REQUEST FOR RECG_.i)S DISPOSITION AUTHORITY WVE BLANK (NARA Use Only)

TO: NATIONAL ARCHIVES AND RECORDS ADMINISTRATION JOB NUMBER

WASHINGTON, DC 20408 /- '/ 3/- 0 &-,/•

1. FROM (Agency or establishment) DATE RECEIVED/ /

U.S. Nuclear Regulatory Commission

2. MAJOR SUBDIVISION NOTIFICATION TO AGENCY

Office of Infonnation Services , In accordance with the provisions of 44 U.S.C. 3303a,

the disposition request, including amendments, is

3. MINOR SUBDIVISION approved esicept for items that stay be marked

"disposition not approved" or "withdrawn" in column -

10,

4.. NAME OF PERSON WITH WHOM TO CONFER 5. TELEPHONE

Deborah H. An~nentrout, C RM •).301-415-7228 ,•/ D-RHVITO HEUIEDSAE

6. AGENCY CERTIFICATION

I hereby certify that I am authorized to act for this agency in matters pertaining to the disposition of its records and that the records proposed

for disposal on the attached 2.pages are not now needed for the business of this agency or will not be needed after the retention periods

specified; and that written concurrence from the General Accounting Office, under the provisions of Title 8 of the GAO Manual for Guidance

of Federal Agencies,

is not required; LI is attached; or El has been requested.

DATE SIGNATURE OF AGENCY REPRESENTATIVE TITLE

c-_'______ (xYL-Margaret A. Janney, CRM/NS NRC Records Officer

7. 9. GRS or 10. Action

Item 8.. DESCRIPTION OF ITEM AND PROPOSED DISPOSITION Superseded Job Taken (NARA

No ... Citation Use Only)

Tite: "Rational Suite. of Tools (Rational), including the NRC System

Information Control.Database (NSICD)

(See Attathed Schedule)...........

• A1 

OIS PMDA Director Date

Office of General Counsel Date
4

U.S. Nuclear Regulatory Commission

Office of Information Services

Rational Suite of Tools (Rational)

Rational Suite of Tools (Rational), includina the NRC System Information Control

Database (NSICD)

Rational is a suite of tools used to assist in the development of electronic systems and to

document the processes and criteria required for this development. The Rational Suite is

available for use NRC-wide and helps to increase business value by improving software

development capability, the storage and management of system requirements and the system

change requests, and the documentation associated with these activities. System development

documentation are maintained within Rational until development has been completed at which

time the final versions are transferred to the NRC Agency-wide Document Access and

Management System (ADAMS). or other currently approved recordkeeping system. The

appropriate NARA approved records retention schedule is then applied to the records residing in

the recordkeeping system.

The NRC System Information Control Database, (NSICD) provides access to metadata

describing the purpose,-users and significant characteristics of the developed information

systems listed in ClearCase.

The electronic informa ,' • ent life cycle documentation including system

characteristics and change requests is plaCed into Rationao e duning the A "

development of a system. - f " .14i4 

2. MASTER FILE

a) Rational Suite

The Master file in ClearCase contains copies of the documentation created by the

Rational Suite of tools. Modified files are retained with new versions maintained as a

unique revision. These documents may include, but are not limited to:

* Project requirements, interface documents and specifications

• Development plans, responsibility assignments and status reports

* Configuration items

* Functional and logic diagrams

* Test plans and results.

* Program code

• Change requests, approvals and tracking data

* User documentation

0 System requirements and NIST security control requirements

0 Information security certification and accreditation documentation

0 CPIC tracking data

Disposition: TEMPORARY. Cut off files at end of the calendar year that the system is

declared operational. Transfer the last, version of the documentation to ADAMS or other

06/_19/2.008 2 NRCFinal- Rational NSICD (5-4-08).doc
. 4

currently approved recordkeeping system, as a record and destroy prior versions of these

documents.

NOTE: A NARA approved records retention schedule is then applied to the records

residing in ADAMS or other approved recordkeeping system.

b) NRC System Information Control Database (NSICD)

NSICD maintains metadata about the systems in development and use throughout the.

Agency. The information screens available through NSICD include:

" Main (System Information)

" Security Information

" Change Request

" Privacy Act Review

" Records Management

" Associated Hardware Assets

* System Software Assets

" System Documentation and Metadata

9 System Interfaces

" Users / Roles

" Notes

Disposition: TEMPORARY. Cut off files at end of the Calendar year that the system is

retired. Delete/destroy the NSICD metadata for the retired system(s) one year after

cutoff.

3. OUTPUT

System development documents are available to authorized users from the ClearCase

Repositories or Versioned Object Bases (VOBs) for use or-for reference during development.

Reports may be printed as required to manage information system development and

documentation.

ýmdevelopment documents before the information system is operational. Ap,' 4 by'

Disposition: TEMPORARY. ise and refile the documentation as wonecessary during the system development and testing s . . dv1,.;t, c,

rts created from the Rational Suite or NSICD systems for use. ' r"

Disposition: TEMPORARY. Destroy/delete when no on TeiPss '

purposes. 2 6//

-4 TEM DOCUMENTATION

System documen ational Suite component programs is available and retained

in ADAMS or other currently apprLove em.. System documentation

includes input specifications, codebooks, record layouts, user guodtesyn specifications and other system guidance,

06/19/2008 3 NRCFinal- Rational NSICD (5-4-08).doc
ORARY. Destroy or delete when superseded or obsolete, or upon ec.1

authorized deletion of the Rationa destruction of the outputs of the

system if the output is needed to protect legal rights, whichever is a . [GRS 20, Item I Ia]

A

06/19/2008 4 NRCFinal- Rational NSICD (5-4-08).doc
Backiaround:

The Office of Information Services plans, directs, and oversees the delivery of centralized

information technology (IT) infrastructure, applications, and information management (IM)

services, and the development and implementation of IT and IM plans, architecture, and policies

to support the mission, goals, and priorities of the agency.

The Office of Information Services is responsible for the development of the agency's

Information Systems and ensuring that IT security policies related to certification and

accreditation, training, and awareness are communicated to agency staff. The Rational Suite

supports the NRC system development processes defined in NUREG/BR-0 167, "Software

Quality Assurance Program and Guidelines". The Rational Suite is Commercial-Off-the-Shelf

(COTS) software from IBM.

The NRC uses the following Rational Suite software components:

* Rational Administrator - Used to manage the Rational Suite environment, and

associations between Rational artifacts such as Test data stores, Requisite Pro projects

and Rose models. Rational Administrator supports the developer in the creation and

management of a project using Rational, including upgrading project assets.

" Rational ClearCase - Provides the centralized repository for information system

documentation such as system implementation code, system requirements, IT security

documents and other documentation. ClearCase allows users to read, checkout and

modify documents contained in Versioned Object Bases (VOBs). Records stored through

ClearCase may be modified by authorized users, and these revisions are stored as new

versions of the record. Document revision history is available through ClearCase.

, Rational ClearQuest - Provides process automation, status reporting, defect and change

tracking, and workflow automation tools that support the software development and

testing lifecycle.

Rational ClearQuest Designer - Allows for the creation of database schemas, which

interact with MS SQL Server (2000) and interfaces, working in conjunction with

ClearQuest and other tools in the Rational Suite. The ClearQuest Designer has been used

to create information systems for the Agency, such as NRC System Information Control

Database (NSICD), the Capital Planning and Investment Control (CPIC) workflow and

the Change Request workflow.

* Rational Requisite Pro (ReqPro) - ReqPro is a requirements management tool used by

project teams to improve the communication of project goals, enhance collaborative

development, and increase requirements traceability. In addition, ReqPro produces use

case documentation, which is stored in ClearCase while under development.

" Rational Rose - Rose is a flowcharting and graphics modeling tool used in supporting the

systems development lifecycle.

06/19/2008 NRCFjnal- Rational NSICD (5-4-08).doc
a

* Rational SoDA - SoDA is a report generation tool that supports adhoc reporting as well

as formal documentation requirements. Reports are generated using the result set

produced from a query of a database.

" Rational TestManager - TestManager is a tool designed to help project teams manage

product testing from initial test case planning, through test development, to execution of

the tests and analysis of the results. System functional requirements are linked to test

cases, and documented to ensure complete test coverage.

" NRC System Information Control Database (NSICD) -- NSICD is an NRC-developed

system (developed using ClearQuest Designer), which maintains supplemental

information on all systems within the Agency. Specific data elements are accessible

through ClearQuest, and populated on ten separate data screens. The screens are

protected to restrict access to the various data screens.

06/19/2008 NRCFinal- Rational NSICD (5-4-08),doc