EPA/ITAS
023
FEBRUARY 16. 1989
EPA Systems Profile
Draft
CERCLIS
Prepared for
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
NATIONAL DATA PROCESSING DIVISION
INFORMATION TECHNOLOGY ARCHITECTURAL SUPPORT
CONTRACT NO. 68-W8-0083
Prepared by the Viar Team
Viar and Company
300 North Lee Street
Suite 200
Alexandria, Virginia 22314
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1.O System Overview
1.1 System Purpose
The purpose of the Comprehensive Environmental Response,
Compensation and Liability Information System (CERCLIS} is to
provide tracking, scheduling, and financial management services to
regional sites in support of the Comprehensive Environmental
Response Compensation and Liability Act (CERCLA) . CERCUS is a
tool which helps a region or site to meet Superfund program
management and reporting needs. The data maintained in CERCUS
includes regional site information through a regional area network
called WasteLAN and through direct linkup to the mainframe. Otier
site related information includes financial infonLation such as
budget allowances, administrative data such as targets end
accomplishments, event tracking, site information and enforcement
activities.
1.2 System Background
CERCLIS was developed by the Office of Solid Waste
Emergency Response (OSWER) to support the Superfund program.
Superfund provides a mechanism to track and clean up hazardous
waste sites located throughout the ten national regions. Each
region's activities are tracked through CERCLIS and are monitored
both regionally and by headguarters.
Originally, CERCLIS was planned ss a site inventory
application. However, CERCLIS was expanded to accommodate otier
site related functions, previously available through systems
external to CERCLIS. CERCLIS was expanded to maintain all
necessary functions for site operation under one integrated system,
the "new" CERCLIS. The systems made obsolete by this expansion are
the Removal Tracking System (RTS) , Removal-Remedial Financial
System (RRFS) , and the Case Management System (CMS) . CERCLIS
integrated the Superfund Comprehensive Accomplishments Plan (SCiP)
into the "new" system as well. Therefore, CERCLIS is currently a
full functioning system supporting all activities necessary for the
collection and reporting of an integrated Snperfund program and
project management information.
To date, CERCLIS has been implemented in all ten regions.
Two regions are currently utilizing the HastelAN, wille the
remaining regions plan to link up to the regional area network
shortly. Those regions and users not accessing CERCLIS via
WasteLAN are currently accessing CERCLIS directly on the mainfrane.
CERCLIS is currently in the development stage of its
lifecycle and plans exist for moving CERCLIS into production in the
near future. During development, CERCLIS was piloted at designated
regions to provide a real world environment for system testing.
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During this time, CERCLIS has been modified to correct problems and
enhance performance. Additional computing resources and mirror
image copies of the data base are used to alleviate slow response
time and accommodate, user community needs..
Headquarters are restricted to access to the CERHELP
section of CERCLIS. They are responsible for maintaining non-site
specific data and CERCLIS reference tables.
2.0 User Environment
The user community consists of Headquarters staff, the
Department of Interior, the Army Corps of Engineers and the
regional site staff which includes an Information Management
Coordinator (IMC) , Data Administrator (DA) , Data Base Administrator
(DBA) and Data Handler (DH). Headquarters accesses the data
contained in the CERHELP data base and updates the code files and
tables contained in CERHELP. The Department of Interior (DOI)
wished to integrate with CERCLIS, so a copy of CERCLIS was provided
to the National Computer Center (NCC) computer for access by the
DOI. The need for future support and coordination with the DOI
is currently unknown, pending an estimate from them regarding their.
required level of participation with CERCLIS. The Army Corps of
Engineers is integrated with CERLIS at some sites and take on the
functions of site personnel since they are contracted through the
EPA to perform cleanup activities.
Each region should have an IMC, DA, DBA and DH. The IMC
is responsible for the Superfund program and systems management
activities and will coordinate with the Environmental Services and
Management divisions where necessary. The DA is responsible for
directly maintaining and managing CERCLIS. The DA also conducts
QA/QC activities, generates and designs reports, performs CERCLIS
queries, maintains the regional CERCLIS data element dictionary,
maintains the documentation library, and coordinates and conducts
regional training. DBA functions are more technical than the DA
and include the development and maintenance of Regional CERCLIS
software, user support and data quality control support. Data
Handlers (DHs) enter data through CERCLIS data entry screens (CICS
or WasteLAN).
Contract personnel are sometimes employed to perform some
technical and data entry tasks.
2.1 User Support
The CERCLIS user group or CERCLIS Management Council
(CMC) as it is now called includes ten regional representatives and
ten representatives from Headquarters. The CMC meets twice a year
to discuss CERCLIS concerns and issues. The CMC is organized into
four workgroups which meet at least four times a year and include
Regional and Headquarters staff (IMC,DA,DBA). The four areas
supported by the work groups are: Technical Enhancement; Report
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Development; Support, Training and User Documentation; and Data
Usage and Quality Improvement. The work groups support the CMC and
the CMC reports to, coordinates with, and supports the Management
Advisory Council (MAC). The CMC submits proposed work plans,
analyses of issues and problem notifications to the MAC.
The Technical Enhancement Work Group identifies, analyzes
and plans the activities needed to improve the system's hardware,
software and telecommunications capabilities.
The Report Development Work Group identifies needs for
new or upgraded standard reports, designs report layouts, and
proposes report development priorities.
The Support, Training and User Documentation Work Group
identifies, analyzes and plans the activities needed to improve
user support services, training materials and strategies, and user
documentation.
The Data Usage and Quality Improvement Work Group
identifies the needs and planning activities necessary for the
promotion of CERCLIS usage. This group ensures that the quality
of all CERCLIS data is maintained at an acceptable level, is
standard accross user groups, and includes region specific data
elements.
CERCLIS news is included in
publ ished monthl^ciantrthe CERCLIS Progresl
Report /X published Bi-weexIyT The CERCLIS Connect io'n contains'
update information, discussions of target CERCLIS areas, Regional
report information, practical applications for data handling, new
CERCLIS information, summaries of proposed and actual changes,
Hotline information and upcoming system enhancements. The CERCLIS
Progress Report contains information regarding development
activities, training, documentation, regional implementation
status, highlights of selected CERCLIS areas, CERCLIS
idiosyncrasies, key milestones, and meetings.
2 . 2 User Training
Initial regional training is conducted by Headquarters.
Any subsequent training is the responsibility of the regions.
Initial regional training includes classroom presentations on the
CERCLIS data base schema, system documentation and user manuals,
demonstration of event and enforcement activity screens and a
session where live data is entered. Personnel targeted for
training range from senior management to data entry support staff.
The following courses are available upon demand:
Introduction to the Enforcement Program
CERCLIS Report Writer
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Genius and Interactive S2K.
Courses available through the CERCLIS training program
are Headquarters courses such as:
- Superfund Overview
CERCLIS/WasteLAN Orientation
CERCLIS Data Quality Issues
Using a SAS interface to S2K for CERCLIS Reporting
and Customized CERCLIS Reporting.
And Regional courses such as:
Case Budget CERCLIS
Removal OSC and FMS Reconciliation Procedures
RPM/OSC CERCLIS
FMS Reconciliation
CERHELP .
In fiscal year '89, training materials will be
standardized and upgraded. A Central Training Library will be
established and the CERCLIS Hotline will be expanded to serve as
a mechanism for users to request training.
3.0
3.1
Technical Overview
Hardware/Software Environment
The CERCLIS computing environment uses two Jrf3M 3090
computers, versions 200 and 300. The version 200/is available for
data entry via CICS screens and the versionJH)
machinededicated to data base retrie
^
using CICS,
base management system
GENIUS utilizing
a single—^user
CERCLIS was built
the System 2000
WasteLAN is a regional area network providing
applications written in dBASE III and access to system software
SUCh aS=**fflSS:frerand OU^Lervlan ^
3.2
Subsystem Environment ' l
3.2.1
Data Entry
CERCLIS supports two forms of data entry. Programs
written in CICS COBOL provide screens on the central computer.
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Programs written in dBASE III provide screens for the WasteLAN
users.
3.2.2 Data Edits
Screen data is edited as it is submitted, therefore the
edit programs are written in the same languages as the entry
screens; CICS COBOL and dBASE III. Batch uploads and downloads of
data directly to the mainframe are generally written in COBOL
PLEX.
3.2.3 Updates
Data entered on-line is applied to the data base
immediately after validation. FMS batch updates occur weekly.
Other batch updates occur as needed.
3.2.4 Retrieval
Data may be retrieved from CERCLIS via on-line query or
via report. Queries to the CERCLIS data base on the mainframe are
implemented with S2K, the System 2000 4GL. Queries to the regionaj.
,JMM»«^ are implemented in dBASE III (documentation mentioned CLOUT
as a possibility for this feature). Reports are written in dBASE
III for WasteLAN and are written in COBOL PLEX on the mainframe
reports. Some report duplications exist between the two CERCLIS
environments, however the regional reports are customized to
reflect regional concerns only, while the mainframe reports employ
a national perspective.
3.3 Data
Information retrieval in CERCLIS is related to the events
surrounding Superfund site cleanup removal activities, enforcement
activity, financial activity, budget and control activity and non-
site specific activities. Regional data is also included. Data
related to non-site specific incident (NSI) activities reside in
the CERHELP data base. Incident and enforcement activities are
part of the data domain.
Data is maintained regionally through WasteLAN and
centrally at the CERCLIS mainframe. Regional data is uploaded to
the mainframe on a weekly basis to permit regional integration into
the national base.
NSI data is data not related to a site specific incident.
It includes: Targets and Accomplishments such as, SCAP/SPMS;
Target/Measure setting and tracking, and non-site specific (NSS)
accomplishments reporting. IMC staff enters, updates, and
maintains all WasteLAN NSI data.
Budget and Control and Advice of Allowance are functions
of Superfund program management and include items like SCAP budget
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development and control, and tracking of the Advice of Allowance
process. This data is maintained by Headquarters and provided to
regions for viewing purposes only.
Financial data may or may not be site specific and is
part of the CERCLIS data base. Site-specific financial data
includes obligation data, amount, operable unit and events. Non-
site specific financial data encompasses all of the site-specific
data except operable unit and events.
Enforcement data includes enforcement activity, planned
and actual milestone dates, scheduled and achieved milestone dates,
compliances statutes, actions required, remedies achieved,
negotiations, judicial actions, and litigation results.
Site-specific data is all data involved in the
investigation, assessment, inspection, removal, etc of Superfund
sites. Site-specific data includes pre-remedial, remedial and
removal. Pre-remedial data is related to the initial investigative
phase of site cleanup. These activities include site-
initialization, preliminary assessment, site inspections, expanded
site inspections, list site inspections and site hazard ranking
processing (NPL listing). Remedial data contains information
related to tracking fund financial remedial projects. This includes
activities surrounding site project completion, forward planning,
Community Relations, Corps of Engineers design, technical
assistance, and topographical mapping. Removal data contains
information related to tracking removals such as removal action
milestones and financial data.
3.3.1 Data Base
System 2000 is used as the CERCLIS mainframe data basej
The CERCLIS data base as related data bases called CERHELP and
CERTRAN. CERHELP contains non-site specific (NSS) data which is
maintained by Headquarters and CERTRAN which is an audit trail type
of data base which contains records of all data base transactions
and who made them. System 2000 is a hierarchical data base design.
dBASE III is used as the WasteLAN regional data base
system. All the data available in the WasteLAN base is regional
specific only. dBASE III is a relational data base design.
The CERCLIS mainframe base contains regional data that
is uploaded from the regions approximately every week. The central
base contains Enforcement information and the other side contains
data related to the events, subevents, financial matters and
chemicals used during site cleanup.
3.3.2 Files
Files documented for use in CERCLIS are transaction files
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which are used in the upload and download process. These files are
temporary and are used as an intermediate cache to hold the data
until it can be stripped or integrated into the data base.
3.4 Hardware
3.4.1 Type
CERCLIS mainframe uses an IBM 3090/200 and an IBM
3090/300. WasteLAN uses IBM or IBM compatible personal computers.
3.4.2 Peripherals
The peripherals used in addition to the PCs are the 3270
connector board, full screen color monitors and associated
printers. Associated printers include the high speed printer in
RTP and the local site dependent printers.
3.5 Software
CERCLIS mainframe programming languages include:
CICS COBOL
PLEX COBOL
Genius
S2K Natural Language
SAS
CERCLIS/WASTELAN programming languages include:
dBASE III or equivalent
CLOUT
3.5.1 On-line
CICS COBOL is used for on-line CERCLIS mainframe screens
and screen edits. dBASE III is used for on-line WasteLAN screens
and screen edits.
3.5.2 Batch
COBOL PLEX is used for batch processes on the CERCLIS
mainframe and dBASE III is used on WasteLAN.
3.5.3 Communications
Personal computers on the WasteLAN utilize Crosstalk and
Carbon Copy to support their communication needs to the CERCLIS
mainframe.
4.0 System Functions
4.1 System Input
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4.1.1 Data Input
Data is input into CERCLIS and WasteLAN through several
different mechanisms: 1) FMS data download, 2) WasteLAN upload
to CERCLIS, 3) CERCLIS data screens, and 4) WasteLAN data entry
screens and 5) CERHELP screens and CERHELP batch upload and
download.
1) FMS data is copied from FMS into CERCLIS. The data
is usually copied every Thursday, however the two weeks prior the
close of a quarter and after the close of a quarter, daily updates
can be run at the Regions request. The copy procedure takes place
in batch mode.
Once the data is in CERCLIS the Regional WasteLAN
downloads the FMS central data to the respective Regional LAN. The
data is then integrated into the WasteLAN data base. Reports are
generated which document all FMS activities. The WasteLAN Menu
permits access to the Download FMS Data option.
2) WasteLAN Upload to CERCLIS occurs approximately every
week. Regional WasteLAN data . is uploaded to the mainframe upon
request from the IMC. The CERHELP and CERCLIS data may be loaded
separately or together. The upload process generates reports which
verify data integrity. They are WasteLAN Upload Report, which
prints the keys of all records contained in the upload and Generate
Audit Report, which lists the records that were not accepted into
CERCLIS.
3) CERCLIS data entry screens on the mainframe are a
completely separate set of screens from those on WasteLAN. Once
WasteLAN is implemented in every region these screens will become
obsolete. The screens have the option to Change, Delete and View
and are accessed through a menu. The CERCLIS data entry supports
the same functional areas that WasteLAN supports: Pre-Remedial,
Remedial, Removal, Enforcement and Financial. Data entry screens
are designed to be user friendly.
4) WasteLAN data entry screens are designed to be user
friendly. The screen design is color coded and display windows are
used for messages and help information such as a list of valid
entry codes. One of the beneficial features of WasteLAN screens
is the operator's ability to display a window which contains a list
of acceptable codes, tab to the appropriate code and have the
system enter the selected code automatically. National Core data
elements are highlighted with an asterisk (*) to differentiate
between National and Regional data. The RETURN key must be pressed
to enter data at the end of each field. At the end of the screen
the operator can store the data or re-edit the screen. Status
lines are displayed at the bottom of every screen. The types of
screens available are menu screens, summary screens and data
screens. Once the screens have been accessed the user can choose
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Next screen; Prior screen; to Edit, Update, Add, Delete or Exit the
screen without applying an update.
5) CERHELP data is updated by Headquarters and the
Regions. Access to Regional CERHELP data is made possible through
the WasteLAN CERHELP Maintenance Menu. This screen enables the
operator to Insert, Edit and Delete Headquarters defined codes in
WasteLAN. The screen allows NSI, Target/Accomplishments, Budget
Type and Advice of Allowance codes to te updated.
The updated CERHELP data is uploaded to nainframe CERCLIS
usually every week. Once the upload process is run the current
version of mainframe CERHELP is available to be dovnloaded for
integration into the WasteLAN CZRHELP base. These processes are
available through the Upload WasteLAN Henu.
4.1.2 Updates
Batch loads require additional edit checks and steps ir.
order to integrate the file data intc the receiving data base.
Updates made through mainframe CERCLIS data entry screens are
applied immediately to the CERCLIS data base after passing tie edit
checks. WasteLAN data entry screens work in the same nanner except
they update the regional base.
4.2 System Output
4.2.1 Ad-Hoc Data Retrieval
Ad-hoc retrievals are used to select information from the
mainframe CERCLIS data base and Regional CERCLIS data base.
Information retrieved from the rnainfrare CE5CLIS is from the mirror
image data base which resides on the IEM 3090/300. The information
on this machine is typically one day behind actual data.
Retrievals are requested via the S2K natural language interface,
which is accessed through the corresponding option on the CERCLIS
Retrieval Screen.
WasteLAN ad-hoc retrieval is available for all systems
as is CERCLIS mainframe ad-hoc retrieval. The systems represented
are Pre-Remedial, Removal, Enforcement, Renedial and Financial (a
financial system exists as part of each other systen category in
addition to a separate system). Retrieval is available through the
WasteLAN Reports option, using dBASE III.
4.2.2 Reports
Ad-hoc and standard CERCLIS reports exist on the
mainframe and on WasteLAN.
Ad-hoc reports are also a CERCLIS/WastelAN feature.
Ad-hoc reports can be created in a variety of formats. These
include Gantt Charts, data dumps, matrix, and Critical path.
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There are currently approximately standard 150 reports on the
mainframe, some of which are duplicates of Regional reports.
Reports on the mainframe integrate data from all the regions and
are often added as a request from the Regional users. Regional
reports on the mainframe are usually reports which require a great
deal of niimhAr <7T^nr!Ki-Twj--;jTi7>--t^vn^h
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Tier 2, requests which go through the project manager,
however the request is not expedited until it has gone
through the formal change procedure outlined in 5.1.
Tier 3, requests go through the formal change
procedure and require a detailed evaluation by the
EPA. The final decision is made by the CMC.
5.1 User Change Control Process
1) System "problems" represent the Tier 1 and Tier 2
situations and are usually identified when a user
calls the CERCLIS Hotline or submits a CERCLIS
Change Request Form. The process to accommodate
Tier 1 requests are as follows;
The Hotline operator or technical staff member
re-creates the problem, performs an analysis to
determine the cause/source of the problem and
documents the problem in the CERCLIS Change Control
Log.
The problem is presented to the project manager, who
decides whether or not to implement the change
request.
If the problem is to be corrected the technical
staff is notified and the problem corrected.
The outcome of the Change Request is documented and
distributed to relative parties.
The Change Request Log is updated.
All changes submitted via the Hotline are published
in the CERCLIS connection.
2) Tier 2 change requests are processed in the
following manner ;
The problem is identified and a Change Request
Form is submitted to Headquarters.
The request is presented to the progress
forum where an analysis, and recommendation is
prepared.
- A decision about the request is made, documented
and distributed to appropriate parties.
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A summary of the decision is sent to the MAC.
The change is implemented as indicated by the
outcome of the decision.
3) System enhancements require users to submit Change
Request Forms to their CMC representatives.
An open window for CERCLIS enhancements is activated
every quarter with plans to activate bi-yearly in the
future.
The submitted enhancements are reviewed by the
Technical Enhancement Workgroup who perform a
cost/benefits analysis for each request.
The results of the analysis are submitted to the MAC
who makes the final decision as to which
enhancements will be implemented.
Once a decision is reached the MAC sends out
notifications, which indicate the status of the
enhancement, to all users who submitted requests.
5.1.1 System Enhancement
System enhancements or Tier 3 change requests are defined
as unsolicited changes to the system which effect original design
or processes. The mechanics of the enhancement process are
documented in section 5.1. Approved enhancements are planned and
initiated by the Technical Enhancement Workgroup. System
enhancements are BETA tested.
5.1.2 System "Problems"
System "problems" comprise Tier 1 and Tier 2 requests and
are defined as system inadequacies which impede the intended
function of the system. A problem is logged by the Hotline
operator or project manager and then assigned to the technical
staff for resolution. Once the problem is corrected the log is
updated.
5.2 Technical Change Control Process
The mechanics of the technical change control process are
the same for system enhancements and system "problems". Both
require existing software to be modified and tested.
5.2.1 Change Control System Design
CERCLIS is currently in the development stage
however, plan to accommodate test/development and production
environments separately are in effect. The dual system environment
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allows software maintenance and nodification without interrupting
the production system. No infontation has been provided regarding
the type of data available for the development environment.
5.2.2 Change Control Documents
Documents involved in the change ccntrol process are ;
- CERCLIS Change Request Log
CERCLIS Connection Publication
CERCLIS User Change P.equest
- Programmer's Maintenance Manual
5.2.3 Change Control Activity
After the software has been changed the programmer(s) is
responsible for testing the change.
5.2.4 Change Control Testing
CERCLIS is not implemented in the production
environment therefore current software released is part of tie
system test.
Formal methods for interfacing to the NCC regarding
changes to the production environment have yet to be defined.
5.2.5 Implementation of Changes
The NCC is responsible for mcving a software change from
development into production.
6.0 Documentat ion
The following list comprises The documentation discovered
for CERCLIS ;
User Documentation
CERCLIS : Regional System Administration Handbook
CERCLIS Data Element Dictionary
CERCLIS Data Entry and Retrieval Guide
CERCLIS National Reports Library
WasteLAN : Users' Guide to the WasteLAN Pre-Remedial System
Users' Guide to the WasteLAN Remedial System
Users' Guide to the WasteLAN Removal System
Users' Guide to the WasteLAN Enforcement System
Users' Guide to the WasteLAN CE3HELP System
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Technical Documentation
CERCLIS System Documentation
CERCLIS Programmers Manual
6.1 User Documentation
Users guides exist for each WasteLAN system and a General
Data Entry and Retrieval Guide for CERCLIS. Each guide contains
an overview of the CERCLIS or WasteLAN system as well as detailed
procedures explaining access to each subsystem including;
interactive sessions (query, ad-hoc retrievals), screen displays,
prompts and reports.
Users guides for mainframe CERCLIS are maintained by the
Support, Training and User Documentation workgroup which reports
to the CMC.
WasteLAN documentation is maintained by the Data
Administrator (DA), who is also responsible for the Regional
documentation library. The DA issues Regional documentation
updates.
6.2 Program Documentation
Technical documentation for CERCLIS is maintained by
contractor personnel. Program documentation is included in the
CERCLIS Programmer's Maintenance Manual. The manual contains
information regarding program structure, subroutines, common
elements, security, help processing, error messages, update
logging, rollback and abend processing. The manual also lists
CICS, COBOL and S2K programming standards. Each program is
documented by transaction id, program id, mapset, map, functions,
language, source, program type, sample screen or output and
psuedocode.
The CERCLIS System Documentation manual contains general
documentation or CERCLIS functions/features such as; VSAM files,
implementation plan, CICS registration, system overview, program
change control, change control procedure, logs, operations and test
plan.
6.3 Data Dictionary
The CERCLIS Data Element Dictionary (DED) was originally
implemented in BASIS on the IBM 3090 mainframe. Although BASIS
provided users with a on-line search and reporting capability it
was difficult to maintain and use. Therefore, a switch to dBASE
III DED occurred. Currently, the DED is maintained in dBASE III
and copied to floppy diskette for site distribution.
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Appendix I
Sample System Function Screens
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Appendix II
Documentation Matrix
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