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DESIGN PHASE 45

7.0 DESIGN PHASE


During the Design Phase, the project team transforms the baselined
requirements into a detailed system design. At the conclusion of the
Design Phase, the project team should have a design that is aligned with
ICE architecture standards, accommodates the estimated system workload
to ensure that sufficient system resources are available before the system
is deployed, and can be supported within the existing infrastructure
environment. Any subsequent changes to the approved system design
during the development of the system or when the system is operational
first must be approved by Technical Architecture and Integration before
the project team may make any system changes implementing the
proposed design changes.
Exhibit 21 summarizes the entry criteria, objectives, and exit criteria of
the Design Phase.

Exhibit 21: Design Phase Overview

Phase Entry Criteria Phase Objectives Phase Exit Criteria


??Requirements Baseline ??D e v e l o p d e t a i l e d d e s i g n ??R e q u i r e d p h a s e d o c u m e n t
??Approval to begin phase specifications deliverables submitted to
as determined by work ??Establish design baseline the ICE Electronic Library
pattern ??P l a n a c q u i s i t i o n o f ??D e s i g n b a s e l i n e d
COTS/GOTS software or ??F i n a l A r c h i t e c t u r e a n d
hardware Design Review Approval
Certification signatories
concur that the project
team has satisfied the
review exit criteria
??Technical Architecture
and Integration approval
to conclude the Design
Phase and begin the
Development Phase

7.1 Design Phase Activities


During the Design Phase, the project team typically performs the key
activities identified in Exhibit 22. Each activity is subsequently decomposed
into the main tasks that the project team should execute to ensure that it
successfully and efficiently accomplishes the activity. The activities and
tasks are listed in the recommended order of completion; however, the
actual order will depend on the particular project.

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46 DESIGN PHASE

Exhibit 22: System Design Process

Requirements
Definition

Design
Approve/
Disapprove Key Activities:
(7.1.1.) Design system
(7.1.2.) Establish service level agreements with
production support teams
Preliminary (7.1.3.) Establish interface control agreements
Architecture (7.1.4.) Initiate Interconnection Security Agreement with
and Design
Review external organizations
(7.1.5.) Develop physical data model
(7.1.6.) Refine system workload estimates
(7.1.7.) Design end user training
(7.1.8.) Publish final System of Records Notice in the
Federal Register
(7.1.9.) Plan development testing
(7.1.10.) Initiate procurement of development, test, and
production environments

Final
Disapprove Architecture
and Design
Review

Approve
Development

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DESIGN PHASE 47

7.1.1 Design system


1. Contact the TAP Technical Architect to schedule a design planning meeting to
further refine the architectural vision and preliminary patterns documented in
the System ConOps during the Requirements Definition Phase and identify
initial system design concepts consistent with the Architectural Vision
Document .
2. Update the System ConOps to incorporate the refined architectural vision and
initial design concepts.
3. Define a preliminary system architecture and design consistent with the
architectural boundaries established for the project and documented in the
published Architectural Vision Document.
4. Inventory the hardware, COTS software, custom software, communications
infrastructure required to interconnect system components and external
systems, and other supporting infrastructure contained within the design.
5. Map the software to its underlying hardware and map the hardware to the
infrastructure on which it is dependent.
6. Demonstrate how the functionality is achieved within the proposed hardware,
software, and infrastructure components.
7. Define interface specifications.
8. Define a system configuration consistent with scalability, availability, and
reliability requirements.
9. Prepare a draft of the Design Document.
10. Determine appropriate data conversion strategies and develop draft
Conversion Plan.
11. Complete an IT change request (ITCR) for any aspect of the design not
approved within the technical architecture standards and submit the
completed IT change request to OIRM -IT . STANDARDS @ DHS . G O V for review
during the Preliminary Architecture and Design Review.
12. Create a mock -up of t he GUI:
a. Plan the layout of the GUI elements.
b. Assess the usability of the GUI design from an end user perspective.
c . Coordinate with the ICE Architecture Assurance Manager to assist in (a)
convening the user group to review the GUI mock -up, (b) arranging the
hosting of and facilitation services for the user group meeting, and (c)
coordinating the user group meeting logistics.
d. Convene the user group to review the GUI mock -up.
e. Coordinate with the user group facilitator to prepare a User Group
Meeting Report, doc umenting the results of the GUI mock -up review.
13. Describe the final software design, which may include the use of pseudo-
code, data flows, sequence diagrams, class diagrams, or other description
techniques.
14. Update the Design Document to incorporate any syst em architecture and
design changes identified during the Preliminary Architecture and Design
Review.
15. Trace each design element to its source requirements.
16. Update the Requirements Traceability Matrix (RTM) to map each requirement
to its corresponding design element.

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7.1.2 Establish service level agreements with production support teams


1. For each class of infrastructure to be supported, review the corresponding
SLA template and identify any items that the project team needs clarified.
2. Contact IT Engineering Servi ces and Service Delivery to schedule a meeting
to (a) review the Architectural Vision Document for the project and the
preliminary architectural and runtime patterns, (b) discuss the relevant
architecture standards, and (c) walk through the SLA templates t o clarify
expectations and any special support needs.
3. Prepare the production support SLAs.
4. Contact ICE IT Engineering Services to schedule a meeting to review and
sign the final SLAs.

7.1.3 Establish interface control agreements


1. Contact the target systems with which the subject system will interface and
determine whether the systems are owned by DHS or one of its organizational
elements or whether the systems are owned by an organization external to
DHS. If the latter, the project team must establish an Interc onnection Security
Agreement with the target systems during the Test and Deployment Phase in
addition to the Interface Control Agreements before the connection may
become operational.
2. Coordinate with the TAP Technical Architect to assist in scheduling, hos ting,
and facilitating an interface planning meeting at which the subject system
stakeholders and target system stakeholders will (a) review the business
objectives for the particular interfaces, (b) identify and resolve any non-
standard data requirements that could introduce data compatibility issues and
negatively affect the capability to share information, (c) ascertain any special
packet assembly and processing requirements, (d) determine the optimal data
exchange methods, (e) identify the required system and data access controls
that must be implemented to safeguard the integrity and availability of the
system and information, and (f) stipulate how data transmission security will
be implemented in the interface. In addition to the respective system owners,
IT project managers, and contractor project team managers and technical
leads, ensure that the IT Business Council, ICE Data Steward, the TAP
Technical Data Architect, and the respective database administrators, ISSOs,
and security engineers are invited to the meeting.
3. Prepare a separate Interface Control Agreement for each target system with
which the subject system will interface.

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7.1.4 Initiate Interconnection Security Agreement with external organizations


1. Contact the external systems with which the subject system has a connection.
2. Coordinate with the OISSM and external organizations to specify the security
safeguards for the systems being interconnected.
3. Identify the type of connection and the physical location of connection
equipment, including addresses and room numbers.
4. Stipulate how the equipment location is to be secured, such as via key card entry,
hand biometrics, guards stationed in the building lobby, a sign-in process to gain
access, or the escorting of non-authorized persons within the working area.
5. Clarify whether the location is owned or leased by DHS, the other
Government agency, or a contract support organization.
6. Clarify whether the equipment is owned or leased by DHS, the other
Government agency, or a contract support organization.
7. Spec ify any system security considerations.
8. Prepare the Interconnection Security Agreement.

7.1.5 Develop physical data model


1. Review the ICE Modeling Standards to become familiar with the ICE
guidelines for developing physical data models.
2. Create the physical dat a model.
3. Conduct a formal peer review, which include`es Decision Support and the
database administrators, of the completed physical data model for accuracy
and completeness.
4. Resolve any issues or defects identified during the peer review.
5. Generate the fi nal physical data model.
6. Update the Data Management Plan.

7.1.6 Refine system workload estimates


1. Contact the TAP Technical Architect assigned to the project for any
assistance in estimating the system workload.
2. Specify system availability, including maximum allowable downtime within the
data center and maintenance downtime specifications.
3. Specify production schedule, including hours of operation, peak usage times,
and off-peak usage times.
4. Specify backup requirements, including archival, data export, and backup
retention requirements.
5. Estimate the number of users by user class.
6. Specify the storage requirements.
7. Identify the physical locations where system components will reside and the
types of sites where the system will be implemented.
8. Specify the most data i ntensive types of transactions.
9. Specify the system usage estimates and characteristics.
10. Prepare the System Workload Analysis Document.

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7.1.7 Design end user training


1. Coordinate with the System Owner and Training Services, a branch within
Service Delivery, to plan and schedule training.
2. Review the completed Training Strategies Worksheet. This worksheet serves
as input for the Training Plan.
3. Identify the target training audience.
4. Perform a needs analysis.
5. Coordinate with the ISSO and the Security Engineer to identify initial security
training requirements.
6. Analyze the training requirements and identify performance objectives.
7. Develop course objectives.
8. Determine the training methodology.
9. Identify the training resources.
10. Prepare the Training Plan, including the training schedule, class outline, class
descriptions, training materials, resources, and facility requirements.

7.1.8 Publish final System of Records Notice in the Federal Register


1. Contact the FOIA/PA Program Office within the USCIS Office of Records
Services as soon as possible to coordinate the preparation of the final
System of Records Notice.
2. Provide the USCIS FOIA/PA Program Office with the following information to
ensure that it has the information needed to complete the final System of
Records Notice:
a. S ystem name, location, and purpose
b. Title and official address of system owner
c . Categories of individuals covered by the system
d. Categories of records maintained in the system and their purpose
e. Categories of the sources of information contained in the system records
3. Coordinate with the FOIA/PA Program Office to publish the System of
Records Notice in the Federal Register at least 40 days in advance of system
operation as mandated by the U.S. Congress.

7.1.9 Plan development testing


1. Define the scope of development testing.
2. Specify the tests to be performed and identify the organizations responsible
for the tests. Development security test and evaluation (ST&E) must be
included as one of the tests.
3. Determine the testing environment.
4. Develop the test criteria.
5. Prepare the Development Test Plan and the Development ST&E Plan.

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7.1.10 Initiate procurement of development, test, and production


environments
1. Initiate and communicate procurement activities required for acquisition of
hardware, software, software licenses, COTS/GOTS products, and other
infrastructure required to create the system development environment.
2. Initiate and communicate procurement activities required for acquisition of
hardware, software, software licenses, COTS/GOTS products, and other
infrastructure required to create the test environments.
3. Initiate and communicate procurement activities required for acquisition of
hardware, software, software licenses, COTS/GOTS products, and other
infrastructure required to create the production environment.

7.2 Design Phase Document Artifacts


The project team records the evidence of its work in a set of document
artifacts, the possible range of which is identified in Exhibit 23. The
approved project work pattern determines the required documents, which
compose the set of phase document artifacts and are identified in the
project work breakdown structure (WBS).

Exhibit 23: Design Phase Document Artifacts

Design Phase Document Artifacts

New
??D e s i g n D o c u m e n t ??Contingency Plan
??S e r v i c e L e v e l A g r e e me n t s ??D e v e l o p m e n t T e s t P l a n
??Standard Form 115 (Request for ??Development Security Test and Evaluation (ST&E)
Disposition Authority) Plan
??System of Records Notice ??Conversion Plan

Updated if needed
??D a t a M a n a g e m e n t P l a n ??R e q u i r e m e n t s T r a c e a b i l i t y M a t r i x
??System Workload Analysi s D o c u m e n t ??P r o j e c t M a n a g e m e n t P l a n

Note: Some of these artifacts are updated, expanded, and refined continually throughout the lifecycle
as the project evolves; provide the appropriate level of detail commensurate with the complexity of the
project and the information available during this phase.

7.3 SLM Milestone: Preliminary Architecture and Design


Review
The Preliminary Architecture and Design Review confirms whether the
preliminary system architecture and design is consistent with the
technical architecture and satisfies the requirements baseline. This key
review provides the IT Project Manager with an opportunity to receive
technical feedback from stakeholders and have changes made to the
preliminary system architecture and design, if needed, before spending

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52 DESIGN PHASE

additional resources to develop a system design that is ultimately


unsupportable. Exhibit 24 provides a guide to the Preliminary
Architecture and Design Review.
Exhibit 24: Preliminary Architecture and Design Review Guide
Guide to the Preliminary Architecture and Design Review

Pre -Review Activities Review Activities Post-Review Activities

??Verify that all ??Review design and project status: ??R e s o l v e a n y o u t s t a n d i n g


outstanding The project team presents an overview review issues
Requirements Review o f t h e p r o p o s e d system architecture and ??Incorporate any required
issues have been a h i g h -level design and updates the changes or additional
resolved project status content into the Design
??S u b mit the Design Phase ??R e v i e w D e s i g n D o c u m e n t : I C E Phase documents
document artifacts to the Architecture Assurance raises any ??F o r w a r d a n y u p d a t e d
ICE Electronic Library questions or issues with the proposed d o c u m e n t a s a s i n gle
??S e n d a n e -m a i l design and reports on any outstanding electronic file to the ICE
notification to issues Electronic Library
S L M R E V I E W @ D H S. G O V t o ??R e v i e w a r t i f a c t s : ICE Architecture
schedule the Preliminary Assurance confirms that the artifacts
Architecture and Design are in the ICE Electronic Library and
Review reports the document assessment
??D o w n l o a d t h e results
Preliminary Architecture ??R e c o r d P r e l i m i n a r y A r c h i t e c t u r e a n d
and Design Review Design Review results: The
Presentation template chair/facilitator completes the
from the ICE Electronic Preliminary Architecture and Design
Library and prepare an R e v i e w Approval Certification form with
overview of the input from the appropriate stakeholders
preliminary system and notes any issues
architecture and design
and a project status
update briefing to
present at the review

Typical Review Attendees

??T A P S L M R e v i e w F a c i l i t a t o r ??OISSM Representative


??S y s t e m O w n e rS ??IT Engineering Services Representative S
S
??I T P r o j e c t M a n a g e r ??D e c i s i o n S u p p o r t R e p r e s e n t a t i v e
??C o n t r a c t o r P r o j e c t T e a m M a n a g e r ??Technical Architecture and Integration
??TAP Technical Architect Representative A

??I n f o r m a t i o n S y s t e m S e c u r i t y O f f i c e r ??TAP Quality Assurance Analyst

S
Signatory
A
Approval Authority

7.4 SLM Milestone: Final Architecture and Design Review


The Final Architecture and Design Review serves as the definitive design
review before the actual system development begins. The Final
Architecture and Design Review verifies that the system design adequately
addresses all system functional, security, and technical requirements and
is consistent with the ICE architecture. Exhibit 25 provides a guide to the
Final Architecture and Design Review.

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DESIGN PHASE 53

Exhibit 25: Final Architecture and Design Review Guide

Guide to the Final Architecture and Design Review

Pre -Review Activities Review Activities Post-Review Activities

??Verify that all ??R e v i e w a r t i f a c t s : ICE Architecture ??R e s o l v e a n y o u t s t a n d i n g


outstanding Preliminary Assurance confirms that the artifacts are review issues
Architecture and Design in the ICE Electronic Library and reports ??O b t a i n T e c h n i c a l
Review issues have the document assessment results A r c h i t e c tu r e a n d
been resolved ??R e v i e w s y s t e m d e s i g n a n d project Integration approval of
??S u b m i t t h e D e s i g n s t a t u s : The project team presents an final design, substantiated
Phase document overview of the detailed system design, by a signed Final
artifacts to the ICE justifies the use of any non-s t a n d a r d Architecture and Design
E l e c t ronic Library technology not already agreed to during Review Approval
??S e n d a n e -m a i l the Preliminary Architecture and Design Certification
notification to Review, and updates the project status ??Incorporate any required
S L M R E V I E W @ D H S. G O V t o ??D i s p o s e o f n o n-s t a n d a r d d e s i g n changes or additional
schedule the Final a s p e c t s : ICE Technical Architecture and content into the Design
Architecture and Design Integration notifies project team of Phase documents and
Review disposition of any IT change requests submit the updated
??Download the Final associated with this design documents to t h e I C E
Electronic Library
Architecture and Design ??Update on independent testing
Review Presentation preparations: TAP I ndependent Test
template from the ICE and Evaluation raises any functional,
Electronic Library and performance, and interoperability testing
prepare an overview of issues based on the detailed system
the detail ed system design and reports on the status of
design and a project preparations for independent testing
status update briefing to ??Update training status: T h e p r o j e c t
present at the review team reports on the status of training
planning activities
??R e v i e w s y s t e m d e s i g n a s p e c t s w i t h
Help Desk representatives: The project
team presents the overall architecture,
deployment plans, infrastructure impacts,
and materials to be provided to facilitate
help desk support
??R e c o r d F i n a l A r c h i t e c t u r e a n d D e s i g n
Re v i e w r e s u l t s : Th e chair/facilitator
completes the Final Architecture and
Design Review Approval Certification
form with input from the appropriate
stakeholders and notes any design
concerns

Typical Review Attendees

??T A P S L M R e v i e w F a c i l i t a t o r ??IT Engineering Services Repre sentative S


S
??S y s t e m O w n e r ??D e c i s i o n S u p p o r t R e p r e s e n t a t i v e
??I T P r o j e c t M a n a g e rS ??S e r v i c e D e l i v e r y R e p r e s e n t a t i v e
??C o n t r a c t o r P r o j e c t T e a m M a n a g e r ??Technical Architecture and Integration
??TAP Technical Architect Representative A

??I n f o r m a t i o n S y s t e m S e c u r i t y O f f i c e r ??TAP Quality Assurance Analyst

??OISSM Representative
S
Signatory
A
Approval Authority

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54 DESIGN PHASE

7.5 Design Phase Stakeholder Roles


Exhibit 26 identifies the stakeholders and their roles in the completion of
the activities during the Design Phase.

Exhibit 26: Design Phase Stakeholder Roles Matrix

P = Performer SLM Roles


C = Collaborative Partner

IT Business Management

USCIS Records Services


Contractor Project Team
Architecture Engineering

IT Engineering Services
Architecture Assurane
R = Resource and

Systems Engineering
IT Business Council
IT Project Manager

Training Services
Guidance

Service Delivery
System Owner

User Group
Help Desk
ISSM

ISSO
Design system R P R R R R P R R

Establish service level


agreements with R P R R P
production support
teams
Establish interface
R P R R P R
control agreements

Initiate Interconnection
Security Agreement with R P R P R
external organizations

Develop physical data


R P R P
model
Activities

Refine system workload


R P R R P R
estimates

Design end user training R P R P R R

Publish final System of


Records Notice in the R P P R
Federal Register

Plan development
R P R R P R
testing

Initiate procurement of
development test, and R P R P
production
environments

Coordinate and
consolidate document P
assessments

Final Architecture and Design Review

October 2004 ICE System Lifecycle Management Handbook