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.

ICE System Lifecycle Management Handbook October 2004

1.) Initiate procurement of development.3.46 DESIGN PHASE Exhibit 22: System Design Process Requirements Definition Design Approve/ Disapprove Key Activities: (7.4.) Design system (7.8.1.5.) Develop physical data model (7.1.) Design end user training (7.9.) Establish interface control agreements Architecture (7.) Plan development testing (7.1.6.1.1.1. and production environments Final Disapprove Architecture and Design Review Approve Development October 2004 ICE System Lifecycle Management Handbook .1.1.2.1.10.) Publish final System of Records Notice in the Federal Register (7.) Refine system workload estimates (7.7.) Establish service level agreements with production support teams Preliminary (7.) Initiate Interconnection Security Agreement with and Design Review external organizations (7. test.1.

Demonstrate how the functionality is achieved within the proposed hardware. b. 16. Prepare a draft of the Design Document. 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 . e. data flows. communications infrastructure required to interconnect system components and external systems. 11. 7. or other description techniques. 4. custom software. availability.DESIGN PHASE 47 7. Update the Requirements Traceability Matrix (RTM) to map each requirement to its corresponding design element. 5. COTS software. doc umenting the results of the GUI mock -up review. c . G O V for review during the Preliminary Architecture and Design Review. 9. which may include the use of pseudo- code. and infrastructure components. 3. 8. Coordinate with the user group facilitator to prepare a User Group Meeting Report. class diagrams. and reliability requirements. Update the Design Document to incorporate any syst em architecture and design changes identified during the Preliminary Architecture and Design Review. (b) arranging the hosting of and facilitation services for the user group meeting. Update the System ConOps to incorporate the refined architectural vision and initial design concepts. d. ICE System Lifecycle Management Handbook October 2004 . 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 . STANDARDS @ DHS . Coordinate with the ICE Architecture Assurance Manager to assist in (a) convening the user group to review the GUI mock -up. Map the software to its underlying hardware and map the hardware to the infrastructure on which it is dependent. sequence diagrams. 2. and other supporting infrastructure contained within the design. Inventory the hardware. 15. Assess the usability of the GUI design from an end user perspective. and (c) coordinating the user group meeting logistics. Determine appropriate data conversion strategies and develop draft Conversion Plan. Convene the user group to review the GUI mock -up. 14. 10. Define a system configuration consistent with scalability. Create a mock -up of t he GUI: a.1 Design system 1.1. Define interface specifications. 12. Plan the layout of the GUI elements. software. Define a preliminary system architecture and design consistent with the architectural boundaries established for the project and documented in the published Architectural Vision Document. Describe the final software design. 13. 6. Trace each design element to its source requirements.

October 2004 ICE System Lifecycle Management Handbook . Contact ICE IT Engineering Services to schedule a meeting to review and sign the final SLAs. 7. hos ting. If the latter. and (f) stipulate how data transmission security will be implemented in the interface. and (c) walk through the SLA templates t o clarify expectations and any special support needs. IT project managers. (d) determine the optimal data exchange methods. and contractor project team managers and technical leads.1. review the corresponding SLA template and identify any items that the project team needs clarified. 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. ensure that the IT Business Council. (b) discuss the relevant architecture standards.48 DESIGN PHASE 7. 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. Prepare a separate Interface Control Agreement for each target system with which the subject system will interface. (b) identify and resolve any non- standard data requirements that could introduce data compatibility issues and negatively affect the capability to share information. 4. and the respective database administrators. (c) ascertain any special packet assembly and processing requirements. Coordinate with the TAP Technical Architect to assist in scheduling.1. 3.2 Establish service level agreements with production support teams 1. (e) identify the required system and data access controls that must be implemented to safeguard the integrity and availability of the system and information. the TAP Technical Data Architect. 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. For each class of infrastructure to be supported. In addition to the respective system owners. 3. 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. Prepare the production support SLAs.3 Establish interface control agreements 1. 2. and security engineers are invited to the meeting. ISSOs. ICE Data Steward. 2.

Resolve any issues or defects identified during the peer review. 8. including addresses and room numbers. 7. 9. 3. the other Government agency. Specify system availability. data export.DESIGN PHASE 49 7. peak usage times. hand biometrics. Spec ify any system security considerations. Identify the type of connection and the physical location of connection equipment. 5. Specify the system usage estimates and characteristics.1. Prepare the Interconnection Security Agreement. a sign-in process to gain access. 4. or a contract support organization. which include`es Decision Support and the database administrators.4 Initiate Interconnection Security Agreement with external organizations 1.6 Refine system workload estimates 1. 6. Conduct a formal peer review. 2.1. 5. such as via key card entry. or the escorting of non-authorized persons within the working area. 7. Specify the storage requirements. 6. 4. and backup retention requirements. Generate the fi nal physical data model. Prepare the System Workload Analysis Document. 3. Contact the external systems with which the subject system has a connection.5 Develop physical data model 1. Specify the most data i ntensive types of transactions. Coordinate with the OISSM and external organizations to specify the security safeguards for the systems being interconnected. including hours of operation.1. Identify the physical locations where system components will reside and the types of sites where the system will be implemented. 8. Specify production schedule. the other Government agency. guards stationed in the building lobby. and off-peak usage times. 3. Clarify whether the location is owned or leased by DHS. Review the ICE Modeling Standards to become familiar with the ICE guidelines for developing physical data models. 5. 7. ICE System Lifecycle Management Handbook October 2004 . 4. 2. Stipulate how the equipment location is to be secured. Update the Data Management Plan. Clarify whether the equipment is owned or leased by DHS. including maximum allowable downtime within the data center and maintenance downtime specifications. of the completed physical data model for accuracy and completeness. 10. Estimate the number of users by user class. or a contract support organization. Specify backup requirements. including archival. Create the physical dat a model. 7. Contact the TAP Technical Architect assigned to the project for any assistance in estimating the system workload. 6. 2.

6. class outline.1. Develop course objectives. 2. 2. 5. 4. Coordinate with the ISSO and the Security Engineer to identify initial security training requirements. October 2004 ICE System Lifecycle Management Handbook . to plan and schedule training. This worksheet serves as input for the Training Plan. 10. Define the scope of development testing. Categories of records maintained in the system and their purpose e.1. S ystem name.7 Design end user training 1. training materials. class descriptions. Coordinate with the System Owner and Training Services. 2. Determine the training methodology. Identify the training resources. Specify the tests to be performed and identify the organizations responsible for the tests. Prepare the Development Test Plan and the Development ST&E Plan. 4. 7. a branch within Service Delivery. 3.1. Analyze the training requirements and identify performance objectives. and facility requirements. 9. 5. Perform a needs analysis. Categories of individuals covered by the system d. 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. 7. 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. Determine the testing environment.50 DESIGN PHASE 7.S. Development security test and evaluation (ST&E) must be included as one of the tests. location. Title and official address of system owner c . 3. resources. and purpose b. Congress. 8.9 Plan development testing 1. Identify the target training audience. Review the completed Training Strategies Worksheet. Prepare the Training Plan. Categories of the sources of information contained in the system records 3.8 Publish final System of Records Notice in the Federal Register 1. Develop the test criteria. including the training schedule. 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. 7.

if needed. Initiate and communicate procurement activities required for acquisition of hardware. and refined continually throughout the lifecycle as the project evolves. software licenses. The approved project work pattern determines the required documents. software. and production environments 1.2 Design Phase Document Artifacts The project team records the evidence of its work in a set of document artifacts.1. expanded. 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. and other infrastructure required to create the system development environment. which compose the set of phase document artifacts and are identified in the project work breakdown structure (WBS). COTS/GOTS products. 7. COTS/GOTS products. software.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. COTS/GOTS products. software licenses. 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. test.10 Initiate procurement of development. before spending ICE System Lifecycle Management Handbook October 2004 . 7. Initiate and communicate procurement activities required for acquisition of hardware. software. 3. and other infrastructure required to create the test environments. Initiate and communicate procurement activities required for acquisition of hardware. the possible range of which is identified in Exhibit 23. provide the appropriate level of detail commensurate with the complexity of the project and the information available during this phase. 2. software licenses.DESIGN PHASE 51 7. and other infrastructure required to create the production environment.

October 2004 ICE System Lifecycle Management Handbook . Exhibit 24 provides a guide to the Preliminary Architecture and Design Review. and technical requirements and is consistent with the ICE architecture. The Final Architecture and Design Review verifies that the system design adequately addresses all system functional.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. 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. security.52 DESIGN PHASE additional resources to develop a system design that is ultimately unsupportable. Exhibit 25 provides a guide to the Final 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.

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 ICE System Lifecycle Management Handbook October 2004 . substantiated Phase document overview of the detailed system design.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. 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. Electronic Library and performance. 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. infrastructure impacts. 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.

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 .5 Design Phase Stakeholder Roles Exhibit 26 identifies the stakeholders and their roles in the completion of the activities during the Design Phase.54 DESIGN PHASE 7.