S&T Office of Systems Engineering: Overview Briefing Briefing Presented To: DoD Human Factors Engineering Technical Advisory Group 19 May 2014 Kerry D. Wilson Sr. Systems Engineer Acquisition Support and Operations Analysis Office of Systems Engineering

Agenda DHS History and Overview Acquisition and Systems Engineering Lifecycle and Acquisition Lifecycle Frameworks S&T Office of Systems Engineering Activities Systems Engineering Center of Excellence New DHS Systems Engineering Life Cycle (SELC) Guidebook DHS SE Workforce Development Support to DHS Programs Collaboration Summary

Who became part of DHS? U.S. Customs Service (Treasury) Immigration and Naturalization Service (Justice) Federal Protective Service Transportation Security Administration (Transportation) Federal Law Enforcement Training Center (Treasury) Animal and Plant Health Inspection Service (partial, Agriculture) Office for Domestic Preparedness (Justice) Federal Emergency Management Agency Strategic National Stockpile and the National Disaster Medical System (Health and Human Services) Nuclear Incident Response Team (Energy) Domestic Emergency Support Teams (Justice) National Domestic Preparedness Office (FBI) U.S. Secret Service (Treasury) U.S. Coast Guard (Transportation)

DHS Core Mission Areas Preventing Terrorism and Enhancing Security Securing and Managing our Borders Enforcing and Administering our Immigration Laws Safeguarding and Securing Cyberspace Ensuring Resilience to Disasters Who Became Part of DHS U.S. Customs Service (Treasury) Immigration and Naturalization Service (Justice) Federal Protective Service Transportation Security Administration (Transportation) Federal Law Enforcement Training Center (Treasury) Animal and Plant Health Inspection Service (partial, Agriculture) Office for Domestic Preparedness (Justice) Federal Emergency Management Agency Strategic National Stockpile and the National Disaster Medical System (Health and Human Services) Nuclear Incident Response Team (Energy) Domestic Emergency Support Teams (Justice) National Domestic Preparedness Office (FBI) U.S. Secret Service (Treasury) U.S. Coast Guard (Transportation)

The DHS Acquisition Portfolio 135 Major Programs representing > $150B investment Approximately 60 Level 1 programs Significant Diversity (Products and Approaches) Products include ships, aircraft, IT business systems, facilities, command and control, sensor/detectors Approaches include full development/production, Commercial Off the Shelf (COTS) integration, commodity purchase, and mission/mission support services Acquisition is performed by DHS Operating Components and some HQ organizations Need for a more robust Planning, Programming, Budgeting, and Execution (PPBE) process

DHS Acquisition and Systems Engineering DHS has an acquisition policy and framework Management Directive (MD) 102-01 (similar to DoD 5000) Initiated in 2009 Established the Acquisition Review Board (chaired by the Undersecretary of Management (USM)) DHS developed a Systems Engineering Life Cycle (SELC) Integrated technical program efforts into the acquisition framework Initially under MD 102-01, Appendix B Introduced Tri-chair (Lead Business Authority (LBA), Lead Technical Authority (LTA), and PM) for SELC technical reviews governance

DHS Acquisition Lifecycle & SELC Framework Alignment Acquisition Lifecycle Framework (ALF) Need Analyze/Select Obtain Deploy & Support ALF 1 2A 2B LRIP 2C 3 SPR SER PPR SDR PDR CDR IRR PRR OTRR ORR PIR SELC Solution Engineering Requirements Definition Operations & Maintenance Planning Design Development Integration Implementation Systems Engineering Lifecycle (SELC) ALF Acquisition Decision Events (ADE) ADE 0: Collect Needs (Program Pre-Authorization) ADE 1: Validate Needs (Program Authorization) ADE 2A: Approve Program ADE 2B: Approve Supporting Acquisitions ADE 2C: Low Rate Initial Production /Incremental Release ADE 3: Produce & Deploy Program Products Component Level (System Engineering) Reviews SPR: Study Plan Review SER: Solution Engineering Review PPR: Project Planning Review SDR: System Definition Review PDR: Preliminary Design Review CDR: Critical Design Review IRR: Implementation Readiness Review PRR: Production Readiness Review OTRR: Operational Test Readiness Review ORR: Operational Readiness Review PIR: Post Implementation Review The framework is designed to ensure that the PM has the tools, resources, and flexibility to execute the acquisition; deliver a product that meets the user’s requirements; and complies with applicable statutes, regulations, and policies. The ALF is linked with the Department’s strategic requirements process as well as the PPBE and supporting acquisition processes, such as systems engineering The SELC provides a framework for development using proven systems engineering principles, and should be tailored to fit the unique circumstances of the program/project. SELC reviews are used to inform Component / departmental oversight structure (e.g. ADE reviews) on the technical progress towards successful capability development. The DHS acquisition life cycle process is structured to operate within a series of acquisition phases, each leading to an ADE. This phased systematic approach to acquisition is a proven government and industry method for reducing acquisition risk and achieving more effective and efficient results from invested resources. The ultimate utility for the PM and the operational end-users is better constructed acquisitions, and better, more informed acquisition decisions. These, in turn, lead to predictable and effective delivery of DHS capabilities. The emphasis should not be on “checking off documents.” Rather, these documents should be the end result of performing quality analyses and gaining the knowledge necessary to support effective decision making. The SELC establishes a common System Engineering Life Cycle Framework and ensures that appropriate technical activities are planned and implemented

HSI Activities Aligned with the SELC Need Analyze/Select Obtain Deploy & Support ALF 1 2A 2B LRIP 2C 3 SPR SER PPR SDR PDR CDR IRR PRR OTRR ORR PIR SELC Solution Engineering Requirements Definition Operations & Maintenance Planning Design Development Integration Implementation Describe the gap or deficiency Identify operational functionality Inputs to P-MNS and P-CONOPs Provide Inputs to user-required mission capabilities Identify HP gaps in needed capability Support Mission Function Analysis Provide inputs to HP Needs Analysis HSI Inputs to AoA and LCCE Assess HP aspects of alternatives Assess HSI risk and affordability of alternatives HSI Inputs to Technology Assessment/Refinement Provide HSI Inputs to: Project Mgmt. Tailoring Risk/ Training Plans HSI Inputs to the FRD, RTM, TEMP, Dev Test Plans Conduct studies & analysis (preliminary design) Assess COTS/NDI applicability Develop concepts Conduct studies & analysis: detailed design Detailed design UIs T&E, Risk Management Design Specs Develop HSI installation criteria HSI inputs to configuration control HSI inputs to Operators/ Maintainers Manuals HSI input to Integration Readiness Provide HSI inputs to User Documentation Verification and Validation Ensure testing adequately addresses HP requirements and issues Provide HSI inputs to Security Acceptance/ Assistive tech interoperability tests Provide HSI inputs to the Site Preparation, and introduction to the operational environment Conduct User Training Evaluate HP during Operation Provide HSI inputs to system enhancements HSI inputs to Assessment of Disaster Recovery Support Operations Analysis Develop HSI Lessons Learned We recognize that human performance important determiner of mission success for the complex, high-impact, technology- based, manpower-limited homeland security systems. Therefore, in order to build a more robust SE capability, we have introduced HSI into the SELC. HSI aims to influence how systems are designed by setting human performance requirements. To succeed in a meaningful way, HSI must be addressed as early as possible in the acquisition process. Typically, HSI begins in earnest at the very inception of the system need, in the pre-acquisition phase, when the capability requirements are being discussed. By embedding HSI into system development from the outset, developers can ensure that the system and its users are well integrated. The Systems Engineering Life Cycle (SELC) defines HSI as the systems engineering discipline that focuses on the requirements and capabilities of the human as a critical and integral component of the system. HSI activities represented across the lifecycle. Results/data collected serves as inputs to program artifacts as well as standalone HSI program documents. Finally, consideration is given to HSI entrance/exit criteria at major program reviews. For example, Human Systems Integration Exit Criteria in the Solution Engineering Phase are as follows: Do scenarios and use cases include those which are judged to be challenging to human performance, including human capability, safety and workload? Has a human performance risk analysis been conducted? Have human capability, workload and safety risks been identified and are they being tracked? Have metrics been developed for the AoA/AA assessment which reflect the functional capability needs from an HSI perspective? Do the activities to be conducted during the AoA/AA assessment include determining Doctrine, Organizations, Training, Materiel, Leadership, Personnel, and Facilities, plus Regulations/ Grants/Standards (DOTMLPF+R/G/S) implications for proposed materiel approaches, which involve the following for each design alternative: providing an assessment of the expected impact of the design approach on human performance, with emphasis on impact of human error; estimating workload and manpower requirements and opportunities for manpower reduction; defining requirements for special skills, new occupational specialties and high quality personnel; identifying training requirements and assess expected effectiveness of training approaches, concepts, devices and systems; providing HSI inputs to life cycle costs; determining requirements for interoperability for system alternatives, and defining specific human performance requirements; identifying and managing HSI cost, schedule, and design risks; incorporating HSI requirements into the acquisition strategy; and identifying HSI test and evaluation requirements? Have roles of humans and machines in conducting functions associated with scenarios been identified, and have task performance requirements been defined in a Human Performance requirements analysis (HPRA).

DHS Systems Engineering Center of Excellence SE Best Practices & Lessons Learned Recommendations for Monitoring & Analyzing Program Technical Health and Artifact Quality SE Training & Certification DHS SE COE SE Support to DHS Programs Implement Enterprise Systems

Updated SELC Guidebook Philosophy Developed to help identify appropriate SE activities are planned and implemented Incorporates “Best Practices” and guidance from DoD, NASA, INCOSE, DHS Component processes, and industry leaders Provides direct understanding of the activities and tasks that a program needs to execute/consider to successfully field a new capability Recommends Acquisition Programs develop a Systems Engineering Plan (SEP) Provides clear message that programs need to engage in critical thinking, planning, and extensive technical management efforts Emphasizes “Tailoring” the SELC at the start of acquisition program based on its specific type and size characteristics Stresses early evaluation/development of advanced technology along with continuous Technology Maturation and Assessment Updates include HSI throughout the guidebook along with a Supplemental HSI document that addresses implementation and provides program evaluation criteria for activity gate reviews.

DHS Systems Engineering Center of Excellence SE Best Practices & Lessons Learned Recommendations for Monitoring & Analyzing Program Technical Health and Artifact Quality SE Training & Certification DHS SE COE SE Support to DHS Programs Implement Enterprise Systems

Acquisition Career Management Goal: Establish a professional certification program to train and develop our current workforce and provide mandatory education, training, and experience requirements for each specific acquisition position and specialty. Robust Certification Programs Cost Estimating Life Cycle Logistics Test and Evaluation Program Management Program Financial Manager Federal Acquisition Certification, Contracting(FAC-C) Federal Acquisition Certification-Contracting Officer Representative (FAC-COR) Ordering Official Warrant Program Systems Engineering 6 April 2012, DHS Acquisition Workforce Division issued an Acquisition Certification Policy for Systems Engineering SE Certification Program includes HSI competencies across three competency levels.

DHS Systems Engineering Center of Excellence SE Best Practices & Lessons Learned Recommendations for Monitoring & Analyzing Program Technical Health and Artifact Quality SE Training & Certification DHS SE COE SE Support to DHS Programs Implement Enterprise Systems

Support to DHS Programs Highlight some examples of how we have provided HSI support. Elements of HSI process have been applied to R&D projects and Acquisition Programs. HSI process was applied to 24 programs, (15 S&T and 9 Component programs)

DHS Systems Engineering FFRDC Architecture development Independent technical assessments Risk and opportunity analysis Software systems engineering Modeling and simulation Test and evaluation Enterprise Systems Engineering Requirements Engineering Acquisition SE Support Program/Project Management RFP development & source selection support Cost, schedule, performance, risk trades System concept development Requirements analysis Analysis of Alternatives Review/analysis of design, design alternatives Organizational Change Management Integration & Interoperability Proof-of-Concept System of systems integration Experimentation Standards development Creating mission capability working through needs, opportunities and constraints

Summary DHS has a civilian/law enforcement culture Acquisition still somewhat synonymous with procurement DHS realizes Systems Engineering needs to be institutionalized Developed new SELC guidance based on best practices across industry and federal agencies Emphasizes critical thinking, early comprehensive planning, and program tailoring Recommends Acquisition Programs develop a Systems Engineering Plan adopting “Industry Standard” SE Technical Management Processes Stood-up Level I,II, & III SE certification program Looking to continue collaboration with other government agencies

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