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ICE TECS Modernization Master Plan

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Exhibit G: ICE TECS Modernization TEMP

For Official Use Only ICE TECS Modernization Program Test and Evaluation Master Plan (TEMP) April 2, 2014 Version 2.0 Office of the Chief Information Officer (OCIO)

ICE OCIO TECS Modernization Test and Evaluation Master Plan Revision History No. Date Reviewer Title Change Description  Version 1.0 2. 3/7/14  Version 2.0 - Updated document to reflect Program Replan 3. 3/27/14  Version 2.0 - Program Adjudicated per CAE Comments 4. 4/14/14  Version 2.0 - Program Adjudicated per CAE Comments 1. 8/10/11 March 27, 2014 Version 2.0 ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 2

ICE OCIO TECS Modernization Test and Evaluation Master Plan Table of Contents Executive Summary .........................................................................................................................5 1 Introduction ................................................................................................................................7 1.1 Background ......................................................................................................................7 1.2 Key Performance Parameters ...........................................................................................7 1.3 Critical Technical Parameters ..........................................................................................8 2 Program Summary ...................................................................................................................13 2.1 Initial Operational Capability Date ................................................................................14 2.2 Full Operational Capability Date ...................................................................................17 2.3 Management ...................................................................................................................17 3 Developmental Test and Evaluation Outline ...........................................................................21 3.1 Developmental Test and Evaluation Overview .............................................................21 3.2 Developmental Test and Evaluation to Date .................................................................26 3.3 Future Developmental Test and Evaluation ...................................................................26 3.4 Developmental Test and Evaluation Plans and Reports ................................................26 4 Operational Test and Evaluation Outline .................................................................................27 4.1 Operational Test and Evaluation Overview ...................................................................27 4.2 Evaluation Strategy ........................................................................................................29 4.3 Integrated Evaluation Framework..................................................................................29 4.4 Modeling and Simulation ...............................................................................................30 4.5 Reliability growth ..........................................................................................................30 4.6 Critical Operational Issues .............................................................................................30 4.7 TECS Modernization Failure Classification ..................................................................30 4.8 Operational Test and Evaluation to Date .......................................................................34 4.9 Planned Operational Test and Evaluation ......................................................................34 4.10 Constraints and Limitations ...........................................................................................34 4.11 Operational Test and Evaluation Plans and Reports ......................................................35 5 Test and Evaluation (T&E) Resource Summary .....................................................................36 Appendix A: Bibliography .............................................................................................................40 Appendix B: Acronyms .................................................................................................................41 Appendix C: Points of Contact ......................................................................................................43 ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 3

ICE OCIO TECS Modernization Test and Evaluation Master Plan Figures Figure 1: TECS Modernization Conceptual Architecture ..................................................... 14 Figure 2: High-Level IOC Schedule...................................................................................... 16 Figure 3: ICM System Testing View..................................................................................... 25 Figure 4: Core HSI Investigative Case Management Processes ........................................... 32 Tables Table 1: Key Performance Parameters .................................................................................... 8 Table 2: Critical Technical Parameters ...................................................................................9 Table 3: Standards of Compliance ........................................................................................ 11 Table 4: Management Roles & Responsibilities ................................................................... 17 Table 5: Operational Test and Evaluation Periods ................................................................ 27 Table 6: Critical Operational Issues ...................................................................................... 30 Table 7: Failure Classification............................................................................................... 33 Table 8: Operational Test and Evaluation Limitations.......................................................... 34 Table 9: Summary of T&E Funding Requirements .............................................................. 36 Table 10: Summary of Testing Resources............................................................................. 37 ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 4

ICE OCIO TECS Modernization Test and Evaluation Master Plan Executive Summary TECS is a mainframe based system and is the primary investigative tool used by Immigration and Customs Enforcement (ICE). It provides investigation, reporting, entry processing, and Watchlist mission support for ICE and Customs and Border Protection (CBP) and is the system of record for all activities related to both criminal and administrative investigations. ICE has identified deficiencies in the current legacy mainframe system and Operations and Maintenance (O&M) cost impacts that will occur beginning in Fiscal Year (FY) 2016 in the event the system is not replaced. The ICE TECS Modernization Program will address both of these issues. The ICE TECS Modernization Program will provide a law enforcement case management solution that meets ICE Homeland Security Investigations (HSI) mission needs in the areas of:     Case Management Subject Records System Interfaces Reporting and Analytics The ICE TECS Modernization Program has defined milestones for Initial Operating Capability (IOC) and Final Operating Capability (FOC). The program will deliver IOC by September 30, 2015, which will achieve mainframe independence. The program will deliver FOC by Q4 FY17, which will include additional functionality and integrations. The deployment strategy at IOC is to conduct an enterprise cutover preceded by extensive testing of the new case management system. This system will be fully tested and integrated with all interfaces to external systems, including performance testing which will validate the system will handle the specified number of end users without degradation to system performance. Many representative end users (HSI special agents) will be an integral part of this integration testing. The Test and Evaluation Master Plan (TEMP) is the primary planning document for Test and Evaluation (T&E) related activities for acquisition programs including all discrete segments, blocks, increments or spirals. The purpose of the TEMP is to document the overarching T&E approach for the acquisition program throughout the program lifecycle. The TEMP describes the necessary Developmental Test and Evaluation (DT&E) and Operational Test and Evaluation (OT&E) that needs to be conducted to determine system technical performance, operational effectiveness / suitability, and limitations. This document addresses the following types of testing:  Functional Testing - Verifies the developer delivers products that meet the functional requirements as described in the System Requirements Document (SRD) and the content of the Design Document (DD), Interface Control Agreement (ICA), Data Management Plan (DMP), and other artifacts to determine if the product performs the business functions as documented.  Interoperability Testing - End-to-end testing that verifies all TECS Modernization Program system components maintain data integrity and can operate in coordination with other systems in the same environment.  Performance Testing - Detects any performance and capacity limitations by generating system load that emulates the behavior of users conducting business transactions, determines when performance begins to degrade, and identifies bottlenecks across the system application and infrastructure. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 5

ICE OCIO TECS Modernization Test and Evaluation Master Plan  Section 508 Compliance Testing - Tests all ICE systems with user interfaces for Section 508 compliance using the OAST (Office of Accessible System and Technology) approved testing package.  User Acceptance Testing (UAT) - Allows production users to test systems before deployment to ensure that the developed system meets their needs.  Security Authorization (Certification and Accreditation [C&A]) - Validates implementation of security requirements and controls in the system and identifies potential intrusion or sensitive data exposure vulnerabilities.  Operational Test and Evaluation - Determines if the system being delivered fulfills operational effectiveness and suitability. The TEMP also identifies all Critical Technical Parameters (CTP) and Critical Operational Issues (COIs) and describes the objectives, responsibilities, resources, and schedules for all completed and planned T&E, including Modeling and Simulation (M&S) tools used in the T&E process, over the acquisition lifecycle. The TEMP will be updated upon selection of the ICM System Commercial Off-the-Shelf (COTS) solution. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 6

ICE OCIO TECS Modernization Test and Evaluation Master Plan 1 Introduction The TEMP uses the developmental and operational performance requirements outlined in the Operational Requirements Document (ORD) to develop a comprehensive testing strategy. 1.1 Background TECS was developed in 1987 by the U.S. Customs Service as an umbrella system to support the business activities of investigative case management. TECS is a mainframe based system utilizing 1980’s processing, application and information management technology, which administered by the CBP Office of Information Technology (OIT). CBP and ICE components are collaborating to modernize the system. Under this structure, ICE and CBP will build separate systems that provide the capabilities needed to support each component’s unique mission. Due to the requirement to share critical information between ICE and CBP, the ICE TECS Modernization Program and CBP TECS Modernization Program have been and will continue to closely coordinate development of their respective systems. This will occur through a governance process that includes executive oversight and participation at the program and working levels. The ICE TECS Modernization Program is being driven by the need to address deficiencies in the legacy mainframe system. Current functionality does not allow interfaces between systems, lacks modern interfaces for system users, and does not support required security measures. The program is also driven by the need to migrate the legacy system from the mainframe. If ICE is unable to achieve mainframe independence by FY15, it will be required to assume responsibility for maintaining the legacy TECS system and incur significant O&M costs starting in FY16. The program revised its acquisition and solution strategy in Q1 FY14 to clearly define the capabilities needed for ICE to discontinue the use of legacy TECS mainframe by September 2015. The program assessed its requirements, technology, and processes to reduce the overall program costs, schedule, and technical risks. The effort resulted in an issuance of an ADM requiring the ICE TECS Modernization Program to achieve an ADE-2B decision, which is currently planned for Q3 FY14. 1.2 Key Performance Parameters1 The table below identifies the KPPs for the ICE TECS Modernization Program. 1 KPPs were defined in the ICE TECS Modernization Operational Requirements Document ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 7

ICE OCIO TECS Modernization Test and Evaluation Master Plan Table 1: Key Performance Parameters No. 1 KPP Threshold Response Time: Transaction response time refers to the time required for completion of an individual transaction. Specifically, the time it takes from a workstation request to a workstation response, which is tested at the end user device level. Test time begins when the user hits enter after filling out the appropriate transaction criteria and ends when the intent of the transaction is accomplished, for example when search results appear on the results page. The system shall provide operationally acceptable transaction response time* for individual transactions across the system, not to exceed 5 seconds 95% of the time. Objective The system shall provide a transaction response time* for individual transactions across the system, not to exceed 3 seconds 99% of the time. Concurrent Users: The system shall be able to handle a high level of users, measured by the number of concurrent users accessing the system at the same time. 3 Availability: No less than 6,000 users accessing the system at the same time with system capability allowing all users to conduct business transactions concurrently within the application. (For example, processing within the ICM application must not add more than 5 seconds to the time required for an external database to process a request with regard to Threshold or 3 seconds with regard to Objective.) 2) Ao > 99.07% No less than 10,000 1) users accessing the system at the same time with system capability allowing all users to conduct business transactions concurrently within the application. Ao > 99.97% The ICM system shall achieve the required level of Operational Availability (Ao). 1.3 *Response time excludes transaction processing time on systems external to the ICM application. Response time is calculated only for devices directly connected to an ICE network and does not include remote devices (i.e., connected through Virtual Private Network [VPN], mobile device running over wireless network, etc.). Response time for search includes responses from all data sources queried. 2 Comments Required level of monthly Operational Availability for the ICM system components. Critical Technical Parameters The following section defines the critical technical parameters of the case management system that will be evaluated during DT&E phases. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 8

ICE OCIO TECS Modernization Test and Evaluation Master Plan Table 2: Critical Technical Parameters CTP Test Event Technical Threshold Test Location Test Schedule Decision Supported Enterprise Architecture (EA) Compliance Preliminary Design Review (PDR) / Critical Design Review (CDR) Fully compliant or obtain waiver NA Functional Testing Interoperabili ty Testing Throughput Capability Performance Testing 250,000 transactions per day Government PERF TEST Environment Performance Testing Availability Performance Testing Ai > 99.15% Government PERF TEST Environment Performance Testing Proceed to System Security Testing Proceed to System Security Testing Government TEST Environment System Security Testing Government PERF TEST Environment Performance Testing Proceed to System Security Testing NA Functional Testing Proceed to Development Security Controls Response Rates ICE Infrastructure Federal Information Security Management Act (FISMA) Compliance Performance Testing PDR / CDR Ai is based on a MTBF of 117 hours and an MTTR of 1 hour Fully Compliant System shall provide operationally acceptable transaction response time for individual transactions across the system, not to exceed 5 seconds 95% of the time for up to 6,000 concurrent users Pass/Fail Proceed to System Security Testing System will not require any infrastructure that is not supported within the Department of Homeland Security (DHS) DC1/DC2 environment ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 9

ICE OCIO CTP Data Integrity TECS Modernization Test and Evaluation Master Plan Test Event Development (Unit) Test Technical Threshold Pass/Fail Verify that a particular set of data (including legacy data) is saved to the database, each value gets saved fully, and the truncation of strings and rounding of numeric values do not occur Section 508 Section 508 Testing Pass/Fail Interfaces to internal and external systems (data import and export) Interface Integration Testing Pass/Fail Test Location Test Schedule Government DEV and DEV/INT Environment Functional Testing Government TEST Environment Government TEST Environment Section 508 Compliance Testing Interoperability Test Decision Supported Proceed to Interoperabili ty Testing Proceed to Integration Testing Proceed to Integration Testing The system is effectively able to interface with systems listed in the ICM System Interfaces list. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 10

ICE OCIO TECS Modernization Test and Evaluation Master Plan The following table identifies the standards of compliance that the new case management system will adhere to. Table 3: Standards of Compliance System Characteristic Description Test Event Test Location Technical Threshold Enterprise Architecture (EA) Compliance The system must align with ICE Architecture standards as provided by the approved SELC-TP. Enterprise Architecture Decision (EAD) reviews NA Fully compliant unless waiver granted Security Controls The system must meet all FISMA requirements. Using the National Institute of Standards and Technology (NIST) Security Categorization process (as specified in Federal Information Processing Standard (FIPS) 199), the categorization impact levels for the ICE TECS Modernization program have been determined to be high across all three security objectives – Confidentiality, Integrity and Availability. As a result, all NIST Special Publication 800-53 mandatory baseline security controls – management, operational and technical – will be required for the ICE TECS Modernization program. This and other NIST and DHS risk management processes will help ensure that all threats and hazards are appropriately considered for this sensitive environment. FISMA Compliance Government TEST Environment Fully compliant unless waiver granted The ICM system must also comply with the DHS Information Security Program policies for sensitive systems (DHS Management Directive 4300, Information Technology Security ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 11

ICE OCIO System Characteristic TECS Modernization Test and Evaluation Master Plan Description Test Event Test Location Technical Threshold Program Publication). Authorizing Official (AO) issues Authority to Operate (ATO) prior to Production Readiness Review (PRR). This constitutes a Security approval to begin OT&E. Human Factors The system must meet all Section 508 requirements. Section 508 Testing Section 508 Compliance Testing Fully compliant (unless deferred) Complete a Section 508 Product, Product Compliance Determination Form (CDF) which is submitted by PM & ICE 508 Coordinator. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 12

ICE OCIO TECS Modernization Test and Evaluation Master Plan 2 Program Summary The ICE TECS Modernization program will be delivered in two phases. Phase 1 will focus on delivering IOC, which consists of implementing the functional requirement to allow ICE to discontinue use of the legacy TECS mainframe by the end of FY 2015. Phase 2 will consist of subsequent releases after IOC, and focus on implementing enhancements and additional functionality. The program will achieve FOC upon the conclusion of Phase 2. The program’s Requirements Traceability Matrix (RTM) identifies its business and technical needs for IOC and FOC. These requirements have been developed and vetted by its business and technical stakeholders and will be leveraged for the Development solicitation and testing purposes. In order to deliver the system capabilities necessary to meet the functional requirements identified for the ICE TECS Modernization program, the program is structured around the delivery of four inter-related capabilities: Investigative Case Management capability, Interface capability, Data Warehouse capability and Data Migration capability.     Investigative Case Management – Capability to manage cases, subject records, and create/manage investigative reports, including workflow to support review and approval Interface – Capability to allow a centralized interfacing hub to control the sending and receiving of information between the ICM capability and external information repositories Data Warehouse – Capability that stores historical case information once no longer needed for active investigations within the ICM system and provides access to that information to external reporting systems Data Migration – Capability that facilitates the transfer of the ICE data currently stored in the legacy TECS system to either the new ICM capability (if required for active investigations at the time of migration) or to the Data Warehouse (for historical reporting purposes). Figures 1 illustrates the relationship between these four capabilities. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 13

ICE OCIO TECS Modernization Test and Evaluation Master Plan Figure 1: TECS Modernization Conceptual Architecture Agents External Systems One-Time Subjects ICE TECS Modernization Program Investigative Case Management Interfaces Data Warehouse Reporting Tools Analysts TECS Legacy 2.1 All ICE Data from Legacy TECS Data Migration Initial Operational Capability Date The Initial Operational Capability (IOC) for the ICE TECS Modernization system is defined in the ORD. It occurs once the investigative case management capabilities are deployed and the Program no longer relies on the legacy TECS system. Mainframe independence will be achieved at IOC which is planned on or before September 30, 2015 to align with CBP’s schedule to transition off legacy TECS. IOC represents the minimum required functionality to achieve mainframe independence in the following five categories:      Case: includes the primary work product for all users to include management of investigative cases, investigative reports, administrative reports, and statistics Subject Records: capture and share information on subjects of interest (for example, people, vehicles, businesses), link subject records to cases and investigative reports, and establish connections between subject records and cases globally Interfaces: includes implementation of the required interfaces with which the investigative case management system will share data as identified in the ICM System Interfaces List (reference ORD Appendix B) Universal: includes functionality that appears throughout the system in multiple screens and modules (for example, the ability to print or sort) Technical: includes implementation of all other technical requirements needed to support enduser functionality (for example, implementing existing DHS single sign-on capabilities) ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 14

ICE OCIO TECS Modernization Test and Evaluation Master Plan These collectively are considered core case management functionality. Those classified for FOC are both enhancements to the core case management functionality and new functionality. The Figure below provides a notional timeline for IOC. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 15

ICE OCIO TECS Modernization Test and Evaluation Master Plan Figure 2: High-Level IOC Schedule ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 16

ICE OCIO 2.2 TECS Modernization Test and Evaluation Master Plan Full Operational Capability Date FOC of the TECS Modernization system is achieved when there are no additional development releases and all planned capabilities have been developed and deployed. FOC includes major enhancements and other service integration. The scheduled baseline objective for FOC is Q4 FY17. FOC represents implementation of enhancements and additional functionality to provide more effective core case management. In addition, there will be integration of functionality required by the Office of Professional Responsibility (OPR). With regard to core case management, enhancements will include the following capabilities:      2.3 Case: electronic distribution of investigative reports to administrative email inboxes to replace distribution via office printers, implementation of digital signatures for case documents, creation of repository for case document templates with version control, system mobility, voice recognition capabilities and comprehensive analytics Subject Records: creation of additional remarks to enhance communication with other law enforcement agencies, address validation for better data quality and consistency across subject records, and immediate access to record owner information by querying agent Interfaces: includes implementation of remaining interfaces as identified in the ICM System Interfaces List Universal: includes implementation of media tagging; capability to save search criteria for streamlined searching; ability to manage (save/delete) notifications; full utilization of audio, video and other multi-media information; and geospatial mapping Technical: includes implementation of all other technical requirements needed to support FOC functionality Management The ICE TECS Modernization Program consists of an integrated team comprising of ICE OCIO, HSI, and contractor support personnel. The government will manage the system integration and provide overall direction and supervision to the program. The testing activities will be performed by team members from the OCIO, Development (application, data migration, and interfaces), Test Support, Information Security, HSI, and Operational Test and Evaluation teams. Table 4: Management Roles & Responsibilities Role Program Manager (PM) Business Sponsor Responsibilities  Oversees all project roles to ensure schedule, cost, and activity requirements (scope) are met for the program  Ensures the test teams are appropriately staffed to execute the TEMP and testing activities  Represents the operational needs of the business unit and the system users  Participates throughout the ICE System Lifecycle Management (SLM) process to ensure that the system meets operational and user requirements ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 17

ICE OCIO TECS Modernization Test and Evaluation Master Plan Role End Users Test Manager Operational Test Agent (OTA) Director of Operational Test and Evaluation (DOT&E) Responsibilities  Provide input in determining requirements of the system  Provide functional subject matter expertise input in all phases of the lifecycle  Perform testing activities (user acceptance)  Oversees all program testing activities, which includes implementation of the TEMP  Assesses whether the final software product meets the approved requirements described in the existing SRD  Ensures that defects and deficiencies are appropriately identified, reported, and adjudicated  Ensures all testing teams have the required test data  Provide staffing requirements to the PM to ensure execution of the TEMP and subsequent testing  Ensure access to external systems and data  Conducts all operational testing from Initial Operational Test and Evaluation (IOT&E) through Follow-On Operational Testing & Evaluation (FOT&E). A member of the ICE agent user community is assigned to the OTA lead position after approval from the DHS Director of Operational Test and Evaluation (DOT&E). The OTA is led by an agent, supported by an experienced and professionally qualified contractor. The execution of the testing will include the OTA and practitioner. The OTA writes the OT&E test plan(s) and report(s). The OT&E test plan(s) is sent to DHS OT&E for review and approval.  Performs operational testing activities to assess the operational effectiveness and operational suitability of a system or service in a realistic operational environment employing fully trained operators  Analyzes the data collected for the Measure of Effectiveness (MOE) and Measure of Suitability (MOS) in order to resolve the Key Performance Parameters (KPPs) and COIs to determine operational effectiveness and operational suitability  Advises the Component Program Managers in developing Operational T&E documentation, planning for Operational T&E, and resolution of T&E issues  Reviews the Mission Need Statements, Concept of Operations, Integrated Logistic Support Plan, Operational Requirement Document and associated COI  Approves the Test and Evaluation Master Plan  Approves the OTA ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 18

ICE OCIO TECS Modernization Test and Evaluation Master Plan Role Technical Architect Lead Systems Engineer Development Teams (ICM System, Data Migration, Interfaces, and Data Warehouse) Test Support Team Section 508 Coordinator Information Systems Security Officer Responsibilities  Participates in T&E working groups  Participates in Operational Test Readiness Reviews (OTRR) and observes Operational Tests  Approves the Operational Test Plans and reviews the Operational Test and Evaluation Reports and writes Letter of Assessment of the Operational Test and Evaluation (OT&E) Report as appropriate  Provides the T&E member to the Acquisition Review Boards  Manages the adoption, development, and specification of standards supporting the ICE EA  Monitors project adherence to ICE Technical Architecture standards  Coordinates infrastructure requirements between development teams and DHS hosting environments  Serves as the point of contact between ICE TECS Modernization program and DHS hosting providers  Ensures all teams have the approved access to the development and test environments  Responsible for designing, building, and testing (Unit and Integration) activities  Complete SLM documentation throughout system lifecycle  Identify data set required to conduct testing and communicate to Test Manager  Supports the TECS Modernization Test Manager in providing oversight to all the different technical teams delivering the program  Serve as the coordination point for SLM documentation  Provide centralized control over the database, infrastructure, and continuous integration tools  Perform Interoperability, Section 508, UAT, and Performance testing  Assist in communicating technical information between teams  Identify data set required to conduct testing and communicate to Test Manager  Provides guidance on Section 508 requirements  Evaluates Section 508 compliance  Assists the project through the Security Authorization process ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 19

ICE OCIO TECS Modernization Test and Evaluation Master Plan Role Responsibilities  Perform security risk analysis  Perform testing activities (Security Authorization)  Creates all security documentation CISO/AO  Provide ATO approval Contracting Officer and Contracts Specialist  Monitor the acquisition schedule as influenced by test outcomes Test and Evaluation Working Integrated Project Team (T&E WIPT) Members (includes the Test Manager, Lead System Engineer, Technical Architect, ISSO, Section 508 Coordinator, OTA, and representatives from End Users Community, Development Teams, Test Support Team, and DHS S&T)  Provide input into the planning and execution of the program’s T&E activities that will support a determination of whether or not a system is operationally effective, suitable, and survivable  De-conflict any testing related issues (ISSO) ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 20

ICE OCIO TECS Modernization Test and Evaluation Master Plan 3 Developmental Test and Evaluation Outline Developmental Test and Evaluation Overview 3.1 The objective of DT&E is to verify that the developer provides the government with a system that satisfies the documented requirements. It will also verify if the system meets its KPPs and CTPs and complies with the Standards of Compliance referenced above. During each testing phase, defects will be identified, tested, new builds created, and regression testing performed. Also, as referenced in Section 4 (Operational Test and Outline), the OTA will be conducting preliminary Operational Assessments throughout the development of the new case management solution. The TECS Modernization program will utilize the ICE System Lifecycle Management (SLM) process to oversee the various technical, security, and quality aspects of its technology projects and to manage the integration of technology into the ICE organization. To facilitate better communication with DHS Headquarters and other DHS components, the ICE SLM aligns with the DHS Systems Engineering Lifecycle (SELC). This process supports the following:  Multiple lifecycle methodologies (approaches for managing a project from planning to deployment) to enable project teams to select and apply a methodology that fits the unique needs of a project  Tailoring (review and selection of the necessary activities, artifacts, and SLM Reviews), which produces a customized work pattern for a project team, giving the team the flexibility and agility to meet immediate business needs  Deploying technology solutions to meet immediate and critical business requirements without circumventing the process  Practicing disciplined project management to ensure that the system is developed on schedule and within budget and that it produces the expected results  Establishing a comprehensive project management plan to track, measure, and control the progress of each project  Aligning each project with the target ICE Enterprise Architecture (the future or “to-be” business, data, and IT environment)  Maintaining project information integrity, availability, and confidentiality  Conforming to ICE architecture standards  Verifying and certifying project activities through formal reviews, approval, and acceptance  Incorporating maintainability to enable adjustment to evolving business needs In accordance with the ICE SLM process, the following will be conducted for each release to ensure proper test procedures and processes were followed and that test reports are formally delivered. The test reports are used in the overall evaluation of the system in an operational environment, which informs the decision to move into the next lifecycle stage. To the extent possible, automated testing will be required. 1. Functional Testing – Functional testing consists of three components, Unit Testing, Integration Testing, and Section 508 testing (where applicable). Unit testing verifies individual software units as part of coding during system development to ensure that unit functions conform to unit design, ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 21

ICE OCIO TECS Modernization Test and Evaluation Master Plan to ensure that every possible decision outcome in the code is made at least once, and to ensure that all requirements have been met. The ICM system will be a COTS solution, which will not require unit testing on out of the box functionality. Any configurations or custom development to the COTS solution will require unit testing. Integration testing verifies software modules created from the integration of previously tested software units within an individual development workstream. Integration testing validates proper unit integration, satisfaction of module design requirements for unit communication and interaction, and handling of and recovery from errors. It also retests individual software units to validate that they function properly after their integration. Functional testing will be conducted by each developer (ICM System, Data Migration, Interfaces, and Data Warehouse) for all application functionality that is developed. Each developer will be responsible for creating a Development Test Plan (DTP) (including Test Cases and a Test Coverage Matrix) and producing a Development Test Analysis Report (DTAR) that includes test results and deficiencies (if any). Section 508 results from the DTAR will be provided to the Section 508 coordinator before entering Section 508 Compliance Testing. Functional testing is complete when the program is approved to proceed to System Integration Testing at the Integration Readiness Review (IRR). 2. Interoperability Testing – End-to-end testing that verifies all new case management system components maintain data integrity and can operate in coordination with other systems in the same environment. System Interoperability testing will be coordinated by the Test Manager with support from the Test Support team, Development teams, and representatives from external system owners that exchange data with the new case management solution. System Interoperability testing will not be conducted until all Functional Testing (per above) has been completed. The Test Manager, with the support of the Test Support team, will develop the Interoperability Test Plan and provide the System Interoperability Test Analysis Report to ensure the following areas have been tested:     Data Migration – Verify migrated data is correctly ingested by the ICM system and can be used to populate the Data Warehouse. Data Warehouse – Verify legacy data is correctly ingested from the Data Migration database and new data is correctly ingested from the ICM System. It will also verify that data can be retrieved from the Data Warehouse into the ICM system. Interfaces – Verify data is correctly transferred between the ICM System and the interface hub. It will also verify that data is correctly transferred between the interface hub and the systems listed in the ICM System Interfaces List (referenced in the ORD). ICM Solution – Verify data is correctly ingested from the Data Migration database, Data Warehouse, and interface hub. It also verifies the data is correctly transferred to the Data Warehouse and interface hub. Testing interfaces between the interface hub and the systems listed in the ICM System Interfaces List will require additional planning and coordination with external stakeholders, including CBP, DHS, DOS, DEA, ATF, and private industry. Ideally, all interoperability testing between the interface hub and systems will be conducted against a testing environment that mimics the behavior of the system in production using data sets that mimic those seen in production to the greatest extent practical. The program will utilize existing ICAs and testing environments where possible or establish new ICAs. There is also a possibility that external system owners may require additional testing to be performed based on their internal procedures. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 22

ICE OCIO TECS Modernization Test and Evaluation Master Plan It is the responsibility of the Test Manager to secure permissions and facilitate the technical steps necessary to ensure that testers are able to access all test environments in a manner that simulates production to the greatest practical intent, to ensure that test data sets that mimic production are available for use, and to ensure that all agreed upon test requirements imposed by external system owners are met. 3. Performance Testing – Detects any performance and capacity limitations by generating system load that emulates the behavior of users conducting business transactions, determines when performance begins to degrade, and identifies bottlenecks across the system application and infrastructure All facets of the system will be tested to ensure data is moved accurately and efficiently and meets any KPPs and other metrics as outlined in the ORD and TEMP for the program. System Performance testing will be coordinated by the Test Manager with support from the Test Support and Development Teams. System Performance Testing can begin as soon as the Data Migration Team completes their portion of the System Integration Testing. The Test Manager, with the support of the Test Support team, will develop the System Performance Test Plan and provide the System Performance Test Analysis Report to ensure the following areas have been tested:    ICM Solution – Simulated testing using Load Runner will be conducted to validate that the KPPs will be met for time and volume. Data Warehouse – On-Going Load: Simulated testing using Load Runner will be conducted to obtain timings from the export of data from ICM to the Data Warehouse and code/script adjustments will be made as needed based on results. Interfaces – Simulated testing using Load Runner will be conducted to verify that the KPPs for all functions as defined in the Interface Control Document are met. 4. UAT - Independent testing conducted by end users that will execute business processes to verify and validate the system meets user requirements. UAT will be coordinated by the Test Manager and conducted by end users with subject matter expertise and supported by the Test Support and Development teams. UAT can begin upon completion of System Integration testing and will occur in parallel with Section 508 testing. The end users will develop a UAT Test Plan and provide the results in a User Acceptance Test Analysis Report. UAT is complete once the UAT is accepted by the Business Sponsor. 5. Section 508 Testing - Determines compliance with Section 508 Assistive Technology Interoperability requirements (Section 508 of the Rehabilitation Act of 1973). Section 508 testing will be coordinated by the Test Manager with support from the Section 508 Coordinator, Test Support team, and Development Teams. Section 508 testing can begin upon completion of System Integration testing. It will occur in parallel with UAT. Any deficiencies will be logged in the Section 508 Remediation Plan and assigned to development teams for resolution. Section 508 Testing is complete when the new case management system is approved by the Section 508 Coordinator. 6. System Security Testing (C&A) – Validates implementation of security requirements and controls in the system and identifies potential intrusion or sensitive data exposure vulnerabilities. The ISSO prepares the Security Authorization package required to receive ATO with support from the Test Manager, Test Support and Development Teams. The Test Manager provides access to the necessary resources (e.g., program artifacts, team members) to complete the ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 23

ICE OCIO TECS Modernization Test and Evaluation Master Plan Security Authorization package. The CISO, as the Certifying Official (CO), verifies the results of the security assessment and makes an authorization recommendation to the AO. Security Authorization testing begins upon completion of UAT and Section 508 Testing. The Figure below documents the notional testing timeline: ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 24

ICE OCIO TECS Modernization Test and Evaluation Master Plan Figure 3: ICM System Testing View Jul 2014 Aug 2014 Sep 2014 Oct 2014 Nov 2014 Dec 2014 Jan 2015 Mar 2015 Apt 2015 May 2015 Jun 2015 Code Freeze Date Initial Config of COTS Solution ICM Solution Development Feb 2015 Gap Analysis Jul 2015 Aug 2015 Sep 2015 Cutover to ICM System SLM Gate: IRR COTS Solution Gap Software Development Key: NOTIONAL Development Development Unit Testing Testing Conversion / Cutover Development Integration Testing Production System Interoperability, Performance, UAT, 508, and Security Testing Operations & Maintenance Interoperability Testing System Performance Testing User Acceptance Testing Section 508 Compliance Testing SLM Gate: PRR, OTRR System Security Testing OT&E / Production Production Load ICM System in Production ICM System Operations and Maintenance (O&M) SLM Gate: ORR Operational Assessment OT&E Testing Last Updated March 5, 2014 ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 25

ICE OCIO 3.2 TECS Modernization Test and Evaluation Master Plan Developmental Test and Evaluation to Date There has been no DT&E to date. 3.3 Future Developmental Test and Evaluation Testing of future development will consist of similar testing activities for each release using a baseline set of previously developed automated test scripts, in addition to new scripts to test new functionality. The needs of each release, and the projects contained within it, will determine which tests (refer to Section 3.1, Developmental Test and Evaluation Overview) will be removed or added based on the functionality added to the system. 3.4 Developmental Test and Evaluation Plans and Reports DT&E Plans and Reports are described in Section 3.1, Developmental Test and Evaluation Overview. A summary of this information can be found in the Summary of Testing Resources table located in Section 5. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 26

ICE OCIO TECS Modernization Test and Evaluation Master Plan 4 Operational Test and Evaluation Outline 4.1 Operational Test and Evaluation Overview TECS Modernization will require an OT&E with an ADE decision to deploy. TECS Modernization will undergo OT&E using a Mission Based Test Design (MBTD) approach to determine operational effectiveness and suitability. Operational vignettes will be created to test TECS Modernization capabilities to support law enforcement activities and operations, and case adjudication. The vignette lays out the sequence of actions for conducting a particular mission. OT&E determines if the TECS Modernization system being delivered fulfills operational effectiveness and suitability. o Operational effectiveness is the overall degree of mission accomplishment of a system when used by representative personnel in the planned environment after deployment of the project, or the degree of mission accomplishment exhibited by the system upgrade after its technical improvements are deployed. o Operational suitability is the degree to which a system can be satisfactorily placed in field use, with consideration given to reliability, availability, maintainability, human factors, manpower supportability at the data centers and the field, logistics supportability, documentation, and training requirements. OT&E for TECS Modernization will consist of at least one Operational Assessment (OA) during the TECS Modernization development phase and, following the IOT&E Operational Test Readiness Review (OTRR), formal IOT&E and FOT&E. OT&E test results are used to ascertain the operational effectiveness and suitability of the ICM system. Following the successful FOT&E, Full Operational Capability (FOC) can be reached for TECS Modernization. The table below outlines the TECS Modernization OT&E: Table 5: Operational Test and Evaluation Periods Component of OT&E Milestone Purpose of Test Results Operational Assessment(s) As requested. To assess progress toward or potential to achieve satisfying COIs. Initial Operational Test and Evaluation The end of DT&E; PRR, and achieving a successful IOT&E OTRR. IOT&E results are used to support the initial operational production decision at the Operational Readiness Review (ORR). Evaluate operational effectiveness and suitability of IOC capabilities. Follow-On Operational Test and Evaluation Once system is at full operational deployment and achieving a successful FOT&E OTRR. FOT&E results are used to support the FOC production decision at the ORR. Evaluate operational effectiveness and suitability of FOC capabilities. Validate correction of Deficiencies. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 27

ICE OCIO TECS Modernization Test and Evaluation Master Plan The OTA is responsible for all OT&E activities because it must be completely independent from any prior testing (i.e. component testing by developers or any testing done by another Government assigned team). The Operational Test and Evaluation Plan (OTEP) and OT&E reports will be written by the OTA. For TECS Modernization, OT&E will be fully integrated with the development team and DT&E. As stated previously, there will be an enterprise cutover for ICE TECS Modernization. The TECS Modernization development framework provides key events for the OT&E to observe the system for early operational trends and refine OT&E data collection and analysis methodologies. Using actual investigators2 as users, the UATs will provide integrated testing opportunities for early look at ICE TECS Modernization progress to satisfying the OT&E COIs. To ensure objectivity, the OT team will provide independent agents to supplement the UAT users. Operational Assessments. Due to the TECS Modernization single-release development strategy, as part of an OT&E early look at the emerging capabilities, the OTA may decide to conduct an OA for an early production release prior to a full OT&E, immediately following or as part of the UAT. To assist in identifying deficiencies in functionality or operational capabilities prior to going into the formal system release evaluations, the OTA, in coordination with the Program Office, will observe DT events. At key DT events, sufficient functionality may be available to allow an early look by the OTA, using actual agents / investigators as users. It is key to note that an OA is not conducted in lieu of the OT&E; rather it is conducted to identify significant trends or areas of risk to assist TECS Modernization leadership in determining the progress toward meeting requirements. This OA will not only provide program management with early indications of system potential effectiveness and suitability but also allows the OT team to familiarize with the system and refine data collection methodologies prior to formal OT&E testing. The OA is limited to the functionality and capabilities deployed in the release IOC, a subset of the functionality to be deployed with TECS Modernization FOC. For the IOC release, the OTA would not expect the COIs to be fully resolved, therefore IOT&E will only resolve COIs to the extent instantiated in the IOC release. An OA may also be performed to augment FOT&E utilizing the FOC release. IOT&E. For TECS Modernization IOT&E, the OT&E assessment team will match user requirements, KPPs, and CTPs to business practice and case workflow based scenarios as well as using actual case data. During the development phase, IOT&E will monitor and observe DT activities and may also include conducting an OA during the IOC release. During formal IOT&E, OT&E representatives will be responsible for scenario and performance testing procedures, data collection, and conduct to ensure the collection of data pertinent to the overall IOT&E data requirements. IOT&E starts following the completion of IOC DT&E and will begin with the approval to move the operational production deployment to the production pilot site(s). An OTRR ensures the program is ready to enter IOT&E. The OTRR should be led by the CAE or his designee, and conducted in a manner that ensures Operational Test is ready to begin. The IOT&E testing is conducted in an operational or operationally relevant environment. FOT&E. FOT&E is focused on significant fixes, resolution of deficiencies, and remaining FOC capabilities unavailable for IOT&E. FOT&E starts following the completion of FOC DT&E and will begin with the approval to move the project to operational production deployment at the OT sites. An OTRR ensures the program is ready to enter FOT&E. The OTRR should be led by the CAE or his designee, and conducted in a manner that ensures Operational Test is ready to begin. 2 The term “Investigator” represents a TECS system user which could be an investigative assistant, special agent, or investigative research specialist. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 28

ICE OCIO 4.2 TECS Modernization Test and Evaluation Master Plan Evaluation Strategy The objective of this evaluation is to determine whether the TECS Modernization system when employed in the ICE law enforcement enterprise is an operationally effective and suitable tool to enable ICE Agents to conduct daily operations, and accurately and rapidly eliminate vulnerabilities. The OT&E approach will be to use event-driven scenarios matched to the case management processes and business practices to evaluate ICE TECS against operational requirements as well as validating system performance as verified during developmental testing. Testing will employ an end-to-end mission-oriented approach within an operationally realistic environment, using real-world data and scenarios. During scenario driven testing, performance will be tested against the Measure of Performance (MOPs)/MOEs and performance data will be recorded. If the system does not meet the threshold requirements the deficiency will be noted in reporting. All performance data will be used for comparison between the IOC and FOC releases. Metrics and subjective assessments by the users will provide data for the MOSs as well as mission impact, ensuring legacy functionality and recommendations for enhancing system capabilities. 4.3 Integrated Evaluation Framework The ICE TECS Modernization Integrated Evaluation Framework (IEF) and supporting assessment dendritic for ICE TECS will link the system’s key technical and performance metrics to the vignettes. Those vignettes will be linked to specific mission-based effectiveness COIs, leading to the overall evaluation of the effectiveness and suitability of the system. In order to maximize the benefits and data collection opportunities during system development, ICE TECS Modernization OT&E will use an “integrated testing” approach, as defined in the Defense Acquisition Guidebook (DAG). Integrated testing is designed to produce credible qualitative and quantitative data useful to all evaluators, and to address developmental, sustainment, and operational issues. Integrated testing allows for the collaborative planning of test events, where a single test event, such as UAT, separate OTA OA or User Observations can provide data to satisfy multiple test objectives, without compromising the individual test objectives of each participating test organization. Integrated testing will not just be concurrent or combined DT and OT, where both DT and OT test objectives are interweaved on the same mission or schedule. Integrated testing focuses the entire test program on designing, developing, and producing a comprehensive plan that coordinates all test activities to support evaluation results for decision makers at required decision check points and during program reviews. As part of the integrated testing, the OTA will observe key system development testing events or conduct independent OA/User Observations with actual investigators and available capability set-driven scenarios. Data and findings from these events may be used to supplement the final release evaluation data, provided certain criteria are met. The early integrated testing efforts are not a formal phase of OT, but rather a period of DT in which OT testers are actively involved, providing operational perspective and gaining valuable hands-on familiarity with the system. The objective of the OTA observations is to provide program management with early insight into operational issues and concerns. If appropriate for the test event, subjective questionnaires might be administered by the OTA to support any OA/User Observations. As for DT testing, any software defects detected during OT&E will be documented in a Test Problem Report (TPR) and assigned a severity level (low, medium, high, critical) by the tester. Software Defects identified in TPRs will be reviewed by project management and prioritized in order to continue development of the system. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 29

ICE OCIO 4.4 TECS Modernization Test and Evaluation Master Plan Modeling and Simulation There is no expectation of using modeling to conduct operational testing. However, it is possible that some level of simulation may be expected. Operational Testing may include the use of a simulation tool for three purposes a) Faithfully replicate scenario driven tasks so they can be automated and repeated for multiple tests b) Simulate multiple system users without the need to establish a large number of workstations c) Measuring system response time of actions Any M&S tool used during OT must receive approval from the OTA. 4.5 Reliability growth Reliability growth (KPP 3 – Availability) will be determined by analyzing the data produced by performing the framework and performance procedures found in the DT&E Test Plans, by collecting RAM data in the production environment, and by evaluating TECS Modernization conformity to the Availability KPP. It will be analyzed in accordance with the ILSP. A reliability baseline will be established during the early DT/OA/OT events, and comparability measurements will be taken throughout the lifecycle of TECS Modernization to identify and quantify any system reliability changes. Critical Operational Issues3 4.6 The table below identifies the COIs for the ICE TECS Modernization Program. Table 6: Critical Operational Issues No. COI Category COI 1 Case Management Does the modernized system provide users the capability to perform case management functions (whether criminal or administrative) required from case inception to final disposition as well as reporting and audit capabilities? 2 Interface with Critical Systems Does the modernized system allow HSI to exchange data with critical systems both internal and external to the agency? 3 Access Control Does the modernized system provide access control that will ensure proper handling of sensitive data within the ICM application in addition to data shared with systems both internal and external to the agency? 4 RAM Is the modernized system technically viable (supportable) in an operational environment providing a sufficient degree of reliability, availability and maintainability? 4.7 TECS Modernization Failure Classification A failure is an event that results in the loss of, or operationally unacceptable degradation of, an essential mission capability. In order to classify the failures as to severity of operational impact, an analysis of the 3 COIs were defined in the TECS Modernization ORD ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 30

ICE OCIO TECS Modernization Test and Evaluation Master Plan business practices was performed to match functional capabilities with operational mission components. Figure below displays the Core HSI Investigative Case Management Processes. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 31

ICE OCIO TECS Modernization Test and Evaluation Master Plan Figure 4: Core HSI Investigative Case Management Processes ICM Process Mapping Diagram 1 Core HSI Investigative Case Management (ICM) Processes Open Case Conduct Investigation Close Case Support Prosecution Enforcement Actions DHS Federated Authentication U Single Sign-on s e r I 2 Search, View, Create, Link Subjects 3 n t e r f a c e Open Case ICE Data Warehouse 3 Create Other Case Documents 4 Investigate: Individuals Businesses 5 Investigate Investigate Phone Financial Records Info. 5 5 Interview Suspects & Witnesses Electronic & Physical Surveillance Undercover Operations Other Covert Operations Add Case Docs 4 Enforcement Actions Obtain Search Warrants Obtain Arrest Warrants Obtain Seizure Warrants Serve Warrants Search Locations Seize Evidence Arrest Persons Book Persons Indict Persons Seize Assets Obtain Forensics Support 6 4 Support Prosecution Maintain Evidence EID/Eagle = ICE Booking System 6 Prepare Discovery Package Conduct Proffer Sessions Trial Preparation Provide Witness Support Present Evidence & Testify Add Case Docs Legend 4 Core ICM FALCON = ICE Analytical System Close Case AFI= CBP Analytical System Disposition Arrests LeadTrac = Refer to HSI Disposition Evidence 6 Disposition Assets 6 6 Update Case Statistics 6 Other System Closing ROI NonSystem Function 7 Virtual University = Certificates (NCIC, PA, etc.) SEACATS 1. 2. 3. The example “snapshot” processes depicted above will occur in varying orders (sans the open and close). Though an activity may be a “non-system” function, that activity is supported and documented in the system. The symbol with a number, indicates that there is a corresponding process flow with more detail. Constant in System **Law Enforcement Sensitive - For Official Use Only** ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only Add Case Docs 32 Universal Functionality System-Wide Search CBP Systems for Border Info 5 Access Control, Security & User Provisioning Workflow, Document Management & Reporting Perform Federated Searches 5 ACRIMe = NCIC/NLETS/III, CIS, CLAIMS 3 & 4, & PCQS SEACATS = Seized property management Research Laws, Regulations, Policy Create CBP Lookout Subjects Conduct Investigation Interface Hub CBP TECS Portal = Border info (crossings & incident logs), bidirectional subject records, primary lookouts Create ROI Creating, Searching & Query Notifications Migrated Data and New ICM Data Create Investigative Case 1 Search for Deconfliction

ICE OCIO TECS Modernization Test and Evaluation Master Plan From this and analysis of the TECS ICE Modernization processes, the OT team developed a prioritization of the operational failure categories. These classifications reflect the operational mission impact and priority of resolution. Table below presents these failure classifications. As indicated, the higher priority capability areas could also experience lower priority failures. Table 7: Failure Classification Priority Description Priority 1 A failure that has one or more of the following operational impacts to critical processes:   Core Case Management Processes Integrated Search and Analytics 1. Jeopardizes personnel and public safety. 2. Prevents the accomplishment of an operational or mission-essential capability specified by the TECS Modernization requirements. 3. Prevents the operator’s ability to accomplish an operational or missionessential capability specified by the TECS Modernization requirements. There shall be no known Priority 1 problems in the product delivered to the end user. Priority 2 All Priority 1 Failure Classifications and:  Leads Management  Operational Management  Shared Infrastructure A failure that has one or more of the following operational impacts: 1. Adversely affects the accomplishment of an operational or missionessential capability specified by the TECS Modernization requirements for which no alternative solution, such as a work around, is known. 2. Adversely affects the operator’s ability to accomplish an operational or mission-essential capability specified by the TECS Modernization requirements for which no alternative solution, such as a work around, is known. No known Priority 2 problem(s) will exist in the product delivered to the end user without the associated alternative solution documentation. Priority 3 All Priority 1 and 2 Failure Classifications and:  Visualization A failure that has one or more of the following operational impacts: 1. Adversely affects the accomplishment of an operational or missionessential capability specified by the TECS Modernization requirements so as to degrade operational performance, but for which an alternative solution is known and documented. 2. Adversely affects the operator’s accomplishment of an operational or mission-essential capability specified by the TECS Modernization requirements so as to degrade operational performance, but for which an alternative solution is known and documented. Priority 3 problem(s) should be fixed prior to the next product update. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 33

ICE OCIO 4.8 TECS Modernization Test and Evaluation Master Plan Operational Test and Evaluation to Date The ICE TECS Modernization program is currently in the Design and Development phase and has not started any testing. Therefore, there has been no operational T&E performed to date. 4.9 Planned Operational Test and Evaluation OT&E will validate that the system is operationally effective and suitable as measured against the KPPs, COIs, and associated MOPs, MOEs and MOSs when deployed in an operational environment. The OTA will be the responsible organization for IOT&E Testing, Operational Testing and FOT&E Testing. The OTA:  Writes the OT&E Test Plan(s), Operational Assessment Plans, and report(s). The OT&E Test Plan(s) is sent to DHS OT&E for review and approval.  Performs operational assessments of releases deployed in the production environment to analyze and assess the release for its potential to meet a KPP or COI.  Performs operational test and evaluation to determine the operational effectiveness and operational suitability of a system or service in a realistic operational environment employing final user trained operators.  Analyzes the data collected for the MOPs, MOEs and MOSs in order to resolve the KPPs and COIs to determine Operational Effectiveness and Operational Suitability. The operational test system will be the production system for TECS Modernization. Operational testing will occur in a live, full production configuration at selected operational field agent sites. 4.10 Constraints and Limitations The TECS Modernization OT&E is constrained by the factors listed in the table below. Table 8: Operational Test and Evaluation Limitations Limitation Impact Mitigation Strategy The testing will be constrained to a small subset of the operational environment that is representative of the entire TECS production environment Test data may not be reflective of all sites The OTA and ICE TECS Modernization Program Office will coordinate sites to provide the variations of facility size, number of agents, available bandwidth, types of tasks performed, etc., in selection of release assessment sites. The program’s test strategy is to plan on using a load simulator to create the stresses required to test system performance, response time and scalability During DT efforts, not all data sources or operational network loading factors may be present and accounted for during system performance evaluation. OT will leverage DT system performance instrumentation as the system is evaluated at the different field sites. The OTA will perform comparisons of the load simulator data and OT&E observed data. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 34

ICE OCIO TECS Modernization Test and Evaluation Master Plan 4.11 Operational Test and Evaluation Plans and Reports The OTA will conduct OA and OT&E within T&E protocols and procedures as outlined in Section 4.1. The details of OA and OT&E will be included in the Operational Assessment Plan and OTEP and subsequent reports. For each OA, an OA Plan will be submitted to the DHS DOT&E for approval. The formal OA period starts after the Authorization to Operate (ATO) has been granted, the assessments of developmental performance testing completed, TECS Modernization training conducted, and ends at the conclusion of user observation and assessment at the operational pilot site. The OTA’s role is to conduct user observations and document a Letter of Observation (LOO) by the OTA to DHS OT&E and the ICE TECS Modernization Program Office. The LOO will document observed functionality, capabilities and identify potential problem areas that need attention to perform at an acceptable level prior to formal OT, as well as identify any operational user identified enhancements. The LOO does not resolve COIs, does not reach conclusions regarding effectiveness or suitability, and does not make a recommendation regarding fielding introduction/release. The LOO will be made available to the PM within ten (10) working days from the completion of a test event. The OTA will develop an OA Report that documents the results of each OA; it will include a summary of the risk of deploying TECS Modernization IOC, determination of potential of meeting IOC and / or FOC and recommendations for OT&E activities for subsequent final TECS Modernization production release. For OT&E, the OTEP will be reviewed and approved by DOT&E. The OT&E Report will be delivered to the DOT&E. DOT&E will provide a letter of assessment to the Acquisition Review Board. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 35

ICE OCIO TECS Modernization Test and Evaluation Master Plan 5 Test and Evaluation (T&E) Resource Summary This section summarizes the cost and resources that will be used for conducting DT&E and OT&E. Table 9: Summary of T&E Funding Requirements This table will be completed upon the finalization of the LCCE. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 36

ICE OCIO TECS Modernization Test and Evaluation Master Plan Table 10: Summary of Testing Resources No 1 2 Test Functional Testing Interoperability Testing Description Verifies the developer delivers products that meet the functional requirements as described in the SRD and the content of the DD, ICA, DMP, and other artifacts to determine if the product performs the business functions as documented End-to-end testing that verifies all TECS Modernization Program system components maintain Deliverables 1. 2. 3. 1. 2. data integrity and can operate in coordination with other systems in the same environment. 3 Performance Testing Detects any performance and capacity limitations by generating system load that emulates the behavior of users conducting business transactions, determines 1. 2. Environment Development Test Plan Test Coverage Matrix Development Test Analysis Report Government DEV Environment System Interoperability Test Plan System Interoperability Test Analysis Report Government DEV/INT Environment System Performance Test Plan System Performance Test Analysis Report ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only SLM Gate Rvw IRR Data Set 50K Scrubbed Records* Note: Other data sets may be identified in the DTP PRR 50K Scrubbed Records Note: Other data sets may be identified in the System Interoperability Test Plan Government PERF TEST Environment ** PRR TBD Test Tools Responsibility HP Application Lifecycle Managemen t (ALM) JIRA Fortify Subversion Jenkins Web Inspect DB Protect Development Team (ICM System, Data Migration, Interfaces, and Data Warehouse) HP ALM JIRA Fortify Subversion Jenkins Web Inspect DB Protect Coordinated by Test Manager HP ALM JIRA Load Runner Conducted by Test Support Team Support provided by Development Teams (ICM System, Data Migration, Interfaces, and Data Warehouse) Coordinated by Test Manager Conducted by Test Support Team Support provided 37

ICE OCIO No 4 5 TECS Modernization Test and Evaluation Master Plan Test Section 508 Compliance Testing UAT Description when performance begins to degrade, and identifies bottlenecks across the system application and infrastructure. Tests all ICE systems with user interfaces for Section 508 compliance using the OASTapproved testing package. Allows production users to test systems before deployment to ensure that the developed system meets their needs. Deliverables 1. 1. 2. Section 508 Remediation Plan (if required) User Acceptance Test Plan User Acceptance Test Report ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only Environment Government TEST Environment Government UAT Environment SLM Gate Rvw PRR PRR Data Set NA Test Tools Tools provided by the Section 508 Coordinator 50K Scrubbed Records Note: Other data sets may be identified in the User Acceptance Test Plan 38 HP ALM JIRA Responsibility by Development Teams (ICM System, Data Migration, Interfaces, and Data Warehouse) Coordinated by Test Manager Conducted by Test Support Team Support provided by the Section 508 Coordinator and Development Teams (ICM System, Data Migration, Interfaces, and Data Warehouse) Coordinated by Test Manager Conducted by End Users Support provided by the Test Support Team and Development Teams (ICM

ICE OCIO No 6 7 TECS Modernization Test and Evaluation Master Plan Test System Security Authorization Testing (C&A) Operational Test and Evaluation Description Deliverables Validates implementation of security requirements and controls in the system and identifies potential intrusion or sensitive data exposure vulnerabilities. 1. Determines if the system being delivered fulfills operational effectiveness and suitability. 1. 2. 2. 3. Security Authorization Package Authority to Operate Operational Assessment Plan Operational Test Evaluation Plan OT&E Report Environment Government TEST Environment Government UAT and PRODUCTION Environments SLM Gate Rvw PRR PRR OTRR ORR Data Set TBD 1. 2. Test Tools HP ALM Nessus Web Inspect DB Protect 50K Scrubbed Records Production Note: Other data sets may be identified in the Operational Assessment Test Plan. HP ALM JIRA Responsibility System, Data Migration, Interfaces, and Data Warehouse) Coordinated by Test Manager Conducted by ISSO Support provided by the Test Support and Development Teams (ICM System, Data Migration, Interfaces, and Data Warehouse) Conducted by OTA Support from End Users and OTA vendor *50K Scrubbed Records – These are production records that were scrubbed per ICE Privacy’s instructions. **PERF – This is a pre-production environment within Infrastructure as a Service (IaaS) where a production equivalent environment will be established for System Performance. ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 39

ICE OCIO TECS Modernization Test and Evaluation Master Plan Appendix A: Bibliography 1. 2. 3. 4. Immigration and Customs Enforcement System Lifecycle Management Handbook TECS Modernization SELC Tailoring Plan TECS Modernization Operational Requirements Document TECS Modernization Life Cycle Cost Estimate ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 40

ICE OCIO TECS Modernization Test and Evaluation Master Plan Appendix B: Acronyms Acronym ALM Ai AO Ao ATO C&A CAE CBP CDF CDR CISO CO COI COTS CTP DAG DC DD DHS DMP DOT&E DT&E DTAR DTP EA EAD FIPS FISMA FOC FOT&E FY HSI IAD IaaS ICA ICE ICM IEF IOC IOT&E Full Term Application Lifecycle Management Inherent Availability Authorizing Official Operational Availability Authority to Operate Certification and Accreditation Component Acquisition Executive Customs and Border Protection Compliance Determination Form Critical Design Review Chief Information Security Officer Certifying Official Critical Operational Issue Commercial Off-the-Shelf Critical Technical Parameters Defense Acquisition Guidebook Data Center Design Document Department of Homeland Security Data Management Plan Director of Operational Test and Evaluation Developmental Test and Evaluation Development Test Analysis Report Development Test Plan Enterprise Architecture Enterprise Architecture Decision Federal Information Processing Standard Federal Information Security Management Act Full Operational Capability Follow-On Operational Testing & Evaluation Fiscal Year Homeland Security Investigations Information Assurance Division Infrastructure as a Service Interface Control Agreement Immigration and Customs Enforcement Investigative Case Management Integrated Evaluation Framework Initial Operational Capability Initial Operational Testing & Evaluation ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 41

ICE OCIO Acronym IRR KPP LOO MBTD MOE MOP M&S MOS NIST OA OAST O&M OCIO OIT OPR ORD ORR OT&E OT OTA OTEP OTRR PDR PM PRR RTM SELC SLM SRD T&E TAR TEMP TPR UAT VPN WIPT TECS Modernization Test and Evaluation Master Plan Full Term Integration Readiness Review Key Performance Parameter Letter of Observation Mission Based Test Design Measure of Effectiveness Measure of Performance Modeling and Simulation Measure of Suitability National Institute of Standards and Technology Operational Assessment Office of Accessible System and Technology Operations and Maintenance Office of the Chief Information Officer Office of Information Technology Office of Professional Responsibility Operational Requirements Document Operational Readiness Review Operational Test and Evaluation Operational Test Operational Test Agent Operational Test and Evaluation Plan Operational Test Readiness Review Preliminary Design Review Program Manager Production Readiness Review Requirements Traceability Matrix Systems Engineering Lifecycle System Lifecycle Management System Requirements Document Test and Evaluation Test Analysis Report Test and Evaluation Master Plan Test Problem Report User Acceptance Testing Virtual Private Network Working Integrated Project Team ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only 42

ICE OCIO TECS Modernization Test and Evaluation Master Plan Appendix C: Points of Contact Name Organization Telephone Number ICE TECS Modernization_TEMP_Replan 04152014_ICM Acquisition For Official Use Only Project Role 43

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