SBI Systems Program Office.doc

STYLEREF Classification \* MERGEFORMAT STYLEREF Draft1 \* MERGEFORMAT

SBI Systems Program Office DRAFT Directorate Roles & Responsibilities

Version 2.1

February 6, 2009

Approvals

Approved by:

Date

Record of Changes

(Table, Figure, or Paragraph Sections) A=Add M=Modify D=Delete

Executive Summary The SBI Program is undergoing significant transition with executive leadership, a new organization and operating model, and a new governance and reporting structure. SBI continues to be the flagship program for providing new tools, capabilities, and infrastructure for meeting the needs of frontline Customs and Border Protection (CBP) personnel at and between the ports of entry. A new operating model for the SBI Program has been introduced to achieve the goals and objectives of the SBI program, as well as to establish a Center of Excellence (COE) -- a Systems Program Office (SPO) Program Management Office (PMO) that will act as a solutions provider (acquire/develop/deploy) for CBP and possibly other agencies within the Department of Homeland Security. The transition to the SPO PMO model requires a transition plan, baseline documentation for roles and responsibilities, and specific details of how solutions will be delivered. In this context, this document serves as preliminary input to define roles and responsibilities for the SPO structure. This “living document” will be a part of a broader Program Management Plan (PMP).

The structure of the SPO has been articulated by the Executive Office, and the transition to this new structure is currently underway. While the detailed definition of roles and responsibilities is evolving, the organization is transforming, and is becoming more clearly defined. A framework to help guide the transformation is one of the key elements in establishing clearer, coordinated, and integrated perspectives on the day-to-day operations of the SBI SPO PMO. The framework that is being used is comprised of forty-two (42) key capabilities that help to clarify who owns, executes, provides, and / or consumes the processes the comprise the capabilities.

Transitioning the existing SBI organization to a functioning and successful organization that can be recognized as a COE will take a dynamic and evolving plan, and will require a clear understanding of roles and responsibilities. The organization must have the ability to meet the current portfolio demands while building a credible organization for delivery with comprehensive capabilities. Near term goals are the following:

· Create an agile transition process that leverages the work being done on the programs today to build the construct. Consider taking core process areas presently underway and transforming the players and process “one step ahead” of the process steps. Develop real-time analysis and artifacts that can easily be tailored to the next program.

· Develop a planning team and / or function that will establish the SPO strategy and measurements for success for each program coming into the SPO organization. This enables the SPO to define success for the program during the lifecycle it is addressing.

· Create a rich communications environment and process through best practices in knowledge sharing and collaboration tools.

· Focus on creating the necessary artifacts of successful government organizations such as a Human Capital Plan, Program Planning, Information Technology standards.

· Drive a holistic risk approach from the Executive Office through the programs to ensure clear mitigation strategies and tasks. Capture these leanings through knowledge management capabilities.

This document establishes the high-level roles and responsibilities of each of the functional components of the SBI SPO PMO, and will serves as input to the future PMP, and to inform a broader stakeholder community.

4.7.09 - Please note: This document contains raw input contributed by various directorates within the SPO. This input has not been fully reviewed with the client and has not been fully integrated into versions 2.2. and 2.3 of this document. Please see the version history for additional detail.

Table of Contents – SPO Program Management Office Roles & Responsibilities Introduction

11.1 Purpose

21.2 Scope

21.3 Audience

Systems Program Office

32.1 Overview

92.2 Organization Structure

Governance

113.1 DHS Acquisition Review Board (ARB)

113.2 SBI Executive Steering Committee

123.3 CBP Investment Review Board

Executive Office of the SBI SPO PMO

SBI Acquisition Office (Contracts)

Business Operations Office Directorate

Operational Integration Directorate

307.1 Operational Requirements Branch

317.2 Mission Analysis Branch

Systems Engineering Directorate

Programs

449.1 SBInet - The Program

50Appendix A – Definitions of 42 Capability Areas

55Appendix B – Capabilities Input Sources

Table of Figures 3Figure 1. DHS Systems Development Lifecycle

4Figure 2. Systems Program Office Lifecycle Overview

6Figure 3. Capability Based Requirement Allocation Process

9Figure 4. SPO Organization

10Figure 5. SPO Operating Model

15Figure 6. Contracting Organization

17Figure 7. Business Operations Organization

20Figure 8. Business Operations Office Ownership Capabilities

29Figure 9. Operational Integration Organization

32Figure 10. Operational Integration Ownership Capabilities

34Figure 11. Systems Engineering Organization

35Figure 12 Requirements Management Branch

36Figure 13 Test & Evaluation Branch

36Figure 14 Logistics Branch

37Figure 15 Specialty Engineering Branch

38Figure 16. Systems Engineering Ownership Capabilities

44Figure 17. SBInet Program Organization

45Figure 18 Current Systems Division

45Figure 19 Deployment Division

46Figure 20 Spiral Systems Division

46Figure 21 Systems Management Division

Acronyms

A&M Air and Marine Operations

BOE

Basis of Estimate C3I Command, Control, Communication & Intelligence

CBP

Customs and Border Protection

CBRA

Capability-Based Requirements Allocation

CCB

Change Control Board

CFO

Chief Financial Officer

CMMI

Capability Maturity Model Integration

CMMI-SE

Capability Maturity Model Integration – Systems Integration

COE

Center of Excellence

ConOps Concept of Operations Document

DHS

Department of Homeland Security

ESC

Executive Steering Committee

EVM

Earned Value Management

EVMS

Earned Value Management System

EO

Executive Office

GAO

Government Accountability Office

GFI

Government Furnished Information

HR

Human Resources

IAC

Integrated Acquisition Capabilities

ICE

Immigration and Customs Enforcement

INCOSE

International Council on Systems Engineering

IRB

Investment Review Board

IPT

Integrated Project Team / Integrated Product Team

LCCE

Lifecycle Cost Estimate

OBP

Office of Border Patrol

OIG

Office of Inspector General

OIOC

Office of Intelligence Operations and Coordination

OFO

Office of Field Operations

OI

Operational Integration

OIT

CBP Office of Information Technology

NPRS

New Periodic Reporting System

OMB

Office of Management and Budget

PAL

Process Asset Library

PEO

Program Executive Office

PM

Project Management

PMI

Project Management Institute

PMO

Program Management Office

PMP

Program Management Plan

POE

Port of Entry

QA

Quality Assurance

RFP

Request for Proposal

RVTM

Requirements Verification Traceability Matrix

RVP

Requirements Verification Plan

SBI

Secure Border Initiative

SPO

Systems Program Office

SE&I

Systems Engineering & Integration

SMF

Strategic Management Framework

TI

Tactical Infrastructure

USACE

U.S. Army Corps of Engineers

USAF

U.S. Airforce

USCG

U.S. Coast Guard

USCIS

U.S. Citizenship and Immigration Services

1 Introduction

Secure Border Initiative (SBI) is a comprehensive program to prevent illegal immigration and obtain control of our nation’s borders. It requires an integrated mix of increased staffing, more robust interior enforcement, greater investment in detection technology and infrastructure, and enhanced coordination on federal, state, local, and international levels. SBI is a major initiative aimed at protecting our nation’s borders. Additional programs include: USVISIT, Secure Communities, Secure Freight, and Secure Flight. These programs represented a comprehensive, multiyear plan by the U.S. Department of Homeland Security (DHS) to gain operational control of the U.S. borders. Just over two (2) years ago, SBI was transferred to CBP from the Department of Homeland Security (DHS) as a program for development and implementation, and was organized as a Program Executive Office (PEO).

Over the course of the last two months, and under the vision of a new Executive Director, SBI has been in a transitional state from a PEO to a Systems Program Office (SPO) Program Management Office (PMO) construct, where SBInet and the Tactical Infrastructure Office represent the two primary programs it supports. A SPO is a proven organizational and management model successfully used with the U.S. Airforce (USAF), and throughout industry. It is defined and tailored to address the specific objectives and requirements of a program. It is essential for the SPO PMO to be specific, consistent, and provide clear documentation and direction for the system life cycle management approach including the requirements definition and traceability, design, development, testing, and deployment of system capabilities.

As SBI continues its transition towards a SPO PMO model, there is a need for greater definition as well as for helping to build awareness and understanding within the program. This also holds true, with, and for, stakeholders outside the SPO PMO as to how the SPO PMO will function. This document addresses the roles and responsibilities in the evolving organization, and maps the existing program and process areas against a series of forty-two (42) capabilities that are based on the Program Management Institute’s (PMI) Program Management Process Areas, Carnegie Mellon’s Capability Maturity Model Integration - Systems Engineering (CMMI-SE), the International Council on Systems Engineering (INCOSE), and best practices from government and industry. Further details and updates to the PMP will likely include methodologies, tools, management controls (i.e., configuration management, quality control, and risk management), communication plans, staffing plans, reports, and deliverables.

1.1 Purpose

The purpose of this document is to outline the structure, organization, and roles and responsibilities of the new SPO PMO organization. At a high level, it addresses the organizational roles and responsibilities of the SPO PMO, which is comprised of the Executive Office, Business Management Office, Operational Integration Office, Systems Engineering Office, and the Contracts and Administration offices. It also addresses the organizational roles of the two current programs it supports—SBInet and Tactical Infrastructure (TI).

Ultimately, this document will become an integral part of the Program Management Plan (PMP), and will serve as an overarching document for the SBI program. The PMP will establish clear indications of how the program is governed, provide a more comprehensive and detailed view of the subordinate entities, as well as the program’s interactions with and position relative to external entities and relationship to other parts of DHS and CBP.

1.2 Scope

The document addresses the organization as it currently stands and as it is evolving. The physical structure and depiction of the organization was provided by the Executive Office, and findings were gathered through meetings with SPO leadership including the Executive Director, the Deputy Director, and the Chief of the Business Operations Office Office. This document provides a preliminary review, and it is expected that in the coming weeks, it may be expanded to include the following:

· A more proscriptive view of the organization and the future of SBI;

· A clearer definition of how and when programs are transitioned out of the SPO PMO;

· An understanding of the implications to the SBI budget and the SPO PMO’s responsibilities vis-à-vis programs that have been or will be transitioned out of the SPO PMO;

· The relationship and responsibilities to CBP Office of Information Technology (OIT);

· The roles and responsibilities both to and from the broader stakeholder community.

Ultimately, the scope of the PMP may include a listing of program management tools and processes, assignations of process and capability maturity concepts, as well as more detailed descriptions of the sub-components within each directorate and office.

1.3 Audience

This document is intended to serve as a guide for high level program processes and roles and responsibilities for the SBI SPO PMO Executive Office and Directorates, and serve as a centralized reference for personnel assigned to the SPO PMO, including government personnel, Programs, contractors, and detailees. It is meant to provide the Executive team with input to make informed decisions regarding the establishment of clear roles and governance methodologies relative to the structure and operations of the SPO PMO.

2 Systems Program Office

2.1 Overview

A Systems Program Office (SPO) is a form of a Program Management Office (PMO). A SPO is designed to address the specific objectives and requirements of a solution, whether it be to acquire a solution (hardware/software), or to produce or design a solution. Unlike a traditional PMO that is typically responsible for managing a program through all phases of the Systems Development Lifecycle (SDLC), a SPO PMO will only take the solution to a certain point in the SDLC (e.g., Planning or Requirements Definition in the graphic, below). It is then incumbent upon the Program (e.g., SBInet, TI) that is created to “own” the development of the solution through the remaining phases of the SDLC.

Figure 1. DHS Systems Development Lifecycle The SPO organization is responsible for producing or acquiring a solution or discrete set of functions for a “”Program.” The SPO will act as a services organization to the Program during the development of the program solution. In the case of SBI, SBInet and TI represent the two current programs. Because the SPO concept is relatively new to CBP, SBI will need to clearly and carefully define where and when the responsibilities within the program end, and where, when, and who will own the resulting product. In the case of CBP, ensuring that OIT and other parts of the organization are prepared to receive the programs once they have been transitioned out of SBI will be a critical element of success. Identifying and transferring the funding mechanism and resulting reporting requirements for such a transition requires consideration that goes beyond the immediacy of projected O&M costs.

The following graphic represents the DHS Systems Engineering Life Cycle (SELC) that ensures IT and other Capital Investment programs, systems, infrastructure and projects are managed effectively and that end-state solutions meet user requirements and support DHS strategic goals and objectives. It is noted that DHS encourages the use of the SELC principles and also encourages projects currently underway to tailor attributes of the SELC to the specific needs of the program.

Figure 2. Systems Program Office Lifecycle Overview

Once OI and the SPO PMO have defined the program that is to be developed, the Program is responsible for ensuring the right solution is developed. Depending on the scope of the solution, the program may manage the solution all the way through the cycle to Operations & Support, or it may support it through an earlier phase. For example, future solutions that will be deployed to the Ports of Entry (POE) may be transitioned to the CBP Office of Information Technology for Implementation or Deployment, rather than to Operations & Support. Given the complexity of SBI, the breadth of goals and objectives, and the shifting nature of the operations, driving imperatives, and organizational demands, SBI has adopted a Spiral development methodology.

Tailoring the Approach

The spiral development methodology is driven by a Capability-Based Requirements Allocation (CBRA) process that enables OI and the SPO PMO to articulate operational capabilities, translates these desired capabilities to testable development parameters, reconcile user performance needs with available technologies, and prioritize investment efforts. It is important that current and future programs develop and execute a process for determining (1) what capabilities address the most pressing needs, (2) how [and how well] available technologies can achieve those capabilities, and (3) what risks are associated with technology alternatives. CBRA fuses industry and government proven approaches with established CBP practices into a tailored, repeatable process for program planning and development.

CBRA starts by asking questions regarding what the SPO needs to do. It focuses on goals and end-states and encourages innovation. It provides a rational basis for making decisions on future acquisitions, and makes planning more responsive to uncertainty, economic constraints, and risk. Also, it provides a framework to support analysis and facilitate risk management. CBRA helps answer the following questions:

· How are block releases aligned against CBP/SBI organizational goals to improve in the most needed areas?

· What are the best tradeoffs in SBInet investment decisions? Are there some investments that will get a higher percentage of the solution for less cost?

· Given SBInet future scheduled investments and the current gaps, are there some investments that produce more impact if accelerated? If so, are there any cascading effects?

A key aspect to this approach is significant collaboration between the SPO, the operators, and industry. The SPO provides the program management, acquisition management, and the technical authority. The operators drive the SPO by providing the mission expertise and guidance. The role of industry is to provide the technical expertise and analytical support. Incorporating the three segments throughout the process ensures that:

· Users have a stake in defining their needs;

· Users see their needs take shape as they drive both the SPO’s and developer’s efforts;

· SPO has the ability to manage expectations early and often;

· SPO has the right information to support leadership decision making;

· Industry is provided the appropriate context and parameters;

· Industry is given the flexibility to provide innovative solutions;

· All parties are vested in the process.

The process is detailed in five phases depicted in the figure, below.

Figure 3. Capability Based Requirement Allocation Process

The primary responsibility of the CBRA Process rests with the SBInet IPT, today, and for future programs with their respective IPTs. The IPT, or components of it, are responsible for supporting all analytical activities and providing subject matter expertise. The IPT is composed of the:

1. Mission Analysis Team (MAT): Composed primarily of officers/agents representing each of the four operating components: Air and Marine (A&M), Office of Field Operations (OFO), Office of Border Patrol (OBP), and Office of Intelligence and Operations Coordination (OIOC). Agent/Officer participation is essential to the successful execution of this phase. In addition, Systems Engineering (SE) Directorate representation is critical to select potential block capabilities that are technically feasible.

2. Capability Assessment Team (CAT): Primarily composed of representatives of the SE Directorate and individuals with Testing and Evaluation (T&E) expertise, supported by officers/agents that can provide mission context.

3. Acquisition Office: The SBInet Acquisition Office will be a critical participant during the Capability Assessment process when the Request For Information is developed.

4. Executive Steering Committee (ESC): Composed of the Commissioner and Deputy Commissioner of CBP, the Chief of the Border Patrol, the Assistant Commissioners of OFO, A&M, OIOC, and Office of Information and Technology (OIT), the SBI Executive Director and SBInet Program Manager (PM).

5. OIOC: The Office of Intelligence & Operations Coordination (OIOC) brings together the Office of Anti-Terrorism and the Office of Intelligence, along with targeting and analysis functions from the Office of Field Operations, the Office of Information & Technology and the Office of Border Patrol, to coordinate national incident response and intelligence-driven special operations that require collaboration between CBP offices.

SBI SPO PMO Capabilities

The DHS SDLC and the adaptation of the CBRA process to it and the DHS SELC, provide a high level roadmap of the processes that the SBI SPO PMO will follow. These processes, however, require an organization with a broad set of capabilities that are coordinated and integrated across the organization. The table below represents 42 key capabilities that a systems acquisition program such as SBI should reflect in some fashion, even if some are aggregated or consciously excluded.

The 42 areas are based upon PMI Program Management Process Areas, CMMI-SE standards, and INCOSE standards (see Appendix A for a mapping of each capability).

· Validation

· Configuration & Data Management

· Infrastructure Management

2.2 Organization Structure

As shown in Figure 4, the SPO Program Management Office (PMO) is comprised of Directorates and Offices that support the programs (SBInet and TI, at present). These include the:

· SPO Executive Office

· SBI Acquisition (Contracts) Office

· Administration

· Operational Integration

· Business Operations Office

· Systems Engineering

· Programs (shown as SBInet and Tactical Infrastructure)

Figure 4. SPO Organization

The following sections will lend definition to the SPO PMO organization and focus on the roles and responsibilities relative to the overall program, and where the SPO PMO sits with regards to entities external to the SPO PMO itself.

3 Governance The Executive Office will perform oversight for the SPO Program in the overall context of the CBP governance structure. The SPO Operating Model in Figure 4 depicts the high-level relationships between the DHS Acquisition Review Board, CBP Executive Steering Committee (ESC) and Investment Review Board (IRB), Other Governmental Entities, the SPO PMO, and SPO Programs. The sub-sections below detail the basic functions of these organizations and the high level interactions between the entities.

Figure 5. SPO Operating Model

This document does not address the relationships of the SPO to other entities such as the CBP Office of Information Technology (OIT), and although depicted diagrammatically, does not discuss the relationship with external stakeholders such as the Bureau of Immigration and Customs Enforcement (ICE) and other agencies. Nor does this document discuss the various State, local, and tribal entities that are interested stakeholders in the SBI program.

3.1 DHS Acquisition Review Board (ARB)

The DHS Acquisition Review Process (ARP) (Directive 102-01) is one of the Departmental governance processes that establishes governance bodies (e.g., ARB) and ensures oversight, control, reporting, and review of all investments. Directive 102-01 defines acquisitions as any capital investment program/project, service contract, or interagency agreement used for the purpose of delivering Homeland Security capabilities, and categorizes investments according to investment levels. The SELC is tailorable for each type of acquisition. The ARP process, in conjunction with the SELC, ensures that acquisitions directly support and further the DHS mission(s), provide the intended benefits and capabilities to stakeholders and customers, and enhance investment sharing opportunities though standardization.

Responsibilities

1. Approval and review of investment requests from SBI that have been vetted through the CBP ESC and IRB.

3.2 SBI Executive Steering Committee

The SBI ESC was formed in 2006 to provide CBP oversight of the SBI implementation. As the primary body for coordination on SBI, the ESC provides strategic direction to ensure that CBP’s implementation of SBI is achieved. The authority to establish the ESC derives from the authority of the Deputy Commissioner, CBP, to execute and delegate the duties of the office. The ESC is a CBP-level governance and decision making authority on CBP’s implementation of SBI. The direction and approvals provided by the ESC will help to ensure that execution of the SPO PMO in the development and implementation of SBI is consistent with the needs and understanding of the broader CBP stakeholder community.

Responsibilities

1. Providing decisions, approval, and direction focusing on CBP’s implementation of SBI within the context of border security and CBP’s needs, the Department’s SBI policy and coordination of the broader stakeholders in SBI.

2. Defining and approving acquisition and deployment priorities.

3. Serving as a forum for coordination on SBI by:

a. Approving the planning and coordination of SBI development with external stakeholders, including those within DHS, other government agencies, Congress, and the public, as appropriate.

b. Discussing departmental policy, congressional and executive branch mandates that could affect the requirements, development, or operation of SBI and related programs.

c. Identifying other CBP initiatives that could affect or enhance SBI capabilities, and providing awareness, understanding, and guidance relative to other programs, initiatives, and priorities within CBP.

d. Providing direction regarding mission requirements across operational components and resolving intra- and inter-agency risks and issues.

3.3 CBP Investment Review Board

The CBP IRB is a CBP-level governance and decision making body that approves budgets and investments for SPO initiatives. All SPO investment initiatives above a certain level must be presented to the IRB for approval and formal entry into the annual budget process. The SPO presents to the Board for both its investments, as well as on behalf of SBInet and TI for investments originating in their programs or projects.

The IRB also serves as a forum for discussing investment issues and resolving problems requiring senior management attention at the CBP level. SPO forwards all of its investment decisions to the IRB, providing information to the board to support its decision making process and looking to the board for investment approval.

Responsibilities

1. Reviewing investments that SPO presents

2. Ensuring that SPO spending directly supports and furthers CBP’s and DHS' missions and provides optimal benefits and capabilities to stakeholders and customers

3. Identifying poorly performing programs and investments so corrective actions can be taken

4. Identifying duplicative efforts for consolidation and mission alignment when it makes good sense or when economies of scale can be achieved

5. Approving or denying individual investment requests 4 Executive Office of the SBI SPO PMO

The Executive Office (EO) houses the Executive Director, who is responsible for overseeing the smooth operation of the subordinate directorates, and for providing oversight, guidance, and direction to the programs on behalf of CBP. The EO partners with the Contracts and Administration offices, and serves as the primary touch point from the SBI program to key external entities such as the ESC, the IRB, Government Accountability Office (GAO), and the Office of Management and Budget (OMB), among others. While the EO will perform agency-wide strategic coordination functions, the subordinate Directorates will continue to exert daily tactical control of their assets and have ultimate responsibility for developing, tracking, and measuring their performance.

Responsibilities

1. Set strategic direction and priorities to achieve program goals and objectives to include:

a. Success metrics for each program.

b. Budget and schedule drivers.

c. Transition strategy (milestone, date, capabilities).

2. Resolve high visibility issues and those with political risks.

3. Act as an oversight function by empowering subordinate directorates to define and provide SPO-wide services, and consolidate or distribute program management functions where applicable, depending upon program need.

a. Approve allocations of funds across SPO programs or act as approving entity for the allocation of funds in accordance with recommendations or plans from the Contracts office

b. Manage portfolio of SPO programs.

c. Act as the ultimate approver on the program for key decisions and documents, and for decisions and documents that require external approval (i.e., ESC, IRB, etc.) act as the gate reviewer prior to submission to the external entity

d. Create the Human Capital Plan and staffing plan, and support the ESC.

4. Serve as a liaison to the CBP ESC and IRB including, implementing tools to support efficient processes and communications and codifying escalation criteria.

a. Escalate risks, issues, and major decisions to the ESC.

b. Respond to investment requests in support of the IRB process.

5. Set a “Battle Rhythm” for program performance reporting by consistently defining and communicating the decisions made across the SPO organization.

a. The EO sets the discipline and expectations for quality, and ensures that the rigor is in place for SPO PMO operations.

6. Serve as the CBP point of contact for official communications on SPO and activities for external entities, including partner agencies with responsibilities, Congress, oversight agencies, and the media.

a. Support border security planning efforts across CBP that cross more than one organization.

b. Support integration and collaboration across DHS and CBP SPO-related programs.

c. Coordinate CBP-wide efforts to develop, track, and respond to reporting requests on border security goals, measures, metrics, and performance.

d. Support the development and monitoring of CBP SPO-related budgets and expenditures.

Administration Responsibilities

1. Correspondence Control.

2. Tasking and Suspense Control.

3. Personnel.

4. Building and Space Management.

Contract Management Responsibilities

1. Contract Management: Support establishing formal legal procedures and processes for supplier selection, negotiation, contracting, and supplier performance – covering post acquisition through close-out. This is to include procurement strategy and objectives, Organizational Conflict of Interest (OCI) approach, service level agreements, and the team management process within contracts. Support management and control of all subcontracted work.

2. Contract and Supplier Management: Manage post-award development contracting activity required to ensure successful contract administration and performance oversight from the contract award through close-out. This includes but is not limited to assistance in executing contract modifications, task orders, and delivery orders; invoicing, acceptance, and tracking of end item, service, or CDRL deliveries; terminations and monitoring; and resolving potential contract cost, schedule, and technical issues.

5 SBI Acquisition Office (Contracts)

Figure 6. Contracting Organization The SBI Acquisition Office is a shared organization for the SBI Divisions and partners with the SBI Executive Office, with its formal reporting relationship up to the CBP Procurement Office. The SBI Acquisition Office assists members of the SBI SPO PMO, SBInet, and TI with the formulation of acquisition strategies, acquisition planning, market research, source selection, and the preparation of Statements of Work. The SBI Acquisition Office (Contracts) provides full life-cycle project support, including: market research, acquisition planning, contracts management, dispute resolution, invoice payment, funds management, legal support, and contract close-out.

The overall responsibilities of this Office include:

· Participate in joint Program reviews with SBI programs

· Performing contract reviews

· Negotiating, awarding, and administering contracts for all SBI contracting activity

· Preparing all Requests for Proposal (RFPs)

· Awarding and tracking all modifications and managing all contract correspondence

· Review and approve all contract invoices in conjunction with Project Managers and Contracting Officer’s Technical Representatives

· Providing Congressional notification of contracts and interagency agreements

· Manage and report on progress of the Mission Acquisition Plan to the CBP Chief Financial Officer and the DHS Undersecretary for Management.

6 Business Operations Office Directorate

Figure 7. Business Operations Organization

The Business Operations Office (BOO) Directorate provides the SPO with a number of the key functions needed to execute the programs objectives. The functions provided are deployed in a shared services model, providing all the Divisions with access to the functional capabilities. BOO is broadly responsible for:

· Plans and Resources Division:

· Lead people, manage work products, supervise and develop assigned personnel

· Develop and coordinate SBI FYSP Objectives, plans and investment requests (RAP)

· Interface with CBP stakeholders

· Lead resourcing Integrated Product Teams (IPTs)

· Cost and Budget Branch:

· Supervise and develop assigned personnel

· Develop SBI costing methods and models and documentation

· Develop cost estimates for the SBI program or portions therein

· Develop systems tools and processes for defining, allocating and maintaining program budgets across the Program and executing activities

· Lead development of the Annual SBI Expenditure Plan

· Financial Execution Branch

· Supervise and develop assigned personnel

· Develop systems, tools, and processes for receiving, allocating executing, reporting, and overall accountability of all appropriated funds to SBI

· Manage and report funds status across all contracted and government performed services

· Manage all SAP transactions and data management requirements

· Maintain periodic financial execution reports,

· Coordinate transitions with SBI AO and OF

· Audit Liaison Division

· Manage the SPO PMO audit related meetings

· Accompany audit team on site visits related to SBI projects

· Prepare draft responses to audit findings recommendations and reports

· Coordinate with other directorates on overlapping audit issues

· Maintain SBI audit records and provide input into CBP and tracking database

· Provide input into CBP audit tracking reports to the Department

· Program Control Director

· Leadership and control

· Interface with SBInet and PMO/PEO

· Schedule Management

· Prepare and maintain SBI Program schedule for PM/PEO

· Review and analyze Prime contractor schedules and associated products

· Provide schedule support to the Program/Project Managers

· Earned Value Management

· Prepare and maintain project level (Task Order) and program level EVM data for PM/PEO

· Review and analyze Prime contractor EVM data and associated products

· Provide EVM support to program/project managers

· Risk Management Branch

· Prepare and maintain project level (Task Order) and program level risk management data for PM/PEO

· Review and analyze Prime contractor risk management data and associated products

· Provide risk management support to Program Managers/Project Managers

· Acquisition Management and Support

· Leader and control

· Interface with SBI PMO and AO leadership

· Interface with CBP IMO and others

· Interface with DHS APMD and others

· Acquisitions Management Branch

· Workshop development and training

· Acquisition reviews

· Acquisition documentation

· Acquisition tools and periodic reporting

· Acquisitions Support Branch

· Program/project manager support

· Policies and procedures development

· Training facilitation

· COTR program planning and execution

· Acquisition Process/Quality Management Branch

· Process improvement methodologies planning and execution

· Quality management program development and execution

· Process asset library development and maintenance

· Joint Policy Board and execution

· Mission Action Plan (MAP) planning and execution

The following process ownership capabilities have been assigned to the BOO. These capabilities identify the need to the BOO to create and monitor a vast majority of the non-technical processes within the SPO organization.

· Program Authority

· Program Operating Model

· Program Planning

· Acquisitions Strategy

· Acquisitions Process

· Performance Management

· Schedule Management

· Financial Management

· Process Management

· Tools & Infrastructure Support

· Life Cycle Approach

· External Stakeholder Management

· Legal and Regulatory Compliance

· Program Operations

· Program Review Process

Figure 8. Business Operations Office Ownership Capabilities

Responsibilities

Strategy

1. Create BOO charter that identifies key functions and deliverables.

2. Create and implement performance framework that will act as a basis for assessing success for programs.

3. Create a Human Capital plan that addresses staffing triggers and succession planning.

BOO Program Management

Plans and Resources

1. Develop and maintain SPO’s strategic planning documents.

2. Add to/update CBP strategic documents and plans as needed to incorporate SPO’s perspective.

3. Analyze SPO’s existing as-is resources and structure and determining changes and modifications needed to align with the SPO leadership’s direction.

4. Guide the SPO through the CBP Strategic Management Framework (SMF) process in order to develop required strategy documents.

Cost & Budget

1. Create a financial plan for allocating budgetary resources for the upcoming fiscal year to fund SPO programs and projects.

2. Keep the Finance Execution Branch and the SBI Acquisition Office apprised of any changes to the President’s Budget and during the Congressional action process. The Cost and Budget Formulation Branch also keeps the Finance Execution Branch and the SBI Acquisition Office apprised of any activity that affects SPO’s funding.

3. Collect financial and programmatic data inputs, provide budget estimates as input to the SPO budget and expenditure plans, and prepares the OMB Exhibit 300s.

4. Provide input to the submission of budget proposals to DHS, OMB, and Congress.

5. Develop and maintain the Program Budget Baseline Document, the OMB Exhibit 300s, and inputs to the SPO and CBP budget process.

Program Management

Financial Execution

1. Track allocated funds to planned expenditures; prepare and process funding documents; ensuring that obligations and expenditures meet DHS standards; identifying program funding variances; recommending appropriate reprogramming actions and/or corrective actions; and reporting reconciled status of funds.

2. Develop and provide all budgetary documentation necessary for the timely and accurate planning, programming, and execution of program and SPO funds.

3. Ensure sound financial management and implementation for the management and oversight of SPO development and deployment. This effort includes the development of spending plans, processes, and procedures.

4. Develop and sustain the execution process, including monitoring, reporting, and documenting expenditures.

5. Analyze planned budgets verses actual execution data, thus providing assistance to project managers and support staff in formulating and executing a project’s budget.

6. Act as the liaison with other offices on budget-related matters such as funding requests, expenditure plan inputs, budget reconciliation, status of funds reports, updates to budget execution tracking systems, funding document creation and tracking, financial analysis, invoice review support, and ad hoc activities.

Periodic Reporting

1. Perform data gathering, aggregation, and presentation necessary to report essential data to program executives. The work includes gathering data (either manually or through the use of a software tool) needed to populate agreed-upon performance measures to support SPO senior leadership as they monitor, manage, and report SPO performance.

2. Performance Measure Development and Alignment which includes the development of performance measures by working collaboratively with operational personnel in CBP and SPO as well as other subject matter experts. The branch will use this performance measure information to support the Progress Reviews that are a part of the SMF process.

3. Provide reporting to internal and external entities that have a stake in SPO matters. This branch produces standard reports and/or conducts quality reviews of periodic reports of budget and spend activities for specified periods. The scope of the reports can be monthly, quarterly, or annually.

Audits

The SBI audit division is responsible for the management and coordination of audit activities related to SBI programs and operations. The SBI Audit Liaison conducts, coordinates, and oversees audits and other related activities and recommends, formulates, and executes audit policy consistent with guidance provided by DHS’ Office of Policy and CBP’s Office of Planning and Policy.

The SBI audit liaison coordinates with other CBP offices and DHS components to ensure effective and timely response to audit inquiries the effective, efficient, and economic utilization of resources. The SBI audit liaison reports to the Director, Business Operations. The Director, Business Operations is a direct report to the SBI Executive Director.

The SBI Audit Liaison’s primary function is to assist and support the SBI PMO in responding effectively to external audit activities performed by the OIG and GAO. At The Audit Liaison attends various audit related meetings and accompanies audit teams on site visits; assists management in reviewing and responding to audit recommendations, and draft reports; drafting management's response to audit reports; maintaining audit databases and historic reference files and provides current information on audit issues to executive management. The Audit Liaison is also assigned special projects as necessary in support of audit activities.

Program Control

1. Serve as the central coordination point for SBInet Project and Program level cost/schedule/risk performance control, baseline performance measures and analyses. Provide oversight to Solution Providers EVMS and IMP/IMS and risk management implementation insuring adherence to internal Solution Provider practices, policies, SPO Scheduling Standards, and ANSI Standard 748-A.

2. Provide SPO senior leadership with the capability to establish, monitor, manage, and report Program and Project progress, providing ‘honest broker’ analysis based on data provided by solution Provider.

3. Create and maintain an enterprise SBI Integrated Master Schedule (IMS) which includes linkages and interdependencies between SBInet task orders and external organizations whose efforts may impact the accomplishment program goals and the accomplishment of the work scheduled. This includes environmental factors that are not directly within the SBI SPO’s control, other government organizations performing work (SPAWAR, OBP, OneNet, etc.) and proposed legislation that may affect the SBI IMS objectives.

4. Schedule Management: Analyze program and SBInet Task Order project schedules (IMS) and Integrated Master Plan (IMP), conducts dependency analysis, analyzes critical path, schedule health metrics and tracks schedule activities to increase the probability that for the program/project to be completed within the approved timeline, and to specification.

5. Maintain the Program Work Breakdown Structure (PWBS) ensuring SOW traceability to the IMS.

6. Insure integration of cost and schedule information and insure that appropriate Baseline Change processes are followed to maintain the integrity of the cost and schedule baseline. Report any baseline breaches that impact or contribute to slippage of key milestones and organizational KDPS from project/program to component and department milestones.

Acquisition Program Management Branch

The Acquisition Program Management Branch is responsible for developing, executing and monitoring SBI acquisition policy, processes, procedures, and guidance, ensuring that: 1- Acquisition laws and regulations are being adhered to, 2- cost schedule and performance objectives tied to the SBI program are being actively pursued, and 3- the SBI SPO is incorporating acquisition best practices into its organizational model, leading towards the desired end goal of becoming a DHS Acquisition Center of Excellence. This branch will manage three functional areas: 1- acquisition workforce development and sustainment, 2- acquisition review, and 3- acquisition knowledge management systems. This branch is also responsible for streamlining acquisition processes by implementing accountability measures and metrics; effecting efficiencies through comprehensive program analysis and recommendations; implementing best business practices; and providing forums for Governance.

Following is a description of the areas of responsibility:

1. Workforce Development, Training and Sustainment

Develop and provide acquisition-centric training for the SBI Acquisition Workforce. Support the identification, development, sustainment, and succession planning of acquisition personnel, ensuring the program are staffed with qualified, trained, and experienced resources. Provide certification management oversight, coordination, planning, and tracking for the SBI Acquisition Workforce.

2. Acquisition Reviews

Plan and execute SBI acquisition reviews, documenting results of the review with associated action items, ensuring that all SBI programs, projects and contracts are following effective business processes and meeting program and project acquisition objectives. These acquisition reviews include, but are not limited to, acquisition life-cycle milestone Acquisition Decision Events (ADE), system engineering reviews, internal SBI program/project management reviews, SBI/contractor Joint Program Management Reviews (JPMR), and pre-award contract reviews.

3. Acquisition Documentation

Ensure that SBI acquisition documents are developed and maintained, in compliance with all applicable laws, regulations and acquisition directives. Provide governance and oversight of the acquisition process and ensure process compliance with established DHS, CBP, and SBI procedures and best business practices. Assess and report on program/project status to SBI leadership, providing for recommendations for improvement.

4. Acquisition Tools and Periodic Reporting

Design, develop, implement, enhance, and maintain the SBI knowledge management system (KMS) to enable the creation, storage, dissemination, and collaboration of data and the execution and decision-making activities associated with key SBI acquisition processes. Integrate knowledge systems and tools (e.g. WorkLenz, nPRS) with report generation tools to effectively and efficiently produce all required periodic acquisition reports.

Acquisition Process Management Branch

The Acquisition Process Management Branch is responsible for coordinating the development, implementation and integration of SBI policies and procedures, utilizing process improvement techniques and industry best practices towards the ultimate realization of the SBI SPO as an Acquisition Program Management Center of Excellence. This branch is also responsible for a quality management function, ensuring: 1- the usability and effectiveness of each process; 2- the usability and quality of products and deliverables that are achieved from the acquisition process; and 3- the quality of products and services provided by contractors. Additionally, this Branch is responsible for providing support to the SBI SPO and Acquisition Office in the following areas; 1- development of acquisition lifecycle documentation for programs, projects and procurements; 2- preparation for internal and external acquisition lifecycle reviews; 3- facilitation of training for the Acquisition Workforce; and, 4- coordination and execution of the SBI Contracting Officer’s Technical Representative (COTR) management program.

Following is a description of the areas of responsibility:

1. Process Improvement Methodologies Planning and Execution

Lead business process management improvement and re-engineering…