C5ISR Innovation: A Systems Engineering Approach to Homeland Security Scenario Modeling

by Guy Varland, Architecture Project Lead
Phone: 719-235-4384

Note: Published by Institute of Electrical and Electronics Engineers (IEEE), this paper was presented at the 2010 IEEE Homeland Security Conference

Abstract
Background
Operational Impact and Benefit of OOAD Approach
Technology Concept – Applying Method for Homeland Security Scenario Modeling
· Phase 1: Modeling the Business Process
· Phase 2: Architecture Refinement and Validation
· Phase 3: Answering the "So What" Question-Analysis, Sharing the Product & Product Utility
Financial Impact
Operational Impact
References
Author's Biography

Download PDF Version: SystemsEngineeringApproachUpdate.pdf

Abstract

Federal/State/Local/Tribal (FSLT) organizations involved in homeland security could achieve significant Command, Control, Communications, Computers, Combat Systems, Intelligence, Surveillance, and Reconnaissance (C5ISR) related benefits from an innovative systems engineering approach for modeling homeland security scenarios. Serco's unique object-oriented analysis and design (OOAD) approach utilizing the Unified Modeling Language (UML) defines and models target enterprise operational processes - facilitating transition planning to a net-centric operational architecture.

We successfully applied our innovative OOAD approach for the Department of Defense (DOD) in the USNORTHCOM Homeland Defense and Civil Support Capabilities Based Assessment (HD&CS CBA). The HD/CS CBA was a 14 month analytical effort that examined DOD Homeland Defense and Civil Support (CS)/Defense Support to Civil Authorities (DSCA) missions in the 2012-2025 timeframe with primary focus on 2014-2016. The effort identified 31 major homeland defense and civil support mission capability gaps and provided 117 recommendations for DOD to address the capability gaps (USNORTHCOM HD/CS JCD, page 1).

Using Serco's OOAD approach, the HD/CS CBA Enterprise Architecture (EA) served as one of the "tools" utilized by the team to support the rigorous analysis done in the CBA. The CBA Study Team recognized from the study's inception the power and utility of developing an enterprise architecture to help articulate the operational concepts of Homeland Defense and Civil Support, apply a systems engineering approach to capture DOD's response to National Planning Scenarios and clearly articulate the study findings for presentation to senior leaders. (USNORTHCOM HD/CS JCD, page 179).

We believe our innovative approach is ideally suited for FSLT organizations involved in homeland security to model homeland security scenarios and achieve the same C5ISR related benefits realized by DoD through the HD/CS CBA: Development of an adaptable and traceable organizational "mission level" enterprise architecture Supporting defensible C5ISR resource allocation decisions Serving as the framework for analytical rigor to support homeland security related exercises / tabletop events Defining mission level requirements (traceable to the DHS Target Capability List) Conducting capability gap analysis and identifying mission improvements through business process re-engineering Development, refinement and validation of organizational Concept of Operations (CONOPS)

Background

At the direction of the Deputy Secretary of Defense (DepSecDef), we conducted a Capabilities Based Assessment (CBA) on Homeland Defense and Civil Support for the Commander, North American Aerospace Defense Command (NORAD). United States Northern Command (USNORTHCOM) agreed to lead the CBA to help develop a clear understanding of DoD and interagency roles, responsibilities, and capabilities to enhance unified action and mitigate potential uncertainty. In addition, the DepSecDef designated the HD/CS CBA as one of DoD's Top 25 Transformational Priorities to advance to a major milestone by December 2008. USNORTHCOM conducted the assessment between 1 September 2007 and 15 October 2008 in accordance with the Joint Capabilities Integration and Development System (JCIDS) process (USNORTHCOM HD/CS JCD, page 1).

Figure 1: Homeland Defense & Civil Support (HD/CS) Capabilities Based Assessment (CBA)

While the only DoD Architecture Framework requirement for a CBA is a single operational concept description (a Powerpoint graphic similar to Figure 1), the Homeland Defense (HD) / Civil Support (CS) Capabilities-Based Assessment (CBA) developed a more robust array of DoD Architecture Framework products. The CBA Team recognized the value of a systems engineering method provided by Serco's unique object-oriented analysis and design (OOAD) approach for the practice of Enterprise Architecture (EA). This Unified Modeling Language (UML) method uses an object-oriented approach to define and model target enterprise operational processes - facilitating transition planning to a net-centric operational architecture.

Using Serco's OOAD approach, the HD/CS CBA Enterprise Architecture served as one of the tools to support the rigorous analysis done in the CBA. The CBA Study Team recognized, from the study's inception, the utility of developing an enterprise architecture to help articulate the operational concepts of Homeland Defense and Civil Support, apply a systems engineering approach to capture DoD's response to National Planning Scenarios, and clearly articulate the study findings for presentation to senior leaders.

To build the architecture activity models and scenario mission threads, the CBA Team used the approved HD & CS Joint Operating Concepts (JOC), Execution Orders/Concept of Operations (EXORDS/CONOPS), and Subject Matter Expert (SME) input. Upon completion of the architecture activity models, the team applied Serco's innovative architecture animation capability to the team's products. The architecture animations provided a dynamic visualization of the complex mission threads in the CBA mission scenarios and enabled a time-sequenced depiction of operational processes and information exchanges between DoD and interagency stakeholders for the 13 scenario animations integrated within the architecture. These HD/CS CBA Architecture scenario animations provide graphical, dynamic depiction of the information sharing requirements (and associated gaps) in HD/CS missions and serve as a useful visual CONOPS of the CBA scenarios (USNORTHCOM HD/CS JCD, page 180). This technique is unprecedented in its inclusion in JCIDS architecture products.

Operational Impact and Benefit of OOAD Approach

Through the architecture's use, the HD/CS CBA positively influenced operational capabilities of both external mission stakeholders and within other NORAD/USNORTHCOM directorates.

Some examples include: Office of the Secretary of Defense/Networks and Information Integration (OASD/NII - the authors of the DoD Architecture Framework) requested Serco to present this capability at the prestigious 2009 DoD Enterprise Architecture Conference to more than 400 architecture SMEs USCG Operational Command (OPCOM - a new USCG three star command) is using this method to depict Migrant Interdiction processes and information sharing requirements with multiple DHS and Interagency stakeholders. OPCOM utilized the architecture animation in a presentation to Office of Management and Budget to defend OPCOM billet and resource requirements OASD/NII gave the architecture high praise and shared the architecture compact disk (CD) with Department of State and also hosted the CD on a Techipedia collaboration portal that gives 17 Federal Agencies access

Potential Benefits of our OOAD Approach for FSLT Organizations Involved in Homeland Security

Inter-agency operations represent a particular challenge due to large number of stakeholders, the varying agencies' perception of the mission and the differing semantic interpretations across FSLT organizations. For example, this is certainly the case in the port and coastal security environment where incident responses require close collaboration between: 1) multiple Federal agencies (e.g within DHS, DOD and DOJ), 2) many state agencies (sometimes from more than one state), 3) first responder organizations in multiple local jurisdictions, and 4) commercial port partners. In busy ports such as Charleston, the commercial port partners alone approach one hundred stakeholders.

We believe this innovative scenario modeling approach is ideally suited for FSLT organizations involved in homeland security to model the myriad of scenarios relevant to the organization's Area of Operations (e.g. a terrorist boat loaded with explosives detected in the Charleston harbor) and achieve the same C5ISR related benefits.

C5ISR related benefits realized by DOD through the HD/CS CBA: Development of an adaptable and traceable "mission level" enterprise architecture Supporting defensible C5ISR resource allocation decisions Serving as the analytical framework to support homeland security related exercises / tabletop events Defining mission level requirements (traceable to the DHS Target Capability List) Conducting capability gap analysis and identifying mission improvements through business process re-engineering Development, refinement and validation of organizational Concept of Operations (CONOPS)

Technology Concept – Applying Method for Homeland Security Scenario Modeling

We utilized the following methodology in the HD&CS CBA and believe this systems engineering process is ideally suited for FSLT organizations to conduct homeland security scenario modeling. Figure 2 describes the proven methodology:

Phase 1: Modeling the Business Process Utilize existing Concept of Operations, execution orders, scenario scripts or other relevant organizational documentation (if available) to begin development of the activity model framework Identify critical stakeholders, operational roles, and associated critical information exchanges Develop a time-sequenced depiction of the processes and information exchanges Map processes to overarching Task Lists (e.g. DHS Target Capability List). Identify metrics and attributes for successful completion of each task Phase 2: Architecture Refinement and Validation Utilize Serco's industry unique 2D Animator tool to further refine the scenario model and provide a dynamic visual depiction of the scenario for collaborative refinement with stakeholders Conduct Subject Matter Expert (SME) collaboration sessions to validate the model and scenario animation Phase 3: Answering the "So What" Question – Analysis, Sharing the Product & Product Utility Identify capability gaps in the scenario (e.g. info sharing, doctrine, policy, system shortfalls, etc.) Develop recommendations for gap mitigation (e.g. business process re-engineering, technology insertion, etc.) Utilize Serco's unique architecture production capability to share the results

Figure 2: Scenario Modeling Method

Phase 1: Modeling the Business Process

Document Research, Scenario Boundary Definition: Phase 1 begins with a review of the selected scenario to identify the end-to-end boundaries of the scenario activity model (e.g. information that "triggers" the start of the scenario and activity or data produced that defines successful incident response completion). Next we research existing documentation – doctrine, CONOPS, existing process models etc. – to begin identification of key operational roles, critical activities / processes, required data exchanges to initiate the initial framework of the architecture business process model. This research identifies initial business use cases (BUCs - business processes that cut across organization boundaries, possibly including partners and suppliers, in order to provide value to a stakeholder of the business).

Figure 3: Identifying Scenario Boundaries, Triggers & BUCs in Earthquake Scenario

Figure 3 (product from USNORTHCOM HD/CS CBA Architecture CD) is a screen shot of a diagram from the HD&CS CBA Rational Rose architecture model for an earthquake scenario (one of the National Planning Scenarios modeled in the HD/CS CBA). The light blue text box in the upper left hand corner of Figure 3 depicts the primary source documents for the scenario model (e.g. National Response Framework, Department of Homeland Security (DHS) Target Capabilities List, etc.). Immediately to the right of the text box, the t1:EarthquakeEvent box identifies the data which triggers the scenario. We next incorporate more detailed information for the triggering information for the scenario (as delineated in the t1:EarthquakeEvent object in Figure 3 and the triggering event information in the lower left Class Specification box shown on the lower left corner of the diagram). This diagram (DoD Architecture Framework compliant OV-6C Event Trace Description) also identifies the initial business use cases (yellow ovals) in the scenario in a time-sequenced fashion (e.g. begins with the Initiate Event Response use case, followed by Shape Event Response, etc.). Finally, we incorporate the result of value of the BUC: exemplified in the Activity Specification box shown in the lower right corner of Figure 3.

Activity Model Development: Phase 1 continues with the refinement of each BUC; identification of key operational roles, critical activities / processes, required data exchanges, etc. to initiate the initial framework of the architecture business process model. The blue text box in Figure 4 below (product from USNORTHCOM HD/CS CBA Architecture CD) identifies the operational roles captured in "swimlanes" (e.g., SECDEF, Joint Director of Military Support). We capture the time-sequenced process mapping for each role within the applicable swimlane in yellow activity ovals. Next we incorporate more detailed textual information and insert the information into each activity oval in the architecture model and map activities to overarching Task Lists (e.g. Universal Joint Task List for DOD activities and Target Capability List for DHS activities) as depicted in the Activity Specification for Assess Earthquake Effects below. *Note: Upon completion of the scenario activity model, the architecture can be "data-mined" to produce detailed textual scenario CONOPS.

Figure 4: Earthquake Scenario Activity Model Development

During this activity development phase, we identify critical information exchanges (data exchanges that cross swimlane boundaries) for the scenario (e.g. the DoD assistance request depicted in the green text box in Figure 4 above). These data exchanges are further specified in other sections of the architecture to include data attributes (e.g. format, content, classification level, etc.), providing further value in post modeling data extraction.

Phase 2: Architecture Refinement and Validation

In Phase 2, we utilize Serco's industry unique 2D / 3D Animator tool to further refine the scenario model and provide a dynamic visual depiction of the scenario for collaborative refinement with stakeholders. While we exploit the diagramming features of industry-leading UML tools, we developed a plug-in application to Rational Rose that allows us to animate UML activity models. Thus, we can execute the flow of data through our Activity Models, efficiently testing and refining the logic of our designs, and dramatically improving our ability to develop more highly integrated architectures. This animation capability enables a graphical depiction of complex mission threads contained in scenarios, including operational nodes, processes and information exchanges. Although it is only a "static" screen capture from the 3 minute dynamic scenario animation, Figure 5 (product from USNORTHCOM HD/CS CBA Architecture CD) depicts a static screenshot from an example 2D scenario animation from the HD/CS CBA (a Sea Launched Ballistic Missile Scenario; one of the 13 National Planning Scenarios modeled in the CBA):

Figure 5: Developing a Dynamic Scenario Animation "Driven" by the UML Architecture

Please select the following link to view the Windows Media File providing a short video of the dynamic scenario visualization driven by the UML model (shown in the upper right hand corner of the video). The quality of the "live" animation is of much higher fidelity and resolution.

Windows Media File: 2DUMLAnimatorDemo.wmv

Developing a 3D Dynamic Scenario Animation: In March of 2010, Serco made significant enterprise architecture advancement with the demonstration of our 3rd generation UML Animator. This new capability enables activity models from UML-compliant tools to "drive" a physics-based, 3-dimensional (3D) graphics using Analytical Graphics, Inc. (AGI) analysis software for land, sea, air and space as the simulation framework.

In scenario visualizations where 3D rendering of the event provides additional value (e.g. through the depiction of space / airborne / land / maritime sensors and their associated data sharing mechanizations), we include the associated data into the scenario visualization with our 3D UML Animator. Our UML Architecture model continues to "drive" the 3D visualization and we gain the additional value by pausing the visualization and examining the 3D view from any of the selected platforms / sensors in the scenario. Figure 6 below depicts a static screen capture of our 3D capability:

Figure 6: Developing a 3D Dynamic Scenario Animation "Driven" by the UML Architecture

Select the following link to view a short video of the 3D dynamic scenario visualization using Windows Media Player (WMV).

Windows Media File: 3DUMLDemo.wmv

In Figure 6, the inclusion of maritime sensor platforms (e.g. Aegis cruiser), airborne sensor platforms (e.g., E-2, F-22) and space sensor platforms with their associated unclassified threat detection ranges and data sharing capabilities (see orange dotted lines above) into the scenario significantly enhances the capability for more robust analysis of the "effects" and "what if" scenario excursions. For example, an excursion which moves the Aegis cruiser 100 miles south in the above scenario "removes" the Aegis as a viable sensor data provider since it now would be outside threat detection range. This modification to the scenario delays the indicator and warning response time for the F-22 and land-based missile launch assets involved in shooting down the cruise missile later in the scenario and would result in mission failure in this excursion.

Stakeholder Validation: The resultant combination of the UML Architecture and dynamic scenario animation provide a powerful tool to conduct SME collaboration sessions to validate the model and scenario animation. We use these visualizations to demonstrate deployment of military resources on world maps; portray network information exchanges; and to animate the business processes of critical scenario stakeholders. Our technique engages stakeholders because they can see and understand the model we are developing; stimulating participation and buy-in to the scenario validation process. The technique also validates the requirements understanding our architects have developed through review of documentation and discussion with the stakeholders. We continue this validation approach iteratively until the mission animation runs exactly as the stakeholders want it - facilitating agreement among stakeholders and ensures we capture extensive UML and textual information accurately in the architecture model.

Phase 3: Answering the "So What" Question-Analysis, Sharing the Product & Product Utility

Architecture Analysis: We coordinate SME collaboration sessions to conduct detailed analysis on the finalized Activity Model and scenario animation. (The upper left hand corner of Figure 5 depicts the iterative SME validation sessions and gradual validation from the O-5 / O-6 to Flag Officer / General Officer / Senior Executive Staff level).

Through this iterative analysis, we identify capability gaps in mission threads (e.g. info sharing, doctrine, policy, system shortfalls, etc.). Next, with SME assistance we identify and graphically depict recommendations for mitigation of the scenario capability gaps and incorporate into the Activity Model. Figure 6 (product from USNORTHCOM HD/CS CBA Architecture CD) below captures a representative example from the HD/CS CBA Sea Launched Ballistic Missile Scenario:

Figure 7: Utilizing the Architecture for Scenario Gap Analysis & Scenario Response Improvement Recommendations

The red text box in Figure 7 (product from the USNORTHCOM HD/CS CBA Architecture CD) identifies a DOD capability gap in this scenario. The blue text box provides recommendations to mitigate the capability gap. Note that the recommendations follow a Doctrine, Organization, Training, Materiel, Personnel, and Facilities (DOTMLPF) format-the above three recommendations include a policy change, a C5ISR system solution recommendation and a recommendation to "re-engineer" info-sharing between DOD stakeholders to mitigate stove-piping and gain cost effective scenario response efficiencies.

Product Sharing: After validation of the UML architecture and scenario animation, we create "executive level" 8-10 minute Windows Media File videos of the scenario, complete with voice over narration, for follow-on stakeholder utility. Next, we "data mine" the UML models and tools to extract information to create important CONOPS documentation communicating progress, areas of emphasis, development of functional requirements, as well as planning and acquisition documentation. Finally, we publish the architecture and scenario animations to a compact disk (CD), complete with user friendly links to the relevant data. Figure 8 below (USNORTHCOM HD/CS CBA Architecture CD cover) shows an example of the HD/CS CBA architecture CD containing 550 MB of detailed data for follow-on utility:

Figure 8: Sharing the Data-HD/CS CBA Architecture CD

Answering the "So-What" Question - Post Scenario Modeling Utility: The resultant UML architecture, scenario animations, architecture CD, textual information data-mined from the architecture, etc. has significant utility. The following paragraphs detail utility of the HD/CS CBA Architecture for DoD (excerpts from USNORTHCOM J8C HD/CS CBA Defense Enterprise Architecture Award Nomination):

Financial Impact

The HD/CS CBA Enterprise Architecture will provide DoD and NORAD-USNORTHCOM with considerable cost savings over the lifecycle of the architecture products. Because the product includes a comprehensive look at both mission areas and multiple scenarios, the content can be migrated seamlessly to numerous other initiatives. Reuse and integration of the architecture across multiple HD/CS initiatives and JCIDS efforts mitigates information stove-piping and provides stakeholder value across programs by eliminating cost duplication.

In addition to providing significant cost savings, the architecture serves as an excellent tool for improving resource allocation, portfolio management and IT governance decisions. Because the architecture provides understandable resource allocation, the architecture contributes to increased decision-making and reduced decision risk. Finally, the architecture is a superb tool for providing advocacy and increasing understanding and interest in the resource allocation decision-making process.

Operational Impact

The architecture provides value as a framework to identify HD/CS mission process points of friction and to highlight potential improvements. Through the architecture's usage, the HD/CS CBA has positively influenced operational capabilities of both external mission stakeholders and internally within other NORAD/USNORTHCOM directorates. Some examples include:

Demonstrated operational utility of the HD/CS CBA Architecture to external stakeholders: Office of the Secretary of Defense/Networks and Information Integration (OASD/NII - the authors of the DoD Architecture Framework) praised the CBA Architecture and included this initiative as a presentation topic for the prestigious DoD EA Conference USCG Operational Command (OPCOM - a new USCG three star command) is using the method to depict Migrant Interdiction processes and information sharing requirements with multiple DHS and Interagency stakeholders. OPCOM utilized the architecture animation in a presentation to Office of Management and Budget to defend OPCOM billet and resource requirements OASD/NII shared the CD with Department of State and also hosted the CD on a Techipedia collaboration portal that gives 17 Federal Agencies access Joint Staff J34 is adapting the architecture for use in the Army-led Integrated Unit, Basing and Infrastructure Protection (IUBIP) Analysis of Alternatives (AoA). Use of an enterprise architecture to support an AoA is unprecedented in the JCIDS process. The team wrote a CBA architecture method article which served as the feature presentation of the Jan 09 edition of the Chemical, Biological, Radiological & Nuclear Defense Information Analysis Center (CBRNIAC) Newsletter

Demonstrated operational utility of the HD/CS CBA Architecture at NORAD/USNORTHCOM: NORAD/USNORTHCOM has initiated efforts to institutionalize the architecture in the commands' planning and training activities The architecture currently serves as a single integrated architecture capturing and integrating the content and corporate knowledge for 9 JCIDS documents maintained by the commands The same architecture methodology has been applied to model NORAD's evolving bi-national Maritime Warning mission and support scenario development for the 2010 Vancouver Olympics

Summary - Benefits to FSLT Organizations Involved in Homeland Security: We believe FSLT organizations involved in homeland security could apply this innovative capability for homeland security scenario modeling / analysis. Each organization involved in homeland security has a role to play in the National Planning Scenarios, or the multitude of equivalent scenarios more relevant to their Area of Operations (e.g. the response to a terrorist boat armed with explosives detected in the Charleston harbor). Employing this unique scenario modeling capability could realize the following C5ISR related benefits delineated in Figure 9 below.

Supporting defensible C5ISR resource allocation decision making Utilizing the architecture to identify mission capability gaps and as the foundation for scenario response improvements Present scenario animations as executive level overviews for complex missions for senior leadership Utilize 2D/3D scenario animations as "visual" Concept of Operations; data-mining the UML Architecture to create a textual CONOPS document Identifying stakeholders & scheduling joint requirements sessions Clearly articulating the Inter-agency mission and individual agency roles & utilizing the architecture and scenario animation to validate scenario response Developing a common vocabulary and communicating intent to broad, diverse audiences Defining common operating procedures and required Inter-agency information exchanges (with associated detailed data attributes of the IERs) Utilize 2D/3D scenario animations to support training for stakeholders Utilize the animations for National Exercise Planning and tabletops

Figure 9: Potential Homeland Security Scenario Modeling Applications

References

• USNORTHCOM, 11 March 2009, Homeland Defense and Civil Support Capabilities-Based Assessment (HD/CS CBA) Final Report, Joint Capabilities Document (JCD), available through DoD Knowledge Management & Decision Support (KM/DS).
• NORAD and USNORTHCOM, NORAD and USNORTHCOM Homeland Defense and Civil Support (HD/CS) Capabilities-Based Assessment (CBA) Architecture, Version 3.0, 27 February 2009. Architecture compact disk available on request from NORAD and USNORTHCOM HQs J81 OMB, email: nc.j81.omb@northcom.mil or nnc.j81sp.omb@northcom.mil.
• USNORTHCOM J8C, Homeland Defense and Civil Support (HD/CS) Capabilities Based Assessment (CBA) Enterprise Architecture (EA) Defense Enterprise Architecture Award Nomination, 15 January 2009.
• OSD/NII, Department of Defense Architectural Framework (DoDAF), v2.0, Volume I: Definitions and Guidelines, June 2009.

Biography

Guy Varland (Serco Inc.) served as the contractor lead architect to develop the USNORTHCOM HD/CS CBA Architecture. His additional homeland defense EA initiatives over the past six years include the NORAD Homeland Air and Cruise Missile Defense and USNORTHCOM Maritime Homeland Defense CBAs. Additionally, Mr. Varland has supported two Coast Guard EA efforts, a new high-speed ISR data link for the Air Force Research Laboratory and Global Strike EA initiatives for the AF's Electronic Systems Center. He is a retired Naval Aviator (F/A-18s) with two command tours, over 5,000 flight hours and combat experience in Iraq, Kosovo and Libya.