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Database Design Document

Version X.XMM/DD/YYYY

Document Number :

Contract Number :

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CMS XLC List of Figures

Table of ontents

1. Introduction.................................................................................................................1

2. Overview......................................................................................................................2

3. Assumptions/Constraints/Risks...............................................................................3

3.1 Assumptions........................................................................................................3

3.2 Constraints..........................................................................................................3

3.3 Risks....................................................................................................................3

4. Desi n Decisions........................................................................................................4

.1 !ey "actors #nfluencing $esign..........................................................................

.2 "unctional $esign $ecisions...............................................................................

.3 $atabase %anagement &ystem $ecisions.........................................................

. &ecurity and 'ri(acy $esign $ecisions..............................................................)

.) 'erformance and %aintenance $esign $ecisions..............................................)

!. Detai"ed Database Desi n.........................................................................................#

).1 $ata &oft*are +b,ects and Resultant $ata &tructures.......................................-

).2 $atabase %anagement &ystem "iles.................................................................-

#. Database Administration and $onitorin ................................................................%

-.1 Roles and Responsibilities..................................................................................-.2 &ystem #nformation.............................................................................................

-.2.1 $atabase %anagement &ystem Configuration.............................................

-.2.2 $atabase &upport &oft*are..........................................................................

-.2.3 &ecurity and 'ri(acy...................................................................................../

-.3 'erformance %onitoring and $atabase 0fficiency............................................../

-.3.1 +perational #mplications.............................................................................../

-.3.2 $ata ransfer Re uirements........................................................................./

-.3.3 $ata "ormats................................................................................................/-. ackup and Reco(ery........................................................................................./

Appendi& A' (u ested Appendices...........................................................................1)

Appendi& *' Record o+ C,an es..................................................................................11

Appendi& C' Acron-ms.................................................................................................12

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CMS XLC List of Figures

Appendi& D' "ossar-...................................................................................................13

Appendi& ' Re+erenced Documents..........................................................................14

Appendi& 0' Approva"s..................................................................................................1!

Appendi& ' Notes to t,e Aut,or/ emp"ate Instructions..........................................1#Appendi& ' C emp"ate Revision istor-.............................................................15

Appendi& I' Additiona" Appendices.............................................................................1%

!ist of "igures

4o table of figures entries found.

!ist of Tablesable 1 5 Record of C6anges...........................................................................................11

able 2 5 Acronyms..........................................................................................................12

able 3 5 7lossary............................................................................................................13

able 5 Referenced $ocuments....................................................................................1

able ) 5 Appro(als..........................................................................................................1)

able - 5 89C emplate Re(ision istory........................................................................1;

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CMS XLC Data ase !dministration and Monitoring

#. $ntro%uctionInstructions: ro(ide identi3ying in3ormation 3or the e4isting and/or proposed automatedsystem or situation 3or which the 222 applies )e.g., the 3ull names and acronyms 3or

the de(elopment pro5ect, the e4isting system or situation, and the proposed system orsituation, as applicable . "ummari e the purpose o3 the document, the scope o3acti(ities that resulted in its de(elopment, the intended audience 3or the document, ande4pected e(olution o3 the document. Also describe any security or pri(acyconsiderations associated with use o3 the 222.

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&. '(er(ie)Instructions: 7rie3ly introduce the system conte4t and the basic design approach ororgani ation, including dependencies on other systems. Identi3y i3 the database will

supersede or inter3ace with other databases, and speci3ically identi3y them i3 applicable. Also identi3y inter3aces with other systems to the e4tent that they signi3icantly impact thedatabase design. 2iscuss the bac8ground to the pro5ect, i3 this will help understand the3unctionality supported by the database design contained in this document.

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*. Assum+tions/ onstraints/,is-s

*.# Assum+tionsInstructions: 2escribe any assumptions or dependencies regarding the database design3or the system. These may concern such issues as: related so3tware or hardware,operating systems, or end user characteristics.

*.& onstraintsInstructions: 2escribe any limitations or constraints that ha(e a signi3icant impact on thedatabase design 3or the system.

*.* ,is-s

Instructions: 2escribe any ris8s associated with the database design and proposedmitigation strategies.

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. Design DecisionsInstructions: 9tili ing the 3ollowing subsections, describe decisions made that impactthe proposed database design. This should include the plat3orm and database

management system )27&" chosen 3or the pro5ect. Include any other in3ormationrele(ant to the database design decisions )e.g., 2ata %on(ersion lan, "er(ice e(el Agreements )" As . The 2esign 2ecisions section is written at a higher le(el than thesubse$uent 2etailed 2atabase 2esign section, and pro(ides an understanding andrationale 3or the content in the 2etailed 2atabase 2esign section. I3 any o3 thein3ormation in this section is pro(ided in the "22, I%2)s , or other documents )e.g.,2ata %on(ersion lan , they may be re3erenced within this section as appropriate.

.# ey "actors $nfluencing DesignInstructions: 2escribe 8ey 3unctional or non 3unctional re$uirements that in3luenced thedesign. I3 all such decisions are e4plicit in the re$uirements, this section shall so state.2esign decisions that respond to re$uirements designated as critical )e.g., those 3or

per3ormance, a(ailability, security, or pri(acy shall be placed in separatesubparagraphs. I3 a design decision depends upon system states or modes, thisdependency shall be indicated. I3 some or all o3 the design decisions are described inthe documentation o3 a custom or commercial 27&", or in the "22, they may bere3erenced in this section. 2esign con(entions needed to understand the design shallalso be presented or re3erenced.

.& "unctional Design DecisionsInstructions: 2escribe decisions about how the database will beha(e in meeting itsre$uirements 3rom a user s point o3 (iew )i.e., 3unctionality o3 the database 3rom anapplication perspecti(e , ignoring internal implementation, and any other decisionsa33ecting 3urther design o3 the database. Include decisions regarding inputs thedatabase will accept and outputs )displays, reports, messages, responses, etc. it willneed to support, including inter3aces with other systems. 2escribe the general types o3

processing )se$uential (ersus random 3or inserts, updates, deletes and $ueriesre$uired both 3or data entering the database, and data most 3re$uently accessed. I3 anyo3 this in3ormation is pro(ided in I%2)s or other documents, they may be re3erenced.2escribe selected e$uations/algorithms/rules, disposition, and handling o3 un allowedinputs. Also include decisions on how databases/data 3iles will appear to the user.

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.* Database Management 0ystem DecisionsInstructions: 2escribe design decisions regarding the 27&" intended 3or the initialimplementation. ro(ide the name and (ersion/release o3 the 27&", the reason 3orselection, and the type o3 3le4ibility built into the database 3or adapting to changing

re$uirements.

. 0ecurity an% Pri(acy Design DecisionsInstructions: 2escribe design decisions on the le(els and types o3 security and pri(acyto be o33ered by the database. 'eneral descriptions o3 classi3ications o3 users and theirgeneral access rights should be included.

.1 Performance an% Maintenance Design DecisionsInstructions: 2escribe how per3ormance and a(ailability re$uirements will be met.;4amples include:

• Describe design decisions on database distribution (such asclient/server), master database fle updates and maintenance,including maintaining consistency, establishing/ reestablishing andmaintaining synchronization, en orcing integrity and business rules.

• Describe design decisions to address concurrence issues (e.g., how thedata are partitioned or distributed to support multiple applications orcompeting update unctions, i applicable).

•

Describe design decisions to support Service evel !greements (S !s)or "ey unctions supported by the database.• Describe design decisions on bac"up and restoration including data

and process distribution strategies, permissible actions during bac"upand restoration, and special considerations or new or non#standardtechnologies such as video and sound. Describe the impact thismaintenance will have on availability.

• Describe design decisions on data reorganization (i.e., repac"ing,sorting, table and inde$ maintenance), synchronization, and

consistency, including automated dis" management and spacereclamation considerations, optimizing strategies and considerations,storage and size considerations (e.g., uture e$pansion), and

population o the database and capture o legacy data. Describe theimpact this maintenance will have on availability.

• Describe design decisions to support purging and/or archiving o datato ensure per ormance and storage ob%ectives are met. Describe the

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impact this maintenance will have on availability. Describe any needsto recall archived data bac" into the database.

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1. Detaile% Database DesignInstructions: 2escribe the design o3 all 27&" 3iles associated with the system, and anynon 27&" 3iles pertinent to the database design. The headings and sub headings in

this section should be structured according to the in3ormation to be presented, and mayinclude discussions about or re3erences to the 3ollowing:

• ogical Data &odel ( D&) and D& 'ntity elationship Diagram (' D).• hysical Data &odel ( D&) and D& ' D.• ! comprehensive Data Dictionary showing data stores, data element

name, type, length, source, constraints, validation rules, maintenance(create, read, update, delete (* +D) capability), audit and datamas"ing re uirements, e$pected data volumes, li e e$pectancy o thedata, in ormation li e#cycle management strategy or at least anarchiving strategy, outputs, aliases, and description.

• -nde$es that will be re uired or the data ob%ects.• lanned implementation actors (e.g., distribution and synchronization)

that impact the design.

The detailed database design in3ormation can be included as an appendi4, which would be re3erenced here. I3 any o3 the in3ormation in this section is pro(ided in the "22,I%2)s , or other documents, they may be re3erenced.

1.# Data 0oft)are 'bjects an% ,esultant Data 0tructuresInstructions: For each 3unctional data ob5ect, speci3y the data structure)s which will beused to store and process the data. 2escribe any data structures that are a ma5or parto3 the system, including ma5or data structures that are passed between components.

ist all database ob5ects including stored procedures, 3unctions and 3unction parameters. For 3unctions, gi(e 3unction input and output names in the description.0e3er as appropriate to the decomposition diagrams. ro(ide the detailed description o3 any non 27&" 3iles )e.g., property 3iles that are re$uired 3or 27&" 3unctioning ormaintenance and are not already addressed in the "22. Include a narrati(e description

o3 the usage o3 each 3ile that identi3ies i3 the 3ile is used 3or input, output, or both, and i3the 3ile is a temporary 3ile. Also pro(ide an indication o3 which modules read and writethe 3ile )re3er to the 2ata 2ictionary . As appropriate, include 3ile structure in3ormation.

1.& Database Management 0ystem "ilesInstructions: ro(ide an appropriate le(el o3 detailed design o3 the 27&" 3iles, basedon the 27&" chosen. 2escribe 3ile structures and their locations. ;4plain how data

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may be structured in the selected 27&", i3 applicable. For networ8s, detail the speci3icdistribution o3 data. Note any changes to the 2&, which occur because o3 so3tware orhardware re$uirements or to support per3ormance ob5ecti(es. Include the 3ollowingin3ormation, as appropriate )re3er to the 2ata 2ictionary :

• hysical description o the D &S schemas, sub#schemas, records, sets,tables, storage page sizes, etc. ! D& ' D should be included in anappendi$.

• b%ects created to support access methods (e.g., inde$ed, via set,se uential, random access, sorted pointer array, etc.)

• Distribution, partitioning, or other compartmentalization o the data tosupport design.

• 'stimate o the D &S fle size or volume o data within the fle, anddata pages, including overhead resulting rom access methods and

ree space.• Defnition o the update re uency o the database tables, views, fles,

areas, records, sets, and data pages. !lso provide an estimate o thenumber o transactions, i the database is an online transaction#basedsystem.

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2. Database A%ministration an% MonitoringInstructions: !ithin the 3ollowing sub sections, describe the re$uirements and strategiesto maintain the database operationally considering the 3ollowing:

• e uired availability and re uirements or standby sites o the datastores, both D &S and non#D &S to satis y continuity o operationsand meet re uired Service evel !greements (S !s).

• !ny database specifc application and user support scenarios that arenot documented in the SDD.

• !ny monitoring and per ormance goals/re uirements, and how theDDD supports them.

• e uired maintenance o the data stores to maintain acceptable per ormance.

• ac"up and recovery strategies needed to implement the DDD.• !ny security and/or privacy considerations.

2.# ,oles an% ,es+onsibilitiesInstructions: Identi3y the organi ations and personnel responsible 3or the 3ollowingdatabase administrati(e 3unctions: database administrator, system administrator, andsecurity administrator. 2escribe speci3ic administration s8ill re$uirements applicable tothe database.

2.& 0ystem $nformationInstructions: 2ocument the 27&" con3iguration, hardware con3iguration, databaseso3tware utilities, and any support so3tware used. I3 any o3 these so3tware elements orhardware con3igurations are not %&" standard architecture, indicate the date theseitems were appro(ed or a wai(er was granted.

2.&.# Database Management 0ystem onfigurationInstructions: Identi3y the (endor, (ersion or release date and targeted hardware 3or the

27&" chosen 3or the initial implementation o3 the database. 2escribe any restrictionson the initiali ation and use o3 the 27&" to support any intended distributed

processing. Identi3y the minimum hardware con3igurations 3or the en(ironment on whichthe database will reside. 2escribe the storage de(ice and storage re$uirements.

ro(ide si ing 3ormulas 3or determining the storage re$uired to support the databasecontent and associated so3tware. ;stimate the internal and peripheral storagere$uirements. Identi3y multiple storage re$uirements 3or distributed processing.

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2.&.& Database 0u++ort 0oft)areInstructions: ist and re3erence the documentation o3 any 27&" utility so3twarea(ailable to support the use or maintenance o3 the database. 2escribe all supportso3tware, including the operating system, directly related to the database, including

name, (ersion, 3unction, and ma5or operating characteristics. %ite documentation bytitle, number, and appropriate sections. ;4amples o3 such so3tware include databasemanagement systems, $uery languages, report writers, storage allocation so3tware,database loading so3tware programs, 3ile processing programs, and data cleaningso3tware.

2.&.* 0ecurity an% Pri(acyInstructions: 2escribe the use and management o3 integrity and access controls thatapply to all database components such as schema, sub schema, partitions or physical

3iles, records or tables, sets or relations, and data elements. 2escribe any tools or subschemas that will support security and pri(acy re$uirements.

2.* Performance Monitoring an% Database 3fficiencyInstructions: ro(ide appropriate detailed subparagraphs that relate to the sectionnamed er3ormance and &aintenance 2esign 2ecisions. 2escribe what parties will beresponsible 3or monitoring per3ormance )to include space utili ation, system resourceconsumption, and $uery per3ormance metrics , along with tools that will help pro(idethis monitoring. I3 inter3aces with other systems impact maintenance, pro(ide a

description o3 those inter3aces with other application so3tware including those o3 otheroperational capabilities and 3rom other organi ations. For each inter3ace, speci3y thein3ormation described in the 3ollowing sub sections.

2.*.# '+erational $m+licationsInstructions: 2escribe operational implications o3 data trans3er, re3resh and updatescenarios and e4pected windows, including security considerations. I3 any o3 these aredocumented in the "22 or the I%2, they can be re3erenced here.

2.*.& Data Transfer ,e4uirementsInstructions: 2escribe data trans3er re$uirements to and 3rom the so3tware, includingdata content, 3ormat, se$uence, (olume/3re$uency and any con(ersion issues. I3 any o3these are documented in the "22 or the I%2, they can be re3erenced here.

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2.*.* Data "ormatsInstructions: 2escribe 3ormats o3 data 3or both the sending and recei(ing systems,including the data item names, codes, or abbre(iations that are to be interchanged, aswell as any units o3 measure/con(ersion issues. I3 any o3 these are documented in the

"22 or the I%2, they can be re3erenced here.

2. 5ac-u+ an% ,eco(eryInstructions: 2escribe re$uired strategies and scheduling 3or periodic bac8ups o3 thedata. I3 certain ob5ects ha(e di33ering re$uirements, pro(ide a brea8down by ob5ect.2escribe the methodology 3or reestablishment or recreation o3 the necessary dataschema and system support 3iles.

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CMS XLC !**endi+ ,- !dditional !**endices

A++en%i6 A7 0uggeste% A++en%ices

"uggested appendices include, but are not limited to the 3ollowing:

• D& # provide the hysical Data &odel prepared to support the pro%ect.• D& ' D # provide the 'ntity elationship Diagram or the D&.• * +D &atri$ # provide * +D &atri$ (*reate, ead, +pdate, Delete)

indicating how the data will be maintained and accessed.• Database e uest (D ) 0orms # - re uired, provide *&S#approved

documents or orms to initiate, trac", monitor, and implement changesto be made by the central D !s to *&S enterprise databases.

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A++en%i6 57 ,ecor% of 8anges

Instructions: ro(ide in3ormation on how the de(elopment and distribution o3 the2atabase 2esign 2ocument Template will be controlled and trac8ed. 9se the table

below to pro(ide the (ersion number, the date o3 the (ersion, the author/owner o3 the(ersion, and a brie3 description o3 the reason 3or creating the re(ised (ersion.

Table # 9 ,ecor% of 8angesVersion Number Date Author/Owner Description of Change

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A++en%i6 7 Acronyms

Instructions: ro(ide a list o3 acronyms and associated literal translations used withinthe document. ist the acronyms in alphabetical order using a tabular 3ormat as

depicted below.Table & 9 Acronyms

Acronym Literal Translation

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A++en%i6 D7 :lossary

Instructions: ro(ide clear and concise de3initions 3or terms used in this document thatmay be un3amiliar to readers o3 the document. Terms are to be listed in alphabetical

order.Table * 9 :lossary

Term Acronym Definition

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A++en%i6 37 ,eference% Documents

Instructions: "ummari e the relationship o3 this document to other rele(ant documents.ro(ide identi3ying in3ormation 3or all documents used to arri(e at and/or re3erenced

within this document )e.g., related and/or companion documents, prere$uisitedocuments, rele(ant technical documentation, etc. .

Table 9 ,eference% DocumentsDocument Name Document Location and/or U L !ssuance Date

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A++en%i6 "7 A++ro(als

6e undersigned ackno*ledge t6at t6ey 6a(e re(ie*ed t6e $atabase $esign $ocument andagree *it6 t6e information presented *it6in t6is document. C6anges to t6is $atabase $esign

$ocument *ill be coordinated *it6 and appro(ed by t6e undersigned or t6eir designatedrepresentati(es.

Instructions: ist the indi(iduals whose signatures are desired. ;4amples o3 suchindi(iduals are 7usiness


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A++en%i6 :7 Notes to t8e Aut8or/Tem+late $nstructions

This document is a template 3or creating a 2atabase 2esign 2ocument Template 3or agi(en in(estment or pro5ect. The 3inal document should be deli(ered in an electronically

searchable 3ormat. The 2atabase 2esign 2ocument Template should stand on its ownwith all elements e4plained and acronyms spelled out 3or reader/re(iewers, includingre(iewers outside %&" who may not be 3amiliar with %&" pro5ects and in(estments.

This template includes instructions, boilerplate te4t, and 3ields. The de(eloper shouldnote that:

• 'ach section provides instructions or describes the intent,assumptions, and conte$t or content included in that section.-nstructional te$t appears in blue italicized ont throughout thistemplate.

• -nstructional te$t in each section should be replaced with in ormationspecifc to the particular investment.

• Some te$t and tables are provided as boilerplate e$amples o wordingand ormats that may be used or modifed as appropriate.

!hen using this template, 3ollow these steps:

1. Table captions and descriptions are to be placed le3t aligned, abo(e the table.

=. &odi3y any boilerplate te4t, as appropriate, to your speci3ic in(estment.

>. 2o not delete any headings. I3 the heading is not applicable to thein(estment, type ?Not Applicable@ under the heading.

. All documents must be compliant with "ection B#C re$uirements.

B. Figure captions and descriptions are to be placed le3t aligned, below the3igure. All 3igures must ha(e an associated tag pro(iding appropriatealternati(e te4t 3or "ection B#C compliance.

6. 2elete this ?Notes to the Author / Template Instructions@ page and allinstructions to the author be3ore 3inali ing the initial dra3t o3 the document.

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A++en%i6 ;7 X! Tem+late ,e(ision ;istory

The 3ollowing table records in3ormation regarding changes made to the - % templateo(er time. This table is 3or use by the - % "teering %ommittee only. To pro(ide

in3ormation about the controlling and trac8ing o3 this arti3act, please re3er to the 0ecordo3 %hanges section o3 this document.

Table 2 9 X! Tem+late ,e(ision ;istoryVersionNumber

Date Author/Owner Description of Change

1.0 05/15/2011 Celia Shaune y, C!S/"#S/D#T$ %a eline &o'ument2.0 0(/0)/201* Celia Shaune y, C!S/"#S/D#T$ Chan+e ma&e pe C 1*-0122.1 02/02/2015 Su ya otu, C!S/" #/D #$ p&ate& C!S lo+o

.0 10/1 /2015 C!S p&ate& template tyle heet o Se'tion50( 'omplian'e3&&e& 3' onym 'olumn to Table 3 -

Glossarye o matte& Table 5 - Approvals in

Appendix F: Approvals o Se'tion 50('omplian'e

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A++en%i6 $7 A%%itional A++en%ices

Instructions: 9tili e additional appendices to 3acilitate ease o3 use and maintenance o3the document.