GUIDANCE
Toolsets/ Human Factors
Chapter 2: Develop Human Factor Inputs for Acquisition Documentation
 
PURPOSE

The purpose of this function is to present the human factors inputs for integration in system acquisition documentation. Although human factors inputs are developed and iterated throughout the entire acquisition cycle, primary inputs are often through acquisition documentation. This chapter shows how the Human Factors Coordinator, working with the other Integrated Product Team (IPT) and Human Factors Working Group members, develops human factors inputs to these acquisition documents. (As used in this document, IPT refers to the IPT and/or the Product Team.)

The acquisition documents are identified, and typical inputs are discussed which help ensure that human performance supports system performance goals and objectives.

ACQUISITION DOCUMENTS

The key documents in a system acquisition requiring an input relative to human factors are the:

- Mission Need Statement (MNS). The MNS defines a mission capability shortfall or technological opportunity the FAA should address and includes consideration of major human resource and human-system performance issues.

- Requirements Document (RD). The RD establishes the performance baseline and operational framework for an acquisition program and includes human-system interfaces and human performance requirements.

- Investment Analysis Report (IAR). The IAR summarizes the analytical and quantitative information developed during investment analysis in the search for the best means for satisfying a mission need and identifies the human resource and performance trade-offs in terms of cost and benefit.

- Acquisition Program Baseline (APB). The APB establishes the performance, cost, schedule, and benefits baseline within which an acquisition must be implemented and includes human-system performance thresholds and concepts for conducting the supporting Human Factors Program.

- Acquisition Strategy Paper (ASP). The ASP defines the overall strategy by which an acquisition program will be implemented and outlines the strategy and objectives for the supporting Human Factors Program.

- Integrated Program Plan (IPP). The IPP describes the detailed planning for all aspects of the program implementation and specifies the Human Factors Program tasks, activities, controls, responsibilities, and schedule.

TIMING

- The MNS is prepared in the Mission Analysis phase. Joint Resources Council (JRC) approval of the MNS initiates entry into the Investment Analysis phase. The MNS is revalidated at the Investment Decision. Incorporation of major human resource and performance considerations provides a basis for addressing constraints related to the human component of the required capability.

- The RD is prepared early in the Investment Analysis phase and is approved and baselined at the Investment Decision. It is at this point that detailed consideration of human-system interfaces and human performance requirements, characteristics, and criteria are initiated.

- The IAR is prepared during the Investment Analysis phase as the primary decision document at the Investment Decision. Identifying the human resource and performance trade-offs at this point provides insight into their impact on the operational suitability and operational effectiveness in quantifiable cost and benefit terms.

- The APB is baselined at the Investment Decision. Identifying the human-system performance thresholds and concepts for conducting the supporting human factors program in the APB establishes a reference point for all future human factors trade-offs in operational suitability and operational effectiveness.

- The ASP is prepared early in the Solution Implementation phase. Providing a human factors strategy in the ASP helps ensure that the solicitation addresses critical human factors contractor services.

- The IPP is prepared early in the Solution Implementation phase. The human factors portion of the IPP provides an early and clear definition of the work to be conducted under the human factors program.


"HOW TO"

There is a strong link between the acquisition documentation and the planning, management, and execution of the system acquisition program. The acquisition documentation defines the performance requirements and capabilities the system is to meet, the approach to be taken, and the specific tasks and activities that must be performed during system design, development, and implementation.

Similarly, the human factors inputs to the acquisition documentation accomplish the same result regarding the Human Factors Program. Human factors inputs define human performance requirements and criteria, identify human performance and resource trade-offs, specify human performance thresholds, establish an approach to ensure human performance supports system performance, and define the specific tasks and activities to be conducted.

Without such input, the capabilities and limitations of the designated operators and maintainers will not adequately influence the design, and may result in lower levels of operational suitability and effectiveness.

Mission Need Statement

Using the results from the mission analysis, human factors inputs to the MNS identify the human performance constraints and issues that need to be addressed or resolved. This information may come from operations and maintenance concepts, similar systems or components, and other documents that may provide insights into the effects of human factors constraints and limitations on system performance.

Since most acquisitions are evolutionary, important human factors information can be obtained from predecessor systems or their component subsystems.

Analyses and trade-off studies may be required to determine the effects of constraints and issues on system performance. The existing literature and lessons learned data bases should be reviewed.

Requirements Document

The initial RD contains generic performance and supportability requirements that do not prescribe a specific solution. The RD defines the essential performance capabilities and characteristics, including those of the human component.

Human factors inputs to the RD identify requirements for human performance factors that impact system design. Broad cognitive, physical, and sensory requirements for the operator, maintainer, and support personnel that contribute to or constrain total system performance are established.

Any safety, health hazards, or critical errors that reduce job performance or system effectiveness should be defined. The staffing and training concepts to include requirements for training devices, embedded training, and training logistics should also be described.

Investment Analysis Report

Human factors inputs to the IAR address, for each alternative being evaluated, the full range of human performance and interfaces (e.g., cognitive, organizational, physical, functional, and environmental) necessary to achieve an acceptable level of performance for operating, maintaining, and supporting the system.

The analysis should provide information on what is known and unknown about human performance risks in meeting minimum system performance requirements.

Human factors areas of interest relevant to the investment analysis include:

- Human performance (e.g., human capabilities and limitations, workload, function allocation, hardware and software design, decision aids, environmental constraints, team versus individual performance).

- Training (e.g., length of training, training effectiveness, retraining, training devices and facilities, embedded training).

- Staffing (e.g., staffing levels, team composition, organizational structure).

- Personnel selection (e.g., aptitudes, minimum skill levels, special skills, experience levels).

- Safety and health hazards (e.g., hazardous materials or conditions, system or equipment safety design, operational or procedural constraints, biomedical influences, protective equipment, required warnings and alarms).

Acquisition Program Baseline

The APB is established at the Investment Decision and reflects the solution selected by the JRC for implementation. Based on the solution selected, human factors inputs to the APB are those human performance requirements necessary to achieve the required level of system performance. These inputs are derived from those identified in the Requirements Document and reflect a refinement that provides increased definition, greater granularity, and more specificity of relevant human-system performance characteristics. Constraints, limitations, and unique or specialized training requirements, staffing levels, or personnel skill requirements should be identified.

To the degree possible, the required level of human performance should be based upon practical measures of operational effectiveness and suitability and should be stated in quantifiable terms (e.g., time to complete a given task, level of accuracy required, number of tracks to be processed per unit time).

Acquisition Strategy Paper

The ASP presents the Integrated Product Team's strategy for the technical, management, and procurement approach that will be used to execute the program. Each of the individual strategies, to include human factors, is planned in greater detail in the IPP.

Human factors input to the ASP is the strategy to be employed to ensure that the system being acquired is well-designed and appropriate for the workforce that will operate and maintain it. This strategy should be consistent with the nature, size, and complexity of the system.

The strategy should define how the level of human performance necessary to meet the required system performance will be assured. Additionally, the strategy should describe how the system design would be influenced by the capabilities and limitations of the operators, maintainers, and support personnel.

Integrated Program Plan

Building upon the content of the ASP, human factors inputs to the IPP should be a detailed listing of the specific human factors tasks and activities that must be planned and executed to support the acquisition system design and development. This listing should include those tasks and activities to be performed by the government as well as by the contractor. The human factors tasks and activities should be consistent with the nature, size, and complexity of the system being acquired.

The tasks and activities should ensure that the system design:

- Is influenced by the capabilities and limitations of the designated operators, maintainers, and support personnel.

- Provides the required level of human performance necessary to support the overall system performance objectives and requirements.

- Addresses human resource constraints as well as unique or specialized training requirements, staffing levels, or personnel skills.

The scheduling of the human factors tasks and activities should be integrated with system engineering, test and evaluation, and key program milestones to ensure that the output products are available in a timely manner to support and influence the system design and development.

CHECKLIST QUESTIONS

- Was the human element fully addressed in the mission analysis?
- Does the Mission Need Statement input describe the human performance limitations associated with the capability shortfall or human performance enhancements associated with the new technology opportunity?
- Is the human considered part of the total system in addressing the capability shortfalls or technological opportunities in the Mission Need Statement?

- Does the Requirements Document input ensure that the human is considered as part of the total system when addressing the required capabilities and system performance?

- Do operations and maintenance concepts in the Requirements Document adequately describe the role of the operators, maintainers, and support personnel?

- Does the Investment Analysis Report input address the human factors lifecycle cost and benefits in terms of staffing, training, skills, safety, health, and human-system performance and interfaces for each alternative being considered?

- Does the Investment Analysis Report baseline cost and schedule include considerations for suitable human factors design trade-offs, test and evaluation, and in-service operations and maintenance.

- Does the Acquisition Program Baseline input identify the level of human performance and resources (e.g., personnel, training) necessary to meet the system performance requirements for the selected solution?
- Does the Acquisition Program Baseline include human factors components, as appropriate, in the performance, cost, schedule, and benefits baseline?
- Does the Acquisition Strategy Paper input describe a human factors strategy to be employed to ensure the system is well-designed and appropriate for the workforce that will operate and maintain it?
- Does the Integrated Program Plan input identify the specific human factors tasks and activities that must be planned and executed to support the system design and development?
- Are the human factors tasks and activities scheduled such that output products will be available in a timely manner?
- Are the human factors inputs consistent with the nature, size, and complexity of the system being acquired?
- Have constraints, limitations, and unique or specialized training requirements, staffing levels, or personnel skill requirements been addressed?