J-3_Representative_Task_Order_1_SOO_for_SAI_2009_Core_REsearch_Plan__2_.pdf

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

Statement of Objectives (SOO) for Homeland Security Studies and Analysis Institute (HSSAI) 2009 Core

Research Plan

Directorate of Science & Technology (S&T) U.S. Department of Homeland Security (DHS)

Operations Analysis Division / HSSAI Program Office

I. Background

The purpose of this Federal Funded Research Development Center (FFRDC) is to provide special technical expertise to Department mission owners to transform mission-level goals into strategies, operational requirements, and performance metrics, constrained by cost and schedule.

Through studies and analysis the Institute shall provide recommendations for policy and operational changes, as well as technology insertion concepts, throughout the federal, state, local, tribal, public and private sector organizations that make up the homeland security enterprise. The HSSAI shall generally work on the most complex homeland security issues and problems. The HSSAI will promote fair and open competition for the development and delivery of homeland security enterprise capabilities by providing independent and objective technical expertise in:

cross-cutting mission analysis, strategic studies and assessments, modeling of operational concepts and policy trade-offs within and across mission areas, system simulations and technical assessments to evaluate mission trade-offs. Technical expertise will be used in the creation and evolution of high-level concepts of operation, development of top-level system and operational requirements, performance metrics, operational analysis across the homeland security enterprise, and analytic support for operational testing and evaluation in tandem with the Government’s acquisition process. The HSSAI shall ensure a logical optimization of mission and system-of-system tradeoffs from a long term perspective based on system/program lifecycle costs.

Overtime, this FFRDC will help the Department develop a homeland security enterprise “system of systems” approach that will promote efficiencies and synergies across all missions. Through its long term relationship with the Department, the HSSAI shall promote frameworks and strategies to enhance the general understanding of the trade-offs inherent in reducing our Nation’s risk to terrorism and catastrophic incidents through, improved interoperability and information sharing across the homeland security enterprise.

Through the core funding provided each year through the DHS S&T FFRDC program office the studies and analysis FFRDC shall establish procedures to: quickly initiate new tasks or new task direction; provide critical quick-response program analysis, develop strategic assessment frameworks, develop cross-cutting resources and mission studies throughout the homeland security enterprise, develop program concepts, provide homeland security leadership, and to track and document related lessons learned and best practices. These tasks will be referred to as “core” projects because they will generally have benefits across the Department and the entire homeland security enterprise although they are developed within a specific task.

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

� Work on special projects to compliment tasks and provide analytic support for integrating strategic assessments, mission analyses, operations research, and operational test support standards, best practices and lessons learned across the DHS and the homeland security enterprise;

� Research and develop evolutionary cross-cutting concept tools, simulations and models necessary to provide a forward-looking perspective to major homeland security goals and missions to anticipate problems and issues;

� Consult with representatives from other DHS FFRDCs, private industry, institutions of higher education, and nonprofit institutions;

� Efforts to exercise sound financial control over the FFRDC’s resources.

The short and long term success of the performer will be demonstrated by growth of the HSSAI FFRDC in terms of:

• Providing strategic assessments and leadership for senior homeland security leadership

• Providing best value in the fair and open competition of major critical homeland security acquisition programs

• Providing best practices that efficiently and effectively promote homeland security risk reduction across all mission areas

• Providing for interoperability and information sharing throughout the Department and the homeland security enterprise

This SOO is issued pursuant to the prime contract between the DHS and the operator of the

HSSAI.

II. Scope

HSSAI shall perform the following tasks described in this SOO:

1. Propose a method for managing the CY09 HSSAI Core Research Plan.

2. Provide analytic support for integrating the homeland security enterprise through development of frameworks, best practices, and lessons learned across the DHS and the homeland security enterprise particularly in areas of strategic assessments, mission analyses, and operations research.

3. Deploy up to 10,000 labor hours of forward and field analyst to critical areas of the Department for policy and operations analysis.

4. Provide response capability of 5,000 labor hours to rapidly deploy and provide operations analysis in the event of disasters and major homeland security events.

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

5. Research and develop evolutionary, cross-cutting concept tools, simulations and models necessary to provide a forward-looking perspective to major homeland security goals and missions, to anticipate problems and issues.

6. Consult with DHS representatives, DHS FFRDCs, private industry, institutions of higher education, and nonprofit institutions.

7. Propose solutions to exercise sound financial control over the HSSAI’s resources by allocating resources for quick starts to tasks and other methods for leveraging new work.

8. The HSSAI is expected to adopt an integrated approach for evaluating resource constrained homeland security missions. This approach requires thorough knowledge of: (a) the DHS mission taxonomy and baseline capabilities and metrics; (b) mission goals objectives, resource constraints, and risk reduction potential (c) knowledge of homeland security systems and platforms, operations, technology readiness of innovative concepts and prototypes. The HSSAI approach also requires a deep understanding of evolving DHS processes for development of strategic assessments, mission frameworks, baseline capabilities and metrics, and identification and description of capability gaps.

9. HSSAI may organize meetings/workshops related to the task with federal officials on behalf of the sponsor; however federal government personnel shall approve the agenda and shall chair any federal intra-agency / inter-agency meetings. HSSAI shall produce an objective assessment on the technical merits discussed in these meetings; and include an evaluation of their strengths and weaknesses of the various discussion points.

10. Personnel provided by HSSAI shall have the skills and technical background necessary to successfully complete the tasks described in this SOO. To fulfill the requirements of the SOO, HSSAI may recommend and use the services of other DHS FFRDCs and/or DHS approved sub-contractors and consultants holding specialized expertise. HSSAI shall implement and manage the technical approach, organizational resources, and management controls to be employed to meet the cost, performance and schedule requirements throughout task order execution. A draft project management plan shall be submitted 15 days after contract award, with a final submittal reflecting government input due 30 days after contract award.

III. Other Contract Details

1. Period of Performance. The period of performance for this task is from the date of the first task order award through 31 December 2009 with an expected level of effort of about 30,000 labor hours.

2. Travel. Travel on the order of 100 CONUS trips over 400 workdays may be necessary to meet and coordinate interagency exchanges of information on this task. The DHS Task Sponsor, the HSSAI Contracting Officer’s Representative (COR), the DHS S&T Special Assistant for International Policy, and the Contracting Officer must approve all foreign travel. Thirty day advance notice is required for all foreign travel. HSSAI must notify the DHS Task Sponsor, the

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

HSSAI COR, the DHS S&T Special Assistant for International Policy, and the S&T Security Officer before arrival of visitors from foreign countries.

3. DHS-Furnished Information.

a. DHS shall provide information, materials, and forms unique to DHS to HSSAI to support tasks under this SOO. DHS-provided information, materials, and forms shall remain the property of DHS, unless otherwise indicated in writing, and may not be distributed beyond HSSAI project performers without DHS's prior written permission.

b. The DHS Task Sponsor identified in this SOO shall be the point of contact for identification of any required information to be supplied by DHS.

c. HSSAI shall prepare all documentation (e.g., report deliverables or monthly status reports) according to the guidelines provided by DHS.

4. Place of Performance. HSSAI will generally perform the work under this SOO at HSSAI facilities. HSSAI may perform work under this SOO at a federal government facility designated by DHS.

5. DHS-Furnished Facilities, Supplies, and Services. If work at DHS facilities is necessary for the services being performed under this SOO, such facilities will be provided at offices in Washington, D.C. Parking facilities are not provided. Basic facilities such as work space and associated operating requirements (e.g., phones, desks, utilities, desktop computers, and consumable and general purpose office supplies) will be provided to HSSAI personnel.

6. DHS-Furnished Property. Additional DHS property will not be provided to HSSAI unless otherwise agreed in a task order issued under this SOO. In such cases, HSSAI shall maintain property records. Before purchasing any individual item equal to or exceeding $5,000 that is required to support technical tasks performed pursuant to this SOO, HSSAI shall obtain the DHS Task Sponsor and DHS Program Manager’s concurrence prior to the Contracting Officer’s written consent. The DHS Program Manager may lower or raise the aforementioned $5,000 threshold at his/her discretion and on written notice to HSSAI via the Contracting Officer. If the DHS Task Sponsor and Program Manager consent to such purchase, such item shall become the property of DHS. HSSAI shall maintain any such items according to the base contract property accountability procedures.

7. Deliverables. HSSAI shall provide all deliverables (including point papers, white papers, briefings, presentations, background studies and interim reports) directly to the Task Sponsor (5 copies), DHS Program Manager/COR (3 copies) with a copy of the transmittal letter to the Contracting Officer. Unless otherwise specified in this SOO; an electronic draft of major deliverables shall be provided 28 calendar days prior to the due date for a 10 calendar day review and comment period by the government. This review will allow for additional coordination

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

suggestions, expanded points-of-contact to be identified, and a robust inclusion of comments for subject matter experts within the federal government. Major deliverables are final reports and presentations, as opposed to briefs, memos, whitepapers and program plans which may be reviewed by the sponsor using a less formal process. The final deliverables shall be printed and bound and shall include an electronic version provided in Microsoft Office format (12 pt font).

Task Milestone* Deliverables* Research, analyze, prepare initial program plan

15 days after award deliver to task sponsor 30 days after award deliver to task sponsor

5 copies of draft Program Plan

5 copies of final Program Plan

Research, analyze, prepare brief(s) on finding and recomendations…

Quarterly beginning 3 months after award deliver to task sponsor

3 copies of Briefing(s)

Research, analyze, prepare report(s), whitepaper(s), memo(s), etc. on …

30 June 2009 deliver to task sponsor

3 copies of Interim Report(s), Whitepaper(s), Memo(s), etc

Research, analyze, prepare final report

31 December 2009 deliver to task sponsor

3 copies of Final Report

* Identify minimum requirements (e.g., due dates, quantities, and recipients). Required time periods are measured from the contract award date.

8. Publications and Communications Concerning Work Performed Under This SOO.

HSSAI shall mark all technical data or computer software pursuant to the terms of the base contract. This shall include, for copyrighted works an appropriate notice acknowledging DHS’s sponsorship of the work (see below), license rights and the appropriate copyright notice.

9. Acknowledgement. HSSAI shall include the following acknowledgement in any technical document that is produced from DHS funding: “The U.S. Department of Homeland Security (DHS) is acknowledged as the sponsor of this work.”

10. Monthly Program Status Report. HSSAI shall deliver a monthly program status report as specified in the prime contract to the DHS Task Sponsor (3 copies), DHS COR/Program Manager/Executive Agent (3 copies) containing metrics pertaining to financial, schedule, technical progress, deliverable status, and risk information related to the task. The HSSAI task lead and the sponsor will discuss relevant issues in evaluating the task priorities for the next period; and update the program plan as necessary.

11. Security Requirements.

a. All work performed under this SOO is unclassified unless otherwise specified by DHS.

All unclassified “For Official Use Only” (FOUO) work is expected to occur at the “medium” level per the NIST 800-60 (FIPS Security Categorization) and the Federal Information Security Management Act (FISMA). Any work at the “high” FOUO level

Distribution is authorized to U.S. government agencies only. Contains information that may be exempt from public release under the Freedom of Information Act. Before this SOO is released to the public, approval is required by the

Department of Homeland Security Directorate of Science and Technology.

per the FISMA, or any work at the classified level, shall be performed on a stand-alone computer system accredited in accordance with the FISMA and applicable DHS policies.

b. The HSSAI shall comply with all requirements of the Protected CII (PCII) Program set out in the CII Act, in the implementing regulations published in the Interim Rule, and in the PCII Procedures Manual as they may be amended from time to time, and shall safeguard Protected CII in accordance with the procedures contained therein.

c. The HSSAI shall ensure that each of its employees, consultants, and subcontractors who work on the PCII Program have executed Non-Disclosure Agreements (NDAs) in a form prescribed by the PCII Program Manager. The HSSAI shall not be given access to Protected CII without having previously executed a NDA.

d. If classified work is required under this SOO, DHS will provide specific guidance to HSSAI as to which work will be conducted in a classified manner and at which classification level. If such DHS-guidance conflicts with other applicable guidelines (e.g., DOE, DOD, etc.), HSSAI shall adhere to the more stringent guidelines as determined by the DHS Task Sponsor and DHS Program Manager. HSSAI shall also adhere to other applicable Government orders, guides, and directives pertaining to classified or confidential work. This SOO may require access to information at the Secret level.

IV. Points of Contact

The DHS POCs are:

• DHS Task Sponsor – Mr. Ervin Kapos, DHS S&T OAD

• DHS Program Manager – Patrick Spahn DHS S&T OAD

• DHS COR – Deborah Russell DHS S&T OAD

DHS may change the individual designated as a POC upon notice to HSSAI of such change.