The HFI Case - Human Factors Integration Defence Technology ...

The HFI Case:Short Summary ReportThe work described in this document has been undertaken by the Human FactorsIntegration Defence Technology Centre, part funded by the Human Capability Domain ofthe U.K. Ministry of Defence Scientific Research Programme.© BAE Systems 2008 The authors of this report have asserted their moral rights underthe Copyright, Designs and Patents act, 1988, to be identified as the authors of this work.Reference ...........................................HFIDTC/2/WP2.8.1/2Version.................................................................................2Date......................................................... 09 December 2008© BAE Systems 2008. Issued by Aerosystems International Ltd on behalf of the HFIDTC consortium. The HFI DTC consortium consists of Aerosystems International Ltd,Cranfield University, Lockheed Martin, MBDA, SEA, Brunel University and theUniversity of Birmingham

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008AuthorsAnne BrusebergSystems Engineering& Assessment Ltd.Additional ContributorsClare BorrasSystems Engineering& Assessment Ltd.ii

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008Contents1 Introduction ................................................................................................ 12 Status of the Guidance............................................................................... 23 Development Options................................................................................. 54 Exploitation Routes .................................................................................... 75 References............................................................................................... 10iii

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 20082 Status of the GuidanceThe guidance document provided outlines an option for how the specification of HFIrequirements and the tracking of HFI project results can be standardised and formalisedinto a structure called the HFI Case. At this point, it is guidance only that is not linkedinto any mandated process requirements. The HFI Case guidance states:“The capability focus embraced by this document is not yet common practice. TheHFI Case aims to support its uptake by providing aids for how to implement it withregard to HFI – but it cannot make that change at the policy level.”The introduction of the HFI Case document seeks to clarify the status of the guidance asan initial concept to be reviewed and discussed:“It needs to be noted that the guidance provided in this document needs to beconsidered as a concept that is put forward for wider review. To some extent itapplies common SE [Systems Engineering] practice to HFI, and makes HFIapproaches available to SE professionals. In many areas, however, it goes beyondcurrent practice and expands to new concepts that are still in the process of MoDwideimplementation. For those, the practical implications of the approachessuggested here may need to be further discussed and agreed. Likewise, stakeholderresponsibilities are currently undergoing a transformation in the MoD. Therefore,the guidance materials are put forward in a generic way, without yet assumingspecific responsibility definitions.”The “Summary and Outlook” of the HFI Case document captures the current status of theHFI Case:“This document is to be regarded as a first outline of what an HFI Case may entail.The concept needs to be linked into policies and practices for fulfilling its fullpotential. These still have to be explored, agreed and established. The availability ofguidance is a first step towards a more formalised approach to quality assurance ofHFI products and processes.This first outline is to be regarded as a concept for review and as a proposal to bediscussed further. Stakeholder feedback and example applications will be needed tofurther improve the contents. For example, the Eurocontrol HF Case has gonethrough a process of stakeholder review and revision. It was first issued in 2004, andthen updated in 2007 after a number of initial applications. A similar process can beenvisaged for the MoD HFI Case.Moreover, further alignment with emerging related approaches may be needed. Forexample, Def-Stan 00-250 was available only as a draft at the time of writing, and aJoint Services Publication (JSP) on HFI was still forthcoming. Several associatedHFI DTC work packages were still in progress.Some detail needs to be added after practical experiences and regulatory discussionshave taken place. For example, no statements are made at this point as to what typeof scrutiny for what type of HFI Case may be needed depending on the project’s sizeor other factors. This is linked to decisions as to the envisaged status of the HFICase as either a formal requirement or an option.2

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008Moreover, it needs to be considered that the capability-based approach embraced bythe HFI Case is not necessarily common practice yet. Thus, detailed applicationoptions will need to be assessed again at a later stage. Having provided a firstconcept for an HFI Case, the structure and process may function as a first standardfor trialling the scheme.”No specific guidance is yet included as to the mechanisms and rules for initiating an HFICase, or HFI Case elements. The HFI Case guidance states several ideas:“Contractual project agreements may be initiated at any stage – covering any ‘slice’of the overall lifecycle. Any such slice may require an HFI Case. There needs to bea mechanism by which the potential role of HFI is assessed, and where needed, anHFI Case is initiated.”“Any design project should assess the potential impact on human structures andprocesses. Unless the impact is negligible, some form of an HFI Case should beinitiated.”“At each lifecycle phase, there are different conditions under which an HFI Casewould be initiated. There may be a number of barriers to producing HFI Casedocumentation under a standard HFI Case process. These include:• Suitable roles need to be defined for who should champion and own an HFI Caseat any stage of the capability lifecycle.• Where HFI requirements are not mandated, the motivation for making the effort infollowing through an HFI Case is reduced.• Where suitable formal mechanisms are not defined by the MoD to initiate an HFICase, it is more difficult to justify the need.”“The HFI Reference Case may consist of a ‘suite’ of documents, each owned bydifferent stakeholders. The ‘requirement’ of adding to the overall HFI ReferenceCase may be handed from one process owner to another.”No requirements have yet been fixed as to whether an HFI Case needs to be mandated, orunder which conditions this may be necessary. One option may be to require an up-frontanalysis for every project, which would reveal more detailed needs that may have to befollowed up. The HFI Case document discusses some ideas:“An important step is the initiation of an HFI Case as an initial HFI risk and issuesanalysis, since it uncovers the need for further HFI activities and targets. This mayprompt subsequent HFI planning and tracking. It is essential to ensure that the HFIrequirements are captured formally in contractual agreements.”“DoDAF, the Department of Defence Architectural Framework, is mandating someof its Views that are considered as most central. Since projects may substantiallyvary, however, and any View may potentially be of value depending on the particularcircumstances, DoDAF is now aiming to take a different approach. The only View tobe mandated may be the AV-1 (All View: Overview & Summary Information), whichdefines the scope and focus of the architecture. Thus, an up-front analysis is forcedthat defines the needs.”3

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008The requirements underlying Earned Value Management (EVM) may be used as onemechanism to judge the need for an HFI Case. The HFI Case guidance states (withoutyet exploring how this should be translated specifically into a mechanism for when toinitiate an HFI Case):“Earned Value Management (EVM) is the measurement, monitoring and control ofproject progress in terms of cost, time and scope against an agreed and fullyintegrated plan. EVM is mandated on all new MOD projects of value £20m andabove entering the Demonstration phase and is encouraged for use on all otherprojects particularly those projects that are considered High Risk regardless ofproject phase or value.” (http://www.aof.mod.uk/aofcontent/tactical/ppm/content/evm/introduction.htm.)A further question to be discussed concerns whether an HFI Case should be separatedfrom, or directly integrated in, related Systems Engineering documentation:“HFI is a crosscutting domain that affects a wide scope of design areas. Thus,keeping the HFI Case as a separate document to others may be beneficial, so that allhuman-related links can be captured together. Moreover, the ‘soft’ HF concerns areoften not directly compatible with the more equipment-based engineering disciplines.However, it is also essential to clarify the links to related documents (e.g. TLMP),clearly relate to their structure, and ensure the HFI Case is referenced elsewhere. Byestablishing the HFI Case more formally, this may be helped.”Moreover, the practice of making HFI Cases needs to be supported through the provisionof supporting structures, such as:“Mechanisms should be put into place to record overall project lessons learned (e.g.for input of final documentation into an HFI Case database). If key concerns arerecorded throughout the project, it is ensured they are not forgotten. This mayinclude critical aspects of the design reasoning followed, or project managementinsights.”For example, if the recording of HFI Issues Logs were formalised and required for allmajor projects, and records were kept throughout the capability lifecycle, then amechanism would be in place to feed operational data back into requirementsspecification and design.4

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008may be evolved as tools to support project-specific HFI requirements in supportof requirements database tools (e.g. DOORS).• It can be envisaged that HF/HFI issues identified using the Human IssuesIdentifier Tool (HIIT) could be taken forward through the HFI Case. HIITidentifies HFI managerial and technical mitigation strategies, which could be usedto formalise HFI requirements, or to trigger an HFI Case.• Links between HIIT and the HFI DTC research for Technology Insertion (TI)have been identified by Borras (2008). Where TI human related issues areidentified using HIIT, the HFI Case could then take these forward to ensureresolution.The previous HFI DTC report outlining the need for an HFI Case (MacLeod at al., 2005)suggested the following:“The ultimate goal of producing an HFI within Systems Case would be to produce aCase Standard, compatible with the processes indicated by the Safety Case (Def Stan00-56) and R&M Case (Def Stan 00-42) Standards, under the auspices of the DefenceMateriel Standardisation Committee (DMSC). As the processes involved in all Casesare related to life-cycle processes, the achievement of compatibility between thedifferent Cases should not be over difficult.”The new Def-Stan 00-250 may already fulfil this role partially. Additional requirementsfor mandating HFI Case documentation may need to be pursued.6

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 20084 Exploitation RoutesThe previous HFI DTC report outlining the need for an HFI Case (MacLeod et al. 2005)made the following statement about potential stakeholders:“The stakeholders of an HFI within Systems Case would reside in many departmentsof government, all three armed services, and industry. In particular, the DPA andDLO should adopt this Case in order to complement the current accepted Safety Caseand R&M Case through a fuller consideration of the human contribution to designedsystem capability and performance. … Mentorship of the Case has yet to be resolved.Possible sources of mentorship being the Committee for Defence EquipmentReliability and Maintainability (CODERM), the Department of Trade and Industry(DTI), and the Health and Safety Executive (HSE).”It needs to be born in mind that this project was carried out at a time where the MoDimplemented a significant number of changes to policies, structures and processes thathave many implications on how an HFI Case may be conducted. This includes, forexample, the availability of the new AOF; the promotion of a capability-based approach;significant organisational restructuring (e.g. the merging of the Defence LogisticsOrganisation (DLO) and the Defence Procurement Agency (DPA)); the new Def-Stan 00-250; an as yet unpublished JSP on HFI; the encouraged use of MODAF. The HFI Caseguidance has been able to link into most of these. However, at this stage no experienceexists yet as to how these updated structures and processes will be put into practice, andwhat the exact implications will be for the HFI Case.For example, the HFI Case guidance took a very wide approach to link in with the newconcept of a capability-based approach. Much other guidance material for this is stillunder development, while the overall concept of a capability-based approach is still in itsimplementation phase, thus it is not yet common practice. Many stakeholders findthemselves in new roles where new processes need to be followed and previous workingpractices remain active. Thus, it was not possible to establish concrete stakeholdercommitment for this guidance document.Moreover, the list of potential stakeholders can be assumed to be potentially very broad(see Figure 1), since it aims to cover all phases of the capability lifecycle. The HFI Caseguidance states:“This guidance primarily supports people in MoD planning, managing, auditing andcertifying roles. It is intended for use by stakeholders involved in conceiving andoverseeing projects or programmes that relate to human issues. It may concern allMoD stakeholders involved throughout the capability lifecycle 3 . However, it mayalso be of use to project planning and documentation activities conducted by3 “The MOD Unified Customer includes: (1) The ECC (the Sponsor); (2) The User; (3) Science InnovationTechnology (SIT); (4) Defence Equipment and Support (DE&S); (5) The Central representative. … TheDevelopment Concepts and Doctrine Centre (DCDC) and Industry can also provide support to thecapability planning process at various times.”http://www.aof.mod.uk/aofcontent/strategic/guide/sg_unifiedcust.htm.7

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008potential contractors or applicants (e.g. industry; research organisations). Itprovides generic aids to project planning (e.g. for bids) and to documentation.”For the above reasons, the strategy to be adopted for identifying suitable stakeholders willbe to publicise and market the activities under the PIC (Process Improvement Cell) atDE&S. This may include, for example, Foyer Events and mini-workshop/demonstratorsessions to which stakeholders will be invited. Moreover, the PIC will be approachingPrimes, and possibly Universities, for HFI Awareness training, for which existingmaterials can be updated with details of the HFI Case.The potential stakeholders vary with the different layers described throughout theguidance, since they are dealing with different types of overview and depth. Table 1summarises the three abstraction layers, their relationships to the HFI Casedocumentation, and describes associated stakeholders (taken from the HFI Caseguidance).Table 1: The different layers of concern for the HFI Case.LayerStrategicOperationalTacticalFocus Purpose DocumentationneedsOverarching • Enforce the need for HFI Case of Cases –strategy of involvement into allHFI Casewhen HFI capability lifecycle phases; strategyrequirements • Clarify the role of HFI in document andare needed long-term capability change central referenceacrossefforts;to other caseprojects • Initiate through-lifedocumentationmanagement activities forHFI.Identifyingthe needs forinitiating HFICases asprojects aredefinedGeneratingprojectspecificHFIrequirements• Raise the requirement forHFI input into projects;• Identify common HFIconcerns across projects;• Manage HFI outputs acrossprojects;• Encourage technicalinterfaces between projectsand lifecycle phases;• Ensure inclusion of HFIneeds into high-levelbusiness plans.• Conceive the HFI activityplan for a specific project;• Track progress andachievements;• Manage changes torequirements.A documenttracing keyactivities fromHFI plans acrossprogrammes orprojectsA project-specificHFI CasePotentialOwnerA stakeholderresponsible forthe recognitionof capabilitychange needsA stakeholderoverseeingprogramme orprojectalignmentA stakeholderresponsible fora specificprogramme orprojectTable 2 lists potential primary stakeholders, and Table 3 lists potential secondarystakeholders of the HFI Case guidance in relation to the capability lifecycle phases.8

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 2008Table 2: Primary HFI Case stakeholders in relation to the capability lifecycle.Capability LifecycleWho Search RequirementsSpecificationEngineering Deploying &OperatingThe ECC (the Sponsor) X XThe Central Representative X XThe User (Customer 2) X X X XScience Innovation Technology (SIT) X XDevelopment Concepts and Doctrine XCentre (DCDC)Defence Equipment and SupportXX(DE&S): Future Business GroupDE&S: IPTs / IPT leaders X XHF Focus under the Through LifeX X XSupport Directorate under the DGS&E(Director General Safety & Equipment)DE&S: Logistics X XTable 3: Secondary HFI Case stakeholders in relation to the capability lifecycle.Capability LifecycleWho Search RequirementsSpecificationEngineering Deploying &OperatingHFI practitioners X X X XEngineering practitioners X XArchitecting practitioners X XHR practitioners X X XRequirements Managers X XFigure 1: The Unified MoD Customer 4 .4 http://www.aof.mod.uk/aofcontent/strategic/guide/sg_unifiedcust.htm.9

HFIDTC/2/WP2.8.1/2Version 2/ 09 December 20085 ReferencesAOF (2008a) http://www.aof.mod.uk/aofcontent/tactical/quality/downloads/wwwg.pdf.AOF (2008b) http://www.aof.mod.uk/aofcontent/strategic/guide/sg_unifiedcust.htm.Bruseberg A (2008) The HFI Case Concept: Guidance on Specifying, Tracking andDocumenting Human Factors Integration Requirements, Acceptance Criteria andEvidence, Unpublished Report by the HFI DTC to the UK MoD, HFI DTC/WP2.8.1/1.Borras C (2008) Human Issues Identifier Tool. HFIDTC/2/WP5.7/2 (In Draft).Def-Stan 00-250 (2008): Human Factors for Designers of Systems: Human FactorsIntegration (In Draft).Eurocontrol (2007) The Human Factors Case: Guidance for Human Factors Integration.Edition 2 (29.06.2007), European Air Traffic Management Guideline, ReferenceNumber: 07/06/22-35, ISBN: 978-2-87497-002-3.HFI DTC (2008a) The Human View Handbook for MODAF, Issue 1, produced by the HFIDTC for the UK MoD, to be published in 2008.HFI DTC (2008b) Cost-Benefit Analysis for Human Factors Integration: A Practical Guide,Issue 1, produced by the HFI DTC for the UK MoD, to be published in 2008.MacLeod IS, Lee A, Burcham R, & Lee G (2005) HFI within Systems Engineering Case: AScoping Document. Unpublished Report by the HFI DTC to the UK MoD,RMCS/04/SC/4626, 16 April 2005.- End of Document -10

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