5. Concepts & Requirements Definition (6 pgs) 5-1 Concept & Requirements Definition The Concept & Requirements Definition (CRD) Stage of the Acquisition Management System (AMS) process begins with: Contacting ANG-C1 for guidance and determining whether it is appropriate to appoint a Preliminary FAA HF Coordinator (FAA HFC) The Preliminary FAA HFC or the supporting HF participant then either completes the following activities or, for a larger projects, manages their completion by a vendor supporting CRD: Conduct or oversee HF activities: P. 5-2: Conduct HF assessments to support refinement of operational shortfalls P. 5-3. Conduct HF assessments to support refinement of concepts P. 5-4. Conduct HF assessments to support development of solutions and requirements The Preliminary FAA HFC or supporting HF specialist also assists the Program Office in demonstrating compliance to the HF items in the In-Service Review (ISR) Checklist (FAA network user only) Additional useful information is provided on the pages listed below. P. 5-5. HF Input to Preliminary Program Requirements Document P. 5-6. Preliminary FAA Integrated HF Program (FAA IHFP) See crdguidelines.pdf (faa.gov) for additional details. For relevant HF questions and associated documents to address during CRD, see HF AMS Lifecycle Checklist. 5-2 Concept & Requirements Definition Conduct HF Assessments to Support Refinement of Operational Shortfalls. During the CRD phase, HF updates are provided to finalize the shortfall analysis (a qualitative assessment of any human performance gaps where they exist and quantification of the human performance shortfalls by calculating performance impacts and monetizing the shortfalls). The HF inputs to update the CRD shortfall analysis include: Identification of Existing Human Performance Deficiencies. As an Air Traffic Control example, these could be errors in detecting/acquiring/identifying aircraft entering a controller’s sector, errors in tracking multiple, simultaneous radar targets, or excessive time required in the performance of a given task Identification of Human Performance Improvement Opportunities. Opportunities for improvements in human performance need to be determined. As an example, such opportunities to improve human performance can take the form of new technologies (such as DATACOM) that provide new or more robust information or involve changing the method of information delivery so that transmission and clarity is assured Articulation of Assumptions About the Future Environment that Contribute to a Performance Shortfall. Conditions that will lead to a future shortfall or permit a known shortfall to persist need to be specified to help justify the proposed acquisition as an improvement. This needs to consider the broader context in which new tools, workflows and procedures will be used. 5-3 Concept & Requirements Definition Conduct HF Assessments to Support Refinement of Concepts. As indicated in crdguidelines.pdf (faa.gov): “The alternatives developed during the CRD phase will be high-level concepts, and thus referred to as preliminary alternative descriptions.” These alternatives will developed into a Solution ConOps that: “Describes how users will employ the new capability and how it will achieve desired objectives for the proposed service need” “Defines the roles and responsibilities of key participants (e.g., controllers, maintenance technicians, pilots)” “Explains operational issues that system engineers must understand when developing requirements” “Identifies procedural issues that may lead to operational change” “Incorporates and reflects key enterprise data and information needs” “Establishes a basis for identifying alternative solutions and estimating their likely costs and benefits” (crdguidelines.pdf (faa.gov)). The guidelines emphasize the importance of “human factors engineering to ensure performance requirements and objectives are consistent with human capabilities and limitations”. As an example, “HF implications can include the appropriateness of automation or procedures from a HF perspective, in the context of other systems and tasks. Such analysis can be performed well before establishing details such as computer human interface (CHI) requirements later in the AMS lifecycle” (crdguidelines.pdf (faa.gov)).5-4 Concept & Requirements Definition HF Assessments to Support Development of Solutions and Requirements. The analysis of solutions and requirements needs HF input regarding task allocations, along with completion of a function analysis focused on the performance of the operator and on interactions of the operator with supporting automation to ensure: Definition of the roles and responsibilities of key participants (e.g., controllers, traffic managers, maintenance technicians, pilots) Determination of whether the proposed allocations present HF risks Scenario Development. HF task and function analyses then support the development of robust scenarios to be used in concept development and demonstration. The task analyses can be used to drive the development of scenarios that help to ensure that a given task sequence is demonstrated from end-to-end in a scenario and that all necessary functionality is present for review and analysis. Such a scenario-based approach is important as concepts demonstrated simply through disconnected or partial completion of disparate tasks that do not fully demonstrate the relevant operational scenario are not likely to reveal all of the human performance risks sufficiently early in the AMS process. These scenarios are developed by examining the potential uses of the future system and the roles people will play as operators and maintainers, including not only nominal scenarios but also scenarios highlighting workflows and operational and environmental conditions identified and documented in Critical Task Analysis Reports (see p. B-7). Verification and Validation (V&V). To minimize “to minimize technical, programmatic, and operational risk”, early HF evaluations are performed to support determination of concept feasibility and analysis of alternative solutions during SASP and CRD phases. During CRD, Consistent with AMS policy Section 4.7, HF involvement during V&V serves to ensure that performance requirements are consistent with human capabilities and limitations in the validation of the following products: Shortfall Analysis Report Preliminary Program Requirements Document (pPRD) Solution Concept of Operations Enterprise architecture products Initial investment analysis plan Preliminary information systems security assessment (crdguidelines.pdf (faa.gov)) 5-5 Concept & Requirements Definition HF Input to Preliminary Program Requirements Document. During CRD, the Preliminary FAA HFC will interact with the FAA Systems Engineering Management Team to create the preliminary Program Requirements Document (PRD). This includes providing HF Critical Operational Issues (HFCOIs) for this document. The human-system integration requirements indicated in the preliminary PRD need to be reviewed to supply human-system integration requirements to the FAA Systems Engineering Management Team. The human-system integration requirements provided in FAA Human Factors Design Standard (HF-STD-001B), can be considered. crdguidelines.pdf (faa.gov) indicates: “Principal contributors to the pPRD include the Solution ConOps, Shortfall Analysis Report (SAR), Functional Analysis Document (FAD) (derived from the ConOps) and the Enterprise Architecture (EA) Artifacts. Functions contained in the functional analysis are transformed into functional requirements and inserted into the preliminary Program Requirements Document (pPRD).” “The pPRD does not dictate a solution; it is considered the starting point for identifying the essential characteristics of a solution and estimating basic costs that will provide the desired OCs and service outcomes. The sponsoring service organization typically forms a team of experienced technical, user, and program personnel (e.g., operations, human factors, and safety disciplines, etc.) to develop and analyze preliminary program requirements.” “Research or prototyping may be necessary to define an acceptable range of requirements. The pPRD establishes the basis for determining alternative solutions and estimating costs.” During the generation and refinement of concepts, depending on the nature and size of the project, the Preliminary FAA HFC or responsible HF support person needs to participate in meetings discussing alternative concepts, use cases and scenarios, documenting potential human performance risk areas to be evaluated during concept demonstration/validation exercises or needs to manage completion of these activities by a contractor. There are a variety of sources of information that can provide preliminary requirements for the system under review. Examples include: Review of Operational and Maintenance CONOPS for the acquisition Review of predecessor system information (e.g., procedures, work-arounds, trouble reports, lessons learned) Review of research and analysis relevant to the future system Contact WJHTC HF Division, CAMI, ANG-C1 and AJM-131 for listing of research, studies, and analyses they may have available for review Request contact information for known subject matter experts from WJHTC HF Division, CAMI, ANG-C1 and AJM-131 Collaborate with the Systems Engineering Management Team for this acquisition and contact Subject Matter Experts to request inputs Attend meetings with Integrated Requirements Team (IRT) Review products from the Research for Service Analysis transfer package 5-6 Concept & Requirements Definition Preliminary FAA Integrated HF Program (FAA IHFP). One of the products of CRD produced by the preliminary HFC is a preliminary FAA IHFP. The recommended format and content is available at FAA IHFP. This document includes: Purpose, scope, and objectives of the IHFP HF organization, role, and responsibilities HF strategy, approach Solution/program description Program background information The FAA IHFP is a living document, incorporating changes and revisions as a result of the identification of evolving HF issues and risks associated with the operation and maintenance of the solution. Note that the preliminary IHFP should include identification of documentation that will support closure of the HF items in the In Service Review (ISR) Checklist (FAA network user only). In addition to supporting the HF inputs to the IHFP itself, the Preliminary FAA HFC also will ensure drafting of a 1-2 paragraph summary detailing how generic requirements are provided for good HF engineering practices. This summary also indicates how solution-specific HF requirements are derived from the shortfall analysis, SME interviews, task and function analysis, concept demonstrations, and additional HF analyses designed to mature specific human performance requirements.