NATL INST OF STAND & TECH 111 'II HI! AlllDb T7fl3Dfl ^ ' ^ of Commerce Computer Science National Bureau and Technology of Standards Special Publication 500-105 NBS NBS PUBLICATIONS Guide to Software Conversion Management NATIONAL BUREAU OF STANDARDS The National Bureau of Standards' was established by an act ot Congress on March 3, 1901. The Bureau's overall goal is to strengthen and advance the Nation's science and technology and facilitate their effective application for public benefit. To this end, the Bureau conducts research and provides: (1) a basis for the Nation's physical measurement system, (2) scientific and technological services for industry and government, (3) a technical basis for equity in trade, and (4) technical services to promote public safety. The Bureau's technical work is per- formed by the National Measurement Laboratory, the National Engineering Laboratory, and the Institute for Computer Sciences and Technology. THE NATIONAL MEASUREMENT LABORATORY provides the national system of physical and chemical and materials measurement; coordinates the system with measurement systems of other nations and furnishes essential services leading to accurate and uniform physical and chemical measurement throughout the Nation's scientific community, industry, and commerce; conducts materials research leading to improved methods of measurement, standards, and data on the properties of materials needed by industry, commerce, educational institutions, and Government; provides advisory and research services to other Government agencies; develops, produces, and distributes Standard Reference Materials; and provides calibration services. The Laboratory consists of the following centers: Absolute Physical Quantities^ — Radiation Research — Chemical Physics — Analytical Chemistry — Materials Science THE NATIONAL ENGINEERING LABORATORY provides technology and technical ser- vices to the public and private sectors to address national needs and to solve national problems; conducts research in engineering and applied science in support of these efforts; builds and maintains competence in the necessary disciplines required to carry out this research and technical service; develops engineering data and measurement capabilities; provides engineering measurement traceability services; develops test methods and proposes engineering standards and code changes; develops and proposes new engineering practices; and develops and improves mechanisms to transfer results of its research to the ultimate user. The Laboratory consists of the following centers: Applied Mathematics — Electronics and Electrical Engineering^ — Manufacturing Engineering — Building Technology — Fire Research — Chemical Engineering^ THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts research and provides scientific and technical services to aid Federal agencies in the selection, acquisition, application, and use of computer technology to improve effectiveness and economy in Government operations in accordance with Public Law 89-306 (40 U.S.C. 759), relevant Executive Orders, and other directives; carries out this mission by managing the Federal Information Processing Standards Program, developing Federal ADP standards guidelines, and managing Federal participation in ADP voluntary standardization activities; provides scientific and technological advisory services and assistance to Federal agencies; and provides the technical foundation for computer-related policies of the Federal Government. The Institute consists of the following centers: Programming Science and Technology — Computer Systems Engineering. 'Headquarters and Laboratories at Gaithersburg, MD, unless otherwise noted; mailing address Washington, DC 20234. 'Some divisions within the center are located at Boulder, CO 80303. JIAnOKAL BXJREAa Of STANDARDS UBHART dJro- Computer Science ClL/60 and Technology .uS.1 NBS Special Publication 500-105 Guide to Software Conversion Management M. Skall, Editor Institute for Computer Sciences and Technology National Bureau of Standards Washington, DC 20234 Prepared by: CRC Systems, Incorporated 4020 Williamsburg Court Fairfax, VA 22032 U.S. DEPARTMENT OF COMMERCE Malcolm Baldrige, Secretary National Bureau of Standards Ernest Ambler, Director Issued October 1 983 Reports on Computer Science and Technology The National Bureau of Standards has a special responsibility within the Federal Government for computer science and technology activities. The programs of the NBS Institute for Computer Sciences and Technology are designed to provide ADP standards, guidelines, and technical advisory services to improve the effectiveness of computer utilization in the Federal sector, and to perform appropriate research and development efforts as foundation for such activities and programs. This publication series will report these NBS efforts to the Federal computer community as well as to interested specialists in the academic and private sectors. Those wishing to receive notices of publications in this series should complete and return the form at the end of this publication. Library of Congress Catalog Card Number: 83:600589 National Bureau of Standards Special Publication 500-105 Natl. Bur. Stand. (U.S.), Spec. Publ. 500-105,220 pages (Oct.1983) CODEN: XNBSAV U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 1983 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402 Price $6.50 (Add 25 percent for other than U.S. mailing) TABLE OF CONTENTS SECTION DESCRIPTION PAGE ABSTRACT 1 1 INTRODUCTION 2 1.1 OVERVIEW 2 1.2 GUIDE QUALIFICATIONS 3 1.3 HISTORY OF SOFTWARE CONVERSION 5 1.4 SOFTWARE CONVERSION IN THE INFORMATION SYSTEM LIFE CYCLE 7 1.5 PROJECT INITIATION PHASE 9 1.6 CONVERSION REQUIREMENTS PHASE 11 1.7 CONVERSION PLANNING PHASE 11 1.8 CONVERSION PREPARATION PHASE 12 1.9 CONVERSION PHASE 12 1.10 POST-CONVERSION PHASE 12 1.11 APPENDICES 13 2 PROJECT INITIATION PHASE 14 2.1 REASONS FOR CONVERSION 14 2.2 PROJECT INITIATION OBJECTIVE 16 2.3 PROJECT INITIATION ACTIVITIES 16 2.4 PROJECT MANAGEMENT APPOINTMENT AND PROJECT TEAM ESTABLISHMENT 16 2.5 INFORMATION SYSTEM USER AND TOP MANAGEMENT INTERFACE 19 2.6 PROJECT REPORTING AND CONTROLS 20 2.7 PRELIMINARY PLANNING 21 iii TABLE OF CONTENTS SECTION DESCRIPTION PAGE 2.8 ACCOMPLISHING THE FEASIBILITY STUDY AND COST ANALYSIS 26 2.9 PROJECT INITIATION MANAGEMENT DECISIONS 30 2.10 ECONOMIC CONSIDERATIONS 30 2.11 PROJECT INITIATION MANAGEMENT CHECKLIST 30 3 CONVERSION REQUIREMENTS PHASE 32 3.1 REQUIREMENTS PHASE OBJECTIVES 32 3.2 CONVERSION REQUIREMENTS ACTIVITIES 33 3.3 PROJECT TEAM STAFFING AND ORGANIZATION 33 3.4 APPLICATION SYSTEMS AND PROGRAMS INVENTORY EXTENSION AND ASSESSMENT 35 3.5 DATA FILES INVENTORY ) EXTENSION AND ASSESSMENT 39 3.6 CONVERSION TOOLS IDENTIFICATION AND SELECTION 42 3.7 WORKLOAD ESTIMATION REFINEMENT 45 3.8 DISTRIBUTED AND TELEPROCESSING REQUIREMENTS DEFINITION 46 3.9 SYSTEMS SOFTWARE REQUIREMENTS DEFINITION 46 3.10 PERSONNEL REQUIREMENTS DEFINITION 47 3.11 SECURITY REQUIREMENTS DEFINITION 47 3.12 CONVERSION FACILITIES REQUIREMENTS DEFINITION 48 3.13 SOFTWARE CONVERSION STUDY PREPARATION 49 IV TABLE OF CONTENTS SECTION DESCRIPTION PAGE 3.14 REQUIREMENTS PHASE MANAGEMENT DECISIONS 50 3.15 COST AND ECONOMIC CONSIDERATIONS 51 3.16 REQUIREMENTS MANAGEMENT CHECKLIST 52 4 CONVERSION PLANNING PHASE 54 4.1 PLANNING OBJECTIVES 54 4.2 - DECISIONS IMPACTING PLANNING 55 4.3 CONVERSION PLANNING ACTIVITIES 56 4.4 ORGANIZATION OF THE PROJECT TEAM FOR PLANNING 58 4.5 CONVERSION STAFFING PLAN 58 4.6 PLANNING FOR CONTRACTUAL ASSISTANCE/AUTOMATED CONVERSION TOOLS 61 4.7 PLANNING FOR TRAINING 64 4.8 PLANNING THE SOFTWARE CONVERSION SCHEDULE AND DEVELOPING PLANNING TRACKING MECHANISMS 66 4.9 SOFTWARE PREPARATION PLANNING 73 4.10 FUNCTIONAL USER AND EXECUTIVE INVOLVEMENT 76 4.11 HARDWARE ACTIVITIES 77 4.12 PLANNING FOR LOCATING THE CONVERSION TEAM 78 4.13 PLANNING FOR DOCUMENTATION OF CONVERTED PROGRAMS 78 4.14 CONTINGENCY PLANNING 78 4.15 SECURITY/ PLANNING 79 4.16 TELECOMMUNICATIONS PLANNING 80 4.17 FORMAL CONVERSION PLAN 80 V TABLE OF CONTENTS SECTION DESCRIPTION PAGE 4.18 PLANNING DECISIONS 82 4.19 ECONOMIC CONSIDERATIONS 82 4.20 PLANNING MANAGEMENT CHECKLIST 83 5 CONVERSION PREPARATION PHASE 856 5.1 OBJECTIVE 85 5.2 DECISIONS IMPACTING SOFTWARE CONVERSION 87 5.3 CONVERSION PREPARATION ACTIVITIES 87 5.4 BUDGET APPROVAL 89 5.5 DEVELOPMENT OF WORK PACKAGES 89 5.6 ASSEMBLE CONVERSION TEAM 90 5.7 TRAINING 90 5.8 OBTAINING CONTRACTUAL ASSISTANCE AND AUTOMATED CONVERSION TOOLS 91 5.9 LOCATING CONVERSION TEAM/OBTAINING EQUIPMENT 93 5.10 CONVERSION FACILITIES 93 5.11 DEVELOPMENT OF TEST FILES AND DATA 93 5.12 PROGRAM MODIFICATION AND INCORPORATION OF USER ENHANCEMENTS INTO SOFTWARE 94 5.13 DOCUMENTATION 95 I 5.14 i HARDWARE PROCUREMENT 95 i 5.15 ' USER AND TOP MANAGEMENT INVOLVEMENT 95 5.16 TRACKING PROGRESS 96 5.17 DEALING WITH UNFORESEEN PROBLEMS 96 vi TABLE OF CONTENTS SECTION DESCRIPTION PAGE 5.18 CONVERSION PREPARATION MANAGEMENT DECISIONS 100 5.19 ECONOMIC CONSIDERATIONS 100 5.20 CONVERSION PREPARATION MANAGEMENT CHECKLIST 101 6 THE CONVERSION PHASE 103 6.1 OBJECTIVE 103 6.2 CONVERSION PHASE ACTIVITIES 103 6.3 MANAGEMENT, ORGANIZATION AND STAFFING 105 6.4 EXTERNAL INTERFACE AND COORDINATION 107 6.5 TRAINING 109 6.6 SECURITY CONSIDERATIONS 109 6.7 THE SOFTWARE CONVERSION 109 6.8 UNIT AND SYSTEMS TESTING 111 6.9 PARALLEL TESTING AND CROSSOVER 114 6.10 DOCUMENTATION 114 6.11 CONVERSION MANAGEMENT DECISIONS 115 6.12 ECONOMIC CONSIDERATIONS 115 6.13 CONVERSION PHASE MANAGEMENT CHECKLIST 116 7