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PITO
IDENT1 CONTRACT
Northrop Grumman

Released under FOI in full on 13th December 2005
SCHEDULE O
DOCUMENTATION REQUIREMENTS
Schedule O (Documentation Requirements)

Version 1.0
FINAL
18 July 2005

Released under FOI in full on 13th December 2005

PITO
IDENT1 CONTRACT
Northrop Grumman

Released under FOI in full on 13th December 2005
CONTENTS

1.
INTRODUCTION....................................................................................................................1
2.
SCOPE OF DOCUMENTATION ..........................................................................................1
3.
FORM AND CONTENT .........................................................................................................1
4.
GENERAL ................................................................................................................................2
ANNEX O-1 DOCUMENT DESCRIPTION SUMMARY...............................................................1

Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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SCHEDULE O

DOCUMENTATION REQUIREMENTS
1.
INTRODUCTION
This  Schedule  specifies  the  contractual,  technical  and  operational  documentation  which  the
Contractor will provide to the Authority so that the Authority has sufficient information as it
needs to manage the Contract, ensure efficient and cost effective implementation and use of
the Services and any contract management tasks and issues that arise.
2.
SCOPE OF DOCUMENTATION
2.1
Reference  to  “Documentation”  or  “Document”  shall  mean  all  documents  that  the
Contractor is required to provide under this Contract in whatever media is specified or that is
otherwise  deemed  appropriate  by  the  Authority,  and  it  includes  the  documents,  information
and reports described in this Schedule.
2.2
Documentation  shall  include  detailed  system  documentation,  including  user  manuals,
technical  manuals,  operations  procedures,  relevant  available  information  about  proprietary
products, tools and methods, information about current project work.
2.3
Unless  agreed  otherwise  by  the  Parties,  copies  of  all  Documentation  provided  by  the
Contractor  directly  to  Police  Forces  shall  simultaneously  be  provided  to  the  Authority  for
information and retention at the address detailed in the Contract.  This Documentation shall
include but not be limited to any Orders placed under the Contract as detailed in Schedule R
(Livescan and EIUs).
3.
FORM AND CONTENT
3.1
To the extent not already specified in this Schedule or in any other Schedule of the Contract,
the  Contractor  shall  work  with  the  Authority  to  agree  the  form  and  content  of  the
Documentation  to  be  provided  by  the  Contractor  and  such  form  and  content  shall  be
incorporated into Annex O-1 as soon as it is agreed by the Parties.
3.2
Unless  otherwise  stated  the  Contractor  shall  make  available  to  the  Authority  all
Documentation  electronically  via  a  web-portal  based  solution  as  detailed  in  Schedule  Q
(Contractor’s Solution) to facilitate the efficient and timely sharing of Documentation in a
secure fashion between the Contractor and the Authority. The Contractor shall be responsible
for the configuration management of the documentation provided through the web-portal.
3.3
If the Contractor indicates that Documentation is to be compliant with recognised methods or
processes  (e.g.  PRINCE2,  RUP,  ITIL,  etc)  or  Documentation  arises  from  such  recognised
methods  or  processes,  the  Contractor  shall  comply  with  the  appropriate  composition  and
quality criteria specified by those methods or processes, unless otherwise agreed in advance
with the Authority in writing.
1.1
The  Contractor  shall  provide  a  Product  Description  (as  described  in  PRINCE2)  for  each
document item identified in this Schedule. These Product Descriptions shall be maintained by
the  Contractor  and  made  available  to  the  Authority  through  the  web  portal  as  described  in
Clause 3.2 above.
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IDENT1 CONTRACT
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4.
GENERAL
1.2
The  Contractor  shall  make  all  versions  of  the  Documentation  and  other  relevant  current
information  relating  to  the  Service,  including  technical  and  systems  architectures,  design,
operation,  maintenance  and  testing  available  to  the  Authority  upon  request  under  the  web
portal as described in Clause 3.2 above.
4.1
The Contractor shall maintain a revision control process in the production of Documentation
such that the Authority is in possession of, as far as is appropriate, consistent and up-to-date
Documentation  relating  to  the  relevant  elements  of  the  provision  of  the  Services.    The
Contractor  and  the  Authority  may  agree  any  additional  Documentation  requirements  of  the
Authority  and/or  the  Police  Forces  subject  to  the  Change  Control  Procedure  as  set  out  in
Schedule L (Change Control Procedure).
4.2
The  Contractor  shall  supply  the  Documentation  detailed  in  Annex  O-1  at  the  Milestones  or
frequency defined, in a form suitable for the Authority to agree or review, where indicated, or
for  information  only,  allowing  sufficient  time  for  the  Authority  to  carry  out  the  indicated
verification method specified in this Schedule.
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IDENT1 CONTRACT
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ANNEX O-1

DOCUMENT DESCRIPTION SUMMARY
Cross –Reference to
Schedule Q or other
Document Set and ID
Document Name
Schedules (where
relevant)
Testing

1.
Test Plan(s)
Q7
2.
Test Procedure Specification
Q7
3a.
Test Readiness Review Report
Q7
3.
Test Readiness Review Minutes
Q7
4.
Test Summary Report
Q7
5.
Completion  Review Minutes
Q1.3
6.
Acceptance Event Report
H3.6
7.
IAR Closure Minutes
H3.6
8.
Installation Checklist
H3.5
Programme Management

9.
Programme Initiation Review Documentation
Q1.5
10.
Programme Quality Plan
Q1.6 and Q7
11.
Integrated Master Schedule (IMS)
Q1.3 Q1.5 and G Annex 2
12.
Programme Status Review Report (PSR)
Q1.1 and Q1.3
Project Management

13.
Project Approach

14.
Risk Management Plan
Q1.3
15.
Communication Plan
Q1.4
16.
Exception Report(s)
Q1.3
17.
Project Board Briefing Reports
Q1.3
18.
Stage Plan
Q1.3 and Q1.5 and Q1.8
and Q7.1
19.
Memoranda of Understanding (MOU)
Q3.1
20.
Engineering Reports
Q1.2
21.
Configuration Management Baseline,
Q1.2 and Q6.1
including the list of Assets
22.
Product Breakdown Structure
Q1.3
Training

23.
Training Plan
Q5.2 and Q5.2.5
24.
User Manuals
Q5.2.4 and Q5.2.5
25.
Training Manuals
Q5.2.5
26.
Training Materials
Q5.2.5
27.
Training Accreditation Scheme
Q5.1
28.
CBT Design and Development Documentation  Q5.2.3
29.
Training Needs Analysis Report
Q5.2
30.
Security Awareness Training Programme
Q9
Transition

31.
Transition Plan(s)
Q2.1, Schedule G
Development

32.
Software Development Plan(s)
Q6.1
33.
Requirements Management Plan
Q1.1
34.
Configuration Management Plan
Q1.7 and Q5.1 and Q7
35.
Glossary
D
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IDENT1 CONTRACT
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Cross –Reference to
Schedule Q or other
Document Set and ID
Document Name
Schedules (where
relevant)
36.
Business Process Models
Q6.1
37.
Use Case Model
Q6.1
38.
Use Case Model Survey
Q6.1
39.
Supplementary Requirement Specification
Q1.3 and Q1.7
40.
Requirements Traceability
Q1.3 and Q1.7
41.
COTS Product Evaluations
Q6.1
42.
COTS Products Register
Q6.1
43.
Systems Architecture Model
Q6.1
44.
Conceptual and Logical Data Models
Q6.1
45.
Physical  Data Models
Q6.1
46.
External ICD(s)
Q6.1
47.
Livescan Interface Specification

48.
Usability Analysis
Q6.2
Security

49.
Part 1 Basic Information
K4
50.
Part 2 Risk Assessment and Management
K4
51.
Part 3 Security Operating Procedures
K4
52.
ISO17799 Statement of Applicability
K4
53.
3rd Party IT Health Check Report
K4
54.
Semi-annual Health Check Report
K4
55.
Security Risk Assessment
K4
56.
Security Management Plan
K4
57.
Impact Analysis
Q9
Service Management

58.
Operations and Maintenance Support Plan
Q2.2.2
59.
Incident & Problem Analysis & Review
Q2.2
60.
Service Level Report (SLR)
Schedule F
61.
BS 15000 Audit Report
Q2.2
62.
Interface SLAs
Q2.2.1
63.
Availability Plan
Q2.1.1
64.
Capacity Plan
Q8
65.
Business Continuity Plan
Q2.1.2
66.
Business Continuity Test Report
Q2.1.2
67.
Performance Risk Assessment
Q2.2.4
68.
Performance Models
Q2.2.4
69.
Performance Modelling Report(s)
Q2.2.4
70.
HCI Style Guide
Q6.2
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IDENT1 CONTRACT
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ANNEX O-1

DOCUMENT DESCRIPTION

Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
Testing

1.
Test Plan(s)
Details the scope, approach,
Draft version (for

resources and schedules of the
Authority review)
no later than 45
testing activities for specific
calendar days
phases/iteration within the life
of the IDENT1 Service.
prior to SAR4
(Product
Identifies the items being tested,
Verification
the features to be tested, the
Review, as
testing tasks to be performed,
described in
personnel responsible for each
Schedule H
task and the risks associated
(Acceptance
with the Test Plan.
Procedures))
where the Test
Within each Test Plan for
Plan applies to
formal Acceptance Events, a
formal Acceptance
cross-reference matrix shall be
Events, unless
included that links each
otherwise agreed
requirement to a particular
in writing by the
individual test step or steps, and
Authority.
each test to one or more

requirement.
The Authority
shall submit
Formatted in accordance with
consolidated
the IEEE Standard for Software
comments to the
Test Documentation (IEEE std
Contractor on the
829-1998) and includes all
draft version
relevant sections of the RUP
within 30 calendar
Iteration Test Plan Artefact.
days of receipt of
the draft version,
unless otherwise
agreed in writing
by the Authority.

Final version
(incorporating
Authority
consolidated
review comments)
within 15 calendar
days of the
Contractor’s
receipt of the
Authority’s
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
schedule of the Acceptance
by the Authority.
Event.

3.
Test Readiness
A written record of what
As required by the
Q7
Review
transpired at an associated
Authority after the
Minutes
Readiness Review
Readiness Review meeting
between the Authority and the
meeting.
Contractor.
4.
Test Summary
Summarises the results of the
No later than 10
Q7
Report
calendar days
designated testing activities and
prior to the
provides evaluations based on
these results.
Completion
Review meeting
Within each Test Summary
marking the
Report, a record of requirement
completion of the
verification, including
associated
traceability to each contracted
Acceptance Event,
deliverable requirement shall be
unless otherwise
included. As will the Test
agreed in writing
Incident Report and the Test
by the Authority.
Log.

Formatted in accordance with
Note:  Test
the IEEE Standard for Software
Summary Reports
Test Documentation (IEEE std
produced by the
829-1998) and includes all
Contractor for test
relevant sections of the RUP
phases prior to
Test Evaluation Summary
acceptance testing
Artefact.
shall be made
available to the
Authority at
mutually agreed
time periods for
review or
information
purposes.
1.
Completion
A written record of what
As required by the
Q1.3
Review
Authority after the
transpired at an associated
Minutes
Completion Review meeting
Completion
between the Authority and the
Review meeting.
Contractor.
For Minutes, the
Contractor shall
A written record of what
deliver the
transpired at an event meeting
Minutes to the
between the Authority and
Authority 5
Contractor (Minutes).
working days after
the event and the
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
Authority shall
submit
consolidated
comments /
approval to the
Contractor with 5
working days of
receipt of the
Minutes from the
Contractor, unless
otherwise agreed
in writing by the
Authority.
6.
Acceptance
The Acceptance Event Report
Draft version (for
H3.6
Event Report
shall provide comprehensive
Authority review)
within 30 calendar
details of the outcome of an
Acceptance Event and at a
days of the
minimum shall include details
Completion
of:
Review meeting
marking the
completion of the
•  Names and roles of
associated
participants and attendees.
Acceptance Event,
unless otherwise
•  The status of the Acceptance  agreed in writing
Event environment.
by the Authority.

•  The achievement of the

criteria for Acceptance
The Authority
Event readiness.
shall submit
consolidated
•  The Acceptance Event
comments to the
conduct.
Contractor on the
draft version
•  The outcome of Regression
within 30 calendar
Testing.
days of receipt of
the draft version,
•  The achievement of the
unless otherwise
criteria for successful
agreed in writing
Acceptance Event
by the Authority.
completion.

Final version
•  Any deviations from the
(incorporating
criteria for successful
Authority
Acceptance Event
consolidated
completion.
review comments)
within 30 calendar
•  Any Defects and
days of the
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
deficiencies in the services
Contractor’s
or capabilities undergoing
receipt of the
acceptance, and an
Authority’s
associated resolution plan.
returned draft
version, unless
•  The requirements verified
otherwise agreed
and/or validated by the
in writing by the
Acceptance Event.
Authority.

7.
IAR Closure
A written record of what
As required by the
H3.6.4
Minutes
Authority after the
transpired at an associated IAR
Closure meeting between the
IAR Closure
Authority and the Contractor.
meeting.
They will include the IAR
Closure Report, a draft of which
will be provided to the
Authority 5 days before the
Review.
8.
Installation
A record that details all
No less than 7
H3.5
Checklist
calendar days
necessary equipment has been
provided, installed, configured
prior to the
and can be shown to be working
commencement of
the associated
in the operational environment
(bureaux) as part of Installation
SAR6
Checkout Acceptance Events (as  (Operational
described in Schedule H
Acceptance
(Acceptance Procedures))
Review), unless
otherwise agreed
in writing by the
Authority.

Programme

Management
9.
Programme
Describes the programme and
17th January 2005
Q1.5
Initiation
project management methods

Review
and tools to be used throughout

Documentation
the Services.

Describes the Contractor’s
programme and project
management structure
(including roles and
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IDENT1 CONTRACT
Northrop Grumman

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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)

Service Management Strategy.

Operations and Maintenance
Support Plan.
10.
Programme
Describes at a minimum:
45 calendar days
Q1.6
Quality Plan
•  QA Roles and
after Effective
And
Responsibilities
Date.
Q7
•  Quality Criteria

•  Applicable Standards
Updated whenever
•  QC Procedures
significant
•  Quality Review Procedures
changes occur
with Authority
•  Schedule of QA activities
and Corresponding Quality
approval.
Log
•  Subcontractor QA
Requirements

11.
Integrated
Detailed schedule of milestones
Programme
Q1.3
Master
and activities in MS Project
Initiation then
Q1.5 and G4.3
Schedule (IMS)  Format.
monthly or
Annex 2

whenever
The IMS shall include the
significant
critical path for IDENT1.
changes occur
with Authority
approval.
12.
Programme
Details the overall programme
Monthly,
Q1.1
Status Review
status for use at PSR meetings.
delivered at PSR
and
Report (PSR)
This shall include as a
meetings
Q1.3
minimum:
•  Progress against the
IMS
•  Changes to the IMS
•  Delivery of products
defined in the Product
Log
•  Tolerance conditions
•  Outputs from the Risk
Management Board
•  Risk Log
•  Issues Log
•  Change Log
•  Summary of outcome of
any Project Review
Authority (PRA) review
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
16.
Exception
Informs the Authority/project
Within 7 calendar
Q1.3
Report(s)
board of actual or anticipated
days of an
project tolerances being
exception being
exceeded.
identified or as

soon as it has been
This document shall be
anticipated.
formatted in accordance with the
PRINCE2 Exception Report
format.

17.
Project Board
Briefings for the Authority
As requested by
Q1.3

Briefing
project boards on ad-hoc project
the Authority
Reports
and programme related issues.
18.
Stage Plan
Identifies the scope of work to
TOR NAFIS,
Q1.3
be performed, the schedule it is
TOR SAFR, FOC.  And
being performed under, the
Q1.5
staffing and any Authority
And
responsibilities during that
Q1.8
stage.
And

Q7.1
This document shall be
formatted in accordance with the
PRINCE2 Stage Plan format.

19.
Memoranda of
Force Installations to include
As Required.
Q3.1
Understanding
roles and responsibilities,
(MOU)
schedule, specific requirements
for each Force Bureau and
Custody Suites to include, but
are not limited to:
•  Hardware Configuration
•  Facility Layout diagram
•  Furniture Requirements
•  Electrical Power
requirements
•  Heating & Cooling
Requirements
•  Communication
Requirements
•  Data
•  Personnel
•  Training
•  Facility Access procedures
and schedule
•  Data Protection
Requirements
Schedule O (Documentation Requirements)
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
20.
Engineering
Content is dependent on the
As required
Q1.2

Reports
topic of the report, but typically

will include:
•  Identification of issue
analysed
•  Technical options
•  Estimated impacts
•  Recommendations
21.
Configuration
Q1.2 and Q6.1
•
Full detail of the
•
At FOC and
Management
configuration of the
updated upon
Baseline
any major
deployed IDENT1 system
change
•
A list of Assets as required

under Schedule T (Assets).
•
At TOR
NAFIS, the
final list of
Legacy
Assets to be
provided.

22.
Product
At Project
Q1.3
Description of the hierarchical
Breakdown
Initiation and for
order of products to achieve key
Structure
milestones
Next Stage plans
Training

23.
Training Plan
Training Plan describes the
90 days after
Q5.2
overall IDENT1 training
Effective Date and  And
programme. This will include
updated annually
Q5.2.5
the results of the initial and
or at appropriate
annual update of the Training
milestones
Needs Analysis. The Plan will
throughout the
detail the overall strategy and an  Term.
overview for the subsequent
specific training areas of
transition, specialist training and
training of bureaux trainers. The
plan will detail the approach and
activities to design and
development of the training
systems and CBT, including
appropriate timescale
information. The Plan shall
include details of, but not be
limited to:

•  Training Customers
•  Locations
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
•  Training Systems
•  Training Approach
•  Course Design
•  Additional Support
•  Course Timetables
•  Local Capabilities
•  Training Delivery reports
•  Supporting Plans
•  Training Staff and
Qualifications

24.
User Manuals
The User Manuals shall describe  10 days prior to
Q5.2.4 and
the use and operational
the deployment of
Q5.2.5
processes of the IDENT1
the relevant
Services and all aspects of the
functionality or
system.
service. Updated

in line with the
rollout of
additional
functionality or
services.
25.
Training
The Training Manuals shall
Prior to associated
Q5.2.5
Manuals
include all relevant details
training event.
(including, but not limited to,
user guides and aides-memoirs)
regarding the specific training
event.
26.
Training
Training materials associated
Prior to relevant
Q5.2.5

Materials
with the delivery of training
training.

courses by organisations such as
CENTREX as described in
Schedule D (Detailed
Operational Requirements) or
by Contractor lead events
27.
Training
Description of proposed
Within 6 months
Q5.1
Accreditation
accreditation scheme for
of Effective Date
Scheme
Trainers at Fingerprint Training
Schools and its operation
28.
CBT Design
Series of documentation
At appropriate
Q5.2.3
and
addressing the design,
milestones
Development
development and deployment of
identified in the
Documentation
the IDENT1 Computer Based
Training Plan
Training System.
29.
Training Needs
This document shall provide
90 days after
Q5.2
Analysis
results of the training needs
Effective Date and
Report
analysis (as agreed between the
updated annually
Contractor and the Authority).
throughout the
Schedule O (Documentation Requirements)
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
IDENT1 Contract
Term
30.
Security
The Contractor’s Security
Annually and
Q9
Awareness
Awareness Training Programme
upon new users
Training
shall provide annual
being added to the
Programme
documented training to all users.  system.
Transition

31.
Transition
Describes in detail the roles and
35 calendar days
Q2.1

Plan(s)
responsibilities of the
prior to each
Schedule G
Contractor, Authority, and
Transition.
(Transition)
Bureaux personnel, the
Project in
procedures to be implemented,
sequence as
and the schedule for each of the
follows: Scotland,
Transition events.  These will
Palms, Migration,
include Transition Plans for
SISP.
transitioning from NAFIS to
IDENT1 for England, and Wales
and transitioning SAFR to
IDENT 1 for Scotland.  As a
minimum each Transition Plan
will include:

•
Transition Strategy
•
Business Continuity
•
Data Migration (including
BRC)
•
Training.

The Transition Plan shall contain
the following information, to be
updated by the Contractor
throughout the Transition Period
in accordance with the
following:
( )  applicable activities to be
performed by the
Contractor relating to
and/or, as appropriate,
details concerning, in
respect of each Transition
Milestone, taking account
of Annex G-2 of Schedule
G (Transition);
(i)   Transition activities
for TOR – England
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
Plan(s)
IDENT1 software development

process, incorporating aspects of  Updated as
the Contractor’s standard
necessary.
methodologies, the RUP,
PRINCE2 and User Centred
Design.

Details timelines and
interdependencies of
development tasks, addresses
roles of Contractor, Authority
(and users).

This equates to the Software
Development Plan as defined by
RUP

33.
Requirements
The Requirements Management
60 days after
Q1.1
Management
Plan will specify the information  Effective Date and
Plan
and control mechanisms that
updated

will be collected and used for
throughout the life
measuring, reporting and
of the IDENT1
controlling changes, to the
Service
requirements.

This equates to the
Requirements Management Plan
as defined by RUP
34.
Configuration
Defines the Contractors software  60 days after
Q1.7

Management
configuration management
Effective Date and  And
Plan
approach.  The document shall
updated
Q5.1
detail all aspects of the software
throughout the life  And
configuration process,
of the IDENT1
Q7
including:
Service with
•  Configuration Identification;  Authority
•  Configuration Control;
approval.
•  Configuration Status
Accounting;
•  Configuration
Authentication.

35.
Glossary in

TOR NAFIS.
D
Schedule D

(Detailed
The Authority and the

Operational
Contractor are both responsible
Updates shall be
Requirements)  for ensuring that the glossary is
made throughout
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
Northrop Grumman

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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
kept up to date and that all new
the life of the
documentation including
IDENT1 Service
updates is consistent with the
with Authority
current version of the Glossary.
approval.

The master copy of this
document shall be held by
Authority and changes are made
by agreement between the
Authority and the Contractor.

36.
Business
Business Process Models shall
Key business
Q6.1

Process Models  be provided demonstrating
process models
current processes identifying
provided by SAR1
existing problems and new
for SISP project.
processes designed to solve
More detailed
these problems.
models provided

by SAR3 for SISP
Models shall be provided in a
project.
format that can be exported to a
commercially available business
process tool.
37.
Use Case
The Use Case Model is a model
A draft version
Q6.1
Model
of the system’s intended
will have been
functions and it’s environment,
provided for
and is used as an essential input
review in
to analysis, design and test.
preparation for a

SAR1 and SAR2.
The use case model will include:  Final version

provided for a
•  Use Case packages
SAR3.
o  Defining the
structure of the
model using UML
models and textual
specifications
•  Use Cases
o  Containing UML
models and textual
Use Case
specifications
•  Actors
o  Defining a set of
roles which interact
with the system

Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
UML models shall be provided
in a format exportable to
Rational Rose. Use Case
specifications shall be
exportable to DOORS.
38.
Use Case
A full report on the Use Case
Draft version due
Q6.1
Model Survey
Model. This report equates to
in preparation for
the Use Case Model Survey as
SAR1.
defined by RUP.
Baseline version

due in preparation
for SAR2.
Updated as and
when major
changes occur.
39.
Supplementary
The Supplementary
A version will be
Q1.3 and Q1.7

Requirement
Requirements Specification
provided for
Specification
further defines the system
review in
requirements through the
preparation for a
iterative Use Case development
SAR1, SAR2 and
process.
SAR3.

The Supplementary
Requirements Specification
equates to the Supplementary
Specification in RUP.

The Supplementary
Requirements shall be provided
in a format exportable to
DOORS
40.
Requirements
Traceability shall be maintained
Iniktial
Q1.3 and Q1.7
Traceability
within the development
traceability set up
environment to enable reports to
by SAR1.
be produced as necessary.

Requirements Traceability shall
The relevant
include:
project portion due
at each SAR for
that project.
•  traceability of system

requirements to use
The latest version
cases and non-
of the
functional requirements.  Requirements
Database available
•  traceability of test cases
to the Authority
to use cases
on request.
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
Northrop Grumman

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Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
41.
COTS Product
This document shall detail
Prior to the
Q6.1

Evaluations
formal justification for the
selection of a
selection of a COTS product and  COTS product for
will include
integration into the
•  Cost of ownership
IDENT1 solution
•  Maintainability
•  Obsolescence management
concerns
42.
COTS Products  This document shall contain, for  As required
Q6.1
Register
each COTS software product
that is required, incorporated
and/or included as partof the
delivery of the Services: Name,
Version Number, Ratings,
Certifications, Industry
Standards, etc. achieved and any
modifications.
43.
Systems
A comprehensive System
Draft version due
Q6.1
Architecture
Architecture Model, detailing
at SAR 2.
Model
the major components of the

IDENT1s system.
Updated version

due at SAR 3, and
•  Documents views of the
then regularly
IDENT1 system architecture  updated in line
satisfying various
with significant
viewpoints (including as a
changes to the
minimum:- logical,
System
implementation,
Architecture.
distribution, data, Physical,
size and performance, and
security viewpoints).
•  Records any known
inconsistency between
views.
•  Provides rationale for
architectural decisions.

Must be supplied in form of
Rational Rose model, in
addition to any textual
descriptions.

44.
Conceptual and  This shall be a conceptual model  Initial model at
Q6.1
Logical Data
and a logical model of the data
SAR2 for SISP
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
Northrop Grumman

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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
Models
managed in the IDENT1 system,  Project.
demonstrating alignment with

CorDM.
Updated as

required for SAR
Also forms part of System
2 and 3.
Architecture Model.
45.
Physical Data
This shall be a physical
Model provided at
Q6.1

Model
model(s) of the data managed in
FOC.
the IDENT1 system,

Updates as
required.
46.
External ICD(s)  Defines external interfaces
Initial draft at
Q6.1
between the IDENT1 system
TOR-NAFIS + 30
and other systems,
days for existing
encompassing:-
interfaces.
•  Physical view;

•  Logical or Transaction
Draft version for
view;
new external
•  Functional view;
interfaces at
relevant SAR 3
•  Performance view.
and “as built”
version at SAR 6.

This is to include Avon &
Somerset and Kent system
ICDs, plus any relevant legacly
NAFIS ICDs (e.g. PNC) that
need an IDENT1 format.
47.
Livescan
Defines the interface between
TOR-NAFIS + 30

Interface
days and then
the Livescan sub-systems and
Specification
IDENT1. Specifically defines
updated in line
with changes to
elements of UK version of the
ANSI/NIST standard for
the Livescan
exchange of fingerprint images.
interface.
48.
Usability
Reports of usability analysis
As Required
Q6.2
Analysis
covering the method, results and
derived usability requirements.

Includes:
Task Analysis
User Analysis
Environmental Analysis
Security

49.
Part 1 Basic
Following the principles of
At TOR-NAFIS,
K4
Information
HMG IS2, this should cover
thereafter annually
Schedule O (Documentation Requirements)
23
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PITO
IDENT1 CONTRACT
Northrop Grumman

Released under FOI in full on 13th December 2005
Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
purpose, accreditation scope,
or after a major
user groups.
system change.
50.
Part 2 Risk
Following the principles of
At TOR-NAFIS,
K4
Assessment and  HMG IS2, this should include a
thereafter annually
Management
full risk assessment using HMG
or after a major
IS1 and another comprehensive
system change.
risk assessment tool e.g.
CRAMM.
51.
Part 3 Security
Following the principles of
At TOR-NAFIS,
K4
Operating
HMG IS2, this should include
thereafter annually
Procedures
SyOps for all users or groups of
or after a major
users of the system.
system change.
52.
ISO17799
Shows the Contractors
At TOR-NAFIS,
K4
Statement of
conformance to the standard
thereafter annually
Applicability
within the confines of the
or after a major
system, will make up part of the
system change.
ADS in order to comply with the
CJX CoCo v2.
53.
3rd Party IT
Will detail the scope and
At TOR-NAFIS,
K4
Health Check
methodology used by the
thereafter annually
Report
CHECK provider and the results  or after a
of the test
significant system
change.
54.
Semi-annual
Will detail the scope and
Six months after
K4
Health Check
methodology used by the
TOR-NAFIS and
Report
CHECK provider and the results  annually thereafter
of the test
55.
Security Risk
This should be conducted using
At TOR-NAFIS,
K4
Assessment
HMG IS1 as a baseline and
thereafter annually
other risk analysis tools as
or after a major
appropriate e.g. CRAMM.
system change.
56.
Security
Detail how the Contractor is
35 calendar days
K4
Management
adhering to its Information
after signing
Plan
Security Management System as  contract.
laid down in ISO17799.
Updated whenever
significant
changes occur
with Authority
approval.
57.
Impact
Conducted by the Contractor
As appropriate,
Q9
Analysis
after a known security breach.
but delivered to
the Authority
within 48 hours of
the breach.
Service

Management
58.
Operations and
Comprehensive plan for the
35 calendar days
Q2.2.2
Schedule O (Documentation Requirements)
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IDENT1 CONTRACT
Northrop Grumman

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Cross –
Reference to
Delivery
Schedule Q or
Document
Document
Milestone and/or
Description of Document
other
Set and ID
Name
Frequency (all in
Schedules
calendar days)
(where
relevant)
Continuity
Management
•  Operation of maintenance
and service support
structure including
o  Location and
operating
procedures of
support units
o  Proposed
inventories of
spares for the
IDENT1
o  equipment
o  High value or
limited
availability
consumables.

59.
Incident &
Analysis of workload of
1 year after TOR
Q2.2
Problem
Incidents, including spotting
NAFIS, and
Analysis &
trends and any
annually there
Review
recommendations and actions
after or at any
arising from analysis including
intermediate
the results of proactive Problem
review
Management process (ITIL)
60.
Service Level
Service Level Report, detailing
1 Month after
Schedule F
Report (SLR)
general reporting on service
TOR NAFIS and
(Service Level
levels, service levels and scoring  Monthly there
Requirements)
for Service Level Metrics,
after.
Service Categories and Overall
Service, as described in
Schedule F (Service Level
Requirements)
61.
BS 15000
Audit reports of the ITIL
Within 15 days of
Q2.2
Audit Report
Service Management as part of
audit
the ongoing BS15000
accreditation
62.
Interface SLAs
Service or Operational Level
At appropriate
Q2.2.1
Agreement(s) relating to any
development point
system or service interface to the  and any change
IDENT1 Service (eg PIFE,
point for each
PNC, PSNI, Custody)
Interface
63.
Availability
Plan detailing the outcomes of
At TOR NAFIS
Q2.1.1

Plan
the Availability design and
and at least
ongoing management. The
annually there
report shall include:
after or at any
Schedule O (Documentation Requirements)
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