ML20058L425

Fiscal Year 1994-1998 Information Technology Strategic Plan

ML20058L425
Person / Time
Issue date:	11/30/1993
From:	NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
To:
References
NUREG-1487, NUREG-1487-V01, NUREG-1487-V1, NUDOCS 9312160341
Download: ML20058L425 (28)

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. m Documents such as theses, dissertations, foreigrueports and translations 2 and non-NRC cons ference proceedings are available for purchase from the organization sponsoring the phblihaQ tion cited.

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l NUREG-1487, Vol.1 l

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Fiscal Years 1994-1998 Information Technology Strategic Plan Manuscript Completed: November 1993 Date Published: November 1993 Strategic Planning and Technical Advisory Staff Office ofInformation Resources Management U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 pg===..q,

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1 ABSTRACT A team of senior managers from across the U.S.

Applications Management. Key recommendations Nuclear Regulatory Commission (NRC), working call for accelerating the replacement of Agency with the Office of Information Resources Manage-workstations, implementing a new document man-ment (IRM), has completed an NRC Strategic Infor-agement systern, applying business process reengi-mation Technology (IT) Plan. The Plan addresses neering to selected Agency work processes, and es-three major areas: (1) IT Program Management, tablishing an Information Technology Council to (2) IT Infrastructure, and (3) Information and advise the Director ofIRM.

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iii NUREG-1487, Vol.1 l

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CONTENTS Page iii Abstract vii Executive Summary 1

1 Introduction..

1 2 NRC Information Technology Strategic Planning Process..................................

3 3 NRC IT Strategic Plan................................................................

3 3.1 IT Program Management...........

4 3.1.1 IT Planning and Budgeting.......................................................

5 3.1.2 IT Policy and Standards.........

6 3.1.3 IT Acquisition Management...

7 3.1.4 IT lluman Resource Strategy.

f 8

3.1.5 IT Architectures....

8 3.2 IT i nfrast ruct u re..............................................

9 3.2.1 Workstation Replacement.........................................................

10 3.2.2 N etworking and Conn ectivity......................................................

10 3.2.3 Applications Development Platforms...........

3.2.4 High. Performance Computing Infrastructure........................................

11 13 3.3 IT Information and Applications Management.............

13 3.3.1 Improving the Quality of NRC Information Systems...................................

13 3.3.2 Agency Processes and Workflow.....................................

3.3.3 Data and Docum en t Management................................................

15 3.3.4 liigh-Performance Computing Applications............................................

16 1.l ST O F ACR O N YM S.................................................................

18 A1 APPENDIX A - Agency IT Management...

4 NUREG-14S7, Vol. I v

EXECUTIVE

SUMMARY

A team of senior and executive managers from The strategy for IT Infrastructure emphasizes sig-across the Agency, working with the Office ofInfor-niticant investment in the underlying hardware, soft-matica Reuurces Management (IRM), has com-ware, and telecommunications technologies needed plcted a b.S. Nuclear Regulatory Commission to create a robust and reliable automation environ-(NRC) InSrmation Technology Strategic Plan. This ment capable of supporting the Agency's current strategic plan is the basis for the Agency's informa-and future applications and communication needs.

tion technology (IT) program guidance and activi-These needs are associated with both administrative ties in the NRC Five-Year Plan (FYP) and will be and programmatic information systems and with submitted to the Office of Management and Budget technical computing and scientific modeling appli-to satisfy the IT planning requirements of OMB cations that support NRC's mission. Although the Circular A-130," Management of FederalInforma.

Agency has been installing microcomputers and has tion Resources."

been networking offices through an extended local and wide area network over the past several years, Tha Idormation Technology Strategic Plan address-the rapid growth of decentralized local area network es three major areas: (1) IT Program Management, (LAN) applications will require more robust and (2) IT Infrastructure, and (3) Information and higher capacity networks, more powerful worksta-Applications Management. Key recommendations tions, and more aggressive adoption of new call for accelerating the replacement of Agency LAN-based systems development platforms to meet workstations, implementing a new document man-the Agency's needs. He new strategy calls for great-agement system, applying business process reengi-er investment in workstatkus and distributed cli-neering (BPR) to selected Agency work processes, ent-serier architectures and continuation of the and establishing an Information Technology Coun-Agency's network upgrade plans to support both cil to advise the Director ofIRM.

technical computing and office systems.

The strategy for IT Program Management empha-sizes the need to expand % e ' if NRC Headquar-De strategy for Information and Applications ters and regional offices - r '.nsing and budgeting Management focuses primarily on improving the for information resourn -

e are that these re-overall quality and integration of the Agency's infor-sources are effectively 6 p J to support the mation and applications by changing the way that Agency's mission. A key e.

e 41 is the establish-information systems are developed and managed.

ment of an IT Council that inecdes senior managers This strategy includes three major components: (1) representing the major NRC offices and regions.

strengthening systems life cycle management for all The Council will assist the Agency's IRM Director new systems, focusing on major development proj-in annually updating the IT strategy, establishing ects;(2) piloting BPR as a routine part of the systems agencywide IT policies and standards, prioritizing life cycle process to reevaluate and streamline cur-new applica%s and major enhancements to exist-rent processes before they are automated; and (3) ing systems. n performing management review : of implementing a data management program to im-major systems The ITprogram management strat-prove the quality and accessibility of the Agency *c egy also calls for improving the IT acquisition pro-information, with a focus on key application areas.

cess, revising current IT policies and standards to By completing these components, the Agency would emphasize "open" systems, developing architec-improve the overall quality ofits applications. The tures for the Agency's information, applications, strategy also includes the investment of resources in and technology, and preparing a new IT human two key application areas: document management resource strategy."

and high-performance computing applications.

vii N'AEG-1487. Vol.1 1

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I INTRODUCTION latory decisions in support of NRC licensing and inspection activities.

Agency Mission Goal 6 Ensure that current and future uses and trans-portation of nuclear and radioactive materials i

The U.S. Congress has determined that the safe use of are safe and have adequate safeguards.

nuclcar materials for peaceful purposes is a legitimat e and important nationa' goal. It has entrusted the U.S. Nuclear Goal 7 Ensure that high-level and low-level nuclear I

Regulatory Commisdon (NRC) with the primary Federal waste and uranium mill tailings are safely man-cesponsibility for achiev;.,g that goal. NRC's mission is to aged and disposed of.

~i ensure adequate protection for the public health and safe-ty, the common defense and security, and the environ-Goal 8 Continue to maintain special end independent ment,in the use of nuclear materials in the United States. '

reviews and investigations of NRC activities.

NRC's scope of responsibility includes regulation of com-Goal 9 Allocate NRC's human and capital resources

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mercial nuclear power plants; research, test, and training and direct the Agency's affairs so that they con-reactors; fuel cycle facilities; medical, academic, and in-

. tribute most effectively to the mission of pro-i dustrial uses of nuclear materials; and the transport, stor-tecting the public health and safety.

age, and disposal of nuclear materials and wastes. NRC Goal 10 Ensure that the NRC has effe "ve external carries out its mission by developing, adopting, and en.

communications and relations with outside or-forcing standards and requirernents that licensees must meet to design, construct, and operate safe facilities, in ganizations, the public, international organiza-the form of rules, license conditions, and regulatory guid-tions, and foreign governments.

i ance; inspecting facilities and taking enforcement action 2

NRC INFORMATION TECHNOL-as necessary to ensure that such standards are followed; and conducting research to support, a:;aess, or refine -

OGY STRATEGIC PLANNING judgements used in regulatory decisions.

PROCESS Agency Goals

- This is the first year that the NRC has addreased the need

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'ne NRC Five-Year Plan (FYP) for FY 1994-1998 in.

for a information technology (IT) strategic planning pro-cludes ten agencywide goals that address the regulatory cess that involves significant agencywide participation mission and objectives of the Agency. These are listed with a focus on long-range direction. During this first year, l

below in four categories: regulation of nuclear reactors, the NP~ estab!ished the foundation, emphasizing tech-l nuclear regulatory research, regulation oi nuclear materi-nolor. ".+tructure and cooperative IT management als, and effective Agency management.

practt

're years, the NRC will fully integrate the 4

ITplata.c " messwith other Agencyplanningprocesses Goal 1 Ensure that nuclear power plants and other li-and focus taore attention on technology standards, archi-censed facilities are operated safely and that tectures, and major information systems. -

licensees are adequately prepared to respond to Agency Information Technology Strategic accidents.

Planning Goal 2 Ensure that facilities, when no longer in opera-Office of Management and Budget (OMB) Circular tion, t

• Mequately and safely decommissioned.

A-130 requires Federal agencies to " establish multi-year strategic processes for acquiring and operating informa-Goal 3 Ensure tnat nuclear power plants under con-tion technologies that meet program and mission needs, l

struction are designed and constructed properly reflect budget constraints, and form the basis of their and are ready for safe operation.

budget requests." Until recently, the planning and bud -

l geting for information technologies has been carried out -

Goal 4 Prepare for future standard reactor design li-by the NR;."s Office of Information Resources Manage-censing and reactor license renewal activities, tnent (1stM) with other offices submitting v7ritten re-including making revisions to regulatory guid-

. sponses to an annual request by IRM for planning infor-ance and standard review plans.

mation.

Goal 5 Ensure that research provides the technical Recently, the & mcy recognized the need to pian for the bases for timely and sound rulemaking and rego-more distant wture and expand the role of other NRC '

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NUREG-147, Vol.1 1

cc mponentsin planning and budgeting for IT resour es to (5) prepare implementation plans ;

rnore effectively support NRC's mission and me goals enurnerated in Section 1. The General Services Adminis-tration (GSA) endorsed this approach in its recent trien-Initially, senior executives were asked to give overall mal review of NRC's IRM program. The new TI planning guidetaes and <lirection for the process. A series of IT I

process involves a broad spectrum of participants from challenges were clarified and used throughout the process for focus and vision. At each step, the Information Re-across the Agency and covers all NRC major programs i

mvolvmg mformation technology, both centralized iT sources Management Review Board gave the Strategy Team guidance to ensure that senior executives' concerns programs carried out by IRM and officesponsored F1 prD-and views were addressed. 'This approach, involving a 1

E'"*S-broad spectrum of participants, with review by senior ex-ecutives at each step, has resulted in a strategy that is fully j

Initiating the New Strategic Planning Process supported by the NRC offices, regions, and senior execu-i tives.

i The new strategic planning process was based on the fol-

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lowing two fundamental goals:

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lb produce a flexible and feasible plan that effective-One of the fundamental goals of the strategic planning i

ly supports the evolving needs of the NRC and its initiative was to institute an agencvwide Tr strategic plan-i stakeholders and is appropriately balanced in ad-ning process and integrate it witit the Agency five-year i

dressing both technical and administrative needs; planning process. To accomplish this goal, the _ Agency -

and must annually revise the plan and incorporate the results of the planning process into the Agency's program guid-o

'Ib institute an agencywide ITstrategic planning pro-ance approved by the Commission as the basis for planned cess that is designed to support the NRC's mission, accomplishments and resources in the NRC FYlt integrated with the five-year planning process, and performed by participants representing the spec, In the future, the IT strategic planning 1,rocess will be trum of NRC's information technology needs.

carried out by a permanent IT Council composed of senior managers from the major NRC Headquarters and region-The quality of the TF strategic planning process is critical al offices, j

to building consensus for the selected strategies and com-mitment for successful implementation. The NRC IT st rat egic plannmg process was carned out by t wo groups of The Council will help to annually update the IT Strategic participants representing a broad perspective of Agency Plan for IRM and the other NRC offices to use in revising their program guidance for the FYP. Both the IT Strate-mterests. Agency executives were represented by a nine-member IRM Review Board. Semor management gic Plan and the resulting revised guidance will be sub-

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were represented by a Strategy Team of staff and line mitted to the Agency's Steering Committee for Strategic managers from both large and small offices and regions.

Planning, the Executive Director for Operations, and the An experienced facilitator led the IRM Review Board and Commission for review a;part of the Agency's five-yev 4

plannir.g process.

the Strategy Team through the strategic planning process which the NRC had also successfully used to prepare the i

first NRC FYP.

Relationship of the IT Strategic Plan to Other Documents The IT strategy was developed in a five-step process:

'Ilis document describes the. NRC TT challenges, j

leng-range strategic directions, and the strategic initia-(1) assess the current situation and develop TT chal-tives which will be undertaken to meet the challenges.

lenges This " strategic" document is the basis for many of the IT goals, objectives, assumptions, and program guidance in (2) develop alternatives to meet IT challenges the NRC FYP. A separate " tactical" document contains the implementation plans which describe the tactical, (3) evaluate the costs and benefits of alternatives scheduling, and fiscal estimates for implementing the strategic initiatives. This " tactical" document describes the basis for major IT planned accomplishments and asso-(4) decide among the alternatives ciated resources in the NRC FYP.

NUREG-1487, Vol. I 2

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f Figure 1 Inforrnation Technology Council Office for Analysis & Evaluation Omce of Nuclear Material Safety of Operational Data GOALS

& Safeguards Shape TT strategies Office of Nuclear Reactor Office of Nuclear Regulatory Support IT policies, Research Regulation

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standards and guidelines

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Optimize allocation of TT Office of Adm.. tration mis Office of the Controller resources Improve IT decisionmaking Office of the Secretary Office of Personnel

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Improve communications

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among Headquarters and.

regional omces concerning Regional Office Office of the General Counsel Tf issues IO'fiic) $fInformati'on ilesources ;

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3 NRC IT STRATEGIC PLAN 3.1 IT Program Management The strategy forTFProgram Management emphasizes the need to expand the role of NRC Headquarters and re-The goal of the strategic plan is to improve the effective-gional offices in planning and budgeting for information ness of the NRCin meeting its program and mission needs resources to ensure that these resources are effectively by successfully acquiring and deploying information tech-deployed to support the Agency's mission. A key element nologies. This includes specific information systems and is the establishment of an IT Council that includes senior the infrastructure and IT progra'n management activit%s managers representing the major NRC offices and re-needed to support those applications.

gions. The Council wi'l assist the Agency's IRM Director -

in annually updating the IT strategy, establishing agency-wide TT policies and standards, prioritizing new applica-The strategic plan describes the challenges, the current tions and major enhancemen;s to existing systems, and environment, and strategies in three major strategic ar-performing management revieve of major systems. The eas: (1) IT program managqment, (2) IT infrastructure, IT program management strategy also calls for improving and (3)information and applications management. In this the ITacquisition process, revising current IT policies and first year of the new planning process, key recommenda-standards to emphasize "open" systems, developing archi-tions include maior initiatives for at.celerating the tectures for the Agency's information, applications, and Agency's workstation replacement strategy, implement-technology, and preparing a new IT human resource strat-ing a new document management system, applying busi-egy "

ness process reengineering (BPR) to selected work pro-cesses for the Agency, and establishing an IT Council to

'Ihble 1 summarizes the program elements, challenges, advise the l>irector of IRM. In future planning years, and strategicinitiatives for Trprogram management.The initiatives will 1 e more aligned with specific program and program elements for IT program management are IT j

mission needs of the NRC, addressing technology stan-planning and budgeting, lT policy and standards,1T acqui-dards and architectures and integrating major informa-sition :nanagement, Tr human resource strategy, and IT tion systems, architecture.

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NUREG-1487, Vol. I

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i Table 1 IT Program Management PROGRAM CHAYIFNGES SIRATEGIC INTIIA'IIVES ELEMEN'IS IT Planning and Institute an annualIT planning and budgeting Create an Information.

Budgeting process that is designed to support the NRC Technology Council-

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mission, focuses on fr throughout the Agency,'

Expand the role of NRC._

increases customer (office and region) participation Headquarters and regional and accountability, enhances the ability of senior offices in planning and executives to make IT decisions, and is integrated

- budgeting for T7esources with the Agency's five-year planning process.

If Policy and Develop clear IRM policies and standards, with ibess status of Agency IT Standards client participation, that support the Agency's IT policies and standards strategy and maintain a balance between the Update / develop new IT l

benefits of standardization and the need for policies and standards i

flexibility.

IT Acquisition Develop an IT acquisition strategy to provide Develop strategic and tactical

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Management quality IRM products and services in a timely IT mcquisition plans manner, and to accommodate rapid changes in Reevaluate and document technology.

FIP acquisition processes, policies and procedures IT Human Develop a new human resource strategy to Develop IT proficiency Resource (1) increase the proficiency of the NRC staff with standards for all employees Strategy information systems and encourage effective use of Perform an IRM skills electronic systems and media, and (2) develop and assessment and implement an maintain a highly competent and motivated Agency IRM einployee development IRM staff, organized to effectively support program customers and conduct the IRM program.

Realign IRM work actit ens IT Architecture Define information and technology architectures to Plan the update / development guide the planning and implementation of ofinformation, applications, technology for both infrastructure and applications.

and technology architectures t

3.1.1 IT Planning and Budgeting tion from NRC Headquatters and regional offices supplied in their responses to an annual request by IRM The Challenge / Vision for planning information. The planning process empha-sized the needs of individual offices and gave the offices Institute an annual IT planning and budgeting process little opportunity for communication and coordination to

-l that is designed to support the NRC mission, focuses on achieve effective agencywide solutions. The information IT throughout t he Agency, increases customer (office and requested by IRM was closely associated with the

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region) participation and accountability, enhances the Agency's budgeting process, which resulted in short-term -

ability of senior executives to make IT decisions, and is requirements rather than long-term strategic direction.

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integrated with the Agency's five-year planning proce s.

Most of the Agency's IT activities were prioritized, bud-I geted and defended by IRM, with little participation by -

Description ofIhe Current Environment

_ the offices.This mede it difficult for the offices to defend their IT needs in the budget process and was not always In the past the IT long-range planning and budgeting effective or equitable in allocating resources to the most process was conducted principally by IRM, with informa-important IT projects.

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Strategy for IT Planning and Budgeting 3,1.2 IT Policy and Standards l

The new strategy for TI' planning and budgeting proposes The Challenge / Vision to expand the participation of Headquarters and regional offices to achieve more effective ager.cvwide solutions Develop clear IRM policies and standards, with client and to allocate resources to the projects with the greatest participation, that support the Agency's IT strateEy and i

benefits to the Agency. The new strategy will encourage maintain a balance between the benefits of standardiza-agencywide communication, priority-settmg, and shared tion and the need for flexibility,

.i perspective.

The IT Council, chaired by a customer office representa-Description of the Current Environment

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i tive, will be vitally important for instituting the new ap-proach to IT planning and budgeting throughout the The current framework of Agency IT strategies, policies, Agency. 'Ihe goals of the Council are:

and standards is out-of-date for planning or managing programs within the Agency. For example, exist 6g poli-i o

Shape the development of NRC's IT strategies cies and standards do not reflect changes in the IRM oiganization, current organizational placunent of the -

o Maintain agencywide support for and cdherence to designated senior official (DSO) for information re-t IT policies, standards and guidelines sources management, changes m technologies, or the -

move to open systems. L.imited policies and standards result in high maintenance and support costs, difficulty in

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Optimize the allocation of IT resources agencywide _

. shanng information, and duplicative data and applica-o

} ions. An up-to-datc framework is important for establish-o Improve IT decisionmaking mg a consistent, integrated IT emironment throughout the Agency.-

o Improve communication and coordination among Headquarters and regional offices concerning IT is-

. 'Ihe process for updating the IT framework also needs sues f

modification. In the past, strategies, policies and stan,

'lhe Council will give the Director,IRM, advice and assis.

dards were often developed by IRM. Other NRC compo-l tance in:

nents were not im>olved until late in the process, when they were asked to comment on near final products.

o Annually revienmg and recommending changes to the Agency's IT strategies for incorporation in the Strategy for IT Policy and Standards NRC FYP and the IT Strategic Plan IRM, in coNboration with Headquarters and regional' o

Establishing a framework of IT policies, standards, offices, wid develop and institute an updated framework -

and guidelines of Agency TT strategies, policies, and standards. The IT Council and Senior Information Resource Management.

Reviewing proposed new IT applict tions and major Officials (SIRMOs) represen6ng the major Headquarters o

modifications, and recommending priorities as pad and Regional offices will be mvolved throughout the pro-of the budget process cess to assist in developing aed implementing clear pracs

. tices, policies and standards that satisfy user office needs.

o Reviewing significant IT application projects before beginning key project phases IT policies will be updated to establish roles and responsi-bilities for planning and budgeting, acquiring Federal In =

The new planning and budgeting strategy transfers from formation Processing (FIP) resources, reviewing and im-l l

IRM to the large offices and regions the responsibilityfor plementing major information systems, and managing l

defending and budgeting new sponsored applications, documents and data as Agency resources.

special workstation equipment and software, and data entry. IRM will continue to budget for smaller offices and most of the IT resources, including all infrastructure and IT standards will be updated to implement open systems.

i i

agencywide applications.The Agency will consolidate the and life cycle management and to support the manage-descriptions of all IT activities into an agencywide IT ment of documents and data as Agency resources consis-

[

technology plan.

tent with user office needs.

5 NUREG-1487, Vol.- I -

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3.1.3 IT Acquisition Managentent ne current IT acquisition process does not always in-clude the above characteristics and the complex informa-The Challenge / Vision tion resources acquisitions often take longer than ex- -

i pected for a variety of reasons. The lengthy acquisition l

Develop an IT acquisition management strategy to pro-process and the rapidly changing technology have at times vide quality IRM products and services in a timely man-resulted in the purchase of equipment that was nearly ner, and to accommodate rapid changes in technology.

obsolete by the time the procurement was completed.

Acquisition procedures are not always we' iderstood Description of the Current Environment and acquisition documents are sometimt xquate or

+

incomplete. Although much effort is expew on acquisi-IRM relics to a great extent on contractors to perform its tions, this effort is not always perceived as effective or basic functions and deliver services to its customers. ; cr-appropriate for the cost of the goods or services being formance in acquiring information technology and ser-acquired.

vices and in managing IRM contracts affects the ability of the Agency to succesrfully execute its information re-Although the Office of Administration (ADM) has re-sources management program. Areas that could be im-cently updated the NRC Acquisition Regulation, which proved are FIP acquisition planrnng; acquisition pro.

covers the Agency's general acquisition policies, more cesses, policies, and standards: and staffing.

specific NRC policies and guidance are needed to address FIP acquisitions. IRM is working with ADM to develop Acanisition Planning FIP-specific acquisition policies.

In its recent review of IRM, GSA noted that " careful IRM has many small contracts that may cover similar attention should be paid to the definition of roles and aspects of certain work processes or work areas (for exam-responsibilities,in IRM and ADM, to DPA [ Delegation of plc, six separate contracts support the local area network Procurement Authority] tracking responsibilities, and to (LAN) and microcomputer environment). This results m establishing guidance'on entering into and approving in-complex and costly contract management by NRC staff.

teragency agreements."

More attention to planmng acquisition strategies ahead of l

time could consolidate individual acquisition requests Staging into larger contracts with broader scopes of work, where appropriate.

The balance between NRC and contractor staff in per-forming technical work is weighted toward contractors, w c a esconcunsa t &aining an adequatc 1ev-Acquisition Process, Policies, and Standards el of NRC expertise and talent. The followmg are prob-1 The IT contracting function requires many FTEs, in-lems that have been identified: (1) too m uch technical FIP cludes numerous steps and procedures, and requires ef-w rk is being contracted, (2) insufficient use of computing l

fcctive cross-functional efforts by NRC acquisition spe-skills is affecting the ability of NRC computer profession-cialists. lawyers, and internal customers. Although many als to stay technologically current, and (3) msufficient of the contracting procedures are determined by external direct techmcal mvolvement by NRC computer profes-rules and regulations such as the Federal Acquisition Reg-sionals is affecting their ability to adequately mange con-ulation (FAR)and FederalInformation Resource Man-tractors performing techmcal work.

l agement Regulation (FIRMR), there may be ways to in-In reviewing IRM, GSA also noted this problem with l

crease flexibility m the implementation of these balancing NRC and contractor staff:

I requirements.

"[the] IRM program at NRC is heavily depen-1 An effective acquisition process would generally include dent on contract support. At the ond of fiscal l

clearly defined roles and responsibilities for all partici-year 1992,IRM was using 33 contracts with 275 -

l pants, collegial relationships among par'icipants who contractor employees and had 137 i all time em-work as a 1eam to achieve a common objective, incentives ployees. The ratio of contractors to staff is even and accountability for completing the acquisition process greater in one IRM Division, where there are as in an efficient and timely manner and for getting the best many as seven contractors for every NRC em-value for the Agency, clear and consistent acquisition ployce."

procedures, and early considcration of whether the FIE time spent in procurement effort and risk management Strategy for IT Acqu..t.isi ion Management l

(steps taken to avoid protests) are commensurate with the A new IT acquisition management strategy is critical to size of the procurement.

implementing other strategic initiatives defined in this l

NUREG-1487 Vol.1 6

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document. For the Agency to update its technology and 3.1.4 IT Human Resource Strategy equipment, it must process acquisition requests in a time-ly and effective manner. The following sections describe The Challenge / Vision t he proposed improvements in the planning, process, poli-Develop a new human resource strategy to (1) increase cies, standards, and staffmg for acquisitions.

profickacy of the NRC staff with information systems and encourage effective use of electronic systems and media. -

Acquisition Planning and (2) develop and maintain a highly competent and motivated Agency IRM staff, organized to effectively sup-The NItC will develop both strat egic and tactical ITacqui-port customers and conduct the IRM program.

sition plans to consolidate and reduce the number of pro-curement actions and to save administrative time and Description of the Current Environment costs, while improving the quality of acquisitions. De

. Only a few years ago, the Agency's original microcomput-NRC will establish agencywide contracts for IT architec-ers were viewed as little more than " glorified" typewrit-tural and infrastructure components described elsewhere ers. Tbday powerful microcomputers, plentiful software m this document such as the workstation replacement options, improved technology, and improved computer effort.De NRC will examine other means of acquisition, literacy skills have significantly changed the way we per-meluding the GSA Government-wide Agency Contracts form our work.This change has also raised the level of TF E*E'"* '

literacy expected of most Federal employees. The NRC now has the capability to reduce its paper laden processes A'7uisition Process, Policics and Standards by using computers t o transmit information electronically.

i With the completion of the Agency Upgrade ofibchnolo-The NRC will improve the FIP acquisition management gy for Office Systems (AUTOS) project during fiscal year process by increasing management attention and staff

.1993, almost all NRC staff will have access to workstations resources. IRM and ADM have each hired a senior IT and basic office automation functions. In the near 'uture, acquisition specialist with expertise in FIP acquisitions, many office functions, currently accomplished oy tele-The NRC is beginning to define and document NRC FIP phone or through the mail with paper distribv on, willbe acquisition procedures, policies, and guidance, including performed in the LAN environment. It will soon be essen-DPA tracking responsibilities, and oversight ofinteragen-tial for all NRC employees to possess at least a minimum cy agreements.

level of proficiency in using IT capabilities such as elec-tronic mail (e-mail) and word processing. Many NRC staff The Agency will use DPR to analyze and improve a se-will also require IT competencies in such software appli-cations as spreadsheets, graphics, and information re-j lected area of acquisition procedures, processing practic-tries al.

es, and the use of automation. (See Section 3.3.2 on BPR pilot projects). This acquisition strategy may be expanded NRC's Information'Ibchnology Services Training Lab and to include other areas of the FIP acquisition life cycle Individual Learning Center give all NRC employees op- -

process and resolve other recurring procedural problems.

portunities for hands-on classroom instruction and indi-vidual study in the use of NRC's IT capabilities. Informa-In imp:cment ng the Agency's standards in FIP acquisi-tion on training courses and prerequisites are routinely i

tions, all Agency project managers will be required to distributed to all staff. For the most part, employees in -

attend training and obtain certification in FIP acquisition.

Headquarters and the regions can obtain the instruction A substantial investment has already been made in pre-they need to use the NRC's IT resources.

paring a comprehensive course in "FIP acquisitions for r

Project Officers" which will be mandatory for certification Although most employees believe that the NRC offers I

as an IRM project officer.

excellent IT training opportunities, the IT Strategy 1bam l

recommended further steps to bring about the cultural changes needed for the Agency to effectively use the Std"#

technology. Particular attention is needed to address re-quirements of senior managers who have little time for

)

IRM is analyzing the skills of its staff to address the con-formal trammg and w ho frequently have the least experi-cerns of balance between contractors and NRC expertise.

en w computer tenologies.

l IRM will make adjustments as needed to its organization l

and plans for contracting systems work. Betteracquisition Strategy for lluman Resources i

plannmg and consolidated contracts can also make con-tract management more efficient.

IT Proficiency of Agency staff l

7 NUREG-1487, Vol.1 1

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To begin improving overall IT proficiency at the Agency, Although a data architecture was used in developing some the NRC will assess the cultural problems and needs asso-of the Agency's reacior-related applications, the Agency ciated with the increasing use of technology. The NRC has not made a consistent, sustained effort to define its will establish basic competency goals for clerical, profes-data, applications, and supporting technology architec-sional, supervisory, and executive positions.'Ib meet these tures. Guidelines and policies to encourage adherence by '

assessed needs and competency goals, the Agency will offices to such architectures have never been defined.

establish necessary training and des elopment programs to The growth of distributed LAN-based systems empha-assist employees in achieving the target competency lev-sizes the need for a coherent,. complete architectural' els and effectively using technology.

model that will foster the ability to share and effectively use information.

ITProfick ncy ofIRAiStaf GSA noted that:

IRM recognizes the importance of maintaining the tech-NRC has begun initiatives that could be coordi-i nical proficiency of its staff. IRM recently assessed the nated into an architectural strategy addressing skills ofIRM staff to determine both strengths and"wea-long-termneeds.[W]ithoutcoordinatingindi-knesses. IRM will use the results of this assessment in vidual modernization efforts and directing i

conducting inidatives to better use existing skills and de-them toward a strategic IRM plan, NRC risks a velop or acquire those skills needed to more effectively severe cost impact. A coordinated approach to perform the IRM program.

modernization can help avoid potential redun-dancies, establish Agencywide standards, en-3.1.5 IT Architectures hance identification of emerging technologies, and reduce costs.

The Challenge / Vision Strategy for IT Architectures i

l Define information and technology architectures to guide IRM will work jointly with the Headquarters and regional the planning and implementation of technology for both offices to develop and institute Agency information, infrastructure and applications, application, and technology architectures to define the context and standards for future appikations and to as-Description of the Current Environment sure that user office applications needs are met.

3.2 IT Infrastructure -

NRC information technology systems have been devel-oped over timein a mixture of technologies and architec-The strategy fos IT Infrastructure emphasizes significant -

tures. Most of NRC's major agencywide systems were investment in the hardware, software, and telecommuni-l developed as separate applications running in a time-cations technologies needed to create a robust and reli-shared mainframe environment with remote access.

able automation em'ironment to support the Agency's These applications were developed using a variety of of-current and future applications and communication ten incompatible languages and database management needs. These needs are associated with both administra-systems. As distributed minicomputer systems became tive and programmatic information systems and technical i

costeffective, the Agency developed its payroll, person-computing and scientific modeling applications that sup- ~

nel, property, and financial systems in local minicomputer port NRC's mission. Although the Agency has been in-environments. In the mid 1980s, the Agency developed a stalling microcomputers and has been networkico, offices data architecture and began implementing an integrated through an extended local and wide area network over the.

" corporate" database, primarily supporting reactor appli-past severalyears, the rapid growth of decentralized LAN i

cations. Recently, with the advent of powerful microcom-applications will require more robust and higher capacity puters, some Agency usca developed office systems on networks, more powerful workstations, and more aggres- ^

stand-alone or LAN-connected rnicrocomputers. While sive adoption of new LAN-based systems development the case-of-use and flexibility of microcomputer applica-platforms to meet the Agency's needs.The new strategy tions have provided many benefits to NRC users, it has calls for greater investment in workstations and distrib-also caused problems with application and data integra-uted clientserver architectures, and continuation of the i

tion. Many of the problems occurred because the NRC Agency's network upgrade plans to support both technical -

)

has not yet prepared architectures for information, appli-computing and office systems..

l cations, and technology which would give the staff a con-sistent environment for implementing individual micro-Table 2 summarizes the program elements, challenges, i

computer applications.

and strategic initiatives for IT Infrastructure. The pro-NUREG-1487, Vol.1 8

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gram elements for IT Infrastructure are: workstation re-managerial staff microcomputers connected to LANs ca-placement, networking and connectivity, applications de-pable of supporting standard office automation functions.

velopment platforms, and high-performance computing As the staff became familiar with rnicrocomputer technol-infrastructure.

ogy and the varieties of available software increased, the staff identified many new applications and productivity The Challenge / Vision tools that could be used to improve the efficiency and.

effectiveness of the Agency's programs. Many of the Ensure that NRC's technology infrastructure is robust.

Agency's original workstations could not support newer reliable, and capable of supporting current and future application requirements and could not be maintained applications needs.

cost effectively. Demand for replacement of technologi-cally obsolete machines was growing before the Agency 3.2.1 Workstation Replacement met its initial goal of providing workstations to all em-ployees who needed them. 'nie NRC recogmzed that the Description of the Current Environment existing workstation strategy and level of investment in replacement workstations were insufficient to support In FY 1993, NRC will complete an agencywide program to growing application needs.

supply Headquarters and regional offices with microcom-puters attached to standardized LANs and to provide Strategy for Workstation Replacement agencywide communications capabilities among the LANs. Although the original objective was to replacc the

' The new long-term workstation strategy emphasizes an agency's aging word processing systems, the Agency later accelerated investment in office automation workstations expanded the plan to give most clerical, professional and to avoid the costs of operating and maintaining old '

Table 2 IT Infrastructure PROGRAM CHALLENGES STRATEGIC INITIATIVES ELEMENTS Adopt a new workstation Workstation Ensure that NRC's technology infra.,tructure is Replacement robust, reliable, and capable of supporting current replacement strategy and future applications needs.

Connectivity implement a single multi-Snction wide area network Continue wish plans to implement a network -

management center Move aggressively to Applications Development implement client-server Platforms technology for new systems Continue emphasis on IIigh-performance improved connectivity, Computing increased training and Infrastructure technical assistance, acquisition of engineering workstations, and program office coordination through the Technology a

Advancement Board 9

NUREG-1487, Vol.1

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equipment and to provide workstations capable of run-Strategy for N'etworking and Connectivity_.

ning current and future applications. De strategy is to (1) replace NRC's office automation workstations to meet IRM will extend NRC networks to accommodate the con-high standards for functionality, reliability, performance, nection of al1 NRC computer resources to a smgle NRC and interopembility by maintaining a workstation invento..

communications network. This network will support an ry that, on average, lags current t echnology by one genera-open systems architecture to enable' connectivity and tion; (2) meet this standard within 2 years: (3) after achiev-high-speed information transfers among diverse worksta-?

ing this standard, maintain it by replacing approximately _

tions, NRC-owned mmicomputers, regional and resident one fifth of NRC's workstations each year with new tech-sites, outside locations such as the Southwest Research j

nology.

Institute, the U.S. Department of Energy laboratones,o national and international public networks such as Inter 1 net, and timesharing facilities.He network mus_t function J j

The NRC will establish standards and policies to acquire, reliably and must be implemented in a cost-effective mani

'l install, maintain, and replace workstations as appropriate, ner that provides adequate speed and capacity as traffic -

1 Finally, NRC will implement a configuration manage-increases, but does not provide the capacity before it is

{

ment and inventory control project to efficiently manage needed.

-l the use, maintenance, and timely replacement of worksta-y tions, and the disposal of obsolete cquipment.

As the NRP increasingly depends on the network for its -

critical i;..sions, more sophisticated network-monitoring -

and configuration management methods will be needed 1 ad quately m nit r, m intain, and support the NRC j

3.2.2 Networking and Connectivity.

computer and network environment. The NRC will estab-lish t, network management center to manage the opera-Description of the Current Environment tion and configuration of the network.

NRC has three sepamte data communications net-3.2.3 Applications Development Platforms' works-a LAN-to-LAN communications network, a net-work for printing from the National Institutes of Health Description of the Current Environment 1 1

(NIH), and a network providing access to various comput-Applications within NRC have been implemented across '

er facdities-m addition to special purpose connections.

NRC staff must also understand a variety of commumca-a variety of development platforms that include timeshar-

~'

tions software and often cumbersome procedures for con.

ing services on NIH IBM mainframes, internal IBM and

I necting to various applications or data sources. These Data General minicomputers, standalone microcomput -

1 procedures are unique for specific types of computers, ers, and LAN servers. Over time it has become increasing-I hardware, and software bem, g used, with, for example, one ly neffective and costly for the Agency to develop and i

procedure to access tN Nuclear Document System (NU-maintain applications over this wide range of platforms.

DOCS), another to access event data, and a third to enter Even more importantly, access to information is hindered inspection plans.

by incompatibilities between the proprietary products of -

various vendors.

t This muhiplicity of data circuits and communication pro-Otherbusinesses and agencies have similar problems with tocols results in complexity for customers and the tele.

the cost and support for their older systems. The comput-communications staff and difficulties in integrating infor-er industry is addressing this problem by develapmg.

l mation from different applications. IRM would like to "clientserver application architectures which can mter-j simplify this environment so that a customer would simply connect diverse systems across platforms. TIlese ch.

7 select an application or data source from a worksation ent-server architectures have the followmg additional ad-i menu, without needing to know the 8Pecifics of an applica-

""" "E*8 O } user 4nendly interfaces, allowing the user to tion's k> cation, hardware, or software platform. This sim-operate the client,, part of the application on an mtcih-l plification would ultimately extend to the use of a smgle gent microcomputer workstation, and (2) scalability, since i l

communication pro. tocol for most NRC applications. An the server part of the application, which stores the data -

l important step m movmg towards this desired erwiron-and does most of the processing, can be a microcomputer,' -

I ment is to implement one multi-function network to re-minicomputer, or mainframe, as necessary.:

place the three existing data communications networks.

His step is an important one in moving towards a smgle, Strategy for Applications Development Platforms a

vendor-independent (open) communications protocol for NRC's strategy is to move aggressively to implement cli-'

I all NRC applications.

ent-server technology for new systems.' Required tasks' I

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NUREG-1487, Vol. I 10 i

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i will include training IRM staff in the new technology, Description of the Current Environment:

M l

planning and implementing operational support for the I"####8I## C88'dI"###"

new platform, establishing necessary development con-tracts, establishing policies and standards, and using cli-A'Ibchnology Advancement Board (TAB) has been estab-cnt-server technology for pilot applications.

. lished to coordinate interoffice needs for advanced com-l puting and to assist the Office of IRM and major program

~ offices in identifying and transferring applicable informa-q As a first step, IRM is developing a pilot application for '

tion technologies to projects related to the agency's safety -

l the Office of Personnel using client-server technology to mission. TAB activities will also adoress the use of new i

enable NRC staff to perform onsite computing using the technologies to facilitate the sharing and exchange of data from mainframe, minicomputer, and microcomputer information with1 licensees, the nuclear industry, the systems. The goal is to replace these various platforms

. States, Federal agencies, and the public.

with a high-performance desktop computer connected to '

the LAN and wide area network (WAN). NRC will pilot

. High Performance Workstations and Associated -

and evaluate other applications in the LAN environment Cony uting Resources.

y using client-server technologies. The results of these pi-7b meet Agency high-performance computing needs, the l, lots will be assessed jointiv by IRM and client offices and NRCis usmg the National Aeronauticsand Space Admm, - o integrated with the poliEy, standards, and architecture istration (NASA) Governmentwide Agency Contract to L activities'

' acquire a variety of RISC (reduced instruction set compus tation) workstations, all of which can run in the UNIX i

Other elements of NRC's strategy for its development environment. UNIX is the defacto standard non-propri-i platforms are to reduce the costs and improve the effec-

' etary ("open") operating system that has been adopted for.

tiveness of applications by (1) moving applications from NRC's high performance networts. He agreement with 1 the NIH timesharing platform, (2) pursuing cross-servic.

NASA also provides the NRC with related software, hard...

j ing or acquiring common applications, such as those sup, ware, networking equipment and maintenance. By the-

.i porting administrative, financial, personnel, payroll func.

end of the year, the high-performance workstations avail- -

tions, and (3) establishing standards for application able to the technical staf f will have doubled, reaching an '

platforms based on newer technologies supporting an inventory of over fifty RISC units.-

l "open systems" approach.

' y,6rking and Connectivity' To meet needs for sharing and communication among-3.2.4 High-Performance Computing high-performance computing users, the NRC has devel-ped an untial high-performance computmg systems ar- :

Mrastructure chitecture. He basic concept is that most RISC stations l

will be networked to enable resource sharing within each i

Advar'ces in high-performance computing are bringing of the program offices. 'Ib date, UNIX networks have -

i scientific computing and analytical modelling to the desk-been established in NRC's Office of Nuclear Reactor i

top. Existing codes are being moved from large main-Regulation (NRR), Office for Analysis and Evaluation of -

frame environments toless expensive and more accessible -

Operational Data (AEOD)and Office of Nuclear Matcrif engineering workstations. Scientific user communities are al Safety and Safeguards (NMSS). For-example, a:

dynamically exchanging codes and data using electronic high-performance UNIX-based network server has been interfaces. The NRC has been responding to these installed in NMSS Division of High-Level Waste Manage-changes by planning and implementing the infrastructure ment (DHLWM) to support high-level waste repository

)

needed to support the staff in making the most effective ~

licensing and will coon be linked to other RISC stations, a use of the new high-performance computingtechnologies -

graphics station and standard rnicrocomputers..

i for licensing and regulatory applications.

i

~

ne local program office high-performance networks are, -

=

in turn, being integrated into the NRC WAN. The NRC The main elements of the infrastructure strategy for WAN will have fully integrated e-mail and directory ser-high-performance computing are interoffice coordina-vices. This will allow high-performance computing users tion, high-performance workstations, networking and to have e-mail'and document transfer capability with all -

connectivity, network' security, and high-performance NRC staff, the Center for Nuclear. Waste Regulatory computing support services. See Section 3.3.4,"High-per-

. Analyses (CNWRA), certain U.S. Department of Energy formance Comouting Applications" for a description of (DOE) laboratories, and with outside users over the pub 1 planned applications.

lic Internet network.

Il

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NUREG-1487, Vol.1 iI l

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I NRC is standardizing on theTransmissions Control Proto-development and implementation of highperformance-col /Internet Protocol (IEP/IP) for LAN/WAN communi-computing within NRC. Two DOE Laboratones that cations among high-performance UNIX workstations, currently support NRC have been tasked to review and NRC minicomputers, the NIH mainframes, and Internet.

integrate requirements and provide assistance to bring Initial implementation of TCP/IP has begun and will con-advanced computing resources in-house. Current tasks tinue through next year. Adopting the TCP/IP protocol include an assessment of NRR highperformance comput-t will simplify and reduce the number of communications ing requirements to support the licensing of advanced procedures that a user must know to access different design reactors and an overall assessment of program computing facilitics, and will make it possible for NRC office networking needs.

staff to access Internet directly from the NRC LANs.

IRM staff have been trained in the UNIX /RISC technolo -

The program offices with high-performance networks gies to install software, administer networks, and provide have requested two features available on Internet: file onsite customer support to the program offices.This staff transfer protocol (ITP) and remote interactive access expertise is currently augmented with contractor support (TELNET). FTP provides the capability to transmit high for hardware and software installation and maintenance.

l volumes of data and TELNET allows outside users, such as DOE laboratory staff, to interactively access NRC high-performance computers to diagnose problems, in.

7bchnical exchanges with indust ry, vendors and other gov-stall code, configure files, and provide other technical ernment agencies have also enhanced the program. For assistance. While only implemented on a limited basis, the example, NRC staff have met with experts from the Elec-FTP has already proved a valuable resource for the tech.

tric Power Research Institute (EPRI), Construction Sys-nical staff. NRR employed the FTP features to receive tems Association, and The Georgia Instit ute of 7bchnolo-and configure the RELAP5 facility decks for the Westing.

gy. Access to EPRInet hasbeen established and the staff i

l house AP600 advanced design and the SPES test facility reviewed the EPRI management information system re-l directly from the Idaho National Engineering Laboratory.

qairements for the advanced design reactors. NRC staff l

The NRC Technical Training Center used the interactive have seen the Westinghouse computerized information capabilities to work with the graphical interface package, management system for the AP6M nroject, have sched-PICASSO, with experts from the European community uled a demonstration of the Duke ruwer Computer Aided on the Halden Reactor Project.

Design / Computer Aided Manufacturing system, and also plan to meet with General Electric (GE) to review the The use of the Internet TELNET feature, which allows c mputing resources used by GE to implement the man-outside users to access NRC machines, has required NRC agement mfonnauon system for their simplified boiling to enhance the security architecture of its networks. A w ter reactor (SBWR) design.

" fire wall" approach using special network configurations, software, and hardware will protect the NRC networks by Strategy for Technical Computing Infrastructure monitoring, checking, and controlling outside access.

NRC plans to implement the new security features by the NRC will continue to develop in-house tecimical knowl-end of the fiscal year-edge and skills for high-performance computing through training and technical exchanges with industry and ven-In addition to the use of Internet for large volume fata dors. IRM will continue to place a high priority on TAB transfers, NRC has installed a direct line for such trans.

member requirements for future licensing and regulatory fers between DHLWM high-performance workstations activity in the program offices. Connectivity and accmi-and the CNWRA computer facility in San Antonio,7 bras bility will be enhanced to take advantage of and share and the CNWRA Washington 1bchnical Suppart Office in resources among high-perfonnance networks. With the Arlington, Virginia. The large volume file transfer tech.

implementation of the security fire wall and TCP/IP pro-niques used by DHLWM will be expanded to other tocols, users will have faster, more flexible access to one Agency high-performance computing projects as needed.

another other and well as to Internet and other external -

networks.

High-Performance Computing Support Services In a related area, NRC has established office guidance to A technica.1 assistance program has been establit '

monitor the development of the National Education and -

support the high-performance computing environ *-

Research Network, established by the High-performance This program combines in-house training and techmcal Computing Act of 1991, and will evaluat e the utility of the exchanges with industry to encourage and accelerate the network to the NRC when it is available.-

NUREG-1487, Vol.1 12

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3.3 ITInformation and Applications new information systems from initiai requirements and.

Programming activity through obsolescence and replace-1 Managentent ment. LCM generally encompasses the key components -

I~

The strategy for Information and Applications Manage.

that make up a system: software, data, hardware, tele-ment focuses primarily on improving the ovemil quality communications, training, user support, and systems maintenance.

l and integration of the Agency's information and applica-tions by changing the way that information systems are developed and managed. This strategy includes three ma.

An effective LCM should include a rigorous, proven jor components: (1) strengthening systems life cycle man-methodology; standards; project management; comput-agement for all new systems, focusing on major develop.

er-aided systems engineering (CASE) tools; data manage-t l

ment projects; (2) piloting BPR as a routine part of the ment; configuration and software management; and inde- -

systems life cycle process to reevaluate and streamline pendent reviews.The use of CASE tools as part of LCM current processes before they are automated; and (3) im.

can significantly reduce the costs of system maintenance,,

l plementing a data management program to improve the improve quality and reliability, and increase the produc.

qualityand accessibilityof the Agency'sinformation,with tivity of development staff. For these reasons, over 90 l

a focus on key application areas. By completing these percent of Fortune 500 companies use CASE tools to components, the Agency would improve the overall quali.

develop and maintain their information systems. Most ty ofits applications. The strategy also includes theinvest.

Federal agencies are also establishing LCM frameworks ment of resources in two key application areas: document

. and using CASE tools.

management and highperformance computing applica--

tions.

NRC has practiced LCM primar'Jy by applying intWally l

drafted guidelines, using CASE tools in only a few devel. -

'Ihble 3 summarizes the program elements, challenges, opment projects.

l i

and strategic initiatives for IT Information and Applica-tions Management. The program elements for Informa-Strategy for Improving the Quality of NRC tion and Applications Management are: improving the Information Systems quality of NRC information systems, hpncy processes and wcrkflow, data and document camement, and IRM, with client office input and review, will acquire and '

4 high-performance computing applicatiorm.

implement within the Agency a standard LCM and CASE -

tool set, implement standards for all major IT deliver-

"' assign cunoiner,and IRM responsibilities for life 33.1 Improving the Quality of NRC y

M Ps, rense pmject management standards, and.

3 Information S)' stems require independent momtoring and reviews for each life CYCIC 8tep. The NRC will use the new standard LCM for i

The ChallengeNision all maj.or projects over an established threshold. Smaller,.

Efficiently and effectively implement easily accessible, more simple applications will have an LCM commensu-reliable, secure, and integrated information systems for rate with their size and compicxity and may not require the use of CASE tools.

high-priority administrative and mission-related needs.

Description of the Current Environment Initiatives under "IT Architectures" (Section 3.1.5),'

Applications Development Platforms" (Section 3.2.3),

The NRC developed its information systems over the

" Agency Processes and Workflow" (Section 3.3.2), and years using a variety of technologies and approaches.

" Data and Document Management"(Section 3.3.3)also Systems development project managers had few opera-will contribute to the improvement of NRC Information tional guidelines and the NRC had few development stan-Systems.

dards to encourage a consistent level of quality in devel-oping, testing and maintaining the. mtems. With the 33.2 Agency Processes and Workflow; miroduction of microcomputers, the p elem of compats-bility and quality expanded as individual users and offices The ChallengeNision began to implement individualized, unique systems.

Apply technology to improve NRC workflow manage =

One way that IT managers have found to improve the ment processes; increase NRC ability to communicate quality and consistency of information systems is to prac-electror.ically with licensees and other agencies; and in-tice a standard systems life cycle management (LCM) crease the effective and efficient use of electronic forms, '

approach to structure the systems development process of mail, signatures, and records.

13 NUREG-1487, Vol.1.

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Table 3 IT Inforniation and Applications Management PROGRAM CHALY.FNGES STRATEGIC STITATIVES l

FT FMENTS l

Strengthen systems life cycle l

Improving the Efficiently and effectively implement easily Quality of NRC accessible, reliable, secure, and integrated management Information information systems for high-priority administrative Systems and mission-related needs.

Pilot ' business process '

Agency Apply technology to improve NRC workflow Processes and management processes; increase NRC ability to reengineering" to streamline Workflow communicate electronically with licensees and other important processes Implement paper reduction agencies; and increase the effective and efficient use of electronic forms, mail, signatures, and initiatives records.

Strengthen Agency data Data and Manage shared data and documents as Agency l

Document resources and ensure they are accessible, secure, administration in key Management and reliable. Update the Agency's document business areas Implement a modern l

management capabilities to meet current and anticipated programmatic needs.

document management system for agencywide use See Section 3.3.4, High-High-Increase activities to develcp and implement Performance technical computing applications needed to support Performance computing Computir.g future licensing and regulatory activity in the Applications Applications program offices, such as for advanced reactor design certification, plant life exten:Jon, and high level waste (HLW) repository licensing.

Description of the Current Environment Project team is examining the many forms used in the Agency to determine those that are likely candidates for Most business processes and workflow systems in the converting to an electronic format on the AIJ1'OS LAN.

NRC are paper-based and rely on internal desk procc-Third, an electronic communications project team is de-dures or maihoom distribution of paper copy. As distrib-termining and coordinating requirements and planning uted office automation capabilitics, e-mail, and networks for known electronic information receipt and dissemina-are impicmented in the Agency, many of these pa-tion projects.The NRC isimplementing several pilot proj-per-based workflow systems can be replaced with elec-ects for electronic communications with licensees. With tronic media and communications methods. NRC is con-these three projects, the NRC is exploring the application ducting thrce agencywide projects to increase the of technologytoexistingpaper-basedsystems.Manycom-application of electronic technology to business pro-panies and federal agencies are also streamlining their cesses.

existing processes using BPR to climinate redundant and unproductive activities and simplify and integrate essen-First, a Paperwork Reduction Thsk Force is determining tial activities. A typical EPR initiative includes consoli-types of information that are good candidates for elec-dating tasks; reducing centralized processing; assigning tronic access.These types have been categorized as fol-hical authority for decision-making; analyzing workflow lows: forms of information Ihat can be provided within the across organi7.ations and processes; modeling and mea-current LAN configuration, those that can be implem-suring costs to help icduce them; climinating redundancy; ented with a WAN, and those that are part of other sys-and evaluating and applying new technologies. Althongh It.ms development efforts. Second, a Forms Automation there has been some discussion within NRC of streamlin-N UREG-1487, Vol.1 14

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ing specific internal processes, a structured approach such tion activity data; and (3) improved the scheduling and :

as BPR has not yet been applied.

coordination of licensee site activities by the use of the -

shared centralized database.

Stra e for Improving Agency Processes'and -

Although obtaining good results from this initial data management initiative, NRC found difficulty extending As workstations and netwc,rking are extended to every

. the program to other areas. The program relied on a.

NRC employee, the Agency will focus on replacing its highly controlled,' centralized mainframe data repository, j

paper-based systems by expanding the current paperwork dial-up user access, and data' management staffing by i

reduction, forms automation, and electronic communica-IRM. ~lhe NRC was replacing mainframe systems with tion projects to include more processes.The Agency will newer, more user-friendly, costeffective, microcomput-need to establish policy for electronic workflow manage-er-based systems. While these new systems had many

.]

ment, including criteria for accepting electronic signa-benefits, the distributed microcomputer environment was i

tures and electronic media for official Agency records.

making data management much harder. Integration and -

j uniformity can be schieved only with a strong data admin-1 NRC will explore the use of"PR by conducting BPR pilot istration program and with customer support W policies -

projects and evaluating their effectiveness to determine to ensure that data structures are uniform and aesigned l

how BPR might be further applied within the Agency.

for sharing.

Candidate areas being considered for piloting BPR are p,cy,,yf y,,,g,,,,f document management, commercial contracting, materi-als licensing, and fee billing Document management in the Agency includes a range of ;

office document management systems and the Agency's.

3.3.3 Data and Document Management m j r centralized NUDOCS. Although the NRC pro--

gram and support offices rely on these older systems, The Challenge / Vision usen accustomed to newer and more flexible technolo-f gies are becoming increasingly dissatisfied with theirlimi-Manage shared data and documents as Agency resources tations. These limitations include redundant document and ensure they are accessible, secure, and reliable. Up-scanning and entry systems; the inability to use certain date the Agency's document management capabilities to

~ proximity searching; the inability to cut and paste from '

methods for scarch and retrieval, such as full-text and meet current and anticipated programmatic needs.

existing text; and the lack of cost-effective methods for Description of the Current Environment

. distributing documents. In many ^ cases, document man-l agement systems are being developed by the NRC pro-l Data Management gram offices to address unique needs not satisfied by NU-l DOCS. Although further investment in the current i

Like many agencies. NRC has experienced problems with NUDOCS system could overcome certain document-pro-1 the quality, redundancy, and integrity of data m many of cessing limitations and provide additional search features, its existing systems. In 1985, the Agency developed a data this would not be cost-effective, significantly improve user architecture and began to apply data management pnnc3' satisfaction, or address inherent retrieval limitations.

ples to a portion of its mformation m order to reduce I

development and maintenance costs, improve data for Strategy for Data and Document Management management decision-making, improve the integrity and U"#" ##"#f#*'"#

reliability of @a, reduce data redundancy, and provide for more efficient dm entry.

Tb support improved integratior, and data management, NRC will implement a strong data administration pro-

+

In conducting its initial data management efforts, the gram to ensure that data is managed as an Agency re-Agency used mainframe systems which supported reac-source by (1) establishing policies and standards for shared

~,

tor-related functions, including inspection, enforcement data, (2) definir.g roles and responsibilitics for shared and event data. Many benefits resulted from this central -

~ data, and (3) implementing a data quality assurance pro-.

i data management program; for example, the Agency (1) gram.The staff will apply these data management policies =

l improved analysis and management in the inspection pro-

. and standards to major functional areas, including finan-i gram by instituting a uniform inspection planning process cial and contracts data, and database across all regions with the ability to track the

~i actions taken to followup and close out inspectable items; Document Management j

(2) found national trends in safety performance by making

~ 'Ib. improve document management ' systems in.Ihe uniform comparisons oflicensee performance and inspec-Agency, NRC will undertake a major initiative to imple-q i

15 NUREG-1487, Voll 1 t1 i

ment a modern text and image management system to Ofice ofNuclear Regulatory Research replace NUDOCS, provide the staff with robust docu-ment management systems, and reduce the need for other The Office of Nuclear Regulatory Research (RES) staff systems. The NRC will begin by applying BPR to stream.

use networked UNIX workstations to support evaluation line document management processes. In performing the and engineering activities associated with the design, ac-analysis, the NRC will categorize existing and proposed ceptance, and implementation of computer codes. These text management applications, to determine their re.

codes perform analyses for graphical system mterfaces, quirements. The staff will select the new approach based reactor simt.lation, plant process protection and control m the results of cost / benefit and alternatives analyses.

applications, seismic analysis, severe accident analysis,.

and other engmeenng simulations. The staff is moving existing codes from mainframe environments to these 3.3.4 High-Performance Computing high-performance workstations; is updating, enhancing, j

Applications or consolidating other codes; and is using satellite data i

communications to connect with outside networks such as The Challenge / Vision the U.S. Geological Survey's National Seismic Network to Increase activities to develop and implement technical computing applications needed to support future licens-Oficefor Analysis and Eraluation of Operational mg and regulatory activity m the program offices, such as p,f, for advanced reactor design certification, plant life exten-sion, and high level waste (HLW) repository licensing.

De Tbchnical Training Center (lTC) is using a variety of l

analytical codes for upgrading of reactor simulator models Description of the Current Environment and for development of classroom simulations. The clas-l sroom simulations will be accomplished using these codes l

The new, more powerful, microcomputer technologies on RISC/ UNIX-based workstations to compute and dis-enable the staff to perform scientific modeling and simu-play information that cannot be observed on simulator l

lation in distributed high-performance computing envi-instrumentation. As part of this effort, the staff is using i

l ronments. Rese systems have the potential to greatly advanced graphics software for process control applica-enhance the way the Agency conductsits mission activities tions, obtained through the Halden Reactor Project, to in such areas as advanced reactor design certification, develop the gmphical interface through which the infor-plant life extension, HLW repository licensing, and tech-mation will be dynamically displayed for classroom simu-nical training of NRC the staff. Although many of the staff lations. A necessary part of this effon is the electronic recognize the potential benefits of high-performance exchange of data and code among AEOD, the Halden computmg, most NRC c fices are still in the experimental Reactor Project, and the national laboratories.

r stages of using this new technology. More training and experience will be needed before the staff can take full A high-performance Ethernet network enables TTC in-advantage of high-performance computing applicationsin structors to control the center's GE and Babcock and performing licensing and rc gulatory work. The following V/ilcox (B&W) reactor simulators using Macintosh-based high-performance computing projects are currently un-instructor stations. The recently-acquired Combustion i

l derway in the program offices:

Engineering (CE) simulatoi uses a RISC/ UNIX-based l

Silicon Graphics 4D system and three Silicon Graphics OEice o/ Nuclear Reactor Regulation workstations. These Silicon Graphics workstations and several Sun SPARCstations are, likewise, connected to j

j in NRR, networked RISC/ UNIX workstations have been the Ethernet network.

installed to enable the staff to share computer codes and

.i data between NRR Divisions. The staff uses these work-At Headquarters, the AEOD is developing a Reactor stations to run computer models for analyzing advanced Safety Assessment System on a Sun SPARCstation which reactors ano operating reactor events. For example, uses expen system technology to support the analysis of high-performance models have been used to more clearly operational events at the NRC Operations Center.

l understand the behavior and containment concerns for advanced light water reactors such as tht; AP600 and the OBice ofNuclear Material Sqfety and Safeguards SBWR. Models have also been used to analyze the sigmfi-cance of inspection findings at operating reactors. For NMSS has completed the initial installation phase of an example, the staff modeled a degraded high pressure Advanced Cemputer Review System that will be used to emergency cooling system at an operating plant to deter-develop methods needed for review and licensing of the mine the effect on safety.

proposed Yucca Mountain repository by the DHLWM.

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NUREG-1487, Vol. I 16 i

Regulatory activitics that will be supported by the sptem will be continued and enhanced as needed. Future activi-include (1) development of the NRC License Application ties will include additional analytical codes and modifica-Review Plan, (2) review of DOE pre-licensing activities, tions to existing codes, graphical data transfers over (3) development of guidance for DOE on regulatory re-high-speed communication lines, improvements in satel-quirements (4) iierative performance assessments (IPAs) lite data communications techniques, and faster data ex-of the repository, and, eventually, (5) review the license changes between workstations and on high-performance application. These functions will require the staff and its computing networks.

consultants to develop and use a variety of engineering and scientific computer programs to evaluate repository design and performance. The staff eeeds ta commu nicate Oficefor Analysis and Evaluation of Operational large computer files and source code to its consultants and Data to outside mainframe computers using INTERNET and other networks to work effectively at long distances on The TTC will continue to develop workstation-based clas-nch tasks as the IPA. Graphical hardware and software stoom simulations using RISC/ UNIX workstations at the will be needed to allow the staff and its consultants to best speed permitted by available resources, including analyze large quantities of complex spatial and temporal coordinating with other offices to provide access, as re-data describing repository site characteristics, environ-quested, to the simulation wdes and tools acquired ment, and proj ected repository behavior and to help com-through TTC procurements.T1.e TTC will prepare to do municate and publish complex engineering drawings, site advanced reactor simulation, as time is available, as part characterization data, and results of computer models.*Ib of the Multiple Advanced Reactor Simulator project and meet these needs, the review system design presently wil; work toward moving more of the full scope simulator utilizes a high-perfonnance UNIX-based network com-models to the UNIX environment.

prised of a SPARCstation server, SUN-IPX workstations, a hightesolution printer, and 486 microcomputers. Other components to be added include an advanced graphics As a result of major software improvemente to several of server, a color printer, a digitizer, a scanner, a drum plot-TTC's full scope simulators (completed forge BWR/6, ter, additional workstations, and extensive software and in progress for B&W, and currently planned for Westirg-software support.

house), the existing super-minicomputer systems are fully utilized with little or no excess capacity. Future enhance-l Strategy for Analytical and Scientific Computing ments will therefore require additional computer capac-ity. RISC-based processors capable of executing code The Agency willcontinue and expand analytical and scien-from earlier platforms appears to be the best option for tific computing on h'ghperformance workstations to sup-this needed additional computer capabilitv.The new pro- -

port licensing and regulatory activities. Following are fu-cessors will be integrated in the TTC's hig$h-performance ture plans for individual NRC offices:

network architect ure,which enables the use of new UNIX tools while preserving the investment in older simulation Ofice ofNuclear Reactor Regidation software.

NRC will continue using RISC/ UNIX workstations to model and analyze reactor systems and containment be-OEice o/ Nuclear Material safety and sa/cguards havior for advanced reactors. 'Ihe staff will mereasmgly use models and scientific codes to analyze the significance The Division of HigleLevel Waste Management will con-of inspection findings and assess reportable events at op.

tinue to develop the Advanced Computer Review System, erating reactors.

described previously, according to the 3-year implementa-tion schedule. Upon completion, the system will serve Ofice ofNuclear Regulatory Research about 30 DHLW staff. IRM will assist NMSS by acquiring it is planned that RES activities requiring analytical and special commercial software and providing system sup-scientific computing on highperformance workstations port.

l 17 NUREG-1487, Vol.1 l

j LIST OF ACRONYMS ADM Office of Administration HW hi@lo'd uste AEOD Office for Analysis and Evaluation of Operational Data IPA iterative performance assessment APR Agency Procurement Request IRM Office ofInformation Resources AUTOS Agency Upgrade of Technology for Office Management Systems IT information technology BPR business process reengineering LAN local area network B&W Babcock & Wilcox LCM life cycle management CASE computer-aided systems engineering NASA National Aeronautics and Space CE Combustion Engineering Administration NIH NationalInstitutes of Health CNWRA Center for Nuclear Waste Regulatory Analyses NMSS Office of Nuclear Material Safety and Safeguards DCFO/C Deputy Chief Financial Officer and Controller NRC U.S. Nuclear Regulatory Commission NRR Office of Nuclear Reactor Regulation DHLWM Division of High-Level Waste Management OCS Nuclear Document System DPA delegation of procurement authority DSO designated senior official OMB Office of Management and Budget e-mail electronic mail RES Office of Nuclear Regulatory Research EPRI Electric Power Research Institute RISC Reduced Instruction Set Computation FAR Federal Acqusition Regulation SBWR Simplified Boiling Water Reactor FIP Federal information processing SIRMO Senior Information Resource Management FIRMR Federal Information Resources Omcial Management Regulation TAB

'Ibchnology Advancement Board FTP File Transfer Protocol TCP/IP Transmission Control Protocol /Internet FYP five-year plan Protocol

'ITC

'Ibchnical' Raining Center GE Oc.ieral Electric Company GSA General Services Administration WAN Wide Area Network NUREG-1487. Vol. I 18

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l APPENDIX A Agency IT Management As a Federal agency, the NRC is required to manage its curements that exceed $10 mi!! ion. The DSO also re-l information technology resources according to OMB Cir-tained authority for establishing and maintaining an over-cular A-130, which formally established the concept of -

all IRM Review Program for major IRM activities.

['

information resources management. OMB Circular l

A-130 specifies that Federal agencies manage theirinfor-Roles of the Office ofInformation Resources l

mation in an efficient, effective, and economical manner -

Management and comply with the information policies, principles, stan-dards, and guidelines prescribed by the Director of OMB.

IRM is resp]nsible for providm.g mformation resource :

management semees m the following areas:

j OMI} A-130 also required that the head of each agency

" computer, telecommunications, and informa- -

appomt a DSO for IRM. The DSO is responsible for tion services including database management, I

performing the IRM functions assigned to the Agency by office automation, computer hardware and i

~

OMB A-130 including software, systems development, computer op-crations, timesharing, nation-wide telecommu-o Reviewing the agency's IT activities mcations equipment and services, computer.

and systems security, the Information Technol-Ensuring all FIP resource acquisitions are conducted gy Services Center, user trammg, document -

o as required by the Federal Acquisition Regulation control and management, information collec.

and Federal Information hesources Management tions, central files, records management and.

Regulation semces, the library, graphics, and all necessary formation support services to other NRC of-j o

Ensuring that the agency's IT systems do not overlap or duplicate one another Implementmg government-wide and Agency infor-.

- lNUREG-0325, Revision 16, March 15,1993].

t o

matie i policies, standards, and guidelines rom of th On of' Administration I

o Reviewing and improving the accuracy and com-ADM is responsible for providing information resource pleteness of data and records management services in the following areas:

o Developing and annually revising a five-year plan for

" Freedom of Information 'Act and Privacy Act -

agency IT needs requests, publication services, mail and distri-bution services, and access to NRC public docu.

o Maintaining an inventoiy of the agency's major in-ments through its Local-Public Document formation management systems Rooms"'

i NRC Designated Senior Official

[NUREG-0325, Revision 16, March 15,1993).

The Deputy Executive Director for Nuclear Materials Roles of Other Offices l

Safety, Safeguards, and Operations Support is the NRC DSO for information resources management.The DSO NRC Headquarters and regional offices have their own has delegated authority for principal IRM functions to the mission-specific responsibilities that may require 1RM ac.

i Director, IRM, and the Director, ADM. He DSO has tivities. SIRMOs in major NRC offices have been ap-

.1

^

redelegated GSA's authority to acquire FIP resources for pointed to assist the DSO in carrying out IRM responsibi-those IRM functions under the purviewof each of the two lities within their offices.nc SIRM Os are responsible for office Directors and to sign all Agency Procurement Re-ensuring that their organizations how and comply with-4 quests (APRs) to GSA for competitive procurements be -

Agency policies and basic Federal regulations for acquir--

low a $10 million threshold.-

ing FIP resources and for developing and managing auto -

i mated information systems. The SIRMOs also represent De DSO retained authority to sign APRs requesting a-their organizations in reviewing aspects of NRC's IRM ;

i delegation of procurement authority from GSA for.

program and in preparing agencywide IRM plans, policiesi l

non<ompetitive procurements and for competitive pro-and budgets.

A-1 NUREG-1487, Vol.1 l,

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The NRC Deputy Chief Financial Officer and Controller In discussing and preparing this IT Strategic Plan, the staff (DCFO/C) is responsible for reviewing certain aspects of considered the following recommendations from the the design and operation of Agency financial systems to GSA report:

ensure that requirments of the Chief Financial Officers Act are met. The DCFO/C will review and concur in the (1) Improve IRM oversight functions design of information systems that provide, at least in part, financial and program performance data used in (2) Continue the strategic lRM planning process to en-financial statements and reports.

sure that plans are produced regularly, and that they address all aspects of planning and receive agency-wide, executive-level approval General Services Administration Review of NRC's (3) Develop a plan to modernize information systems i IRM Program based on agencywide planning -

(4) Establish a centrally managed IRM Review Program ;

The GSA delegates certain authorities to the NRC for the that focuses attention on majorinformation systems acquisition of FlP resources and has an oversight :cle. As l

part of this oversight, GSA recently completed its first (5) Continue the revision and improvement of its FlP q

triennial review of NRC's Information Resources Man-acquisition processes j

agement Program. GSA recommended that the Agency continue with activities to create and implement a strate-(6) Develop an information system architecture that is gic IRM plan connected to the Agency's Five-Year Plan.

linked with the strategic 1RM plan t

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NUREG-1487, Vol.1 A-2 l

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1 NRC FORM 335 U.S. NUCLEAR acGULAToRY COMMISSION '

1. REPORT NUMBER (2-89)

(Assigned by NRC. Add Vol.

.I NRCM 1102, Supp., Rsv., anct Ademdum Num-

)

{

j saoi,3202 BIBLIOGRAPHIC DATA SHEET

$* *

• d / 3 (See instructions on tne r. verse)

NUREG-1487 YOI. l

.]

2. TITLE AND SUBTITLE

3. DATE HEPORT PUBLISHED _

-j Fiscal Year 1994-1998 Information 'Ibchnology Strategic Plan yourg ygxn November 1993 i

4. FIN OR GRANT NUMBER f

1 a

l-

6. m i nOH W

6. TYPE OF REPORT -

t I

Strategic Planning and 'Ibchnical Advisory Staff Regulatory l

j

7. PORIOD COVERED (inclusive Dates) f 5

5 8

i a

. [

6. PERFORMING ORGANIZATION - NAME AND ADDRESS (if NRC, provide Division, Office or Region, U.S. Nuclear Regulatory Commission, and.

malling address; if contractor, provide name and mening address.)

Office of Information Resources Management l

U.S. Nuclear Regulatory Commission l

Washington, DC 20555-0001 P

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type "Same as above"; if contractor, provide NRC Division, Office or Region, U.S. Nuclear Regulatory Commission, and malhng address.)

Same as above.

i

?

10. SUPPLEMENTARY NOTES j

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11. ABSTRACT (200 words or less) i 1

A team of senior managers from across the U.S. Nuclear Regulatory Commission (NRC), working with the Office of '

Information Resources Management (IRM), has completed an NRC Strategic Information Technology (IT) Plan.Ite i

Plan addres:;es three major areas: (1) IT Program Management, (2) IT Infrastructure, and (3) Information and Applica-

[

tions Management. Key recommendations call for accelerating the replacement of Agency workstations, implementing -

j a new document management system, applying business process reengineering to selected Agency work processes, and j

establishing an Information 'Ibchnology Council to advise the Director of IRM.-

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12. KEY WORDS/DESCRIPTDRS (List words or phrases that will assist researchers in locating the report.)

13. AVAILABILITY STATEMENT

~ Unlimited j

Information technology Information and applications management

14. SECURITY CLASSIFICATION

.[

Information technology program management (This rase)

[

Information technology infrastructure Unclassified (This Report) -

3

~ Unclassified t

15. NUMBER OF PAGES I

16. PRICE NRC FORM 335 (2-89)'

l

./On recycled Printed aper Federal Recycling Program

NUREG-14tr7 -

_ il'3 CAT TEXiT5' TUT-M3 LUNITED STATES i

-FlRST CLASS MAILE

'_ NUCLEAR REGULATORY COMMISSION

_. Ji_w_,-.,.

POSTAGE AfiD FEES PAID _

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WASHINGTON,.D.C.E 20555 0001 usnRc r-l

- - ~

PERMIT NO. G-67 '.

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0FFICIAL BUSINESS -

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. PENAt.TY FOR PRIVATE USEl 2300 F

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