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Immigration and Customs Enforcement

Technical Architecture Guidebook

Practical Application of the Technical Reference Model

Version 1.1 April 30, 2004

Technical Architecture

April 30, 2004 SMI-0039-IRM-417-LC-50141A

Practical Application of the Technical Reference Model

Version 1.1

Task Order No.: 02-SM/I-IRM-417 (OPT 1):

Technical Architecture Support

Final

April 30, 2004

SMI-39-IRM-417-LC-50141A

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Guidebook Contents

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CONTENTS

PREFACE.............................................................................................................................P-1

PART I—ICE INFORMATION TECHNOLOGY ARCHITECTURE OVERVIEW

CHAPTER 1 EVOLUTION OF ICE ITA........................................................................ 1-1

1.1 ITA Drivers.................................................................................................... 1-1

1.2 Integrated IT Environment............................................................................. 1-3

1.3 Atlas ............................................................................................................... 1-4

1.4 DHS Value Chain .......................................................................................... 1-5

CHAPTER 2 TECHNICAL ARCHITECTURE PROGRAM....................................... 2-1

2.1 Technical Architecture Program Overview ................................................... 2-1

2.2 Architecture Policy and Planning .................................................................. 2-4

2.3 Architecture Governance ............................................................................... 2-9

2.4 Architecture Services and Support............................................................... 2-11

PART II—ICE TECHNICAL ARCHITECTURE

CHAPTER 3 TECHNICAL REFERENCE MODEL..................................................... 3-1

3.1 TRM Context ................................................................................................. 3-1

3.2 TRM Structure ............................................................................................... 3-3

3.3 TRM Interfaces .............................................................................................. 3-6

3.4 TRM Deconstructed....................................................................................... 3-8

CHAPTER 4 TECHNICAL ARCHITECTURE STANDARDS.................................... 4-1

4.1 Standards Profile............................................................................................ 4-1

4.2 Standards and Guidance Documentation ....................................................... 4-5

4.3 Standards and Guidance Quick Reference Guide........................................ 4-13

4.4 ICE EA Build-To Architecture Patterns ...................................................... 4-14

4.5 Runtime Patterns.......................................................................................... 4-18

PART III—ICE TECHNICAL ARCHITECTURE GOVERNANCE

CHAPTER 5 TECHNICAL ARCHITECTURE GOVERNANCE OVERVIEW........ 5-1

5.1 Management and Technical Oversight .......................................................... 5-3

5.2 Architecture Principles................................................................................... 5-4

CHAPTER 6 TECHNICAL ARCHITECTURE COMPLIANCE ................................ 6-1

6.1 Technical Architecture Compliance Framework ........................................... 6-1

6.2 Requirements Compliancy............................................................................. 6-4

6.3 Logical and Physical Data Model Compliancy ............................................. 6-5

6.4 Design Compliancy Process .......................................................................... 6-6

CHAPTER 7 TECHNICAL ARCHITECTURE MAINTENANCE ............................. 7-1

7.1 Enterprise Life Cycle Management Process Maintenance ............................ 7-1

7.2 Technical Reference Model Maintenance ..................................................... 7-2

7.3 Standards Profile Maintenance ...................................................................... 7-2

Contents

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PART IV—NAVIGATING THE ICE TECHNICAL ARCHITECTURE PROGRAM

CHAPTER 8 PROGRAM NAVIGATION OVERVIEW............................................... 8-1

8.1 Common Phase Activities.............................................................................. 8-2

8.2 Certification and Accreditation...................................................................... 8-4

CHAPTER 9 NAVIGATING KEY SDLC CHECKPOINTS......................................... 9-1

9.1 Navigating the Planning Phase ...................................................................... 9-1

9.2 Navigating the Requirements Definition Phase............................................. 9-4

9.3 Navigating the Design Phase ......................................................................... 9-8

9.4 Navigating the Development Phase ............................................................. 9-13

9.5 Navigating the Test Phase............................................................................ 9-16

APPENDIX A: REFERENCES

APPENDIX B: ACRONYMS AND ABBREVIATIONS

Guidebook Contents

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EXHIBITS

Exhibit 1-1: Federal Enterprise Architecture Framework .................................................... 1-2 Exhibit 1-2: Current ICE Application Architecture.............................................................. 1-3 Exhibit 1-3: Target ICE Application Architecture................................................................ 1-4 Exhibit 1-4: DHS Value Chain ............................................................................................. 1-6 Exhibit 2-1: ICE OIRM Technical Architecture Program Components............................... 2-3 Exhibit 2-2: Architecture Policy and Planning ..................................................................... 2-5 Exhibit 2-3: Architecture Governance ................................................................................ 2-10 Exhibit 2-4: Architecture Services and Support ................................................................. 2-13 Exhibit 3-1: TRM Drivers..................................................................................................... 3-2 Exhibit 3-2: TRM Services-Based Approach ....................................................................... 3-4 Exhibit 3-3: TRM Layers...................................................................................................... 3-5 Exhibit 3-4: TRM Service Groupings................................................................................... 3-6 Exhibit 3-5: TRM Interfaces................................................................................................. 3-7 Exhibit 3-6: TRM Interface Descriptions ............................................................................. 3-8 Exhibit 3-7: ICE Technical Reference Model ...................................................................... 3-9 Exhibit 3-8: TRM Quick Reference Guide......................................................................... 3-10 Exhibit 4-1: Platform Services Standards Profile ................................................................. 4-3 Exhibit 4-2: Standards and Guidance Quick Reference Guide........................................... 4-13 Exhibit 4-3: Operational Characteristic Groupings ............................................................ 4-15 Exhibit 4-4: N-tier Dynamic Web Architecture Pattern ..................................................... 4-17 Exhibit 4-5: WebSphere-based J2EE Dynamic Web Application Runtime Pattern........... 4-18 Exhibit 5-1: Technical Architecture Governance ................................................................. 5-2 Exhibit 5-2: Enterprise Architecture Principles.................................................................... 5-5 Exhibit 5-3: Technical Architecture Principles..................................................................... 5-6 Exhibit 6-1: Technical Architecture Compliance Framework.............................................. 6-2 Exhibit 6-2: SDLC Technical Reviews................................................................................. 6-3 Exhibit 6-3: IDLC Technical Reviews ................................................................................. 6-4 Exhibit 6-4: Technical Architecture Assessment Criteria .................................................... 6-8 Exhibit 7-1: IT Change Process ............................................................................................ 7-3 Exhibit 7-2: Levels of Technology Change .......................................................................... 7-4 Exhibit 7-3: IT Change Requests Evaluation Criteria .......................................................... 7-5 Exhibit 7-4: Key Technical Architecture Maintenance Information .................................... 7-6 Exhibit 8-1: Relationship of the SDLC, CPIC, and IDLC Processes ................................... 8-1

Guidebook Preface

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PREFACE

The Technical Architecture Guidebook presents a high-level, integrated view of the functional components that compose the Office of Information Resources Management (OIRM) Technical Architecture Program as they are currently implemented at Immigration and Customs Enforcement (ICE). Derived in part from selected IT governance policies of the organizations that—upon the creation of the Department of Homeland Security—were subsumed under ICE, this document is intended to serve as an interim document.

This guidebook organizes the ICE OIRM Technical Architecture Program into logical and functional components. It also consolidates the information detailing the various products, standards, guidelines, and processes that were contained in separate, independent documents into a single document.

These documents include the following:

Technology Architecture Overview

Technology Architecture Report

Systems Development Life Cycle Manual

Infrastructure Development Life Cycle Manual (Draft)

Enterprise Systems Assurance Plan

Architecture Test and Evaluation Plan

While this document consolidates information presented in other documents, it does not necessarily replace them. Rather, it is intended to complement these other documents and summarize key information contained in them.

The goal of this guidebook is to outline—in a manner that is meaningful to technical and non-technical audiences alike—how the ICE OIRM Technical Architecture Program fits into the overall ICE structure and how it contributes to the successful use of IT to improve the effectiveness and efficiency of ICE business processes.

The Technical Architecture Guidebook also serves as a primary aid to help project teams successfully navigate an IT project through the ICE OIRM Technical Architecture Program. It communicates ICE expectations of how project teams are to plan, design, build, and implement ICE systems and infrastructure. The standards and processes documented in this guidebook are expected to remain in effect until new guidance is published.

The Technical Architecture Guidebook is divided into four main parts that follow logical divisions within the content of the guidebook and address the needs of particular audiences. These parts include the following:

Preface

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Part 1: ICE Information Technology Architecture Overview

Part 2: ICE Technical Architecture

Part 3: Technical Architecture Governance

Part 4: Navigating the ICE OIRM Technical Architecture Program

Each part is briefly described below.

Part I: Information Technology Architecture Overview Part I provides the reader with an overview of Information Technology Architecture (ITA) at ICE. This overview summarizes the evolution of the ICE ITA and identifies the ICE priorities that guide ITA development.

Part I also introduces the reader to the ICE OIRM Technical Architecture Program, explaining how this program supports the ICE ITA. It spotlights the program areas;

their functions in planning, governing, and executing the ICE OIRM Technical Architecture Program; and the resources used or produced in performing a particular function.

The message conveyed in Part I underscores how ICE is shifting away from an IT environment where systems are independently designed and loosely coupled and toward an integrated IT environment where IT resources are interoperable, shared, and reused.

This shift is critical to the Department of Homeland Security (DHS), for which interoperability and data sharing have been identified as strategic needs.

Part II: ICE Technical Architecture Part II elucidates the ICE Technical Architecture as it is embodied in the ICE Technical Reference Model (TRM). This part establishes a frame of reference in which to view the ICE TRM, describes the structure of the ICE TRM, and explains the approach ICE has adopted for developing its TRM. This practical application of the ICE TRM transforms it from a mainly abstract, theoretical concept into a real tool that helps project teams plan, design, build, and implement systems and infrastructures that comply with ICE Technical Architecture.

This part also introduces ICE Technical Architecture Standards, including the Standards Profile. It identifies the following:

An extensive collection of ICE standards and guidance documentation available to help project teams meet the Technical Architecture standards

The architectures that ICE has adopted as “Recommended for New Development,” describing how to apply them in the ICE environment

Guidebook Preface

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Part III: Technical Architecture Governance Part III defines the scope of Technical Architecture Governance at ICE and explains how ICE governs its Technical Architecture. Specifically, it does the following:

Presents the organizational structure in which Technical Architecture Governance activities occur

Examines the framework within which Technical Architecture Compliance activities occur

Documents how ICE maintains its Technical Architecture by controlling changes to its Enterprise Life Cycle Management Process, Technical Reference Model, and Standards Profile

Part IV: Navigating the ICE OIRM Technical Architecture Program Part IV examines the ICE OIRM Technical Architecture Program from the perspective of a project team. Specifically, this part does the following:

Provides an overview of how an IT project is navigated through the ICE OIRM Technical Architecture Program

Describes the services offered through the ICE OIRM Technical Architecture Program that project teams may use to facilitate the successful completion of required activities and further the progress of their IT projects

Part IV presents a practical guide for IT Project Managers and Development Team Project Managers to reference for the smooth and successful navigation of a system or infrastructure project through the ICE OIRM Technical Architecture Program. This guide explains how to proceed through the ICE OIRM Technical Architecture Program from the inception of a system or infrastructure project through its successful implementation. It assembles key information that IT Project Managers and Development Team Project Managers need to shepherd their IT projects through the required lifecycle oversight checkpoints.

Guidance presented in Part IV of the Technical Architecture Guidebook does not supersede ICE Capital Planning and Investment Control (CPIC) requirements, Enterprise Life Cycle Development process requirements, or the requirements stipulated in the Enterprise Systems Assurance Plan (ESAP).

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PART I

ICE Information Technology

Architecture Overview

Guidebook Chapter 1

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1 EVOLUTION OF ICE ITA

Before there was ICE, the functions and resources of this organization were scattered over various border and security agencies. With the creation of the Department of Homeland Security (DHS), however—and with the subsequent establishment of ICE within the DHS—these once-fragmented agencies were consolidated into one unified organization charged with a primary mission: To detect vulnerabilities and to prevent violations that threaten our national security.

In this respect, then, the ICE Information Technology Architecture (ITA) is both old and new. Although it is derived in part from selected IT governance policies of those organizations that were subsumed under ICE, the ICE ITA does more than simply appropriate proven ITA components from these former organizations. It takes them to the next level by transforming them into an ITA framework that can meet the specific requirements of a unique ICE ITA.

Chapter 1 of the Technical Architecture Guidebook presents an overview of the development of the ICE ITA. It demonstrates how ICE ITA is progressing from a collection of loosely coupled, independently designed systems toward an integrated information technology (IT) environment where IT resources are interoperable, shared, and reused.

1.1 ITA Drivers

What was eventually to become the ICE ITA was initially born out of Federal architectural initiatives mandated by congressional statues and the Executive Branch performance improvement program. Specifically, the ICE ITA responds to the following IT Architecture drivers:

Clinger-Cohen Act of 1996 (formerly the Information Technology Management Reform Act), Public Law 104-106

Office of Management and Budget Memorandum M-97-16; June 18, 1997; also known as the Raines Memorandum

Office of Management and Budget Circular No. A-130; December 12, 2000

Department Of Justice Information Technology Architecture (DOJ ITA), Volume I, September 1998

Department Of Justice Information Technology Architecture (DOJ ITA), Volume II, Technical Reference Model, October 1998

Chapter 1

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1.1.1 Clinger-Cohen and the FEAF

Passed in 1996, the Clinger-Cohen Act has served as the primary driver of Enterprise Architecture development in the Federal government. This act requires all Federal agencies to develop an ITA that represents an integrated framework for IT maintenance, migration, and acquisition in support of strategic goals. To implement the requirements of the Clinger-Cohen Act, the Raines Memorandum clarified that a comprehensive ITA aligns IT acquisitions with agency mission and business processes; ensures the interoperability, redundancy, and security of information systems; and establishes a standards process by which new IT systems are evaluated and acquired. Later, the Raines Memorandum was superseded by the Office of Management and Budget Circular No. A-130, which established policy for the management of Federal information resources.

Charged by the Office of Management and Budget (OMB) to develop an EA framework, the Federal CIO Council published the Federal Enterprise Architecture Framework (FEAF) in 1999. Illustrated in Exhibit 1-1, the FEAF represents the Federal CIO Council’s definition of EA. It serves as a ready-made framework for integrating agency architectures and is intended to be applied primarily in areas of multi-agency responsibility where interoperability is required. Promoted by the OMB and Government Accounting Office (GAO), the FEAF has been adopted by many Federal organizations, including ICE.

Exhibit 1-1: Federal Enterprise Architecture Framework

From the Federal CIO Council, 1999

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ProjectsProjects

A p p l i c a t i o n

A p p l i c a t i

B p p l i c a t i

C p p l i c a t i

D Database Servers

Databases

App Servers

Network

Client Platforms

ICE Current Infrastructure ICE Current Infrastructure

1.1.2 Chief Information Officer

The ICE ITA comprises an Enterprise Architecture (EA) and a Technical Reference Model (TRM), which establish a common IT infrastructure to support the Business, Data, and Application Architecture layers of the ICE EA. Under the Clinger-Cohen Act, the Chief Information Officer (CIO) is responsible for maintaining and enforcing the TRM and Standards Profile. (Responsibility for day-to-day maintenance and enforcement of the TRM resides with the Director of the ICE OIRM Technical Architecture Branch.) The CIO is also responsible for systems development and the technical aspects of maintaining ICE IT resources.

1.2 Integrated IT Environment

ICE EA mandates and architects a services-based architecture. In establishing its EA, ICE is moving away from a collection of loosely coupled, independently designed systems such as those depicted in Exhibit 1-2.

Exhibit 1-2: Current ICE Application Architecture

Chapter 1

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Projects

Applications

EA Common Components

OIRM Provided Infrastructure

Projects

Applications

EA Common Components

OIRM Provided Infrastructure

Instead, ICE is working toward establishing a tightly woven, integrated IT environment where IT resources are interoperable, shared, and reused (see Exhibit 1-3).

Exhibit 1-3: Target ICE Application Architecture

ICE EA is working toward eliminating stovepipe applications in two ways: First, it emphasizes the sharing of data in the Data Architecture layer; second, it derives a Technology Architecture from a set of architected applications whose requirements are formulated in business terms rather than as arbitrary technologies.

1.3 Atlas

ICE is developing a program to address current IT infrastructure limitations that hinder the organization’s ability to fulfill its mission successfully. Known as Atlas, this program recognizes that mission achievement depends on a robust IT infrastructure—an infrastructure that serves as a force multiplier, a tool for increasing staff efficiency and productivity, and a scalable backbone that supports streamlined business processes.

Atlas integrates all IT Infrastructure investments into a single program for modernizing and sustaining the core IT infrastructure, providing the foundation for ICE systems and enabling the ICE workforce to perform day-to-day activities effectively and efficiently in support of the ICE mission.

Key Atlas goals include the following:

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Ensure integrity, security, and privacy of information and data assets

Enhance ICE workforce productivity

Strengthen ICE program management

Atlas comprises the following seven projects:

Common Computing Environment (CCE)

Connectivity

Electronic Access and E-Government

Enterprise Information Assets

Information Assurance

Transformation Planning

Infrastructure Engineering and Operations

These projects will define strategies to close performance and functionality gaps existing between the legacy IT infrastructure and the ICE mission.

1.4 DHS Value Chain

Finally, the ultimate goal of the ICE ITA is to enable ICE to fulfill its primary mission to detect vulnerabilities and prevent violations that threaten our national security.

Toward this end, ICE ITA supports the DHS Value Chain, which provides a standard, systematic, and holistic view of the business activities across the DHS enterprise (see Exhibit 1-4). The DHS Value Chain shows the high-level business functions that are core to fulfilling the DHS enterprise mission and adding value to the services provided by the enterprise. The value chain focuses on the high-level business activities that cut across organizational boundaries.

Chapter 1

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Exhibit 1-4: DHS Value Chain

Identify threats to and vulnerabilities of the Homeland

Manage Technology

Manage Budget & Finances

Manage Grants, Procurements, and Acquisitions

Manage Human Resources

Develop Policy

Manage Knowledge and Intelligence Information

“Secure the

Homeland, its People, Assets, and

Interests”

Manage Facilities and Property

Respond to incident

Recover from incident

Perform Research and Development

Develop Plans and Performance Measures

Prepare for incidents

Manage Legal Activities

Prevent incidents

Disseminate Information

Facilitate the Flow of People and Goods

Identify threats to and vulnerabilities of the

Homeland

Manage Technology

Manage Budget & Finances

Manage Grants, Procurements, and Acquisitions

Manage Human Resources

Develop Policy

Manage Knowledge and Intelligence Information

“Secure the

Homeland, its People, Assets, and

Interests”

Manage Facilities and Property

Respond to incident

Recover from incident

Perform Research and Development

Develop Plans and Performance Measures

Prepare for incidents

Manage Legal Activities

Prevent incidents

Disseminate Information

Facilitate the Flow of People and Goods

Guidebook Chapter 2

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2 TECHNICAL ARCHITECTURE PROGRAM

Chapter 2 introduces the Office of Information Resources Management (OIRM) Technical Architecture Program established at ICE and explains how the ICE OIRM Technical Architecture Program supports the planning, governance, and execution of the ICE Enterprise Architecture and, specifically, the ICE Technical Architecture. This chapter spotlights the key program components by describing their functions and the resources used or produced in performing a particular function.

2.1 Technical Architecture Program

Overview

ICE has established a Technical Architecture Program to oversee and coordinate all technical architecture efforts in the OIRM and to partner with the ICE CIO in defining ICE Enterprise Architecture. This program does the following:

Integrates the Technical Architecture standards, Systems Assurance, and Enterprise Architecture (EA) efforts within ICE OIRM

Collaborates with the CIO in its Enterprise Architecture Planning (EAP) efforts to define the Data and Application Architecture layers in the ICE EA

Defines the Technology Architecture layer in the ICE EA

Integrates the ICE Systems Development Life Cycle (SDLC), Infrastructure Development Life Cycle (IDLC), Computer and Telecommunications Security (C&TS), Certification and Accreditation (C&A), and the Capital Planning and Investment Control (CPIC) planning processes in overseeing the conformance of IT projects to the EA and compliance with the Technical Architecture standards

Supports the DHS infrastructure modernization program in

Planning an enterprise infrastructure that provides for an integrated IT environment where IT resources are interoperable, shared, and reused across the DHS and with other agencies

Providing technical oversight and validation of specific IT projects

2.1.1 ICE OIRM Technical Architecture Program Goals

The ICE OIRM Technical Architecture Program goals include the following:

Align the ICE Infrastructure with Business

Manage the Architecture Process

Chapter 2

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Unify the ICE Infrastructure Architecture

2.1.2 Technical Architecture Program Components

The ICE OIRM Technical Architecture Program comprises three main logical components:

Architecture Policy and Planning

Architecture Governance

Architecture Services and Support

These logical components divide the efforts of the ICE OIRM Technical Architecture Program into key functional components in support of the program goals. These key functional components serve to organize related functions performed in planning, governing, and executing the ICE Technical Architecture.

Exhibit 2-1 deconstructs the ICE OIRM Technical Architecture Program into its logical and functional components. It also identifies ICE OIRM Technical Architecture Program resources used or produced in performing its functions. These resources include tools, standards, processes, documents, and Web sites.

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Exhibit 2-1: ICE OIRM Technical Architecture Program Components

TAP

Architecture Policy and Planning

Architecture Consulting Enterprise Life Cycle Management Architecture Standards Integration Planning Strategic Planning Communication Planning

Architecture Review Board Architecture Maintenance Architecture Compliance

IT Project Guidance Quality Assurance Configuration Management Requirements Services Architecture Test and Evaluation

Logical Components

Functional Components

Architecture Governance

Architecture Services and Support

•Enterprise CM •Enterprise QA

Standards

• ICE Standard Tables

• ICE Modeling Standards

• XML Standards

• Standards Profile

• Design Assessment Guidelines

Documents

• TAG

• ESAP

• Architecture T&E Plan

Web Resources

• Systems Assurance

• SDLC

• Release Management

• Requirements and Enterprise

Model

Processes

• SDLC

• IDLC

• IT Change Process

• Requirements Management Process

• Quality Assurance Process

• Configuration Management

• Data Management Process

• Architecture T&E

• Requirements Services

• Technical Reference Model

• Facilitation Tool

• IT Change Request

• Document Repository

• Code Repository

• Requirements Repository

• Enterprise Metadata Repository

• Enterprise Data Model

• Lab Facilities

Tools

TAPTAP

Architecture Policy and Planning

Architecture Consulting Enterprise Life Cycle Management Architecture Standards Integration Planning Strategic Planning Communication Planning

Architecture Review Board Architecture Maintenance Architecture Compliance

IT Project Guidance Quality Assurance Configuration Management Requirements Services Architecture Test and Evaluation

Logical Components

Functional Components

Architecture Governance

Architecture Services and Support

Architecture Policy and Planning

Architecture Consulting Enterprise Life Cycle Management Architecture Standards Integration Planning Strategic Planning Communication Planning

Architecture Review Board Architecture Maintenance Architecture Compliance

IT Project Guidance Quality Assurance Configuration Management Requirements Services Architecture Test and Evaluation

Logical Components

Functional Components

Architecture Governance

Architecture Services and Support

•Enterprise CM •Enterprise QA

Standards

• ICE Standard Tables

• ICE Modeling Standards

• XML Standards

• Standards Profile

• Design Assessment Guidelines

Documents

• TAG

• ESAP

• Architecture T&E Plan

Web Resources

• Systems Assurance

• SDLC

• Release Management

• Requirements and Enterprise

Model

Processes

• SDLC

• IDLC

• IT Change Process

• Requirements Management Process

• Quality Assurance Process

• Configuration Management

• Data Management Process

• Architecture T&E

• Requirements Services

• Technical Reference Model

• Facilitation Tool

• IT Change Request

• Document Repository

• Code Repository

• Requirements Repository

• Enterprise Metadata Repository

• Enterprise Data Model

• Lab Facilities

Tools

Technical ArchitectureChapter 2

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2.2 Architecture Policy and Planning

Within the ICE OIRM Technical Architecture Program, the Architecture Policy and Planning logical component provides for the planning of an integrated enterprise infrastructure, defines an interoperable and open Technical Architecture, establishes and administers enterprise-wide IT standards, establishes key policies and processes that support the Technical Architecture, and formulates a strategic direction for the Technical Architecture. This logical component comprises six key functional components:

Architecture Consulting

Enterprise Life Cycle Management (ELCM)

Architecture Standards

Integration Planning

Strategic Planning

Communication Planning

Exhibit 2-2 deconstructs the Architecture Policy and Planning logical component into its functional components and functions.

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Exhibit 2-2: Architecture Policy and Planning

Architecture Consulting

Functional Components

Functions

Enterprise Life Cycle Management

Architecture Standards

Integration Planning

Strategic Planning

Communication Planning

-Architecture Consulting

-Systems Development Life Cycle Process -Infrastructure Development Life Cycle Process -Requirements Services -Quality Assurance -Configuration Management -Architecture Test and Evaluation -IT Change Process

-Standards Development -Standards Profile Administration

-Interoperability Planning -Enterprise Information Planning -Component Reuse Planning -EA Integration

-Technology Forecasting -Technical Architecture Strategic Direction -Portfolio Strategic Planning Assistance

-Architecture Documentation -Architecture Briefings -Architecture Web Resources

TAP

Architecture Policy and

Planning

Architecture Governance

Architecture Services and Support

Architecture Consulting

Functional Components

Functions

Enterprise Life Cycle Management

Architecture Standards

Integration Planning

Strategic Planning

Communication Planning

-Architecture Consulting

-Systems Development Life Cycle Process -Infrastructure Development Life Cycle Process -Requirements Services -Quality Assurance -Configuration Management -Architecture Test and Evaluation -IT Change Process

-Standards Development -Standards Profile Administration

-Interoperability Planning -Enterprise Information Planning -Component Reuse Planning -EA Integration

-Technology Forecasting -Technical Architecture Strategic Direction -Portfolio Strategic Planning Assistance

-Architecture Documentation -Architecture Briefings -Architecture Web Resources

TAP

Architecture Policy and

Planning

Architecture Governance

Architecture Services and Support

SMI-0039-IRM-417-LC-50141A April 30, 2004 2-6

2.2.1 Architecture Consulting

The Architecture Consulting functional component serves as a “center of excellence” in providing Technical Architecture expertise to the enterprise. This expertise includes guidance in the following areas:

Best Practices

Architecture Policies

Enterprise Integration Design

When needed, the ICE OIRM Technical Architecture Branch Director assembles an integration group, made up of subject matter experts (SME), to resolve specific Technical Architecture issues. The integration group membership varies depending on the nature of the particular issue.

2.2.2 Enterprise Life Cycle Management

The Enterprise Life Cycle Management (ELCM) functional component establishes key architecture processes to support the ICE Technical Architecture. This functional component includes the following services:

Systems Development Life Cycle (SDLC)

Infrastructure Development Life Cycle (IDLC)

Requirements Services

Quality Assurance (QA)

Configuration Management (CM)

Architecture Test & Evaluation (T&E)

IT Change Process

Systems Development Life Cycle The Systems Development Life Cycle (SDLC) process1 provides a structured framework for managing system development projects and ensures that end-state systems meet user requirements and support ICE strategic goals and objectives. Based on best practices, this process establishes uniform and systematic practices for developing ICE systems by codifying a methodical progression of activities for planning, developing, testing, implementing, maintaining, and retiring ICE systems.

1 See the SDLC Manual for further detail.

2-7

Technical Architecture Guidebook Chapter 2

Infrastructure Development Life Cycle The Infrastructure Development Life Cycle (IDLC) process establishes uniform and systematic practices for deploying ICE infrastructure by codifying a methodical progression of activities for planning, designing, testing, implementing, maintaining, and retiring ICE infrastructure.

Requirements Services Requirements Services2 enables ICE OIRM to establish, track, maintain, control, and validate the functional and operational requirements for all ICE systems in a disciplined and structured manner throughout the phases of a system development lifecycle. In addition, it assists ICE in documenting its data requirements and aids ICE reengineering efforts to progress from loosely coupled, independently designed systems to an integrated systems environment.

Quality Assurance Quality Assurance (QA) monitors IT projects and systems throughout their lifecycles to verify compliance with Technical Architecture standards. It focuses on the quality of upfront system development efforts, with the goal of increasing the end-state quality of products and reducing the amount of rework required to correct defects.

Configuration Management Configuration Management (CM) 3 governs the integrity and control of system products throughout the lifecycle phases. It identifies the configuration items at the appropriate lifecycle phase, systematically controls changes to these items, and maintains the integrity and traceability of these items throughout the project lifecycle. In addition, it ensures that ICE applications comply with standardized and controlled distribution and installation methods. This process improves the quality of installation packages and reduces negative interactions between applications, contributing to cost savings by expediting and automating the software distribution process.

Architecture Test and Evaluation The Architecture Test and Evaluation (T&E) process4 ensures that software delivered to ICE meets functional requirements and is in compliance with SDLC and IDLC Processes. Architecture T&E serves as the Independent Testing Facility (ITF) for all ICE systems and is tasked specifically with conducting system-level testing and evaluation activities, as well as assisting users with acceptance testing activities.

2 See the Enterprise Systems Assurance Plan (ESAP) for further detail.

3 See the ESAP for further detail.

4 See the ATEP for further detail.

SMI-0039-IRM-417-LC-50141A April 30, 2004 2-8

IT Change Process The IT Change Process controls changes to the ICE Standards Profile. This process is discussed in further detail in Chapter 8.

2.2.3 Architecture Standards

The Architecture Standards functional component establishes enterprise-wide Technical Architecture standards, identifies technologies for insertion and renewal, develops the ICE Technical Reference Model (TRM), and administers the ICE Standards Profile.

This functional component includes the following:

Standards Development

Standards Profile Administration

Standards Development Any ICE employee or organization may submit a request for development of a new standard or for modification or a waiver from an existing standard. Industry standards shall be adopted whenever possible in lieu of developing unique ICE standards. All requests to develop or adopt a new IT product, process, or performance standard—or requests to modify or retire existing standards—are evaluated by the ICE OIRM Architecture Team.

Standards Profile Administration The Standards Profile Administration function maintains an IT Change Request (ITCR) log, coordinates the review of IT change requests, handles IT change request correspondence, tracks the status and resolution of IT change requests, and manages the ICE OIRM IT Standards electronic mailbox.

2.2.4 Integration Planning

The Integration Planning functional component provides for the planning of a common enterprise infrastructure, which supplies an integrated environment where IT resources are interoperable, shared, and reused across ICE and with other agencies. This functional component includes the following:

Interoperability Planning

Enterprise Information Planning

Component Reuse Planning

Enterprise Architecture (EA) Integration

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Technical Architecture Guidebook Chapter 2

2.2.5 Strategic Planning

The Strategic Planning functional component evaluates technologies for possible adoption as standards, determines the technical merit of IT change requests, develops architecture-related models, and formulates a strategic direction for ICE Technical Architecture. This functional component includes the following:

Technology Forecasting

Technical Architecture Strategic Direction

Portfolio Strategic Planning Assistance

2.2.6 Communication Planning

The Communication Planning functional component develops and implements a communications plan for publicizing the ICE Technical Architecture and its supporting policies and processes. Communication vehicles include the following:

Architecture Documentation

Architecture Briefings

Architecture Web Resources

2.3 Architecture Governance

Architecture Governance provides a framework for maintaining ICE Technical Architecture and overseeing the enterprise-wide compliance with ICE Technical Architecture and its supporting processes. This logical component comprises three closely integrated functional components:

Architecture Review

Architecture Maintenance

Architecture Compliance

Exhibit 2-4 deconstructs the Architecture Governance logical component into its functional components and functions.

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Exhibit 2-3: Architecture Governance

2.3.1 Architecture Review

The Architecture Review Board provides the forum for evaluating changes to and assessing compliance with the ICE Technical Architecture. The ICE OIRM Architecture Team currently fulfills this function. ICE established the OIRM Architecture Team to oversee the development, implementation, and maintenance of an interoperable and open technical architecture in support of ICE strategic goals and objectives. The ICE OIRM Architecture Team serves as a technical advisory board to the ICE Chief Information Officer (CIO), the IT Business Council, and the Investment Review Board (IRB).

Architecture Review

Functional Components

Functions

Architecture Maintenance

Architecture Compliance

-Architecture Review

-ELCM Maintenance -Standards Profile Maintenance

-ELCM Reviews -Requirements Compliancy Checks -Design Compliancy Checks -Architecture Reviews -Code Reviews -Document Inspections and Audits -Configuration Management Inspections and Audits -Process Audits

TAP

Architecture Policy and Planning

Architecture Governance

Architecture Services and Support

Architecture Review

Functional Components

Functions

Architecture Maintenance

Architecture Compliance

-Architecture Review

-ELCM Maintenance -Standards Profile Maintenance

-ELCM Reviews -Requirements Compliancy Checks -Design Compliancy Checks -Architecture Reviews -Code Reviews -Document Inspections and Audits -Configuration Management Inspections and Audits -Process Audits

TAP

Architecture Policy and Planning

Architecture Governance

Architecture Services and Support

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Technical Architecture Guidebook Chapter 2

2.3.2 Architecture Maintenance

The Architecture Maintenance component controls changes to ICE Technical Architecture and supporting processes. This component includes the following:

ELCM Maintenance

Standards Profile Maintenance

ELCM Maintenance The ICE OIRM Technical Architecture Branch Director serves as the approval authority for changes to the SDLC, IDLC, QA, CM, Requirements Services, and Architecture T&E.

Standards Profile Maintenance Changes to the Standards Profile are managed through the Architecture Team and the IT Change Process. The IT Change Process uses the IT Change Request (ITCR) form, which is submitted to the Architecture Team to initiate the IT Change Process.

2.3.3 Architecture Compliance

The Architecture Compliance functional component assesses and tracks the compliance of IT projects with the approved ICE Technical Architecture Standards and with the ELCM processes. This functional component includes the following services:

ELCM reviews

Requirements compliancy checks

Logical and physical data model compliancy checks

Design compliancy checks

Architecture reviews

Code reviews

Document inspections and audits

CM inspections and audits

Process audits

2.4 Architecture Services and Support

The ICE OIRM Technical Architecture Program provides architecture services and support to ICE organizations across the enterprise. Architecture Services and Support comprises five key functional components:

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IT Project Guidance

Quality Assurance

Configuration Management

Requirements Services

Architecture Test and Evaluation (T&E)

Exhibit 2-4 deconstructs Architecture Services and Support into its functional components and functions.

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Exhibit 2-4: Architecture Services and Support

IT Project Guidance

Functional Components

Functions

Quality Assurance

Configuration Management

Requirements Services

Data Management

Repository Management

-IT Project Guidance

-ELCM Administration -Process Performance Monitoring

-Enterprise Source Code and Versioning Control -CM Support

-Application Packaging -Application Release

-CM Repository Content Management -Code Repository Content Management -Enterprise Metadata Repository Content Management -Requirements Repository Content Management -TRM Repository Content Management -Documentation Repository Management -Testing Repository Content Management

-Requirements Services Guidance and Support -Requirements Definition Facilitation

-Enterprise Data Model Development -Logical and Physical Data Modeling Guidance and Support -Standard Lookup Table Content Management -XML Data Dictionary Content Management

-Test Procedures -Functional Test and Evaluation -Technical Test and Evaluation

-Simulation and Modeling

TAP

Architecture Policy and

Planning

Architecture Governance

Architecture Services and Support

Release Management

Architecture Test and Evaluation

Simulation and Modeling

IT Project Guidance

Functional Components

Functions

Quality Assurance

Configuration Management

Requirements Services

Data Management

Repository Management

-IT Project Guidance

-ELCM Administration -Process Performance Monitoring

-Enterprise Source Code and Versioning Control -CM Support

-Application Packaging -Application Release

-CM Repository Content Management -Code Repository Content Management -Enterprise Metadata Repository Content Management -Requirements Repository Content Management -TRM Repository Content Management -Documentation Repository Management -Testing Repository Content Management

-Requirements Services Guidance and Support -Requirements Definition Facilitation

-Enterprise Data Model Development -Logical and Physical Data Modeling Guidance and Support -Standard Lookup Table Content Management -XML Data Dictionary Content Management

-Test Procedures -Functional Test and Evaluation -Technical Test and Evaluation

-Simulation and Modeling

TAP

Architecture Policy and

Planning

Architecture Governance

Architecture Services and Support

Release Management

Architecture Test and Evaluation

Simulation and Modeling

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2.4.1 IT Project Guidance

IT Project Guidance provides a framework for assisting IT projects with navigating the ICE OIRM Technical Architecture Program. IT Project Guidance coordinates and facilitates architecture kick-off meetings and assesses the feasibility of development approaches documented in system development plans and infrastructure project plans.

2.4.2 Quality Assurance

Quality Assurance is responsible for implementing and maintaining ICE Enterprise-wide quality standards, processes, and procedures. By focusing on the quality of upfront system development efforts, QA increases the end-state quality of products and reduces the amount of rework required to correct defects. It includes the following services:

ELCM Administration

Process Performance Monitoring

2.4.3 Configuration Management

Configuration Management enables and guides the configuration management process throughout the ICE development and infrastructure framework. CM identifies configuration items at the appropriate lifecycle phase, systematically controlling changes and maintaining the integrity and traceability of these items throughout the project lifecycle. It includes the following services:

Enterprise Source Code and Versioning Control

CM Support

In addition, this component includes the following services:

Release Management

Repository Management

Release Management Release Management ensures that the distribution and installation of applications comply with ICE standards and practices. Release Management standardizes procedures for and controls releases of enterprise client/server applications, infrastructure commercial off-the-shelf (COTS) products, and baseline desktop and server images into the Production environment. This functional component includes:

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Application Packaging

Application Release

Repository Management Repository Management maintains the various ICE repositories used for managing and accessing key components of the ICE OIRM Technical Architecture Program. This functional component includes:

CM Repository Content Management

Code Repository Content Management

Enterprise Metadata Repository Content Management

Requirements Repository Content Management

TRM Repository Content Management

Documentation Repository Management

Testing Repository Content Management

Configuration Management Repository Content Management The Enterprise CM Team supports ICE CM practices with a repository facilitated by PVCS Tracker, a COTS change management tool tailored by SA for use by development teams. ICE requires that PVCS Tracker be used by all ICE systems for managing CM baseline problems and changes, such as system change requests (SCR) and test problem reports (TPR). The tool is organized into Tracker “projects,” which contain all of the SCRs and TPRs for a designated system or group of systems. Users are allowed access only to their particular projects.

Code Repository Content Management Code Repository Content Management ensures that only approved versions of software are released into the Production environment. PVCS Version Manager (VM) serves as the single repository for a software release as it moves from the Development Phase through the Test Phase toward release. Used to archive and identify multiple revisions of the same software file, PVCS VM stores the following system components:

Source code

Executable code (binary or otherwise)

Database scripts (including installation instructions)

Configuration files

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Enterprise Metadata Repository Content Management The Enterprise Metadata Repository stores all physical database structures for ICE mission-critical Oracle and Integrated Database Management System (IDMS) applications and the latest version of ICE Enterprise Data Model, which contains the logical data requirements for mission-critical systems.