ENVIRONMENTAL PROTECTION AGENCY
Information Resources Management
Review Program
FY 1990 Report
NOVEMBER 1990
U.S. Environmental Protection Agency
Assistant Administrator, Administration and Resources Management
Office of Information Resources Management
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Federal IRM Review Program
FY 1990 Report
Preparedfor:
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
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Printed on
Recycled Paper
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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 3505 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
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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 §3506 (see
above).
Chapter A 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-Zll)
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
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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 §3506 Compliance 30
Chapter4: FY 1991 IRM Reviews 35
Planned Priorities and IRM Coals 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
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iv
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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;
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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
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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
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EXECUTIVE SUMMARY
Locational Accuracy Task Force Review.
The Federal IRM Review Program has been beneficial to the
Agency in instigating a closer scrutiny of how its information
resources are managed. The program also necessitates a more
consistent and all-inclusive nature to the reviews themselves. As a
result of these reviews, the Agency is aware of the strengths and
weaknesses of current IRM operations and has already begun to take
corrective actions.
viii
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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.
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1: INTRODUCTION
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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.
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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 ERM 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
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: 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 RTF; 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:
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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:
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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
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FY 1990 IRM 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 arc 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.
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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.
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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.
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2: FY 1990 PRIORITIES AND INITIATIVES
Figures. FY1990
PRIORITIES AND
INITIATIVES.
These priorities and
initiatives wars the
focus of many IRM
reviews during
FY 1990.
FY1990
PRIORITIES AND INITIATIVES
GOVERNMENT-WIDE
PRIORITIES
EPA MISSION-BASED
PRIORITIES
IRM REVIEW
PROGRAM
OBJECTIVES
IRM INITIATIVES
Tele
cationi
biform«ti on management
ADP security
ADP management
Major information systems
auorccnicnt
Pollution prevention
Risk reduction
Ecosystem protection
Leadership in the environmental
Improved science and data manager
Provide high quality i
Use effectively IRMH
i information tervice*
-related resource* and
technologic*
Comply with Federal IRM lawi
Work toward data integration
Provide adequate data Kcwity
Minimize urmeceuary duplication of data
Reduce the Federal infonrmion collection
burden
Promote data iharint
Provide effective ADPmd
teleoiTYiwnicatxra capabilities
Emprwizeg.
wide IRM priorities
Promote productive me of human resources
Data sharing and integration
Iiograni lyitems modernization
Standards
Improved records management
Information technology acquisition!
Public dissemination
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),
a? governed by procedures in FIRMR 201-32.206; and (2)
10 (Draft12/12/90)
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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.
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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
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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
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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 §3506 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
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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
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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 suppon 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
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FY 1990 IRM REVIEW PROGRAM REPORT
4. Improved Records Management
Emphasis has been placed on improving records
management procedures and evaluating opportunities for
automating access to and control of records as one
mechanism for enforcing and litigating pollution clean-up
efforts. These improvements directly support the mission-
based goal of ensuring a strong enforcement presence.
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.
5. 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.
6. 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 III, 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
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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 Super-fund 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 Pimm-am!
auu uiajiu tiiivuiiiauvN
IRM Review Program;
six Agency mission-based priorities (enforcement, pollution
prevention, risk reduction, ecosystem protection, leadership
18
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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
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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 § 3506 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
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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 page
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
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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
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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
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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.
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
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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
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3: FY 1990 IBM REVIEWS
Figured FY1990
EPA IRM REVIEWS
AND PRIORITIES.
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IRM initiatives
addressed by
FY 1990 reviews.
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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
-------
FY 1990 IRM 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 pan
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 the
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
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3: FY 1990 IRM 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.
Maior 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. As a 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
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FY 1990 IRM 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 part 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 SIRMOs 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
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3: FY 1990 IRM REVIEWS
Evaluation of §3506 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 part 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 §3506.
Agency compliance with §3506 is described in detail in the
sections that follow. The discussion follows the overall
organization of §3506, 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
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FY 1990 IRM REVIEW PROGRAM REPORT
Table 2.
PAPERWORK REDUCTION ACT
§3056. Federal agency responsibilities
(a) Each agency shall be responsible for carrying
out its information management activities in an
efficient, effective, and economical manner, and for
complying with the information policies,
principles, standards, and guidelines prescribed by
the Director.
(b) The head of each agency shall designate,
within three months after the effective date of this
Act, a senior official or, in case of military
departments, and the Office of the Secretary of
Defense, officials who report directly to such
agency head to carry out the responsibilities of the
agency under this chapter. If more than one official
is appointed for the military departments the
respective duties of the officials shall be clearly
delineated
(c) Each agency shall
(1) systematically inventory its major
information systems and periodically review its
information management activities;
(2) ensure its information systems do not
overlap each other or duplicate the systems of
other agencies;
(3) develop procedures for assessing the
paperwork and reporting burden of proposed
legislation affecting such agency;
(4) assign to the official designated under
subsection (b) the responsibility for the conduct
of and accountability for any acquisitions made
pursuant to a delegation of authority under
section 111 of the Federal Property and
Administrative Services Act of 1949 (40 U.S.C.
759);
(5) ensure that information collection requests
required by law or to obtain a benefit, and
submitted to nine or fewer persons, contain a
statement to inform the person receiving the
request that the request is not subject to the
requirements of section 3507 of this chapter;
(6) implement applicable Government-wide and
agency information policies, principles,
standards, and guidelines with respect to
information collection, paperwork reduction,
statistical activities, records management
activities, privacy and security of records, sharing
and dissemination of information, acquisition and
use of information technology, and other
information resources management functions;
(7) periodically evaluate and, as needed,
improve, the accuracy, completeness, and
reliability of data and records contained within
Federal information systems; and
(8) develop and annually revise a 5-year plan,
in accordance with appropriate guidance provided
by the Director, for meeting the agency's
information technology needs.
(d) The head of each agency shall establish such
procedures as necessary to ensure the compliance of
the agency with the requirements of the Federal
Information Locator System, including necessary
screening and compliance activities.
(Added Pub. L. 96-511, § 2(a), Dec. 11,1980,94
Slat. 2819.)
(As amended Pub. L. 99-500, § 101(m) [title VIII,
§ 816], Oct. 18,1986,100 StaL 1783-308,1883-
338, and Pub. L. 99-591. § 101(m) [title VIII, §
816], Oct. 30,1986,100 Stat. 3341-308, 3341-
338.)
REFERENCES IN TEXT
The effective date of this Act, referred to in subsec. (b), is
Apr. 1,1981. See section 5 of Pub. L. 96-511, set out
as an Effective Date note under section 3501 of this title.
CODIFICATION
Pub. L 99-591 is a corrected version of Pub. L. 99-500.
31
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3: FY 1990 IRM 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
reauthprization of §3506. 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 further 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 part
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
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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 §3506 of the ACL
Implementation of Applicable Information Policies.
Standards, and Guidelines §3506 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-vear Plan 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
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3: FY 1990 IRM 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 die 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 §3506 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
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Chapter 4: FY 1991 Reviews
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
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4; FY 1991 REVIEWS
Figured FY1991
PRIORITIES AND
IRM 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 systems
Software modernization
Security/Privacy
Information management
Service to the citizen
Telecommunications
ADP management
Enforcement
Pollution prevention
Risk reduction
Ecosystem protection
Leadership the international environmental
vena
Improved science and data management
IRM STRATEGIC
GOALS
Establish data integration took and activities
Create and manage information systems
supporting the environmental community
Establish a program to promote information
sharing
Renew EPA's technology base to provide
increased functionality andfor to reduce costs
Manage a data administration program to ensure
me Agency's ability to use its data fully
Enhance productivity through the educated use
of technology
Improve planning and communications to
ensure effective Deployment of information 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
part of their IRM review program.
36
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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
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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.
IRM 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:
1. 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.
2. Create and manage information systems
supporting the environmental community.
This goal can be met by developing and implementing a
software engineering development program; developing an
application tool kit; providing systems to ensure the
38
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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
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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 Q
40
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^to sr.,.
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
MAR 2 5 1991
OFFICE OF
ADMINISTRATION
AND RESOURCES
MANAGEMENT
MEMORANDUM
SUBJECT:
FROM:
TO:
ogra
lowitz,
Office of 'Information Re
tor
urces Management
IRM Steering Committee
Senior IRM Officials
Regional and Field IRM Managers
Major System Managers
Attached is a copy of EPA's latest report to the General
Services Administration under the Federal IRM Review Program.
The Federal IRM Review Program was mandated by the Paperwork
Reduction Act and is intended to ensure that agencies review
their information management activities with respect to
Government-wide IRM priorities as well as Agency priorities
and Agency IRM objectives and initiatives.
This document provides synopses of reviews completed in
FY 1990 and describes those scheduled for FY 1991. I want to
thank all of you who contributed to this report and look
forward to continuing to work with you as we organize a
schedule for the next cycle of reviews (FY 1990-1992).
If you have any questions about this report, please
contact Steve Hufford at 475-7732 or Jean Sammon at 382-7820.
Attachment
cc: OIRM/NDPD Managers
Printed on Recycled Pap$r
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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 wiU 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 §3506
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
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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-specific 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
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FY 1990 IRM 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.
Materials Belong To:
OPPT Library
401 M Street, SW CrS-793) 43
Washington, DC 20460
-------
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 A gene v
REVIEW TITLE Physical Security Reviews
REVIEW NUMBER90-1
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
[x] COMPLIANCE WITH PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[x] SECURITY
[ ] RECORDS MANAGEMENT
[ ] OTHER
A-1
-------
APPENDIX A: 1990 REVIEWS
AGENCY:
TITLE OF
REVIEW:
EPA
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
PRIMARY
FINDINGS:
PROPOSED
ACTIONS:
Physical Security Reviews
AGENCY REVIEW
NUMBER: 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
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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
-------
SYNOPSIS DATA SHEET
AGENCY.
Environmental Protection Agency
REVIEW TITLE Integrated Contracts Management System Study
REVIEW NUMBER90-2
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
[ ] ADP MANAGEMENT
[ ] SECURITY
[x] RECORDS MANAGEMENT
[ ] OTHER
A-4
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FY 1990 IRM REVIEW PROGRAM REPORT
AGENCY:
TITLE OF
REVIEW:
AGENCY REVIEW
NUMBER:
OBJECTIVES OF
REVIEW:
EPA
Integrated Contracts Management System (ICMS) 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 (1)
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
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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
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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
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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
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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
recommended for the development of the ICMS.
and was
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
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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
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AGENCY
SYNOPSIS DATA SHEET
Environmental Protection Aeencv
REVIEW TITLE Review of Records and Forms Management Programs
REVIEW NUMBER90-3
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
[ ] ELECTRONIC FILING
[ ] MAJOR INFORMATION
SYSTEMS
[x] COMPLIANCE WITH PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[x] SECURITY
[x] RECORDS MANAGEMENT
[ ] OTHER
A-11
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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
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FY 1990 IRM REVIEW PROGRAM REPORT
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.
PRIMARY
FINDINGS: 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.
A-13
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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
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FY 1990 IRM REVIEW PROGRAM REPORT
excessive amounts of time trying to understand where files
fit into the disposition schedule.
PROPOSED
ACTIONS: 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
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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
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FY 1990 IRM 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-art 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.
AGENCY CONTACT
AND PHONE NO.: Geoff Steele, (202) 382-5636 and Mike Miller, (202) 475-8275.
A-17
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AGENCY
SYNOPSIS DATA SHEET
Environmental Protection Agency
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 PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[x] SECURITY
[x] RECORDS MANAGEMENT
[ ] OTHER
A-18
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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 a means of posting
information for electronic access;
(3) Dockets official legal files of rule-making actions; and
(4) Hotlines a point of contact for external parties 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 in 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
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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
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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
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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 requirements, 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
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AGENCY
SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE Telecommunications Evaluation
REVIEW NUMBER9{LiJ_
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
[x] COMPLIANCE WITH PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[ ] SECURITY
[ ] RECORDS MANAGEMENT
[ ] OTHER
A-23
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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
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FY 1990 IBM 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
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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
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FY 1990 IBM 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 pan 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
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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
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AGENCY
SYNOPSIS DATA SHEET
Environmental Protection A gene v
REVIEW TITLE Review of Data Management Practices for Automated Labs
REVIEW NUMBER9Q-6
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
[ ] 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
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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
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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
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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
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FY 1990 IRM REVIEW PROGRAM REPORT
INITIATIVES
AND ACTIONS:
BENEFITS:
developing security control procedures in laboratories providing
data to EPA.
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.
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 heed.
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
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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
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AGENCY.
SYNOPSIS DATA SHEET
Environmental Protection Agency
REVIEW TITLE.
Evaluation of Electronic Forms
REVIEW NUM BER90-7
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
[x] END USER COMPUTING
[ ] 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
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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 IAS 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
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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 forms 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
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APPENDIX A: 1990 REVIEWS
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.
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 F3) 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.
PRIMARY
FINDINGS: 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
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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
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APPENDIX A: 1990 REVIEWS
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.
INITIATIVES
AND ACTIONS: 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
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FY 1990 IBM 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
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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
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SYNOPSIS DATA SHEET
AGENCY 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)
[ ] 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
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APPENDIX A: 1990 REVIEWS
AGENCY:
TITLE OF
REVIEW:
OBJECTIVES OF
REVIEW:
SYNOPSIS OF
REVIEW:
EPA
Office of Water Data Sharing and System Compatibility Study
AGENCY REVIEW
NUMBER: 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?
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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
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APPENDIX A: 1990 REVIEWS
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.
PROPOSED
ACTIONS: 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.
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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
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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
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SYNOPSIS DATA SHEET
AGENCY.
Environmental Protection Agency
REVIEW TITLE Toxic Release Inventory Productivity Review
REVIEW NUMBER90-9
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
[ ] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT
[x] INFORMATION
MANAGEMENT
[ ] ELECTRONIC FILING
[x] MAJOR INFORMATION
SYSTEMS
[x] COMPLIANCE WITH PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[ ] SECURITY
[x] RECORDS MANAGEMENT
[ ] OTHER
A-49
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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
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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
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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
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FY 1990 IRM 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
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APPENDIX A: 1990 REVIEWS
BENEFITS:
AGENCY CONTACT
AND PHONE No.:
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.
Linda Travers, (202) 382-3938
A-54
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AGENCY.
SYNOPSIS DATA SHEET
Environmental Protection
REVIEW TITLE Suoerfund Document Management Review
REVIEW NUMBER 90-10
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
[ ] END USER COMPUTING
[ ] SOFTWARE MANAGEMENT
[x] 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
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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
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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
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APPENDIX A: 1990 REVIEWS
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.
INITIATIVES
AND ACTIONS: 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;
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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
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APPENDIX A: 1990 REVIEWS
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.
AGENCY CONTACT
AND PHONE NO.: Michelle Curtis, (202) 382-7951.
A-60
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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-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 PRA
SECTION 3506
[ ] OTHER
[ ] ADP MANAGEMENT
[ ] SECURITY
[x] RECORDS MANAGEMENT
[ ] OTHER
A-61
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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;
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FY 1990 IRM 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
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APPENDIX A: 1990 REVIEWS
INITIATIVES
AND ACTIONS:
BENEFITS:
AGENCY CONTACT
AND PHONE No.:
The Agency implement a general policy of encouraging
programs to institute electronic reporting within the ANSI
X12 EDI framework, wherever feasible.
A number of initiatives and actions have followed from this
study. Some of these include the:
Development of a general Agency policy on electronic
reporting, and its publication in the Federal Register,
Development and pilot testing of an ANSI X12 format for
OTS's Chemical Inventory Update Form U;
Study of the feasibility of electronic reporting options for the
DMR, and the development of a draft ANSI X12 format for
this purpose;
Study of the feasibility of an ANSI X12 electronic reporting
format for the TRI; and
Convening of an Agency-wide coordinating committee for the
implementation of electronic reporting.
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 standards, improved records
management, 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 with
EPA goals, policies, plans, and strategies; securing sensitive
documents; reducing the information collection burden;
emphasizing government-wide priorities; and promoting
productive use of human resources.
David Schwarz, (202) 382-2706.
A-64
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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
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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;
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APPENDIX B: 1991 REVIEWS
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 parties.
This project is jointly funded by the Office of Policy, Planning,
and Evaluation and the Office of Solid Waste. The project began
in June 1990 and will continue through FY 1991.
AGENCY CONTACT
AND PHONE No.: Rick Westlund, (202) 382-2745.
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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.
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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.
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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:
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APPENDIX A: 1990 REVIEWS
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.
AGENCY CONTACT
AND PHONE No.: Michelle Curtis, (202) 382-7951.
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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 IAS 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
IAS 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;
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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.
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FY 1990 IRM REVIEW PROGRAM REPORT
TITLE: Review of the Modernization of FINDS
AGENCY REVIEW
NUMBER: 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 ("latAongs") 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 Unking
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APPENDIX B: 1991 REVIEWS
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.
AGENCY CONTACT
AND PHONE No.: Ingrid Meyer, (703) 883-8832.
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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
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APPENDIX B: 1991 REVIEWS
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.
AGENCY CONTACT
AND PHONE NO.: Debbie Ross, (202) 475-7705.
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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.
BRIEF
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 (SOLVRelational 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
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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 (IMF) 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
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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 (IRM1 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.
AGENCY CONTACT
AND PHONE NO.: Don Worley, FTS 629-2740 and Ted Harris, FTS 629-2538.
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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 (1) 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.
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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.
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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
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FY 1990 IRM REVIEW PROGRAM REPORT
above, the Task Force will also review relevant spatial data
standards of other Federal/State/Local Governments. The Task
Force will develop a concise description of benefits and costs of
implementing minimum locational accuracy requirements
Agency-wide. The Task Force may also address other related
technical locational standards issues such as use of a standard
datum, locational data precision requirements, quality assurance
and quality control procedures, and requirements for ongoing
improvement of locational accuracy.
The review will result in recommendations to the IRM Steering
Committee on implementing minimal locational accuracy
requirements Agency-wide. The Task Force will also review
Agency methods for collecting and converting locational
coordinates, and examine the cost and accuracy of each method.
AGENCY CONTACT
AND PHONE NO.: Steve Hufford, (202) 475-7732.
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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
-------
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)
Title
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.)
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.)
5. 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 dale
of the baseline.)
7. NEXT STEPS (Optional): (List briefly die 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
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME:
BASELINE 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 (GS A) 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.)
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Appendix D:
Initial Major Information System
Report for SCRIPS
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW
Washington, D.C. 20460
Federal IRM Review Program
INITIAL MAJOR INFORMATION SYSTEM REPORT
SYSTEM NAME: Superfund Cost Recover Imaae Processing System (SCRIPS)
BASELINE DATE:
'Signature 'of A'gency Official
Alvin Pesachowitz
Name (please print or type)
Director. OIPM
Title
Ncavember 1. 1990
Date
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SUPERFUND COST RECOVERY IMAGE PROCESSING SYSTEM
(SCRIPS)
1. DESCRIPTION OF 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
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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 SCRIPS 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
jtianaged is expected to introduce significant gains in
productivity in the Superfund cost recovery program.
i PROGRAM ACCOMPLISHMENTS:
J fcivxwv"- * - ...^..^^
program accomplishments will be reported at the end of FY
i991. Better test data and information on implementation
efforts willbe available at that time.
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4. PROGRAM MILESTONES/SCHEPKLES
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, 19B9 - 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 image repository 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.
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FY 1991 PLANNED PROGRAM ACCOMPLISHMENTS:
December, 1990 - Complete revised software with expanded
index fields; Beta testing at Headquarters and RTF 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 1991
6. PROGRAM COST:
Equipment and Contractor
In-house Work Years
Support
FY 1989
FMD
ASD
NDPD
Total
3.0
2.0
JLJI
6.0
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
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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
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