1.3 The HSI Plan

1.3.1 Overview

Human Systems Integration (HSI) is the Navy's program dedicated to ensuring that the requirements of the human are addressed in the acquisition of Navy systems. The DoD has formalized the HSI initiative with the recent release of DoD Instruction 5000.2 (March, 1991). This Instruction requires human considerations to be effectively integrated into the design effort for defense systems to improve total system performance and reduce costs of ownership by focusing attention on the capabilities and limitations of the sailor, airman, or marine. The objectives for the human element of the system shall be initially established at Milestone 0, Concept Studies Approval, and shall be traceable to readiness, force structure, affordability, and wartime operational objectives. They shall be subsequently refined and updated at successive milestone decision points.

The HSI Plan (HSIP) is the Navy's management document which ensures that HSI issues are addressed and HSI is implemented as early as possible and throughout the system acquisition process to affect the design, affordability, and supportability of the system from a HSI perspective. The HSIP is the cornerstone of the Navy's HSI effort and possesses the following characteristics. 1) It is a dynamic document in that it is updated as required as the acquisition process progresses and as new data are available. The HSIP is used to key the performance of all HSI events. 2) The HSIP is also a planning and management guide which ensures that HSI issues are addressed throughout the system's life cycle. It provides a system management approach for identifying and addressing HSI issues ad concerns and those data bases and analyses which will potentially provide answers for these issues. 3) The HSIP identifies data sources and documents the results of analyses and tradeoffs conducted. 4) The HSIP provides an audit trail in that it documents data sources, analyses, activities, tradeoffs, and decisions made in each acquisition phase, and identifies when products and events were completed. and 5) The HSIP is a stand alone document which serves as the single source of what data are required, when are the data required, who is responsible for the data, and what is the strategy for collecting these data.

Specific requirements for the HSIP are in DoD 5000.2, which states that the HSIP:

(a) Identifies critical human system factors that have a significant impact on readiness, life-cycle cost, schedule, or performance. It should include potential cost, schedule and design risks and trade-offs which concern human system integration factors and plans to manage and reduce program risks.

(b) Discusses the manpower impact of the new system as compared to its predecessor or comparable system(s) and states the sources of the manpower resources for the new system.

(c) Discusses requirements for new occupational specialties, requirements for high quality personnel or "hard-to-fill" military and civilian occupations, and how these personnel requirements will be met.

(d) Describes how many factors engineering will be applied to the system design effort.

(e) Summarizes how safety and health hazard lessons learned are being applied to the new system.

(f) Addresses the training requirements and effectiveness of the new training system. It should include requirements for new or additional training resources and identifies critical points in the training schedule.

(g) Discusses the impact fielding the new system will have on unit readiness and whether the training base is adequate to meet surge and mobilization requirements.

1.3.2 Content

Executive Summary

The executive summary represents an overview of the HSI strategy and presents a description of the highlights of the HSIP. It describes the purpose of the HSIP and the roles and responsibilities of the HSI Working Group. It describes major analyses to be conducted, innovative uses of existing data sources, major responsibilities of the players, description of the initial operational capability (IOC), and if the HSIP will be maintained throughout the acquisition process.

Introduction

Contains a discussion of the objectives and scope of the HSIP and background information concerning the system (e.g. specific direction from the responsible organization concerning HSI considerations). It should also introduce the HSIP briefly, describing what is contained in the body of the plan, and what is in each of the TABs.

System Description

System description, including descriptions of the system itself, missions to be performed, operational environments, materiel deficiencies in the predecessor system, design versions or alternatives, and essential total system (human-in-the-loop) performance characteristics and techniques for integrating human into the system.

Acquisition Strategy: the proposed strategy including selection from such options as streamlined acquisition, developmental, non-developmental, product improvement, or "new approach". The acquisition strategy should also identify if the acquisition is a new development, non-development item (NDI), or a product improvement, and should identify the state of development or acquisition phase if it is a new system development.

Agencies involved - Lead agency (system proponent) and all other major agencies involved

System acquisition milestones and schedule (due dates for key events) linked to the HSI Milestone Schedule contained in TAB A.

Guidance: A Priori Decisions; general DON guidance; assumptions; and information pertaining to personnel characteristics and force structure.

HSI Strategy

HSI Objectives. (Goals by HSI domain to be achieved during the acquisition process. These goals may translate into constraints in the ORD. There should be at least one goal for each domain).

Manpower (numbers of required billets, either in quantitative/qualitative terms or as compared with the predecessor system).

Personnel (no qualitative increase in the characteristics of operators, maintainers, or supporters; quantitative goals for personnel capabilities, if available).

Training ( no more than the number of training hours in the predecessor system; statements addressing the projected use of advanced training technology or techniques, e.g. embedded training or intelligent tutoring).

Human Factors Engineering (HFE) (the minimum goal should be to ensure that the system is designed to accommodate personnel requirements. If there are known human performance or workload problems with the predecessor system, the goals should address the elimination or reduction of these problems. A goal should also address the establishing of a HFE program to ensure that human performance and workload issues detected during system development are eliminated).

System Safety (if there are any known safety problems in the predecessor system, they should be described and goals should be stated to eliminate these problems. A goal should also address the establishing of a system safety program to ensure that safety issues detected during system development are eliminated).

Health Hazard (if there are any known health hazards in the predecessor system, these should be described and goals should be stated to eliminate these hazards. A goal should also address the establishing of a health hazard assessment program to ensure that hazards detected during system development are eliminated).

Integrated HSI (goals for the integration of domains, such as reliance on the same front-end analysis, use of a common data base, and implementation of a test and evaluation program which applies equally to all domains).

HSI Measures of Effectiveness Measures of effectiveness (MOEs) include the measures to be applied in the assessment of the extent to which the HSI program is successful in meeting HSI objectives. For a new system development, MOEs will include measures which enable the identification of human performance, safety, and readiness deficiencies in baseline systems as well as in the emerging system. For non-development items (NDI) and product improvements, MOEs include indicators of the adequacy of equipment design, manning and training provisions, and safety and health hazard avoidance.

HSI Analyses and Data Availability (data sources which are or may be available to answer concerns/questions, listed in TAB B, availability of these data and its impact on HSI risks, and specific analyses to be conducted.)

Predecessor system(s) (identify the predecessor system, the system to be replaced, or the baseline comparison system (BCS) where a predecessor is not appropriate. Identify a predecessor or develop a BCS for each component of the new system including the training system and repair and support equipment.)

Early availability of data/risk analysis (the types and importance of data to be included in analyses, and when these data are expected to become available. Determine the impact of the data on the HSI strategy to be employed and the associated level of risk. Provide rationale for deciding how to address HSI issues throughout the acquisition process).

Planned level of HSI analysis effort (what analyses are to be conducted, such as HARDMAN, Human Factors Engineering Assessment, etc., when, the analyses should be conducted based on the availability of data and resources; and how these analyses will impact the risk incurred by the HSI strategy.)

The HSI Working Group (Composition of the HSIWG with at least one expert from each HSI domain; responsibilities such as identification of HSI concerns, preparation of the HSIP at Milestone I, and review of the later submitted HSIPs.) The members of the working group should be included in the HSI points of contact presented in TAB C.

HSI Concerns (any issues or areas of concern that have HSI implications. These are issues to watch during the development. Concerns are identified for each HSI domain as well as for integrated HSI. The issues include design issues, readiness issues, test and evaluation issues, and affordability issues. The concerns are to be correlated with the issues and actions listed in TAB D. )

• Manpower
• Personnel
• Training
• Human Factors Engineering
• System Safety
• Health Hazard
• Integrated HSI

HSI Tasks and Products

A tailored listing of all HSI activities and products appropriate for each acquisition phase and selected from the master list of tasks in TAB E, and HSI products in TAB F.

HSI Process tailoring. Based on the review of the system and the HSI strategy, a subset of tasks for each acquisition phase should be selected from the tasks presented in TAB E. Similarly, a set of applicable products for each milestone should be selected from the list in TAB F.

Task Descriptions. Describe HSI Program tasks by acquisition phase in terms of:

task objective

required resources

time to complete

responsible organization

support organizations

task flow dependencies

6.0 HSIP Review Process

The HSIP should be reviewed at each milestone against the progress described in the audit trail (TAB G) and against the criteria presented in TAB H.

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1.3.3 Format

TABS: HSI Program Requirements

Index of TABS

TAB A. HSI Milestone Schedule

TAB B. Data Sources

TAB C. HSI Points of Contact

TAB D. Questions to be resolved

TAB E. HSI Task descriptions

TAB F. Describe HSI Program products by acquisition phase

TAB G. Audit Trail

TAB I. HSI Review

Begin each TAB on a new page.

TAB A. HSI Milestone Schedule

Display of all HSI tasks with relationships to the acquisition process.

TAB B. Data Sources

(detailed data sources - all potential sources, and their relative importance to the HSI effort.)

• potential sources
• T&E documentation
• training plans
• requirements documents
• predecessor system analyses
• New technology

TAB C. HSI Points of Contact

List of all commands, agencies and activities with whom the HSIP must be coordinated, it should include at a minimum the agencies identified in 2.4 and all those identified as being responsible for HSI activities in TAB A and TAB E.

TAB D. Questions to be resolved

(questions whose answers will influence HSI decisions and tradeoffs - very detailed and specific in nature opposed to the broad areas of concern contained in Section 3.0. For any area identified as a high risk HSI area there should be one or more questions to be resolved. For systems with a large HSI effort, the questions should be categorized and prioritized

• Manpower
• Personnel
• Training
• Human Factors Engineering
• System Safety
• Health Hazard
• Other

TAB E. HSI Task descriptions

E-1 HSI tasks in Pre-milestone 0, Mission Needs Determination

• identify mission and function requirements.
• provide HSI inputs to the decision of new system or NDI or product improvement.
• identify HSI constraints and issues.
• establish the HSI consolidated data base.
• identify HSI high drivers and lessons learned from predecessor systems.
• identify system requirements that impact on the role of man in the operation and maintenance of the system.
• identify HSI technology requirements.
• identify tools, data bases, analyses, and methodologies to be employed.
• provide HSI inputs to the assessment of design alternatives.
• develop HSI exit criteria for Milestone I.

E-2 HSI tasks in Phase 0, Concept Exploration and Definition

• conduct HSI front-end analysis for each design alternative.
• identify HSI high drivers and lessons learned from predecessor systems.
• identify alternative approaches for the role of the human in the operation and maintenance of the system for each design alternative.
• identify HSI technology risks for each design alternative.
• provide HSI assessment and tradeoff of design alternatives.
• identify manpower requirements and state manpower sources.
• define requirements for new occupational specialties and high quality personnel.
• identify training requirements and evaluate effectiveness of training systems.
• conduct HSI studies, analyses, and tradeoffs of alternative design concepts.
• provide HSI inputs to life cycle costs.
• budget MPT life cycle costs.
• describe how human factors engineering and safety/health hazards lessons learned will be applied.
• identify and manage HSI cost, schedule, and design risk areas.
• incorporate HSI considerations into the acquisition strategy.
• identify personnel requirements for operators and maintainers.
• identify HSI test and evaluation requirements.
• identify HSI inputs to procurement packages.
• HSI inputs to affordability constraints.
• provide HSI inputs to affordability assessments.
• prepare the HSI Plan.
• provide HSI inputs to the Conceptual Baseline containing refined program cost, schedule, and performance objectives for each design alternative.

E-3 HSI tasks in Phase I, Demonstration and Validation

• provide earlier phase products which are required in the Phase I.
• refine HSI considerations into the acquisition strategy, identifying high risk areas and the risk management approach, and low rate initial production quantities, if applicable.
• identify alternative approaches for the role of the human in the operation and maintenance of the system for each design alternative.
• refine HSI inputs to projected life cycle costs
• refine budgeted MPT life cycle costs.
• update the identification of personnel requirements for operators and maintainers.
• conduct HSI development and operational test and evaluation.
• identify HSI inputs to procurement packages.
• conduct HSI studies, analyses, and tradeoffs of the most promising design concepts.
• identify and manage HSI cost, schedule, and design risk areas.
• refine manpower, personnel and training requirements.
• refine HSI inputs to affordability constraints.
• provide HSI inputs to affordability assessments.
• conduct HSI program reviews.
• prepare the Manpower Estimate Report (MER).
• update the HSI Plan.
• provide HSI inputs to the Development Baseline containing refined program cost, schedule, and performance objectives for the most promising design approach.

E-4 HSI tasks in Phase II, Engineering and Manufacturing Development

• provide earlier phase products which are required in the Phase II.
• continue to refine HSI considerations into the acquisition strategy, identifying high risk areas and the risk management approach, and low rate initial production quantities, if applicable.
• refine HSI inputs to projected life cycle costs.
• refine HSI inputs into budgeted MPT life cycle costs.
• refine MPT requirements.
• update the identification of personnel requirements for operators and maintainers.
• continue to conduct HSI development and operational test and evaluation.
• identify HSI inputs to procurement packages.
• conduct HSI studies, analyses, and tradeoffs of the most promising design concepts.
• identify alternative approaches for the role of the human in the operation and maintenance of the most promising subsystem concepts.
• provide HSI inputs to affordability assessments.
• conduct HSI program reviews.
• update the Manpower Estimate Report (MER).
• update the HSI Plan.
• provide HSI inputs to the Proposed Production Baseline containing refined program cost, schedule, and performance objectives for the most promising design approach.

E-5 HSI tasks in Phase III, Production and Deployment

• provide earlier phase products which are required in the Phase III.
• conduct HSI follow-on test and evaluation.
• identify HSI inputs to procurement packages.
• conduct HSI studies, analyses, and tradeoffs of engineering change proposals (ECPs).

E-6 HSI tasks in Phase IV, Operations and Support

• acquire HSI lessons learned.

TAB F. Describe HSI Program products by acquisition phase

F-1 HSI products at Milestone 0, Concept Studies Approval

• an HSI management plan governing the HSI activities to be conducted in Phase 0.
• HSI constraints and issues provided as inputs to the MNS.
• HSI inputs to the selection of the minimum set of alternative concepts to be assessed in Phase 0.
• identified tools, data bases, analyses, and methodologies to be employed to address HSI in Phase 0.
• HSI inputs to the MS 0 Acquisition Decision Memorandum.
• HSI exit criteria for Milestone I.

F-2 HSI products at Milestone I, Concept Demonstration Approval

• a HSI Plan governing the HSI activities to be conducted in Phase I through Phase IV.
• HSI inputs to the alternative concepts to be assessed in Phase I.
• HSI inputs to the Conceptual Baseline.
• HSI inputs to the affordability assessment.
• HSI inputs to the Operational Requirements Document (ORD).
• HSI inputs to the Integrated Program Summary (IPS).
• HSI inputs to the Cost and Operational Effectiveness Analysis (COEA).
• HSI inputs to the System Threat Assessment Report.
• HSI inputs to the T&E Master Plan (TEMP).
• the Manpower Estimate Report (MER).
• the Human Factors Engineering Analysis (HFEA).
• HSI inputs to the Integrated ILS Plan (ILSP).
• the HSI Assessment.
• the Health Hazards/System Safety Assessment.
• HSI Affordability Constraints.
• identified tools, data bases, analyses, and methodologies to be employed to address HSI in Phase I.
• HSI inputs to the MS I Acquisition Decision Memorandum.
• HSI exit criteria for Milestone II.

F-3 HSI products at Milestone II, Development Approval

• an updated HSI Plan.
• description of how the results of HSI analytic efforts were used to enhance the design concept.
• risk management plans affecting human systems.
• human systems performance criteria to be included in OT&E during Phase II, and whether models, test beds, and simulations are to be used.
• description of how source selection criteria will assess the degree to which the proposed system reduces the cost of ownership and can be used effectively in its intended operational environment, considering safety, human factors, manpower, and training requirements.
• HSI inputs to the alternative concepts to be assessed in Phase II.
• HSI inputs to the Development Baseline.
• HSI inputs to the affordability assessment.
• HSI inputs to the Updated Operational Requirements Document (ORD).
• HSI inputs to the Integrated Program Summary (IPS).
• HSI inputs to the Cost and Operational Effectiveness Analysis (COEA).
• HSI inputs to the Updated System Threat Assessment Report.
• HSI inputs to the Updated T&E Master Plan (TEMP).
• HSI inputs to the Early Operational Assessment Report.
• the Manpower Estimate Report (MER).
• the Updated Human Factors Engineering Analysis (HFEA).
• the Updated ILSP.
• the HSI Assessment.
• the Updated Health Hazards/System Safety Assessment.
• identified tools, data bases, analyses, and methodologies to be employed to address HSI in Phase II.
• HSI inputs to the MS II Acquisition Decision Memorandum.
• HSI exit criteria for Milestone III.

F-4 HSI products at Milestone III, Production (or construction) approval

• an updated HSI Plan.
• description of how the operational T&E conducted in Phase II demonstrated that the system is operationally effective and suitable under realistic combat conditions.
• decision of whether adequate resources and manpower to support production, deployment, and support have been programmed.
• description of how scheduled maintainability demonstrations will be conducted in operational scenarios using personnel with representative skill levels.
• HSI inputs to the Proposed Production Baseline.
• HSI inputs to the affordability assessment.
• HSI inputs to the Updated Operational Requirements Document (ORD).
• HSI inputs to the Integrated Program Summary (IPS).
• HSI inputs to the Cost and Operational Effectiveness Analysis (COEA).
• HSI inputs to the Updated System Threat Assessment Report.
• HSI inputs to the Updated T&E Master Plan (TEMP).
• the updated Manpower Estimate Report (MER).
• the Updated Human Factors Engineering Analysis (HFEA).
• the Updated ILSP.
• the HSI Assessment.
• the Updated Health Hazards/System Safety Assessment.
• HSI inputs to Developmental Test and Evaluation Reports.
• HSI inputs to Operational Test and Evaluation Reports.
• identified tools, data bases, analyses, and methodologies to be employed to address HSI in Phase III.
• HSI inputs to the MS III Acquisition Decision Memorandum.
• HSI exit criteria for Milestone IV.

F-5 HSI products at Milestone IV, Major Modification Approval

• an updated HSI Plan .
• description of further opportunities to reduce cost of ownership.
• description of efforts to ensure that health and safety hazards will be corrected as identified.
• HSI inputs to the affordability assessment.
• HSI inputs to the Updated Operational Requirements Document (ORD).
• HSI inputs to the Integrated Program Summary (IPS).
• HSI inputs to the Cost and Operational Effectiveness Analysis (COEA).
• HSI inputs to the Updated System Threat Assessment Report.
• HSI inputs to the Updated T&E Master Plan (TEMP).
• the Updated ILSP.
• the HSI Assessment.
• the Updated Health Hazards/System Safety Assessment.
• HSI inputs to the MS IV Acquisition Decision Memorandum.

TAB G. Audit Trail

(listing of system acquisition program and HSI program decisions and events with completion date).

TAB I. HSI Review

Evaluate the HSI/HSI Program Plan for:

• completeness
• accuracy
• feasibility
• quality
• consistency
• compliance
• timeliness

1 evaluate the plan for completeness:

2 evaluate the plan for accuracy

3 evaluate the plan for feasibility

4 evaluate the quality of the plan:

5 evaluate the plan for consistency:

6 evaluate the plan for compliance:

7 evaluate the plan for timeliness:

1.3.4 HSI Plan Evaluation Checklist

An HSIP evaluation checklist in Microsoft Word format may be downloaded here.

1.3.5 Update

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