NIST Spetial Publication 500-220. Guide on Open System Environment

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NIST Spetial Publication 500-220
Guide on Open System Environment (OSE) Procurements

Gary E. Fisher

Systems and Software Technology Division Computer Systems Laboratory National Institute of Standards and Technology Gaithersburg, Maryland 20899
October 1994

EXECUTIVE SUMMARY

The guidance in this report pertains to U.S. Government acquisition of Open System Environment (OSE) infrastructure including operating system, human/computer interface, software engineering, data management, data interchange, graphics, network, security, and system/network management services based on implementations of standard application program interfaces, programming languages, data formats, and protocols. Other organizations, such as state and local governments, academic, and private institutions also may find the information helpful in defining computing environments that promote application portability, interoperability, and scalability.
The procurement of information technology that provides an OSE can be complex and difficult to manage. Much can be learned from procurement actions that have been instituted for acquiring the technology to support an OSE. This report provides a source of such information.
An Open System Environment encompasses the functionality needed to provide interoperability, portability, and scalability of computerized applications across networks of heterogeneous, multi-vendor hardware/software/communications platforms. The OSE forms an extensible framework that allows services, interfaces, protocols, and supporting data formats to be defined in terms of nonproprietary specifications that evolve through open (public), consensus-based fomms.
A selected suite of specifications that defines the interfaces, services, protocols, and data formats for a particular class or domain of applications is called a profile. The Application Portability Profile (APP) integrates industry, Federal, national, international, and other specifications into a Federal application profile to provide the functionality necessary to accommodate a broad range of Federal information technology requirements.
The Open System Environment concept has become ubiquitous throughout both the public and private sectors. Federal agencies are finding that open systems provide a more flexible, cost-effective, and beneficial environment for supporting mission-critical applications than previous infrastructures based on proprietary technology. They are also finding that the initial move to open systems can be expensive and difficult to manage if not planned carefully.
There are many acquisition strategies possible when implementing an OSE. The implementation of OSEs will most likely be accomplished in a series or combination of acquisitions. The planning and design of the OSE may be a single procurement where engineering services and information systems are purchased under the same contract through an integrator. This strategy has risks associated with it. If the acquisition is delayed, then the implementation will be delayed. Another acquisition strategy may involve a series of separate acquisitions where the agency may perform the integration or establish a contract for integration services.
Agencies have requested assistance from the Computer Systems Laboratory (CSL) in an effort to control the evolution of open systems and provide guidance on managing the transition from current environments to the OSE. In the process of implementing open systems, agencies have found that significant up-front planning and current knowledge of technology are necessary to remain flexible and to take advantage of targets of opportunity as they arise. Many lessons-learned in OSE acquisition programs that agencies have undertaken are included in this report. This information is meant to assist program managers and senior project engineers in acquiring an OSE on which to build flexible, modular systems and applications.

TABLE OF CONTENTS

HOW TO USE THIS REPORT ix

1. INTRODUCTION 1
    1.1 Purpose 1
    1.2 Scope 1
    1.3 Report Organization. 3

2. OSE REQUIREMENTS AND SPECIFICATIONS 3
    2.1 Operating System Services 5
    2.2 Human/Computer Interface Services 6
    2.3 Software Engineering Services 7
    2.4 Data Management Services 7
    2.5 Data Interchange Services 8
    2.6 Graphics Services 8
    2.7 Network Services 9
    2.8 Integral Supporting Services 9
            2.8.1 Security Services 9
            2.8.2 Management Services 10
    2.9 Additional Services Requirements 10

3. ACQUIRING AN OPEN SYSTEM ENVIRONMENT   11
    3.1 Scope of the Acquisition 11
            3.1.1 Systems and Applications 12
            3.1.2 Requirement for Open System Environment. 15
    3.2 Standards Testing 17
            3.2.1 Applicability of FIPS 17
            3.2.2 Validation Testing 18
            3.2.3 Interoperability Testing 23
            3.2.4 Portability Testing 23
            3.2.5 Scalability Testing 24
            3.2.6 Capability Demonstration. 25
            3.2.7 Alternatives to Testing 26
                3.2.8 Instructions to Offerers 27
            3.2.9 Evaluation of Proposals 27

4. OPERATING SYSTEM SERVICES . 28
    4.1 Instructions to Offerers 30
    4.2 Evaluation of Proposals 31

5. HUMAN/COMPUTER INTERFACE SERVICES 31
    5.1 Instructions to Offerers 33
    5.2 Evaluation of Proposals 33

6. SOFTWARE ENGINEERING SERVICES 34
    6.1 Instructions to Offerers 36
    6.2 Evaluation of Proposals 37

7. DATA MANAGEMENT SERVICES 37
    7.1 Instructions to Offerers 40
    7.2 Evaluation of Proposals 40

8. DATA INTERCHANGE SERVICES . 40
    8.1 Instructions to Offerers 44
    8.2 Evaluation of Proposals 44

9. GRAPHICS SERVICES 45
    9.1 Instructions to Offerers 46
    9.2 Evaluation of Proposals 46

10. COMPUTER NETWORK SERVICES 46
    10.1 Instructions to Offerers 52
    10.2 Evaluation of Proposals 53

11. SECURITY SERVICES 53
    11.1 Instructions to Offerers 57
    11.2 Evaluation of Proposals 57

12. MANAGEMENT SERVICES 57
    12.1 Instructions to Offerers 58
    12.2 Evaluation of Proposals 58

13. NONSTANDARD PROFILE SPECIFICATIONS 58

14. HARDWARE REQUIREMENTS 59

15. TRANSITION PLANS 60
    15.1 Baseline Definition and Analysis . 62
            15.1.1 Instructions to Offerers 64
            15.1.2 Evaluation of Proposals 64
    15.2 Objective Architecture . 65
            15.2.1 Instructions to Offerers   65
            15.2.2 Evaluation of Proposals 65
    15.3 Transition Strategy   66
            15.3.1 Instructions to Offerers . 68
            15.3.2 Evaluation of Proposals 69
    15.4 Intermediate Target Implementation Plans   71
            15.4.1 Instructions to Offerers. 72
            15.4.2 Evaluation of Proposals 72
    15.5 Training . 72

16. EVALUATING PROPOSALS . 72

17. CONCLUSION 73

ANNEX A. OSE EVALUATORS 75
        A.I Operating System Services Evaluators . 75
        A.2 Human/computer Interface Services Evaluators 75
        A.3 Data Management Services Evaluators 76
        A.4 Combined Data Interchange and Graphics Services Evaluators 77
        A.5 Software Engineering Services Evaluators 77
        A.6 Network Services Evaluators 78
        A.7 Security Services Evaluators 78
        A.8 Management Services Evaluators 79
        A.9 Adjunct Technical Support Team 80
        A.10 Proposal Evaluation Lessons Learned 80
        A.11 Evaluation Criteria 80
        A.12 Example Evaluation Factors for Operating System Services 81
        A. 13 Example Evaluation Factors for Human/computer Interface Services. 81
        A. 14 Example Evaluation Factors for Programming Services . 82
        A. 15 Example Evaluation Factors for Network Services 82

ANNEX B. EXAMPLE OF SOW REQUIREMENTS 85

ANNEX C. REFERENCES 109

DOCUMENT SOURCES    112

ELECTRONIC DOCUMENT SOURCES 115

ANNEX D. OSE DECISION TABLE 119

GLOSSARY 123

INDEX 143

LIST OF FIGURES
Figure 1. Relationship of OSE Requirements to Procurement Process. 4
Figure 2. Data Interchange Complexity Levels. 8
Figure 3. Example of OSE Configuration Summary. 14
Figure 4. Sample Baseline Configuration Diagram. .. 63
Figure 5. Middleware and Standard Interface Configurations. 70
Figure 6. Sample Baseline Configuration Diagram. 104

LIST OF TABLES
Table 1. RFP Sections Emphasized in the OSE Procurement Guide 2
Table 2. Specifications and Testing Organizations 21
Table 3. Example of Baseline Product Configuration 66

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