DEPARTMENT OF INFORMATION TECHNOLOGY

Systems Development Life Cycle

(SDLC)

Volume 1
Introduction to the SDLC

August 2006
Revised July 2008
 Table of Contents

Introduction..................................................................................................................................... 3
Overview......................................................................................................................................... 4

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INTRODUCTION
1.0 STRUCTURE
The SDLC Manual consists of 4 Volumes:

• Volume 1 – Contains an overview of the SDLC and how to use the manual.
• Volume 2 – Describes the phases of the SDLC and their processes and
requirements.
• Volume 3 – Contains the glossary and acronyms used in the SDLC.
• Volume 4 – Contains the templates for documents cited in the SDLC. These
templates are organized in alphabetical order and are designed to serve as outlines
for creation of the required documentation.

The intent has been to develop a methodology that has sufficient detail to help ensure the
development of successful systems without requiring so much detail as to add
unnecessary cost and complexity to projects. The continuing debate over how these
objectives can best be accomplished will drive development over time of a tailored SDLC
methodology that is uniquely suited to State and Agency IT requirements.

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OVERVIEW
1.0 BACKGROUND
The State of Maryland spends hundreds of millions of dollars each year on the acquisition,
design, development, implementation, and maintenance of systems vital to mission programs and
administrative functions. The need to plan for and develop safe, secure, and reliable system
solutions is heightened by an increasing dependence on technology to provide services, develop
products, administer programs, and perform management functions. There is also a need to
ensure privacy and security when developing information systems, to establish uniform privacy
and protection practices, and to develop acceptable implementation strategies for these practices.

The SDLC methodology is designed to satisfy these needs by establishing procedures, and
practices governing the initiation, definition, design, development, deployment, operation,
maintenance, enhancement, and eventual retirement of automated information systems in the
State of Maryland. This SDLC methodology shall be used for all Major Information
Technology Development Projects (MITDPs) which have been defined in legislation as
meeting one or more of the following criteria:

(1) The estimated total cost of development equals or exceeds $1 million;

(2) The project is undertaken to support a critical business function associated with the public
health, education, safety, or financial well-being of the citizens of Maryland; or
(3) The Secretary of the Department of Information Technology (DoIT) determines that the project
requires the special attention and consideration given to a major information technology
development project.

For systems not designated as MITDPs, Agencies are strongly encouraged to tailor and use the
planning, requirements analysis, design, development, and testing documentation tools provided
by the SDLC to support sound project management practices.

2.0 PURPOSE
The purpose of an SDLC methodology is to provide IT Project Managers with the tools to help
ensure successful implementation of systems that satisfy Agency strategic and business
objectives. The documentation provides a mechanism to ensure that executive leadership,
functional managers and users sign-off on the requirements and implementation of the system.
The process provides Agency managers and the Project Manager with the visibility of design,
development, and implementation status needed to ensure delivery on time and within budget.

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3.0 GOALS
The goals of this SDLC approach are to:

• Deliver quality systems which meet or exceed customer expectations when promised and
within cost estimates.
• Provide a framework for developing quality systems using an identifiable, measurable,
and repeatable process.
• Establish a project management structure to ensure that each system development project
is effectively managed throughout its life cycle.
• Identify and assign the roles and responsibilities of all involved parties, including
functional and technical managers, throughout the system development life cycle.
• Ensure that system development requirements are well defined and subsequently
satisfied.

4.0 OBJECTIVES
The SDLC methodology will help to achieve these goals by:

• Establishing appropriate levels of management authority to provide timely direction,

coordination, control, review, and approval of the system development project.
• Ensuring project management accountability.
• Documenting requirements and maintaining trace ability of those requirements
throughout the development and implementation process.
• Ensuring that projects are developed within the current and planned information
technology infrastructure.
• Identifying project risks early and manage them before they become problems.

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5.0 RELATIONSHIP OF STRATEGIC PLANNING, MANAGING FOR RESULTS

AND THE IT INVESTMENT REVIEW PROCESS TO THE SDLC

As shown in the illustration above, the SDLC is driven by the strategic plan, performance
measures, and business needs of the organization. The SDLC is interwoven with the IT
Investment Management, project oversight and the budget processes to provide the IT Project
Manager with all the tools needed to develop and implement systems on – time and within
budget that satisfy the business needs of the functional managers and the user community.

While strategic planning is not part of the SDLC, all projects should clearly support the business
objectives defined in the State IT Master Plan (ITMP), the Agency ITMP, and the Agency’s
Managing For Results (MFR) mission and goals.

The MFR process, established in FY1998, requires State agencies ‘to clearly articulate their
visions, missions, goals, and objectives; and ultimately to assess the success of programs through
the use of performance measures’ (Maryland Managing for Results Guidebook, Executive
Summary, page i). The budget submission has become a vehicle for transmitting MFR
information to Executive and Legislative Branch decision-makers. Therefore, directly linked to
the State budget process and decision-making, the MFR process sets the framework for
measuring progress and ensuring accountability to the public.

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The IT Investment Management (ITIM) process uses the “Select-Control-Evaluate”
methodology to help guide the Agency and relate the ITIM process with the activities of the
project. This methodology prescribes how the State determines:

• Which information technology projects to fund (select)

• How to ensure the successful development of the application or system (control)
• How to ensure the system continues to meet mission needs (evaluate).

The ITIM process implements the goals of the State through the State ITMP, Agency ITMP and
linkages to Agency MFR plans.

6.0 ROLES AND RESPONSIBILITIES

The successful development, implementation, and operation of systems require close
coordination and partnership between the Secretary of the Department of Information
Technology, the Agency Project Sponsor, and the Agency Chief Information Officer (CIO).
Teamwork is essential for delivery of a quality system on time and within budget. The Sponsor
identifies the priorities and the business needs. The Agency CIO determines how best to employ
technology. The Secretary of DoIT approves the funding for the project and provides project
oversight and guidance. These roles are described in more detail below.

6.1 Agency Project Sponsor

The Agency Project Sponsor is the executive business manager who is responsible for
providing the overall business direction for the project. The Sponsor defines and
validates functional requirements, makes resources available to support information
technology program initiatives, and reviews the progress of IT projects to assure that the
functional requirements are being satisfied in a timely and cost-effective manner.
Sponsors, within their area of responsibility, ensure the goals and objectives of all IT-
related initiatives are consistent with and linked to MFR, and exercise management
oversight of IT projects to ensure that business requirements are being satisfied in a cost-
effective manner. The Sponsor assigns Project Managers to oversee development efforts
and to oversee the maintenance and modifications of operational systems.

6.2 Agency CIO

The Agency CIO is the principal advisor on the effective application of information
technology to business needs and will ensure that all information technology initiatives
are managed in accordance with sound life cycle management principles and practices,
are consistent with the Agency ITMP, and establish and administer a project management
control system to provide visibility into the actual progress of each IT project.

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6.3 Secretary of DoIT

The Secretary of DoIT is responsible for implementation of the ITIM Select-Control-
Evaluate processes. In the Select phase, the Secretary of DoIT reviews and approves
Information Technology Project Requests (ITPRs) and ensures that appropriate SDLC
documents are in place to support the selection process. In the Control phase, the
Secretary of DoIT ensures that periodic project assessments are performed at major
milestones to support continuing funding decisions. In the Evaluate phase, the Secretary
of DoIT, the Agency Project Sponsor, and the Agency CIO jointly assess the system to
confirm that it satisfies Agency business needs after deployment.

7.0 THE SDLC PHASES

The State of Maryland SDLC includes ten phases, during which defined work products and
documents are created, reviewed, refined, and approved. The final phase occurs when the
system is disposed of and the business need is either eliminated or transferred to other systems.
The tasks and work products for each phase are described in detail in the SDLC Manual. Not
every project will require that the phases be subsequently executed. The SDLC may be tailored
within an agency to accommodate the unique aspects of a project as long as the resulting
approach remains consistent with the primary objective to deliver a quality system. SDLC
phases may overlap and projects can follow an evolutionary development strategy that provides
for incremental delivery of products and/or subsystems. The ten SDLC phases are illustrated
below. These phases are described in more detail in the following paragraphs.

Initiation

Precipitated System
by a need to Concept
enhance a Development Planning
business
process Defines the Develops a
using Requirements
scope or project plan
information Analysis
boundary of and other
technology the concept planning
Analyzes user Design
documents
needs and
develops user Transforms
requirements requirements Development
into
complete, Converts a
Integration
detailed design into a
and Test
system complete
specifications information Implementation
Demonstrates
system
that the
Implements the Operations
developed
system into a and
system
production Maintenance Disposition
conforms to
environment
requirements
Describes Describes
operation and retirement
maintenance activities

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Initiation Phase

The Initiation Phase begins when a Sponsor identifies a need or an opportunity. The purpose of
the Initiation Phase is to:

• Identify and define an opportunity to improve business operations for the organization.
• Identify significant assumptions and constraints on solutions to that need.
• Recommend the exploration of alternative concepts and methods to satisfy the need
including questioning the need for technology, i.e., will a change in the business process
offer a solution?
• Assure executive business and executive technical sponsorship.

The Sponsor designates a Project Manager and the business need is documented in a Concept
Proposal. The Concept Proposal includes information about the business process and the
relationship to the Agency/Organization Infrastructure and the Strategic Plan. A successful
Concept Proposal results in a Project Management Charter that outlines the authority of the
Project Manager to begin the project.

Initiation Phase Products Approved By

Concept Proposal Agency Project Sponsor
Agency CIO
Project Management Charter Agency Project Sponsor
Agency CIO

System Concept Development Phase

The System Concept Development Phase begins after a business need or opportunity is validated
by the Agency/Organization Project Leadership and the Agency/Organization CIO. The purpose
of the System Concept Development Phase is to:

• Determine the feasibility and appropriateness of the alternatives.

• Identify system interfaces.
• Identify basic functional and data requirements to satisfy the business need.
• Establish system boundaries, identify goals, objectives, critical success factors, and
performance measures.
• Evaluate costs and benefits of alternative approaches to satisfy the basic functional
requirements.
• Assess project risks.
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• Identify and initiate risk mitigation actions.

• Develop high-level technical architecture, process models, data models, and a concept of
operations.

This phase explores potential technical solutions within the context of the business need. It may
include several trade-off decisions such as the decision to use Commercial Off-the-Shelf (COTS)
software products as opposed to developing custom software or reusing software components, or
the decision to use an incremental delivery versus a complete, one-time deployment.
Construction of executable prototypes is encouraged to evaluate technology to support the
business process.

The System Boundary Document serves as an important reference document to support the ITPR
process. The ITPR must be approved by the Secretary of DoIT before the project can move
forward.

System Concept Development Phase Approved By

Products
ITPR Agency Project Sponsor
Agency CIO
Secretary of DoIT
System Boundary Document Agency Project Sponsor
Agency CFO
Agency CIO
Risk Management Plan Agency Project Sponsor
Agency CIO

Planning Phase

During this phase, a plan is developed that documents the approach to be used and includes a
discussion of methods, tools, tasks, resources, project schedules, and user input. Personnel
assignments, costs, project schedule, and target dates are established. A Project Management
Plan is created with components related to acquisition planning, configuration management
planning, quality assurance planning, concept of operations, system security, verification and
validation, and systems engineering management planning.

Planning Phase Documents Review and Comment Approved By

Project Management Plan DoIT Agency Project Sponsor
Agency CIO

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Requirements Analysis Phase

This phase formally defines the detailed functional user requirements using high-level
requirements identified in the Initiation, System Concept, and Planning phases. It also delineates
the requirements in terms of data, system performance, security, and maintainability
requirements for the system. The requirements are defined in this phase to a level of detail
sufficient for systems design to proceed. They need to be measurable, testable, and relate to the
business need or opportunity identified in the Initiation Phase. The requirements that will be used
to determine acceptance of the system are captured in the Test and Evaluation Master Plan.

The purposes of this phase are to:

• Further define and refine the functional and data requirements and document them in the
Requirements Document.
• Complete business process reengineering of the functions to be supported, e.g., verify
what information drives the business process, what information is generated, who
generates it, where does the information go, and who processes it.
• Develop detailed data and process models including system inputs and outputs.
• Develop the test and evaluation requirements that will be used to determine acceptable
system performance.

Requirements Analysis Phase Review and Comment Approved By

Products
Requirements Document DoIT Agency Project Sponsor
Agency CIO
Test and Evaluation Master DoIT Agency Project Sponsor
Plan Agency CIO

Design Phase

During this phase, the system is designed to satisfy the functional requirements identified in the
previous phase. Since problems in the design phase can be very expensive to solve in later
stages of the software development, a variety of elements are considered in the design to mitigate
risk. These include:

• Identifying potential risks and defining mitigating design features.

• Performing a security risk assessment.
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• Developing a conversion plan to migrate current data to the new system.

• Determining the operating environment.
• Defining major subsystems and their inputs and outputs.
• Allocating processes to resources.
• Preparing detailed logic specifications for each software module.

Design Phase Products Review and Comment Approved By

System Design Document Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Security Risk Assessment Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Contingency Plan Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT

The System Design Document receives a rigorous review by Agency technical and functional
representatives to ensure that it satisfies the business requirements. It progress through a series
of Design Reviews involving the Agency CIO and Agency Project Sponsor. Once these
individuals approve the design, the final System Design Document is created to serve as the
Detailed Design for the system.

Concurrent with the development of the system design, the Project Manager begins development
of the Implementation Plan, Operations and Maintenance Manual, Training Plan, and User
Manual.

Development Phase

Effective completion of the previous stages is a key factor in the success of the Development
phase. The Development phase consists of:

• Translating the detailed requirements and design into system components.

• Testing individual elements (units) for usability.
• Preparing for integration and testing of the IT system.

Within this phase, the detailed specifications produced during the design phase are translated into
hardware, communications, and executable software. The Project Manager develops
contingency and integration plans. Software shall be unit tested, integrated, and retested in a
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systematic manner. Hardware is assembled and tested. User involvement during development is
an important factor in ensuring that the system is being developed according to the requirements.
User testing is performed to ensure the system satisfies requirements.

Development Phase Products Reviewed and Comment Approved By

Software Development Agency technical and Agency Project Sponsor
Document functional staff Agency CIO
DoIT
System Software Agency technical and Agency Project Sponsor
functional staff Agency CIO
Test Files/Data Agency technical and Agency Project Sponsor
functional staff Agency CIO
Integration Document Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Test Analysis Report Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Conversion Plan (complete) Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Implementation Plan (complete) Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Operations and Maintenance Agency technical and Agency Project Sponsor
Manuals (complete) functional staff Agency CIO
DoIT
System Administration Manual Agency technical and Agency Project Sponsor
(complete) functional staff Agency CIO
DoIT
Training Plan (complete) Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
User Manual (complete) Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT

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Integration and Test Phase

Subsystem integration, system, security, and user acceptance testing is conducted during the
integration and test phase. The user, with those responsible for quality assurance, validates that
the functional requirements, as defined in the functional requirements document, are satisfied by
the developed or modified system. DoIT Security staff assess the system security and issue a
security certification and accreditation prior to installation/implementation. Multiple levels of
testing are performed, including:

• Testing at the development facility by the contractor and possibly supported by end users
• Testing as a deployed system with end users working together with contract personnel
• Operational testing by the end user alone performing all functions.

Requirements are traced throughout testing, a final Independent Verification & Validation
evaluation is performed and all documentation is reviewed and accepted prior to acceptance of
the system.

Integration and Test Phase Review and Comment Approved By

Documents
Test Analysis Approval Agency technical and Agency Project Sponsor
Determination functional staff Agency CIO
DoIT
Test Problem Reports Agency technical and Agency Project Sponsor
functional staff Agency CIO
IT Systems Security Agency technical and Agency Project Sponsor
Certification & Accreditation functional staff Agency CIO
DoIT

Implementation Phase

This phase is initiated after the system has been tested and accepted by the user. In this phase,
the system is installed to support the intended business functions. System performance is
compared to performance objectives established during the planning phase. Implementation
includes user notification, user training, installation of hardware, installation of software onto
production computers, and integration of the system into daily work processes.

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This phase continues until the system is operating in production in accordance with the defined
user requirements.

Implementation Phase Review and Comment Approved By

Documents
Delivered System Agency technical and Agency Project Sponsor
Documentation functional staff Agency CIO
Change Implementation Notice Agency technical and Agency Project Sponsor
functional staff Agency CIO
Version Description Document Agency technical and Agency Project Sponsor
functional staff Agency CIO
Post-implementation Review Agency technical and Agency Project Sponsor
Report functional staff Agency CIO
DoIT

Operations and Maintenance Phase

The system operation is ongoing. The system is monitored for continued performance in
accordance with user requirements and needed system modifications are incorporated.
Operations continue as long as the system responds to the organization’s needs. When
modifications are identified, the system may reenter the planning phase. The purpose of this
phase is to:

• Operate, maintain, and enhance the system.

• Certify that the system can process sensitive information.
• Conduct periodic assessments of the system to ensure the functional requirements
continue to be satisfied.
• Determine when the system needs to be modernized, replaced, or retired.

Operations and Maintenance Review and Comment Approved By

Phase Documents
Program Trouble Reports Agency technical and System Manager
functional staff
Change Implementation Notice Agency technical and System Manager
functional staff Agency CIO
In-Process Review Agency technical and System Manager
functional staff Agency CIO
User Satisfaction Review Agency technical and System Manager
functional staff Agency CIO
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Disposition Phase

Disposition activities ensure the orderly termination of the system and preserve the vital
information about the system so that some or all of the information may be reactivated in the
future if necessary. Particular emphasis is given to proper preservation of the data processed by
the system, so that the data can be effectively migrated to another system or archived for
potential future access in accordance with applicable records management regulations and
policies. Each system should have an interface control document defining inputs and outputs
and data exchange. Signatures should be required to verify that all dependent users and impacted
systems are aware of disposition.

Disposition Phase Documents Review and Comment Approved By

Disposition Plan Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT
Post-termination Review Report Agency technical and Agency Project Sponsor
functional staff Agency CIO
DoIT

8.0 TAILORING THE SDLC TO STREAMLINE DEVELOPMENT

The SDLC may be tailored to fit the unique needs of a system, i.e., use of COTS products.
Tailoring may combine life cycle phases (i.e., Initiation/System Concept, Planning/Requirements
Analysis/Design, Development/Integration and Test, Implementation, Disposition), may omit,
combine, or reduce tasks or work products, and may require added or different tasks or work
products, as appropriate. The Project Manager should consider the size, complexity, and scope
of the project when preparing SDLC documentation. The tailored process must include an
Initiation/Concept phase which bases much of the information gathering on the approach to
satisfying the business need or opportunity. There are essential tasks and work products that
cannot be “tailored out” even when a COTS software product will be used:

• Clear functional requirements are needed.

• The system must be able to operate within the State’s current and planned information
technology infrastructure and architecture.
• A determination of the feasibility of the project and a look at possible alternatives,
including continuing with the status quo.
• The system must be adequately tested.
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• The users must be adequately trained.

• Operations and maintenance documentation must be completed.

The phases described in the SDLC are not intended to constrain systems development such that
one phase must be completed before another phase begins. Many phases may be ongoing at one
time. The documents described in the SDLC manual provide a recommended order to guide
those responsible for development.

9.0 SUMMARY
The ultimate goal of an SDLC methodology is to provide a tool set to Project Managers to
produce predictable, quality systems to satisfy user needs. This methodology will evolve over
time to focus more specifically on the needs of the Agencies’ and the Project Managers who are
implementing systems. As this evolution occurs, the methodology will become more and more
efficient in satisfying our needs for better management of better systems for the Maryland
taxpayer.

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