Superfund  document management
processes will be conducted in FY 1991.   Those steps will be
cost-effective and  compatible  with  the  long-term  system
solutions proposed  in this  study.   Some of the  preliminary
proposals are to:

•  Establish  a Superfund strategic  information  plan  which
   integrates document and information management across the
   program;

•  Establish a central records center at EPA Headquarters to
   collect,  organize, and secure Superfund program records
   generated or received by Headquarters;
A -58

-------
                            FY 1990  IRM REVIEW PROGRAM REPORT
                   •  Microfilm the site administrative records that have  been
                      compiled to data across the program;

                   •  Increase administrative  support staff to ease the document
                      management burden now placed on RPMs and OSCs;

                   •  Provide effective assistance  to RPMs, OSCs, and DPOs for
                      managing working files, to include detailed document trees,
                      distribution lists, and pre-labeled file folders for site records;

                   •  Develop a program-wide system to track FOIA  requests and
                      responses; and

                   •  Establish effective document control procedures  over Agency
                      and program policy, guidance, and  directives relevant  to
                      Superfund activities.

                   In the next phase of this study, these and other proposals for
                   interim improvements  will be further defined, developed and
                   distributed for review and comment.

                   Another follow-up initiative will provide OSWER  management
                   with  recommendations for  improving guidance for EPA staff,
                   contractors, States, and other program participants on the proper
                   handling practices for Superfund program documents.

                   Also scheduled for 1991,  the  next  phases  for  the  OSWER
                   system development life cycle will be SDMS conceptual design
                   and requirements definition  which will include the development
                   of a prototype to demonstrate  the effectiveness  and efficiency of
                   important parts of the logical system design.  A finer level  of
                   detail will be provided on  some of the other  Agency systems
                   with  which SDMS will need to be able to communicate, such as
                   the  Superfund  Cost  Recovery  Image  Processing  System
                   (SCRIPS), WasteLAN, and the CERCLA  Information System
                   (CERCLIS).

BENEFITS:         This  study highlighted some serious risks posed to the Agency
                   by the current management of  Superfund  documents.  It also
                   generated a concept for  a  system  which will minimize those
                   risks  while being cost-effective and increasing efficiency for the
                   Agency.
                                                                      A-59

-------
APPENDIX A: 1990  REVIEWS
AGENCY CONTACT
AND PHONE No.:
                   This review is in direct support of the government-wide priorities
                   of information management, ADP security, ADP management,
                   and major information systems.  It also supports  the Agency
                   IRM initiatives of standards and improved records management.
                   Numerous objectives of the EPA IRM review program are also
                   addressed: providing high  quality  information services in  an
                   efficient and cost-effective  manner;  using effectively  state-of-
                   the-art capabilities to achieve environmental  results; complying
                   with  EPA  goals, policies, plans, and strategies; securing
                   sensitive documents;  promoting data sharing;  providing effective
                   ADP  and  telecommunications resources  and  facilities;
                   emphasizing  government-wide priorities;  and   promoting
                   productive use of human resources.
Michelle Curtis, (202) 382-7951.
A-60

-------
AGENCY
                    SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE   Electronic Reporting Study
REVIEW NUMBER 90-11
    TYPE OF REVIEW
                    CATEGORY OF REVIEW
[x]  IRM

[  ]  INTERNAL CONTROL REVIEW
    (A-I23)

[  ]  VULNERABILITY ASSESSMENT
    (A-123)

[  j  INSPECTOR GENERAL AUDIT
[  ]  SECURITY (A-130)

[  ]  PERFORMANCE OF
    COMMERCIAL ACTIVITIES
    (A-76 REVIEW)

[  ]  FINANCIAL (A-127)
                [x]  TELECOMMUNICATIONS

                [ ]  END USER COMPUTING


                [ ]  SOFTWARE MANAGEMENT
                [x]  INFORMATION
                    MANAGEMENT

                [ ]  ELECTRONIC FILING

                [ ]  MAJOR INFORMATION
                    SYSTEMS
                [x]  COMPLIANCE WITH PRA
                    SECTION 3506
[  ]  OTHER
                [  ]  ADP MANAGEMENT

                [  ]  SECURITY

                [x]  RECORDS MANAGEMENT

                [  ]  OTHER  	
                                                        A-61

-------
APPENDIX A: 1990 REVIEWS
AGENCY:

TITLE OF
REVIEW:

AGENCY REVIEW
NUMBER:

OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Electronic Reporting Study
90-11
The objectives of this study of electronic reporting within the
Agency were to:  (1) assess the scope and success of current
EPA efforts to allow members of the regulated community to
submit reports in an electronic or magnetic medium ('electronic
reporting1); (2) identify EPA programs that would benefit most
from new EPA electronic reporting initiatives; (3) assess the
feasibility of such  initiatives; and (4)  determine the costs  and
benefits of a coordinated Agency-wide approach to electronic
reporting.
The study was conducted by  a Agency-wide task force which
was chaired by the Office of Policy, Planning and Evaluation
(OPPE) with program office representatives  and contractor
assistance.  The review covered the reporting of environmental
data to all  EPA Headquarters program offices  and to selected
Regional Offices and States.  The review included consideration
of:

•  The relative success of current electronic reporting efforts in
   terms of cost-reduction, data quality improvements, technical
   difficulties, and participation by the regulated community;

•  The cost and data quality problems associated with receiving
   and processing paper submissions of data;

•  The resources  and technical  expertise  available  at
   Headquarters,  Regional  and  State  levels  to  support
   electronic reporting;

•  The  willingness of States to  participate in  EPA electronic
   reporting initiatives;

*  Possible legal obstacles to electronic reporting, for example,
   the problem posed by the electronic signatures;
A-62

-------
                            FY 1990 IBM REVIEW PROGRAM REPORT
PRIMARY
FINDINGS:
PROPOSED
ACTIONS:
                      Data  security  requirements to ensure  admissibility  of
                      electronically submitted data in court  proceedings, and the
                      adequacy of current EPA data security procedures; and

                      Electronic data  interchange (EDI) practices current in EPA's
                      regulated community.
Primary findings of the study were that:

•  The move  to  electronic  reporting  offers  a  favorable
   benefit/cost ratio for many EPA programs;

•  As EPA  electronic  reporting  initiatives multiply, the
   interests of  both the Agency and the regulated community
   are best served  by taking a coordinated, Agency-wide
   approach that is compatible with current EDI  practices in
   industry;

•  There are no serious legal obstacles to instituting electronic
   reporting, and no serious deficiencies in EPA data security
   that would undermine the  legal  status of electronic reporting;
   and

•  Likely candidates for new or expanded electronic reporting
   initiatives include:  the NPDES  Discharge Monitoring Report
   (DMR), the  Toxic Release Inventory (TRI) Form R, and the
   RCRA Biennial  Report.
Four recommendations were formulated from the findings.  They
were that:

•  The Office of Toxic Substances (OTS) expand their electronic
   reporting  activities and  enhance  current  TRI electronic
   reporting by developing an ANSI XI2-compatible reporting
   format;

•  The  Office  of Water  study  the  feasibility of electronic
   reporting for the DMR, and pilot test an approach for this;

•  The Office of Solid Waste study the feasibility of electronic
   reporting options for the RCRA Biennial Report and for the
   Hazardous Waste Manifest; and
                                                                       A-63

-------

-------
Appendix B:

FY  1991   Planned   Reviews
                91-1  Information Collection Review —
                     Improvements to the Hazardous Waste
                     Manifest System
                91-2  State/EPA Data Management Review
                91-3  Review of Superfund Document
                     Management Initiatives
                91-4  Review of the Integrated Administrative
                     System Concept
                91-5  Review of the Modernization of FINDS


                91-6  Review Public Access Program Needs


                91-7  Review of Strategic Architectural Issues


                91-8  Review of the Modernization of STORET


                91-9  Locational Accuracy Task Force Review

-------

-------
                            FY  1990 IRM REVIEW PROGRAM REPORT
TITLE:             Information  Collection  Review —  Improvements  to  the
                   Hazardous Waste Manifest  System

AGENCY REVIEW
NUMBER:          91-1

SCOPE OF REVIEW:  The scope of this review is to improve the present manifest
                   system for shipments of hazardous waste.  It will build on the
                   activities already  started by the International Hazardous Waste
                   Manifest  Coordinators' Group (IHWMCG)  to  improve and
                   standardize the hazardous  waste manifest activities of State
                   agencies and the U.S. Environmental Protection Agency (EPA).
                   Staff from the National Governors' Association (NGA) will work
                   with an advisory  group comprised of IHWMCG  members and
                   EPA staff to carry out the aims of the review.   A valuable
                   product of the effort is expected to be an enhanced ability of the
                   State agencies and EPA  to: (1)  track interstate  shipments  of
                   hazardous waste, (2)  support RCRA information  systems
                   associated  with such programs as EPA's Biennial  Report and
                   the SARA Capacity Assurance  certifications required of States;
                   and (3) establish  an historic  record of wastes  transfers  for
                   reference when inquiries arise.

                   This  review supports  the  government-wide  priority   of
                   information management  and the Agency-specific priorities  of
                   achieving  environmental  results  and  assuring  a  strong
                   enforcement presence.

BRIEF
DESCRIPTION:      The review effort is divided into five tasks:

                   1.  Conducting two meetings of the full  membership of the
                      IHWMCG to review progress on the other four tasks listed
                      below, providing direction for  further  task  efforts, and
                      discussing other relevant manifest issues;

                   2.  Completing the  preparation of formal recommendations  to
                      EPA,  using  the continuing  advice and counsel  of the
                      Association   of State  and  Territorial Solid  Waste
                      Management Officials  (ATSWMO), on improvements for the
                      Uniform Hazardous Waste Manifest form;

                   3.  Drafting a National Manifest Guidance  Manual for State
                      agencies;
                                                                      B-1

-------
APPENDIX B: 1991  REVIEWS
AGENCY CONTACT
AND PHONE No.:
                   4.  Identifying and recommending the resolution of outstanding
                      issues requiring clarification in the existing EPA manifest
                      regulations; and

                   5.  Developing a  National  Manifest  Guidance  Manual  for
                      regulated panics.

                   This project is jointly funded by the Office of Policy, Planning,
                   arid Evaluation and the Office of Solid Waste.  The project began
                   in June 1990 and will continue through FY 1991.
Rick Westlund, (202) 382-2745.
B-2

-------
                            FY 1990 IRM  REVIEW PROGRAM  REPORT
TITLE:             State/EPA  Data Management Review

AGENCY REVIEW
NUMBER:          91-2

SCOPE OF REVIEW: The State/EPA Data Management Program, established in 1986,
                   is committed to: (1) build and maintain the infrastructure needed
                   for effective State/EPA data management and sharing, and (2)
                   integrate data across media and  programs so that  EPA  and
                   State managers can target their efforts on environmental results.

                   The  program has  been  implemented  through  information
                   management projects which have been completed by EPA's
                   Regions working  with individual  States.  These projects  have
                   resulted in improved  understanding and relationships between
                   EPA Regions  and States, and  improved  data  quality  and
                   timeliness.   Data integration projects are  now underway in
                   several Regions/States, and involve additional coordination of
                   State/EPA  information management activities as well as various
                   data integration initiatives.

                   The start date of  the planned review to assess the progress of
                   the  Regions  in meeting the objectives of the State/EPA  Data
                   Management Program was delayed until late FY 90 due to
                   resource constraints.  As a kickoff for the program assessment,
                   OIRM held the Senior Executives Forum on the State/EPA Data
                   Management Program  at Harvard University in September 1990.

                   The purpose of this Forum was to examine  past developments
                   to  create  new ways to  shape the future  direction of the
                   State/EPA Data  Management  Program. Attendees  included
                   EPA Headquarters and Regional  senior managers, as well as
                   State senior  environmental managers.  The recommendations
                   made  during the Forum included  improving existing  and
                   developing better communications activities, creating strategies
                   to further co-development of environmental information systems
                   between the  EPA and States, and promoting data  stewardship
                   with States.  These recommendations will serve as a guide for
                   shaping the scope and direction  of the upcoming interviews for
                   the  program assessment.
                                                                       B-3

-------
APPENDIX B: 1991  REVIEWS
BRIEF
DESCRIPTION:
This review will be conducted by OIRM with contractor support.
Data collection procedures and instruments will be designed to
characterize and assess State/EPA projects and progress.  The
review team will travel to all ten Regions and interview program
participants.  In addition,  the review team will interview NCC
and Program Office participants and staff. Follow-up telephone
interviews will be conducted.  The interviews will provide the
basis for the development of a comprehensive program strategy,
which will include long and short range goals and  a formal
national communication strategy.
AGENCY CONTACT
AND PHONE NO.:    Michele Zenon, (202) 382-5913.
B-4

-------
                           FY 1990  IRM REVIEW PROGRAM REPORT
TITLE:
Review of Superfund Document Management Initiatives
AGENCY REVIEW
NUMBER:          91-3

SCOPE OF REVIEW:  Proficient records management is crucial  to the efficient and
                   effective management, administration,  and execution of the
                   Superfund program.  For the last year, the Office of Solid Waste
                   and Emergency Response (OSWER) has been conducting the
                   Superfund Document Management Study (see 90-10) to improve
                   the efficiency and effectiveness  of records management and
                   document handling  practices and systems in the Superfund
                   program.    The study  focused  on  site-related  documents
                   generated as a result of pre-remedial, remedial, enforcement, and
                   removal actions.  In conducting the study, EPA has identified the
                   potential for improving the effectiveness and efficiency of
                   Superfund  records  management  and document handling
                   operations through the  application of  advanced technology —
                   specifically,  through  the use of optical disk (imaging) technology
                   systems.

                   The purpose of this review will be to follow  up on the findings of
                   the previous study with  three related studies which will:

                   (1) Analyze and recommend training  and interim  steps to
                      enhance the efficiency and effectiveness of current records
                      management activities;

                   (2) Develop or refine guidance for managing Superfund records;
                      and

                   (3) Complete the concept and definition phases for a Superfund
                      Document Management System (SDMS).
BRIEF
DESCRIPTION:
All three reviews will be conducted by the Office of Solid Waste
and Emergency  Response.

To help ensure  that Superfund records  management personnel
are properly trained, OSWER Information Management Staff
proposes the development of a Superfund records management
training plan and program. The specific objectives of the first
review are to:
                                                                      B-5

-------
APPENDIX A: 1990 REVIEWS
AGENCY CONTACT
AND PHONE No.:
                   •  Develop an approach for incorporating records management
                      into the Superfund training program;

                   •  Develop  the   required   training   materials   for
                      clerical/paraprofessional and professional staff; and

                   •  Conduct follow up  analyses of other  interim management
                      improvements previously identified as having the potential to
                      enhance the efficiency and effectiveness of EPA's Superfund
                      records management activities.

                   There is  a high priority initiative within OSWER designed to
                   create  consistent,  effective,  sound  records  management
                   practices  in those non-EPA organizations that play a key role in
                   implementing the Superfund program.  The second review will
                   examine  the records  management issues that should  occur
                   during  the life cycle of a record. The cycle includes creation,
                   storage, use, and disposition.  Examples of topics to be analyzed
                   are retention schedules,  file  organization and structure, file
                   indexing, and document turnover procedures, e.g., obtaining final
                   copies of relevant contractor files.

                   The  third  and  final review  for FY  1991 will analyze the
                   alternatives,  advantages,   disadvantages,   and  detailed
                   requirements  for  improving EPA's   Superfund  records
                   management and document handling operations  through  the
                   possible use of a multi-media system using microform, hardcopy
                   documents, and optical disks known as the Superfund Document
                   Management System (SDMS).  The concept phase will identify
                   and  evaluate  alternative  solutions  to  the  information
                   management problem, provide a better definition of the problem
                   to be solved, and define a basic framework for requirements for
                   an information management capability. The definition phase will
                   generate specific, detailed functional and data requirements for
                   the system, provide the  basis  for a more concrete assessment of
                   benefits and costs, and  form the basis of the detailed design of
                   the system during the next phase, design.
Michelle Curtis, (202) 382-7951.
B-6

-------
                            FY 1990  IRM REVIEW PROGRAM REPORT
TITLE:
Review of the Integrated Administrative System Concept
AGENCY REVIEW
NUMBER:          91-4

SCOPE OF REVIEW: The mission of the Administrative Systems Division (ASD) of
                   the OIRM is to provide support to the administrative National
                   Program  Managers (NPMs) and to Agency organizations  that
                   are involved in administrative functions.  ASD's objective is to
                   provide controls and processes to the NPMs to more efficiently
                   and effectively carry out  their responsibilities.  In addition,
                   ASD's objective  is  to  provide  the  Agency organizations
                   performing administrative  functions  with consistent and user-
                   friendly access to the  systems ASD operates for the NPMs.

                   To meet those  objectives, ASD has developed the concept of an
                   Integrated Administrative  System (IAS).  The LAS would  link
                   (1) centrally-based  administrative applications —  used for
                   processing basic administrative transaction data, (2) distributed
                   "feeder"  systems  — used  by EPA  offices for creating
                   administrative  transactions and sending  them forward to the
                   intended  administrative  system,  and   (3)  databases  —
                   centralized and distributed databases for storage and retrieval of
                   key administrative data, with these databases being considered
                   a separate component from the systems that  feed them.

                   The intent of this review will be to further evaluate and refine the
                   LAS concept.  The refinement will result in  the identification of
                   potential  benefits to  senior agency  management,  local office
                   users,  administrative  NPM  users,  and  the EPA's  IRM
                   community. The evaluation will also result in the identification of
                   issues relating to an IAS in  the EPA environment  and the
                   development of an IAS definition and framework.
BRIEF
DESCRIPTION:
This review  will  be conducted  by OIRM with  contractor
assistance.  Research will be conducted to identify functions and
relationships among current national systems for which ASD is
responsible.  Specifically,  the following methodology will be
used:

•  Review  current  documentation  on  the IAS  Concept,
   administrative systems,  and ASD organization;
                                                                        B-7

-------
APPENDIX B: 1991 REVIEWS
                   •  Identify current AdminLAN applications, central applications,
                      databases, and their interfaces;

                   •  Interview personnel involved in administrative functions; and

                   •  Review  external  documentation  concerning  integrated
                      systems, information engineering, and database systems.

                   Refinements will then be made to the IAS  concept in terms of
                   standards, integration, operability, organizational relationships,
                   information architecture, control, and system  applications.  A
                   description of its capabilities  and an identification of potential
                   benefits that EPA will achieve by implementing such a system
                   will be generated.

                   A  detailed analysis of the IAS components  (feeder systems,
                   central applications,  and the  corporate  database) will also be
                   conducted  and the issues to be resolved based upon the IAS
                   concept definition will  be presented.  Documenting  the issues
                   will enable the Agency to develop a project management plan.
AGENCY CONTACT
AND PHONE No.:   Lawrence Lee, (202) 382-3042.
B-8

-------
                            FY 1990  IRM REVIEW PROGRAM REPORT
TITLE:

AGENCY REVIEW
NUMBER:
Review of the Modernization of FINDS
91-5
SCOPE OF REVIEW: During the past three years, OIRM has  actively sought to
                   institute sound data management practices throughout EPA that
                   would improve the access by users across  the Agency.   They
                   have adopted a standard  and a  policy which will move EPA
                   closer to these goals:  a standard for the use of a Facility
                   Identification  Code  ("EPA  ID code") to  uniquely  identify
                   facilities  regulated under Federal environmental laws,  and a
                   policy for the collection and documentation of latitude/longitude
                   coordinates ("lat/longs") and their  method, entity description
                   and accuracy.

                   For this review, OIRM, with contractor assistance, will  make
                   recommendations for  plans, processes and/or changes needed in
                   the Facility INDex System (FINDS) to implement the Facility
                   Identification Data Standard and the Locational  Data Policy.
                   Implementation of these two guidances will have far-reaching
                   effect on the management and  maintenance of all EPA data
                   systems,  especially FINDS.  Environmental regulators  will
                   increasingly be relying on  FINDS to identify and access all EPA
                   program data; therefore, FINDS must be tightly coordinated with
                   EPA program data sources to be complete, timely and accurate.
                   In addition, OIRM is in  the process of  implementing data
                   integration   across   pertinent  EPA  computer  systems.
                   Specifically, OIRM jointly with the Office  of Enforcement is
                   developing the means for Enforcement Data Linkage, which is
                   hinged upon the effective implementation  of the EPA Facility
                   Identification Data Standard.
BRIEF
DESCRIPTION:
This review  will  be conducted  by OIRM with  contractor
assistance.  Interviews will be conducted with both data system
managers and  information policy developers to obtain a clear
understanding of their needs, constraints, concerns, and program
activities.  A series of analyses will result in recommendations
on the most feasible and effective  course of action.  More
specifically:
                      OIRM will generate recommendations on steps which need
                      to be taken to  prepare FINDS  for implementation of the
                      Facility Identification  Code  Standard.   That will entail
                      developing an understanding of the implications of linking
                                                                        B-9

-------
APPENDIX B: 1991 REVIEWS
AGENCY CONTACT
AND PHONE No.:
                      FINDS to program data systems through synchronized
                      updates.

                      OIRM will develop a briefing to be presented to the Task
                      Force on Locational Accuracy that provides alternatives for a
                      central repository  of  the facility-related  latitude/longitude
                      data required by the Locational Data Policy.  The policy calls
                      for the collection and documentation of lat/long coordinates,
                      entity  description,  accuracy, and method  for every facility,
                      point, etc. about which data are collected.

                      OIRM will develop a Project Management Plan to provide a
                      graphic illustration of the flow of the phases in the planned
                      enhancement of FINDS, while demonstrating critical paths
                      and  the tasks that must be completed prior to starting other
                      tasks.
Ingrid Meyer, (703) 883-8832.

B-10


-------
                            FY 1990  IRM REVIEW PROGRAM REPORT
TITLE:            Review Public Access Program Needs

AGENCY REVIEW
NUMBER:          91-6

SCOPE OF REVIEW: EPA is  experiencing an increased  demand  by the  public for
                   information. In  addition, legislative  requirements to disseminate
                   information to the public are creating increased pressure  upon
                   EPA  to  augment  services  for  information  access   and
                   dissemination. OIRM is developing a public access policy which
                   broadly  defines Agency goals for  public access and  loosely
                   defines roles  and responsibilities for OIRM and  for program
                   offices.   This review  is intended  to assess and effectively
                   communicate public access trends, activities, policies  and
                   procedures to  EPA program managers. The review will result in
                   improved awareness and plans for public access activities.

BRIEF
DESCRIPTION:     This review  will be  conducted by OIRM with  contractor
                   assistance.   To  summarize public  access and dissemination
                   issues, a  status document  will  be prepared  by conducting
                   interviews, reviewing  documentation,  and building  upon the
                   previous knowledge obtained in the Review of Public Information
                   Access Services (90-4). The status  report will be used by EPA
                   program  managers to anticipate and  plan  for public access
                   activities within  their respective programs. The report will:

                   *  Contain definitions of public access and dissemination;

                   •  Provide an overview of the current legislative environment;

                   •  Document current EPA public access initiatives;

                   •  Present case studies of selected  EPA systems  and services
                      and the users' perspectives on  these services; and

                   •  Examine internal and external  mechanisms,  manual  and
                      electronic, which can be used for  information access and
                      dissemination.

                   Documented  for each  mechanism  will be  the mission  and
                   purpose  of the mechanism,  services available,  intended users,
                   information collection  practices, information  storage  practices,
                   distribution  mechanisms,  feedback  mechanisms,  costs,
                   technologies utilized, and contact name and phone number.  The
                                                                      B-11

-------
APPENDIX B: 1991 REVIEWS
AGENCY CONTACT
AND PHONE No.:
                   status report will also provide information on the technologies
                   utilized for information access and dissemination.

                   After the status document is completed, there will be a series of
                   forums for EPA program managers to  discuss public  access
                   issues and concerns. The information from the forums will be
                   used to develop recommendations on the  policy and the strategy
                   necessary  for  OIRM  to  meet  public  access  legislative
                   requirements and overall  Agency goals.   OIRM  has been
                   developing  a public access strategy and  working with selected
                   EPA programs to provide support"and guidance on public access.
                   In  addition, recommendations will be offered on next steps for
                   implementing the public access policy and strategy.
Debbie Ross, (202) 475-7705.
B-12


-------
                            FY 1990 IRM REVIEW PROGRAM REPORT
TITLE:
Review of Strategic Architectural Issues
AGENCY REVIEW
NUMBER:          91-7

SCOPE OF REVIEW:  In FY 1991, EPA's National Data Processing Division (NDPD)
                   is planning to review seven strategic architectural issues:

                   1)  Local area network (LAN) as a national application platform;
                   2)  Structured  Query Language (SQL)/Relational  Database
                      Management System (RDBMS);
                   3)  Logical mainframe (LMF) futures and Regional servers;
                   4)  E-mail and document distribution;
                   5)  Common user interface;
                   6)  AS/400 utilization; and
                   7)  Information resources management (IRM) training.
BRIEK
DESCRIPTION:
The  review will  be conducted  by NDPD  with  contractor
assistance.  Each of the above issues will  be studied for the
impact they will  have on  the future  vision  of information
resources in the EPA.

1) Local area network (LAN) as a national application platform
   — The integration of personal computers, LANs, and LAN
   file servers offer the Agency an alternative  to the traditional
   host processor platform  for applications processing. The
   Agency,  however,  has  not  established  the criteria for
   discerning  which applications  are  best  suited  for host
   environment and which are ideally  suited for  the LAN
   environment.  The  Agency  will study and evaluate the
   feasibility of using LANs  as  a platform for supporting
   national applications.

2) Structured  Query Language (SOD/Relationa!  Database
   Management System (RDBMS) — Two closely related
   areas experiencing  rapid advances  in the information
   systems  industry  are  client  server  technologies and
   relational  database  management  systems  (RDBMS).
   structured query language (SQL) has been adopted  as the
   standard method for defining and manipulating  data in a
   relational database environment.  Utilization  of SQL/RDBMS
   in a networked environment is benefiting organizations with
   significant improvements in the areas of decision support,
   workgroup productivity, performance, connectivity and data
                                                                     B-13

-------
APPENDIX B: 1991 REVIEWS
                      integrity.  For this reason, there is a need for the Agency to
                      review  and  assess the impact of SQL and RDBMS as a
                      maturing  technology.  The strategic issue is whether  the
                      Agency  wants  to  commit  the  resources to  acquire,
                      implement, train for, and utilize this technology.

                   3) Logical mainframe (LMF) futures and Regional servers —
                      The IBM 4381 minicomputers or logical mainframes (LMFs)
                      in each EPA Regional office  never reached high utilization
                      levels because of the advent of PCs and PC-LANs.  Because
                      of this, the LMFs  have been targeted for removal.  As LMFs
                      are removed, existing  peripherals  will  be reconnected
                      elsewhere and the workload will be  migrated to NCC.  Now,
                      outside of the widespread  use of  VAX minicomputers in
                      laboratories  and the proposed AS/400 computers for image
                      processing,  the Agency has backed away  from the use of
                      minicomputers. The goal of this study is to examine the role
                      of  minicomputers   in  the  Agency's future computing
                      architecture.

                   4) E-mail and  document distribution — Since 1983,  EPA  has
                      provided  computer-based  messaging to  its  employees,
                      affiliates,  and contractors.  E-mail uses a centralized mail
                      system architecture; all messages, regardless of destination,
                      are routed through the central mail service.  The major
                      advantages of this system  architecture are  the reliability of
                      its  message  delivery, the ease of message  addressing, and
                      the overall  ease of system management especially  the
                      maintenance of the mail directory. The Agency will evaluate
                      the efficiency and  effectiveness  of this  architecture  as
                      services expand to include more  document  distribution and
                      heavier utilization of premium services, such as access  to the
                      Commerce Business Daily (CBD).

                   5) Common  user interface — Currently, the Agency  develops
                      applications  for  a  variety of processing platforms and
                      terminals.   Each combination of platform and  terminal
                      presents a different interface  to the user.   That is about to
                      change — the information systems industry is developing
                      Common User Interface (GUI) standards.   A GUI  provides
                      each user with the same screen format, no matter where his
                      application  is running and  no matter what software  the
                      application is using.  A common  interface will significantly
                      reduce the learning curve for  a new user of an application.
                      The Agency must prepare to adopt the GUI standard and
B-14

-------
                            FY  1990 IRM  REVIEW  PROGRAM REPORT
                      evaluate  its implications for  its long-term  computing
                      architecture.

                   6) AS/400  utilization — With the recent award of the Image
                      Processing Contract,  there will  be an infusion of AS/400
                      systems  into the  EPA.   Given the possibility  that these
                      systems might have more capacity than would be required for
                      image processing alone, EPA should to examine  alternative
                      uses for  the machines. EPA needs to develop both a vision
                      of the role of the AS/400 in its computing' architecture and the
                      appropriate policies for its use within the Agency in a manner
                      that furthers architectural integration.

                   7) Information resources management (IRMy training — As the
                      Agency continues  to expend enormous resources to acquire
                      or enhance its computing architecture, it must also find ways
                      to accelerate productivity in service industries, maintain the
                      dynamism of an aging workforce, and improve the educational
                      preparation of  all  workers.  To address these needs, the
                      Agency will re-assess its strategic  view of IRM training in
                      order to include provisions for:

                      •   computer-based tutorials for national applications;
                      •   the  inclusion  of  context  sensitive  help  in system
                          development guidance;
                      •   an enterprise-wide, comprehensive strategy for providing
                          relevant training, in an efficient format, to the audience
                          who needs it;
                      •   funds dedicated for application training; and
                      •   full use of the existing technology.

Ac KNCY CONTACT
AND PHONK NO.:   Don  Worley, FTS 629-2740 and Ted Harris, FTS 629-2538.
                                                                       B-15

-------
APPENDIX B: 1991  REVIEWS
TITLE:

AGENCY REVIEW
NUMBER:
Review of the Modernization of STORET
91-8
SCOPE OF REVIEW:  Developed in  the mid  1960s, the STOrage and RETrieval  of
                   Water Quality Information(STORET) system is one of EPA's
                   oldest and  largest data systems.  STORET  contains  data
                   relating to the  quality of surface and ground water. The system
                   assists State and EPA  officials  in making pollution control
                   decisions by providing the  capability  to store, retrieve and
                   analyze water quality information.

                   While the age of STORET dictates a review of methods and
                   software used to maintain it, a more compelling reason for EPA
                   to examine the types of water quality information provided is
                   that no central repository has ever existed in the Agency for
                   storage of groundwater data.   STORET has  been  used  to
                   minimally meet the demands of the Groundwater Program, but
                   those demands continue to  grow.  Thus, STORET must  be
                   studied to ascertain how it will properly satisfy expanding
                   groundwater data storage needs.   Furthermore,  the Biological
                   System (BIOS)  component of STORET will be analyzed  to
                   determine how biological data required for risk assessment and
                   prevention will be supported.

                   Therefore, EPA must  assess the modernization options  for
                   STORET. Options include (I) introducing commercial off-the-
                   shelf data base management software, (2) upgrading  existing
                   system documentation,  and (3) undertaking  configuration
                   management and development methodology improvements.

                   The purpose of this effort is to analyze STORET and its related
                   systems, BIOS and ODES (Ocean Data Evaluation System), in
                   order  to establish  the  feasibility and the preliminary  cost
                   estimates associated with modernizing (upgrading) software.
                   This  software modernization is intended  to  greatly  facilitate
                   software maintenance  and to provide a software environment
                   that  is conducive  to  accommodating  future  requirements
                   consistent with EPA's long range  goals while satisfying current
                   user needs.
B-16

-------
                            FY 1990 IRM REVIEW  PROGRAM REPORT
BRIEF
DESCRIPTION:
This review is being led by OIRM with contractor assistance.
The first part of the review, begun in FY 1990, involved studying
and documenting  much of the current STORET environment,
including technical architecture, historical evolution and life-cycle
cost structure, in order to  obtain  a  technical and  historical
perspective on the system.  OIRM is ready to examine possible
future directions for the system.

EPA proposes to utilize planning and developmental tools, such
as Information Engineering, to determine the scope, need, and
steps to be taken in  modernizing STORET  and its associated
water data files. A complete analysis of needs will be conducted
which  will highlight  projected  cost impacts  (application
development, software  licensing, training,  user support, etc.)
associated  with undertaking this modernization initiative, as
well as organizational and staffing impacts. The first segment of
this  effort will  focus  on  areas  in  which future  STORET
enhancement could benefit from improved developmental and life
cycle management methodologies, as well as documentation and
system integration concepts.   Recommendations  can then be
made about the optimal direction(s) STORET should take, given
current and future program priorities.
AGENCY CONTACT
AND PHONE No.:
Joe Sierra, (703) 883-5059.
                                                                      B-17

-------
APPENDIX B: 1991  REVIEWS
TITLE:            Locational Accuracy Task Force Review

AGENCY REVIEW
NUMBER:
91-9
SCOPE OF REVIEW: EPA/OIRM has a number of major efforts underway to develop
                   policies for sound management of information resources, such as
                   the requirement for the use of CAS (Chemical Abstract Service)
                   numbers to identify chemical substances and the assignment of
                   EPA Facility Identification  Codes to 'regulated facilities and
                   sites.  Wide-scale  adherence to these policies will assure more
                   uniform and consistent (and  thus more compatible) information
                   throughout all environmental  programs.

                   To identify the spatial data accuracy requirements of the Agency,
                   a Task  Force on Locational  Accuracy was formed  as a
                   subcommittee of the  Information  Resources Management
                   Steering Committee.  The Task  Force is chaired by the EPA
                   Region VIII  Deputy  Administrator and includes representatives
                   from all  Agency  programs  and  Regions, both at the  senior
                   management and  technical levels. The Task Force is charged
                   with answering the following questions:

                   •  What should be the required minimum level of accuracy for all
                      the Agency's locational data?

                   •  How should the Agency implement  this requirement?

                   •  What actions need to be taken, by whom and by what dates?

                   A Locational Data Policy has been promulgated by the Agency.
                   Implementation guidance for the  policy is expected to be made
                   final soon.  The primary purpose of the policy  is to ensure the
                   collection of uniform, fully documented location identification
                   information in all relevant data collection activities pursuant to
                   EPA's many  environmental  programs.  The  objective  is to
                   improve the overall quality  and ensure  the compatibility of
                   spatial data throughout EPA.
BRIEF
DESCRIPTION:
This review  is  being led by  a Task  Force formed as a
subcommittee of the  Information  Resources Management
Steering Committee. The Task Force will conduct its activities
through meetings, teleconferences, and other oral and written
communications.   In addition to answering  the questions cited
B-18

-------

-------

-------
Appendix C:

Major Information  System Reports
             The purpose of this appendix is to provide the formats prescribed
             by GSA for:
               Initial Major Information System Report


               Annual Report on Major Information Systems

-------


-------
                                                                         1
                U.S. ENVIRONMENTAL PROTECTION AGENCY
                401 M Street, SW
                Washington,  D.C.  20460
                Federal IRM Review Program
       INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME:

BASELINE DATE:
                     Signature of Agency Official
                     Name (please print or type)

                     TUle

                     Date

-------
Initial Major Information System Report

System Name:   	
Baseline Date:   	
In recognition of the Federal government's substantial investment in major information systems,
the General Services Administration (GSA) is focusing special attention on these systems in the
Federal IRM Review Program.

The purpose of this Initial Major Information System Report is to provide baseline cost, schedule,
and descriptive information on each major information system initiative. This information
facilitates the tracking of the progress of this initiative  and its benefits to the agency. To complete
this initial report, please provide the information requested below. Include attachments as needed.


1. DESCRIPTION OF SYSTEM: (Describe briefly the major information system initiative
   and the mission program(s) the initiative supports.)
   PROGRAM OBJECTIVES: (State briefly the mission program objectives that are
   dependent upon the successful implementation of the major information systems initiative.
   Objectives should be described in terms of specific benefits or improvements to mission
   effectiveness and service delivery. Objectives should NOT be a description of improvements
   in data processing capability.)
3. PROGRAM ACCOMPLISHMENTS (Optional): (List briefly the accomplishments or
   progress made to date by the major information system initiative.)
   PROGRAM MILESTONES/SCHEDULE: (Describe briefly and/or illustrate the major
   milestones and schedule for acquisition and operation/maintenance of the major information
   system initiative and for accomplishing program objectives.)
   SCHEDULE FOR REVIEW:  (State the schedule for reviewing the major information
   system initiative under the Federal IRM Review Program. At a minimum, the system should
   be reviewed every three years.)
   PROGRAM COSTS: (Present a brief estimation of projected in-house and contract costs
   for the acquisition and operation/maintenance phases of the major information system initiative.
   Costs should be presented by year. Actual costs should be presented for years prior to the date
   of the baseline.)
7. NEXT STEPS (Optional):  (List briefly the anticipated next steps during the next fiscal
   year of the major information system initiative.)

-------
                U.S. ENVIRONMENTAL PROTECTION AGENCY
                401 M Street, SW
                Washington, D.C.  20460
                 Federal IRM Review Program
    ANNUAL REPORT ON MAJOR  INFORMATION SYSTEMS
SYSTEM  NAME:

REVIEW  DATE:
                      Signature of Agency Official
                      Name (please print or type)

                      Title

                      Date

-------
Annual  Report on Major Information Systems

System Name:  	
Review Date:   	
In recognition of the Federal government's substantial investment in major information systems,
the General Services Administration (GSA) is focusing special attention on these systems in the
Federal IRM Review Program.

The purpose of this Annual Report on Major Information Systems is to ensure the consistent
reporting of the progress the government is making in achieving mission objectives as a result of
the implementation of major information systems. To complete this annual report, please provide
the information requested below and sign and date the cover sheet.  Include attachments as needed.
                               •

1. ACCOMPLISHMENTS:  (Discuss briefly the progress made in accomplishing mission
   objectives and whether they are being accomplished within projected milestone/schedule and
   costs. The discussion should address the specific mission program objectives, milestone/
   schedule and costs established in the "baseline" report for the major information system
   initiative.)
2 . BASELINE REVISIONS: (Discuss briefly whether it is necessary to make changes to the
   baseline. The discussion should address the specific changes and the reasons for making
   them.)
3. REVISED BASELINE (If applicable):  (Describe the revised baseline for the major
   information systems initiative.)

-------
Appendix D:

Initial Major Information System
Report for SCRIPS

-------

-------
f
U.S.  ENVIRONMENTAL PROTECTION  AGENCY
401 M Street, SW
Washington, D.C.  20460
                  Federal IRM Review Program
       INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME:
  Suserfund Cost Recover Image Processing System (SCRIPS)
BASELINE DATE:  November. 1990
                       Signature'of Agency Official
                       Alvin Pesachowitz
                       Name (please print or type)
                       Director. OIRM	
                       Title
                       November 1. 1990
                       Date

-------
SUPERFUND  COST  RECOVERY  IMAGE  PROCESSING  SYSTEM
(SCRIPS)
1.
DESCRIPTION QF SYSTEM:
SCRIPS,  (Superfund Cost Recovery Image Processing System) was
formerly known as STARS  (Superfund Transaction Automated
Retrieval System).  SCRIPS is being developed to automate,
through the use of image processing technology, the storage
and retrieval of all site-specific Superfund cost
documentation and integrate this information with EPA's
Integrated Financial Management System  (IFMS).

The Comprehensive Environmental Response, Compensation and
Liability Act (CERCLA) of 1980 authorizes EPA to recover from
the responsible party or parties, all costs of removal or
remedial action incurred by EPA from the cleanup of hazardous
waste sites.  All costs must be properly recorded in the
Integrated Financial Management System at the time they are
incurred.  SCRIPS is designed as the lead project to
introduce optical disk-based imaging technology to the Agency
in order to increase the productivity of the Superfund Cost
Recovery Program by changing the way the documentation
related to this program is managed.

Ready availability of complete and accurate documentation
packages is extremely important since this information is
required for settlement, negotiation or litigation purposes
as the Agency seeks to recover costs associated with
Superfund site remediation.  As the Superfund Program has
grown, so also has the amount of paper records to be filed,
copied and retrieved.  In addition to the vast amount of
paper records to be maintained, there are other labor-
intensive activities required in preparing for a cost
recovery action,  such as the masking of Privacy Act
information and reconciliation of cost documentation.

The need for a more efficient way to manage the large volume
of documents related to the Superfund Cost Recovery Program
is critical considering the significant increase in the
number of cost recovery actions the Agency must handle.
SCRIPS is intended to eliminate misfiled documents,
accurately link stored images to their financial transactions
in the Agency's financial management system,  provide
automated redaction capability to avoid disclosure of Agency
sensitive or proprietary information,  substantially reduce
the amount of space required to store Superfund documents,
and effectively increase the amount of money that can be
recovered from responsible parties.

Though image processing represents but one technical solution
to enhance productivity, this emerging technology is believed

-------
to have great potential in other program, administrative, and
research areas, especially those involving very large, high
volume records collections.

2.    PROGRAM OBJECTIVES:

The introduction of image processing technology has brought
with it an increased management awareness of the need to
incorporate efficient records management practices in support
of improved programmatic efficiencies across the Agency.
Consistent with that need, an Image Processing Systems  (IPS)
Committee was established under the Office of Information
Resources Management.  One key responsibility for this group
has been to facilitate the judicious use and implementation
of image technology.  The IPS Committee mandates that any
prospective image client organization perform a vigorous
mission needs evaluation and requirements analysis.  The
purpose is twofold:  1)  to ensure that the client fully
understands the scope of the records management issue, and 2)
to ensure that alternative technical or management solutions
are examined carefully.   Though image processing may provide
viable solutions to many of the Agency's records management
problems, it is not a technical panacea.  The IPS Committee
requirement for upfront problem analysis helps demonstrate
that the technical solutions may vary and are driven by the
requirements, not by the trend toward the latest technology
shifts.

For the SCR-IPS project,  the requirements study pointed to the
use of image processing technology.  When operational, this
application will capture cost document images at regional and
field sites throughout- the country.  All those images will be
stored centrally at EPA's National Computer Center (NCC) data
processing facility so that when a regional office needs to
assemble a cost documentation recovery package, all pertinent
document images are available in one repository.  The cost
recovery package can be made available in a matter of days.
The tedious, resource intensive assembly of cost
documentation recovery packages for court proceedings or
legal negotiations/settlements will be streamlined.  Storing
these images on optical disk will reduce the need for
expensive on-site office space.  Paper copies can either be
eliminated or shipped off-site to less expensive warehouse
space.  Introducing changes in the way documentation is
managed is expected to introduce significant gains in
productivity in the Superfund cost recovery program.

3.    PROGRAM ACCOMPLISHMENTS:

Program accomplishments will be reported at the end of FY
1991.  Better test data and information on implementation
efforts willbe available at that time.

-------
4.
PROGRAM MILESTONES/SCHEDULES:
A mission needs analysis was completed in FY 1987, followed
by a thorough options analysis.  Following the decision to
develop an optical disk-based application, the Agency
initiated the procurement of IPS equipment upon which to
develop a prototype.  The prototype was initiated in FY 1987
and continued through FY 1989.  During the prototype phase,
it was necessary to make changes in the IPS system to
accommodate changes in the Agency's Integrated Financial
Management System  (IFMS) and its associated subsystems.  The
Agency issued an RFP in FY 1989 to acquire hardware and
software for the 15 Servicing Financing Offices throughout
the Agency.  The following are subsequent milestones
beginning with the award of the IPS contract in FY 1990:

November, 1989 - IPS contract award to IBM.

December, 1989 - Regional site survey of SCRIPS user
community completed.

March, 1990 - IPS equipment delivered/installed at Planning
Research Corporation (PRO  site in McLean, VA.  (PRC is the
software developer for SCRIPS.)

May,  1990 - IPS equipment installed at EPA National Computer
Center in Research Triangle Park, NC.   (NCC will serve as
central imageyrepository for SCRIPS documents).   Prototype
test sites selected:  1) Region IV - Atlanta; 2) Research
Triangle Park (RTP), National Contracts Management Division;
3)  Cincinnati Financial Management Center; and 4)
Headquarters, Washington, D.C.

June/  1990 - Prototype phase of software development
initiated.

July,  1990 - Software testing ongoing.

August,  1990 - Test site equipment installed in Region IV;
IPS equipment ordered for other test sites.

September, 1990 - Software revisions;  expanded indexing
fields required.

October,  1990 - Remaining IPS equipment delivered.

-------
FY 1991 PLANNED PROGRAM ACCOMPLISHMENTS
December, 1990 - Complete revised software with expanded
index fields; Beta testing at Headquarters and RTP to begin

January, 1991 thru March, 1991 - Beta testings at pilot
locations in Regions II and IV.

April,  1991 thru June,1991 - Make software revisions.

July, 1991 thru Year-end - Continue with phased
Regional/field installations.

5.    SCHEDULE FOR REVIEW:

GSA Review for SCRIPS will be planned for the end of FY 199:
6.
PROGRAM COST:
In-house Work Years
Support
FY 1989
     FMD
     ASD
     NDPD
Total
          3.0
          2 .0
          6.0
                          Equipment and Contractor

                     Work  Years  (software  development,
                     training, telcom,  etc.)
TOTAL:
$2,794,000.
FY 1990

Proj.  Mgr.     1.0
     FMD        3.0
     ASD        2.0
     NDPD       2 .0
Total           8.0
                     TOTAL:
          $1,268,000
FY 1991 (Projected)

Proj. Mgr.      1.5
     FMD        3 . 0
     ASD        2 .5
     NDPD       1.0
Total           8.0
                     TOTAL:
          $2,155,000

-------
FY 1992 (Projected)

Proj. Mgr.      1.0
     FMD        3 . 0
     ASD        2 . 0
     NDPD       1 .0
Total           7.0
TOTAL:    $1,472,000
     ASD - Administrative Systems Division
     FMD - Financial Management Division
     NDPD - National Data Processing Division

-------

-------
                                                            T
                                                            l
                                                            *
ฎ EPA
                                                            *•
          Office of Information Resources Management
          401 M Street S.W.
          Washington, DC 20460

-------