For instructions on using this template, please see Notes to Author/Template Instructions on page 11.

Healthy Body Wellness Center (HBWC)

High-Level Technical Design

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Table of Contents

1. Introduction 3
2. Current Systems 3
3. Goals, Objectives, and Rationale for New or Significantly Modified System 3
3.1 Project Purpose 3
3.2 System Goals and Objectives 3
3.3 Proposed System 3
3.3.1 System Scope 4
3.3.2 Processes Supported 4
3.3.3 High-Level Functional Requirements 4
4. Factors Influencing Technical Design 5
4.1 Relevant Standards 5
4.2 Assumptions and Dependencies 5
4.3 Constraints 5
4.4 Design Goals 5
5. Proposed System 6
5.1 High-Level Operational Requirements and Characteristics 6
5.1.1 User Community Description 6
5.1.2 Nonfunctional Requirements 7
5.2 High-Level Architecture 7
5.2.1 Application Architecture 8
5.2.2 Information Architecture 9
5.2.3 Interface Architecture 10
5.2.4 Technology Architecture 10
5.2.4.1 Platform 10
5.2.4.2 System Hosting 10
5.2.4.3 Connectivity Requirements 10
5.2.4.4 Modes of Operation 10
5.2.5 Security and Privacy Architecture 10
5.2.5.1 Authentication 10
5.2.5.2 Authorization 11
5.2.5.3 Encryption 11
6. Analysis of the Proposed System 12
6.1 Risks 12

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1. Introduction
Not required for performance assessment.

2. Current Systems
There are two main business processes in use at HBWC – The Grants Management cycle, and
Employee Payroll. Employee payroll is currently processed in-house and distributed to the
employees on pay day with a paper check. The Grants Management Cycle is handled with a
combination of paper and electronic processes. Grant funding applications, and research
updates like weekly status updates, and other updates are provided on paper, and processed
into the electronic SHGTS. Once grant applications are processed and approved, funds are
disbursed to the recipient via ACH. Remaining funds after a 30-day research cycle are returned
to HBWC for redistribution to another recipient.

3. Goals, Objectives, and Rationale for New or Significantly Modified System

3.1 Project Purpose

Systems modifications are needed to ensure the security of the data used within the Grants
Management cycle, and to streamline the process to bring it into compliance with Federal
Regulations including HIPAA, FISMA, The Paperwork Reduction Act, and others – replacing
outdated, non-supported software with more secure, vendor-supported counterparts. The
payroll system will be outsourced to a 3rd party entity to reduce the workload of the Accounting
and Human Resources Departments, as well as to provide employees with the option of
receiving their payroll funds via Direct Deposit. Migration to a Wide Area Network infrastructure
will also be undertaken to better accommodate the shift to remote work.

3.2 System Goals and Objectives

The primary goal of this project is to replace the legacy software (Microsoft Windows Server
2008 R2, and Microsoft Access 2010) that is currently running the SHGTS, upgrading the
operating system to Windows Server 2019, and replacing Access with a web application and
back-end SQL database. Additional goals include increasing the available internet bandwidth
coming into the office and to increase the availability of VPN access to allow for increased
remote work.

3.3 Proposed System

The existing hardware will be replaced with upgraded server-quality hardware, with Microsoft
Windows Server 2019 as the operating system. This server will host the back-end SQL
database in support of the Grants Management web application still in development. Once
completed, the Grants Management web application will be hosted on a separate server in the
DMZ of the HBWC network. Access to the Grants Management web application will be secured
with unique usernames and passwords, additionally secured with a two-factor token system
which is still being researched. Users will be assigned to groups based on their access needs

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and will only be granted access to the functionality and information needed to perform their job
tasks.
The HBWC’s Local Area Network infrastructure will be upgraded to a Wide Area Network to
better support more concurrent VPN users, along with the additional traffic into the office’s
network with the implementation of the Grants Management web application.

3.3.1 System Scope

The scope of this project will be limited to the upgrade of the server hardware, configuration and
hardening of Windows Server 2019, along with the installation and hardening of the Microsoft
SQL Server. Configuration of the Database schema and database migration is outside the direct
scope of this project and is under the purview of the HBWC Database Administrator.
WAN Infrastructure upgrades are a secondary aspect of this project and will be undertaken
concurrently with the server hardware replacement. Remote access and security needs will be
addressed to ensure compliance with HIPAA, FISMA, and other appropriate Federal
Regulations.

3.3.2 Processes Supported

This project is undertaken solely in support of the Grants Management and tracking processes –
allowing individuals directly involved with grant-funded research to directly input applications
and project updates into the tracking system.

3.3.3 High-Level Functional Requirements

General / Base Functionality
- Successful Migration to WAN – vital piece to ensure stability of remote access
- Successful Server Upgrade – hardware upgrade, as well as OS upgrade to move away
from legacy software, ensuring data security with proper configuration
- Successful Database Upgrade & Data Migration – additional move away from legacy
software, increased security with proper configuration; migration of existing data into
new software
- Web application deployment – provides an interface for all stakeholders to access, input,
or query information about their part(s) of the Grants Management and Research cycles.
Security Requirements
- Physical Security Measures – upgrade to physical security to mitigate risks posed by
unsecured hardware
- Network Encryption – additional layer of security to ensure that data cannot be viewed
by unauthorized individuals
- Server & Database security – implement all appropriate software updates – mitigating
known security vulnerabilities, and ensure software is configured with high-level security
in mind to keep HBWC in compliance with Federal Information Security regulations.
Reporting Requirements
- Provisions the ability for users to query existing data to make more informed decisions
about future research ventures
- Allows for NIH to query database for pertinent information to monitor progress
Auditing Requirements

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- Physical, Server, Database Access logging – Audit and logging system with the ability to
review access and activities performed

4. Factors Influencing Technical Design

4.1 Relevant Standards

Sections 1.1 and 1.2 of the Security Assessment Report reference many Laws, Regulations,
Standards, and Guidance that have driven the creation of the technical aspects of this design.
Many of these are in relation to Information Security, Identity Verification, and restrictions on
information sharing. All applicable standards have been applied throughout this project to
ensure HBWC remains in compliance with these standards and can continue its working
relationship with the NIH for the foreseeable future.
In accordance with NIST SP 800-37 Rev. 1 – Guide for Applying the Risk Management
Framework to Federal Information Systems, and as an organization utilizing a Federal
Information Processing System (FIPS) an assessment, based on NIST SP 800-30 – Risk
Management Guide for Information Technology Systems, was conducted of the Information
Technology infrastructure within the HBWC which identified numerous security risks and
vulnerabilities within the operational systems. The highest priority deficiencies are being
corrected within the scope of this project, and other lower priority ones will be addressed in
future projects. These deficiencies are required to be corrected to allow HBWC to continue their
current NIH-funded grants programs and allow for future expansion of the available grant
programs available to HBWC-supported entities.
The security configurations implemented through this project have been guided by FIPS
Publication 200 – Minimum Security Requirements for Federal Information and Information
Systems as well as FIPS Publication 199 – Standards for Security Categorization of Federal
Information and Information Systems.

4.2 Assumptions and Dependencies

It is assumed that as the project pieces are being implemented, all staff and support personnel
will be trained on the new interfaces, and proper usage of them. For the usage of a 2-factor
authentication token system, it should also be assumed that staff and support personnel have a
Smart Phone or other compatible device, otherwise a physical token generator will need to be
provided for them.
Cutover to the new WAN connection and linking the HBWC main and satellite offices are
dependent on timely installation and successful testing of the new connection infrastructure.
Additionally, cutover to any of the new systems is dependent on successful installation and
testing of all aspects of the project. With new interfaces being built to facilitate data exchange
between HBWC and NIH, this could be one major delay in the cutover to the new systems.
Data migration to the new SQL Server cannot be finalized until all other aspects of the project
are completed and ready for cutover. Some data will be migrated as part of the initial
configuration and testing, and to ensure that the interface between HBWC and NIH is
functioning properly.

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4.3 Constraints
One constraint that should be noted would be the bandwidth of the internet connection(s)
coming into the office. Limited bandwidth could hinder VPN connection stability and thereby
rendering useless the remote working ability.
Infrastructure expansion within the HBWC office is limited by the space that is already allocated
and can be appropriately secured from physical intrusion. Future planning for office space
allocation may be able to address the physical space constraints, but at this time the IT
Infrastructure is limited to the space to which it currently occupies.

4.4 Design Goals

One major goal that was identified was to ensure a transition between systems that is as
trouble-free as possible. The first priority is the infrastructure upgrade to WAN. This installation
can occur on evenings and weekends to be as minimally intrusive to normal operations as
possible. The final cutover to new internet providers will occur after the close of business, again
to be as unobtrusive to normal operations as possible.
With the replacement of the Windows Server machine, that installation can occur with no effects
on operations, as the old server will be decommissioned at the conclusion of the project. SQL
Server can be configured during this time as well. The web server that will be placed in the DMZ
can be installed, configured, and the web application and its SQL connections built with no
effect on operations, as this is a new addition to the network.

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5. Proposed System
5.1 High-Level Operational Requirements and Characteristics

5.1.1 User Community Description

Table 1: User Community Description
Network
Type
Description/Expected Use of Profile Concurrent
User Group (Federal Employee, Geographic Location Total Users
System (LAN, WAN, Users
Contractor)
External)
IT Department IT Department – responsible for all HBWC Employee HBWC Home Office LAN 7 5
aspects of system maintenance
and administration.
Highest level of access provided to
this group, but constrained to focus
areas for each employee, so no
one employee has full access to
every system.
Accounting Responsible for all aspects of HBWC Employee HBWC Home Office LAN 4 4
Department financial transactions into and out
of HBWC
Office of Grants Routine administration of Grants. HBWC Employee HBWC Home Office, LAN / WAN / 20 20
Giveaway Review of incoming applications HBWC Satellite Office, External
and research progress reports Remote
NIH Retrieval of Research-related Federal NIH – Bethesda, MD External 5 5
information from SHGTS
Grant Recipients & Input of research-related Various Various locations External Unknown Unknown
Applicants information – providing updates on
progress
Entering applications for grant
funding
Executive Review Reviewing applications for funding, HBWC Employee HBWC Home Office, LAN / WAN / 5 5
Team approval of funds disbursement, HBWC Satellite Office, Remote
creating and reviewing reports on Remote
grant-funded research projects

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5.1.2 Nonfunctional Requirements

ID Requirements

NFR – 1 Security Awareness Training

NFR – 2 Payroll vendor setup requirements

NFR – 3 DB Concurrent users – at least the total individual users

NFR – 4 Interface between the Web Application and the DB Server

5.2 High-Level Architecture

Figure 1: Architecture Diagram

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Table 2: Alternatives Considered for the Overall Architecture

Preferred
Alternative Description Pros Cons Rationale
Alternative?
Cloud-based Replace on- Not dependent on HBWC loses No Infrastructure is already
IAAS site hardware internet or power physical control of housed on site. Reduces the
with a cloud- service at HBWC data and systems learning curve for the IT
based instance Headquarters Department – just upgrading
of a SQL the existing infrastructure,
server not learning interfaces to a
cloud-based system

5.2.1 Application Architecture

Table 3: Description of Application Components

Type
Strategy
Description (Identify both
Diagram Application (1) (Build, Preferred
(Business Process Alternatives Pros Cons
ID Component Operational Buy, Alternative
Supported, Purpose
or Analytical Reuse,
of Component)
and (2) Batch Rewrite)
or Online)

ID 01 – Timeclock Payroll System – Operational Buy None Direct interface for None n/a
ID 02 Timeclock employees to use for
Application Timeclock services
Online
ID 03 Payroll Review Dedicated system Operational Buy or Buy new – longer period Buy new – none Buy New
for Reuse of compatibility with 3rd
supervisor/manager party interfaces Reuse – decreased
review of Timeclock functionality in the
Online Reuse- saves money future, security flaws
punches
ID 04 – Back-end On-site processing Operational Buy None – vendor
ID 06 Payroll systems and data storage dictates
before transmitted to requirements

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Payroll Vendor Batch for interfaces

with their
systems
ID 07 Executive Interfacing with SQL Analytical Reuse Existing workstations are
Group users for reporting still within warranty;
purposes software still supported
Batch by Microsoft

ID 10 – SHGTS Server SHGTS SQL Server Operational Buy Reuse Buying new eliminates Reusing existing Buy new
ID 12 running MS any downtime during the hardware creates
Windows Server upgrade & configuration excessive downtime,
2019 and backup Online process and may not eliminate
security issues
Ensures security issues
are addressed during
initial configuration and
installation
ID 15 Web Server Interfaces between Operational Buy Ensures hardware and
the cloud-based web software is appropriately
application and the configured, and
SHGTS database Online hardware will be
supported through the
future
ID 21 Azure Cloud Platform hosting the Operational Buy
Services web application for
Grant Applications
and updates. Also Online
configured for NIH
access to data for
reporting
requirements

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5.2.2 Information Architecture

Table 4: Description of Information Components

System of
Record?

(Does this Data

Type of Data system or Acquisition
Diagram Conceptual Information Store another Approach
Description system Alternatives Pros Cons Preferred Alternative
ID (Entity) (Transactional (e.g., User
or Analytical) serve as
Data Entry,
system or
Interface)
record for
informati
on?)

ID 06 Payroll System Back-end local Transactional Yes Interface n/a

payroll
processing –
stored here
before
transmission to
3rd party payroll
processing
vendor
ID 12 SHGTS Database Storage Transactional Yes Interface n/a
repository for all
Grants tracking
and research
information

5.2.3 Interface Architecture

Not required for performance assessment.

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5.2.4 Technology Architecture

5.2.4.1 Platform
The back-end infrastructure will be on enterprise-grade hardware with server-specific operating
systems, with the overall architecture being a standard server-client layout. End users will be
using an array of various systems – a mix of consumer- and commercial-grade hardware, most
less than 3 years old, all running Windows 10 with all currently available security updates
applied.

5.2.4.2 System Hosting

System hosting will be primarily on-site, with remote connectivity available through a VPN. The
one exception to the site-hosted infrastructure is the outsourced Payroll processing. Web
interfaces will be available to internal and external users – each application developed
specifically for targeted user groups; these web applications hosted in the cloud, with interfaces
to the site-hosted web server and into the SHGTS SQL server.

5.2.4.3 Connectivity Requirements

Wired and wireless connections will be available locally within the HBWC office space. WLAN
connections will be secured through a RADIUS Server, using an individual’s existing network
login credentials. A WAN Connection provides connectivity to a small satellite office with wired
and wireless connectivity available in the same manner as at the home office. Remote
connectivity is accomplished through a VPN into the home office’s existing infrastructure.

5.2.4.4 Modes of Operation

User modes – standard and privileged
- Standard – allows only the minimum functionality needed by a user to perform daily job
tasks
- Privileged – elevated access to perform system-level administration

5.2.5 Security and Privacy Architecture

Additional training will be provided to ensure end users are better able to recognize potential
security threats – like phishing attacks, malware, ransomware, and other threats to the sensitive
information contained in HBWC’s systems.
Security policies and procedures will be reviewed and revised, where needed, to ensure
consistency and compliance with applicable Federal information security regulations and
guidelines. User accounts will be configured with ‘least privilege’ to ensure that users are only
able to access information and functions necessary for their job performance.

5.2.5.1 Authentication
To further strengthen the security of information within the office, all user passwords will be
reset with the implementation of the new server architecture. New complexity requirements will
be implemented as part of this new installation. Remote access will be further secured with two-
factor authentication – a token generated through an application on an individual’s smart phone,
or with a hardware token generator for those without a smart phone.

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5.2.5.2 Authorization
All users, and user groups have been evaluated as part of the deployment of the new server
architecture. Employees have been placed in appropriate groups with privileges and access
rights suitable for their role within the company. Ongoing review of employees and access
privilege will be conducted, but especially when an individual’s role changes within the company
– ensuring that privilege creep does not occur.

5.2.5.3 Encryption
WLAN traffic will be secured using 802.1X authentication with WPA3 Enterprise security –
providing 192-bit encryption for data transmitted and received over the wireless network. VPN
traffic will be secured with 256-bit encryption, as will the connection between HBWC and NIH.
Web traffic, especially that to and from the SHGTS web application will be secured with 128-bit
HTTPS. Data at rest on the Server and in the SQL database will be secured with the BitLocker
feature available in Microsoft Windows Server – securing the data with 256-bit encryption.

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6. Analysis of the Proposed System

6.1 Risks
Threat ID Description of Threat New System Action

UACL-02 No effective firewall Overall Rating: Mitigated

rules to filter inbound
traffic Firewall rules have been enabled, filtering unwanted inbound traffic

PNEC-02 Physical access to Overall Rating: Accepted, Pending Mitigation

HBWC not
monitored Options are being researched to implement an access control system for the office

U-Sec-01 No DMZ Overall Rating: Mitigated

Infrastructure
DMZ implemented with new web server

P-DR-02 No failover site Overall Rating: Accepted

Overall analysis of environmental hazards is low, making the need for a disaster
recovery site cost prohibitive.
UACL-01 No ACLs on router Overall Rating: Mitigation in progress
or switch
Access Control Lists are being generated and will be input into the network equipment
after approval from the IT Department Director.

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Appendix A: Referenced Documents

(Optional: Not required for performance assessment)

Instructions: Summarize the relationship of this document to other relevant documents. Provide
identifying information for all documents used to arrive at and/or referenced within this
document (e.g., related and/or companion documents, prerequisite documents, relevant
technical documentation, etc.).
Table 9: Referenced Documents
Document Name Document Location and/or URL Issuance Date
<Document Name> <Document Location and/or URL> <MM/DD/YYYY>
<Document Name> <Document Location and/or URL> <MM/DD/YYYY>
<Document Name> <Document Location and/or URL> <MM/DD/YYYY>

Appendix B: Notes to the Author/Template Instructions

This document is a template for creating a high-level technical design for a given investment or
project. The final document should be delivered in an electronically searchable format. The
high-level technical design should stand on its own with all elements explained and acronyms
spelled out for reader or reviewers.
This template includes instructions, boilerplate text, and fields. The developer should note that:
● Each section provides instructions or describes the intent, assumptions, and context for
content included in that section. Instructional text appears in blue italicized font
throughout this template.
● Instructional text in each section should be replaced with information specific to the
particular investment.
● Some text and tables are provided as boilerplate examples of wording and formats that
may be used or modified as appropriate.
When using this template, follow these steps:
1. Table captions and descriptions are to be placed left-aligned, above the table.

2. Modify any boilerplate text, as appropriate, to your specific investment.

3. Do not delete any headings. If the heading is not applicable to the investment, enter
“Not Applicable” under the heading.

4. All documents must be compliant with Section 508 requirements.

5. Figure captions and descriptions are to be placed left-aligned, below the figure. All
figures must have an associated tag providing appropriate alternative text for Section
508 compliance.

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