El Proceso de Adquisici n de Tecnolog a de Inspecci n No Intrusiva INI del Servicio de Aduanas y Protecci n Fronteriza C

1. El Proceso de Adquisiciónde Tecnología de Inspección No Intrusiva (INI)del Servicio de Aduanas y Protección Fronteriza (CBP) Ira Reese, Director Ejecutivo Laboratorios y Servicios Científicos Septiembre 2009 Under Section 101 of the Homeland Security Act of 2002, CBP’s primary mission is to prevent the introduction of instruments of terror and terrorists into the United States, while facilitating legitimate trade. In this role, CBP is tasked with the detection and interdiction of smuggled narcotics and other contraband across our borders and radiological, chemical, and biological weapons that could be used in domestic attacks. CBP purchases, tests and deploys commercial Non-Intrusive Inspection (NII) technologies to help CBP Officers safely inspect large conveyances (e.g., trailer trucks, railcars, pallets, trailer-mounted cargo containers) and small conveyances (e.g., cars, pick-up trucks, buses, RVs). CBP Officers use NII technologies to help them detect concealed contraband to prevent entry into the United States while facilitating the flow of legitimate trade and travel. The acquisition of the NII technologies is a multi-billion-dollar business. The acquisition process includes contracting, testing, deployment and support/sustainment. The life-cycle costs for the domestic portion of the NII Systems Program through FY16 is over $2 billion. (Note: This includes Large-Scale NII, Small-Scale NII with RIIDs and PRDs. This amount does not include the RPM O&M or acquisition funds.)  Under Section 101 of the Homeland Security Act of 2002, CBP’s primary mission is to prevent the introduction of instruments of terror and terrorists into the United States, while facilitating legitimate trade. In this role, CBP is tasked with the detection and interdiction of smuggled narcotics and other contraband across our borders and radiological, chemical, and biological weapons that could be used in domestic attacks. CBP purchases, tests and deploys commercial Non-Intrusive Inspection (NII) technologies to help CBP Officers safely inspect large conveyances (e.g., trailer trucks, railcars, pallets, trailer-mounted cargo containers) and small conveyances (e.g., cars, pick-up trucks, buses, RVs). CBP Officers use NII technologies to help them detect concealed contraband to prevent entry into the United States while facilitating the flow of legitimate trade and travel. The acquisition of the NII technologies is a multi-billion-dollar business. The acquisition process includes contracting, testing, deployment and support/sustainment. The life-cycle costs for the domestic portion of the NII Systems Program through FY16 is over $2 billion. (Note: This includes Large-Scale NII, Small-Scale NII with RIIDs and PRDs. This amount does not include the RPM O&M or acquisition funds.) 

2. 2 Temas Objetivo Pautas para la adquisición Proceso de adquisición Relación con otros procesos de toma de decisiones Etapas de la adquisición Proceso de contratación Planificación Selección de fuentes Adjudicación del contrato Administración del contrato Training structure: Instructor presentations, examples and class/participant discussions Please ask questions at any time.Training structure: Instructor presentations, examples and class/participant discussions Please ask questions at any time.

3. 3 Objetivo Presentar y discutir los procesos clave del DHS/CBP para adquirir tecnologías de INI. CBP has the primary responsibility of securing our nation’s air, land, and sea borders. The United States has more than 5,000 miles of border with Canada, nearly 2,000 miles of border with Mexico, 95,000 miles of maritime border, 327 ports of entry (POEs), and 14 preclearance stations located throughout Canada, Ireland, and the Caribbean. During the next day-and-a-half, I will discuss our procedures to acquire the NII technologies to help secure these borders. Please keep in mind, although the use of NII technologies is a key component of the DHS/CBP layered enforcement strategy to protect our borders, it is only one component of the strategy. CBP has the primary responsibility of securing our nation’s air, land, and sea borders. The United States has more than 5,000 miles of border with Canada, nearly 2,000 miles of border with Mexico, 95,000 miles of maritime border, 327 ports of entry (POEs), and 14 preclearance stations located throughout Canada, Ireland, and the Caribbean. During the next day-and-a-half, I will discuss our procedures to acquire the NII technologies to help secure these borders. Please keep in mind, although the use of NII technologies is a key component of the DHS/CBP layered enforcement strategy to protect our borders, it is only one component of the strategy.

4. 4 Pautas para la adquisición Llevar adelante el negocio con integridad, igualdad y transparencia Evaluar y gestionar el riesgo Utilizar un juicio comercial sensato Mejorar la preparación operativa, la eficiencia y la efectividad Garantizar el mejor ambiente de inspección Utilizar productos y servicios comerciales Adquirir tecnologías existentes y en evolución Promover la competencia Incorporar experiencias pasadas Desarrollar relaciones cooperativas In addition to compliance with applicable Federal Acquisition Regulations, the acquisition of NII equipment is guided by a variety of mission and operational requirements and technological and market capabilities and constraints. Our goal is to improve operational readiness, efficiency, and effectiveness throughout the NII equipment acquisition process while reducing costs and increasing the number of intensive (thorough) inspections. To achieve our objectives, we: Rely on a competitive marketplace Treats all sellers fairly within the rules Everyone must know what the rules are and where to find them. As such, the rules must be published. Require sellers to perform their contracts. Employ no procedures or information that advantage any sellers. Competition helps us obtain competitive prices. Fair and open competition helps maintain public trust. We use a structured and repeatable risk assessment methodology to assess and manage risks for the entire NII Systems Program Specific requirements for performance and timely delivery are included in SOW Meeting the needs of our Officers and Agents help us maintain customer satisfaction. In addition to compliance with applicable Federal Acquisition Regulations, the acquisition of NII equipment is guided by a variety of mission and operational requirements and technological and market capabilities and constraints. Our goal is to improve operational readiness, efficiency, and effectiveness throughout the NII equipment acquisition process while reducing costs and increasing the number of intensive (thorough) inspections. To achieve our objectives, we: Rely on a competitive marketplace Treats all sellers fairly within the rules Everyone must know what the rules are and where to find them. As such, the rules must be published. Require sellers to perform their contracts. Employ no procedures or information that advantage any sellers. Competition helps us obtain competitive prices. Fair and open competition helps maintain public trust. We use a structured and repeatable risk assessment methodology to assess and manage risks for the entire NII Systems Program Specific requirements for performance and timely delivery are included in SOW Meeting the needs of our Officers and Agents help us maintain customer satisfaction.

5. 5 The Large-scale NII systems are imaging systems that use directed beams of x-rays, gamma rays, or neutrons to penetrate large containers or conveyances, enabling the system operator to examine contents without breaching the container. This capability allows CBP officers to perform inspections quickly and safely and to relegate the far more costly and time-consuming manual inspection process to containers or conveyances in which an anomaly is revealed by the imaging system. These anomalies can conceal money, weapons, drugs, etc. We acquire a variety of fixed systems range from low to high energy capabilities. The fixed systems require real estate and infrastructure to support the deployment and operations within the port. Fixed systems also have infrastructure requirements that usually have to be coordinated with GSA or other property owners. The Large-scale NII systems are imaging systems that use directed beams of x-rays, gamma rays, or neutrons to penetrate large containers or conveyances, enabling the system operator to examine contents without breaching the container. This capability allows CBP officers to perform inspections quickly and safely and to relegate the far more costly and time-consuming manual inspection process to containers or conveyances in which an anomaly is revealed by the imaging system. These anomalies can conceal money, weapons, drugs, etc. We acquire a variety of fixed systems range from low to high energy capabilities. The fixed systems require real estate and infrastructure to support the deployment and operations within the port. Fixed systems also have infrastructure requirements that usually have to be coordinated with GSA or other property owners.

6. 6 ¿Qué son los sistemas INI?- continuación Camión de rayos X y dispositivos manuales

7. 7 ¿Qué son los sistemas INI? Imágenes radiográficas INI

8. 8 ¿Cuál es la diferencia entre adquisición y contratación/obtención? Adquisición* La conceptualización, iniciación, diseño, desarrollo, prueba, contratación, producción, apoyo logístico, modificación, y disposición de los sistemas, provisiones, o servicios para satisfacer las necesidades de DHS/CBP. Contratación/Obtención* La compra, alquiler, u otra manera de obtener suministros o servicios. La contratación incluye la descripción de suministros y servicios requeridos, la selección y pedido de fuentes, la preparación y adjudicación de los contratos, y todas las fases de la administración del contrato. Acquisitions result from investment decisions, respond to approved requirements, align to strategic direction, and are guided by approved baselines. The acquisition process does not include establishment of Agency needs (requirements determination) or financial management. DHS uses the same definition for contracting and procurement. Acquisitions result from investment decisions, respond to approved requirements, align to strategic direction, and are guided by approved baselines. The acquisition process does not include establishment of Agency needs (requirements determination) or financial management. DHS uses the same definition for contracting and procurement.

9. El proceso de adquisición

10. 10 Adquisición relacionada con otros procesos clave de la toma de decisiones This slide shows the Acquisition Process is driven by mission needs and requirements. It also shows the council and boards that have the key review and decision responsibilities for each process. Acquisition Process The Acquisition Process is one of the three key decision-making processes in the Department. Senior officials are responsible for each of these processes. For example: The DHS Deputy Secretary serves as the acquisition decision authority. The DHS Under Secretary for Management is the DHS Chief Acquisition Officer responsible for the management, administration and oversight of DHS Acquisition policies and procedures. The DHS Chief Procurement Officer (CPO), the senior procurement executive, exercises leadership and authority over DHS acquisition and contracting. In addition, there are three review boards that oversee components of the acquisition process: The Acquisition Review Board (ARB) – reviews all Level 1 (life-cycle costs > $1B) and Level 2 (life-cycle costs between $300M and $1B) acquisitions (unless delegated to the Component) for executable business strategy, resources, management, alignment to strategic objectives, etc. The Enterprise Architecture Review Board (EAB) – Chaired by the Chief Information Officer (CIO), provides recommendations to the ARB regarding the alignment of IT acquisition to the DHS architecture. The DHS Asset Review Board (DARB)- Chaired by the DHS Chief Administrative Services Officer (CAO) is being established. The CAO will be the lead authority on real property and major acquisitions of vehicles. Requirements The Assistant Secretary for Policy is responsible for supporting the acquisition management process via the DHS Strategic Requirements Planning Process, developing Integrated Planning Guidance each year, and ensuring that acquisitions support the DHS Strategic Plan. The Joint Requirements Council (JRC) is a senior requirements board that identifies cross-cutting requirements and common requirements among DHS organizational elements. The role is being revised to advise the Deputy Secretary regarding the alignment to the DHS Strategic Requirements Planning Process. Resources The DHS Chief Financial Officer (CFO) exercises leadership and authority over DHS financial policy and programs. The Program Review Board (PRB), chaired by the Deputy Secretary, reviews and makes recommendations to the Secretary on the Future Years Homeland Security Program (FYHSP) and the annual President’s Budget. Directives MD 1405 – Joint Requirements Council Charter -Acquisition Directive 102-01 MD 064-04 – Acquisition Professional Career Information MD 252.07 – Acquisition Line of Business Integration & Management (cannot find this directive) HSAM – Homeland Security Acquisition Manual. Implements and supplements the Federal Acquisition Regulation (FAR). This slide shows the Acquisition Process is driven by mission needs and requirements. It also shows the council and boards that have the key review and decision responsibilities for each process. Acquisition Process The Acquisition Process is one of the three key decision-making processes in the Department. Senior officials are responsible for each of these processes. For example: The DHS Deputy Secretary serves as the acquisition decision authority. The DHS Under Secretary for Management is the DHS Chief Acquisition Officer responsible for the management, administration and oversight of DHS Acquisition policies and procedures. The DHS Chief Procurement Officer (CPO), the senior procurement executive, exercises leadership and authority over DHS acquisition and contracting. In addition, there are three review boards that oversee components of the acquisition process: The Acquisition Review Board (ARB) – reviews all Level 1 (life-cycle costs > $1B) and Level 2 (life-cycle costs between $300M and $1B) acquisitions (unless delegated to the Component) for executable business strategy, resources, management, alignment to strategic objectives, etc. The Enterprise Architecture Review Board (EAB) – Chaired by the Chief Information Officer (CIO), provides recommendations to the ARB regarding the alignment of IT acquisition to the DHS architecture. The DHS Asset Review Board (DARB)- Chaired by the DHS Chief Administrative Services Officer (CAO) is being established. The CAO will be the lead authority on real property and major acquisitions of vehicles. Requirements The Assistant Secretary for Policy is responsible for supporting the acquisition management process via the DHS Strategic Requirements Planning Process, developing Integrated Planning Guidance each year, and ensuring that acquisitions support the DHS Strategic Plan. The Joint Requirements Council (JRC) is a senior requirements board that identifies cross-cutting requirements and common requirements among DHS organizational elements. The role is being revised to advise the Deputy Secretary regarding the alignment to the DHS Strategic Requirements Planning Process. Resources The DHS Chief Financial Officer (CFO) exercises leadership and authority over DHS financial policy and programs. The Program Review Board (PRB), chaired by the Deputy Secretary, reviews and makes recommendations to the Secretary on the Future Years Homeland Security Program (FYHSP) and the annual President’s Budget. Directives MD 1405 – Joint Requirements Council Charter -Acquisition Directive 102-01 MD 064-04 – Acquisition Professional Career Information MD 252.07 – Acquisition Line of Business Integration & Management (cannot find this directive) HSAM – Homeland Security Acquisition Manual. Implements and supplements the Federal Acquisition Regulation (FAR).

11. 11 Planificación, programación, presupuesto y ejecución (PPPE) The Planning, Programming, Budgeting, and Execution (PPBE) is the (adopted DoD) decision-making process used to develop DHS Future Years Homeland Security Program (FYHSP) and associated five-year program resource requirements. It guides development of the DHS budget request and establishes guidelines for executing the current budget. It also establishes framework for future programs decision-making. (DHS Management Directive 1330) This slide illustrates the annual PPBE process, the key activities that occur during each of the PPBE phases and the key outputs generated. The Planning, Programming, Budgeting, and Execution (PPBE) is the (adopted DoD) decision-making process used to develop DHS Future Years Homeland Security Program (FYHSP) and associated five-year program resource requirements. It guides development of the DHS budget request and establishes guidelines for executing the current budget. It also establishes framework for future programs decision-making. (DHS Management Directive 1330) This slide illustrates the annual PPBE process, the key activities that occur during each of the PPBE phases and the key outputs generated.

12. 12 The Acquisition Process has four phases. Each phase leads to a decision that is called an Acquisition Decision Event. Indicated by the yellow diamonds. Each phase has exit criteria that requires a the Program Management team to conduct a series of analyses and prepare required set of documentation. The documentation is submitted to the appropriate team or board for review. The NII Program Manager also presents the Program to the appropriate review board and answers questions resulting from the documentation review. I will discuss each phase and the requirements to obtain approval to proceed from one phase to the next. Each phase is tailored to the specific program or project. ADE-0 Prior to Acquisition Decision Event 0, potential capability (deficiencies/gaps) are identified through the DHS Strategic Requirements Planning Process, DHS Integrated Planning Guidance, directions from Congress or OMB, DHS or CBP leadership, or through user-identified requirements. Once the requirements are identified, the Program Management team may begin development of the Preliminary Mission Needs Statement (P-MNS) and a Concept of Operations. The approved P-MNS is the product of ADE-0 and is the basis for requesting initial funding in the Resource Allocation Plan (RAP). It also is the basis for developing the full/complete MNS and proceeding to ADE-1.The Acquisition Process has four phases. Each phase leads to a decision that is called an Acquisition Decision Event. Indicated by the yellow diamonds. Each phase has exit criteria that requires a the Program Management team to conduct a series of analyses and prepare required set of documentation. The documentation is submitted to the appropriate team or board for review. The NII Program Manager also presents the Program to the appropriate review board and answers questions resulting from the documentation review. I will discuss each phase and the requirements to obtain approval to proceed from one phase to the next. Each phase is tailored to the specific program or project. ADE-0 Prior to Acquisition Decision Event 0, potential capability (deficiencies/gaps) are identified through the DHS Strategic Requirements Planning Process, DHS Integrated Planning Guidance, directions from Congress or OMB, DHS or CBP leadership, or through user-identified requirements. Once the requirements are identified, the Program Management team may begin development of the Preliminary Mission Needs Statement (P-MNS) and a Concept of Operations. The approved P-MNS is the product of ADE-0 and is the basis for requesting initial funding in the Resource Allocation Plan (RAP). It also is the basis for developing the full/complete MNS and proceeding to ADE-1.

13. 13 Etapa de necesidad Definir la necesidad de capacidad (deficiencias/faltas) del Departamento Aumentar el número de inspecciones Aumentar el porcentaje de vehículos escaneados o examinados utilizando tecnología INI Necesidad de más unidades móviles de rayos X en la frontera sur para detectar anomalías en POV, RV, y ómnibus Los puertos nuevos y expandidos necesitan capacidad adicional de inspección Los funcionarios necesitan transmitir imágenes INI de manera electrónica para disminuir el tiempo de revisión During the Need Phase, the NII proponent (Sponsor, Program Manager) must identify a capability Need of the Department or CBP. During this phase, the Acquisition Decision Authority: Approves the full Mission Needs Statement Designates the Program Manager Approves the approach for the Analysis of Alternatives Gives permission to proceed to the Analyze/Select Phase This slide lists examples of capability needs. Can you give examples of your capability needs that may be supported by NII technologies? During the Need Phase, the NII proponent (Sponsor, Program Manager) must identify a capability Need of the Department or CBP. During this phase, the Acquisition Decision Authority: Approves the full Mission Needs Statement Designates the Program Manager Approves the approach for the Analysis of Alternatives Gives permission to proceed to the Analyze/Select Phase This slide lists examples of capability needs. Can you give examples of your capability needs that may be supported by NII technologies?

14. 14 In this phase the Program Management team must Analyze and Select the means to provide the capability. During this phase the Program Management team: Updates the Concept of Operations (CONOPS) as needed Develops/updates the Analysis of Alternatives Conducts analyses to identify alternatives for providing the desired capabilities Assesses how will the alternatives operate at the POEs Determines the preferred alternative/solution Identifies the risks associated with each alternative Analyzes cost considerations Describes the benefits associated with each alternatives Develops/updates the Life-cycle Cost Estimate (LCCE) Develops/updates the Operational Requirements Document (ORD) Develops/updates the Integrated Logistics Plan (ILSP) Develops/updates the Acquisition Program Baseline (APB) Includes performance measures to show progress Develops/updates the Acquisition Plan (AP) Develops any other required Systems Engineering Life-cycle documentation When the reviews are complete and documents are approved, the Program receives ADE 2-A approval and permission to proceed to ADE-2-B.In this phase the Program Management team must Analyze and Select the means to provide the capability. During this phase the Program Management team: Updates the Concept of Operations (CONOPS) as needed Develops/updates the Analysis of Alternatives Conducts analyses to identify alternatives for providing the desired capabilities Assesses how will the alternatives operate at the POEs Determines the preferred alternative/solution Identifies the risks associated with each alternative Analyzes cost considerations Describes the benefits associated with each alternatives Develops/updates the Life-cycle Cost Estimate (LCCE) Develops/updates the Operational Requirements Document (ORD) Develops/updates the Integrated Logistics Plan (ILSP) Develops/updates the Acquisition Program Baseline (APB) Includes performance measures to show progress Develops/updates the Acquisition Plan (AP) Develops any other required Systems Engineering Life-cycle documentation When the reviews are complete and documents are approved, the Program receives ADE 2-A approval and permission to proceed to ADE-2-B.

15. 15 Between Acquisition Decisions 2-A and 2-B, Program Management team: Develops the Test and Evaluation Master Plan Refines Acquisition Plans and Acquisition Program Baselines to show the supporting acquisitions needed, such as service contracts. The reviews for ADE 2-A and 2-B can be combined, depending on the complexity of the acquisitions. The Acquisition and Support Planning procedures are completed in this phase. Between Acquisition Decisions 2-A and 2-B, Program Management team: Develops the Test and Evaluation Master Plan Refines Acquisition Plans and Acquisition Program Baselines to show the supporting acquisitions needed, such as service contracts. The reviews for ADE 2-A and 2-B can be combined, depending on the complexity of the acquisitions. The Acquisition and Support Planning procedures are completed in this phase.

16. 16 Upon receipt of ADE 2-B approval, the Program is ready for the Obtain Phase and the Contracting Process. Contract Awards follow ADE 2-B approval. Acquisition Decision Event 2-B approval: Could require review and approval of Systems Life-cycle documentation May permit limited production and request another ADE 2-B review Could give permission to proceed to the Obtain phase and begin full production/deployment. During this phase, upon completion of testing, the Program Manager receives a letter granting the Authority to Operate (ATO). This letter means that security testing is complete and the NII Systems are ready for the operational environment. Upon receipt of ADE 2-B approval, the Program is ready for the Obtain Phase and the Contracting Process. Contract Awards follow ADE 2-B approval. Acquisition Decision Event 2-B approval: Could require review and approval of Systems Life-cycle documentation May permit limited production and request another ADE 2-B review Could give permission to proceed to the Obtain phase and begin full production/deployment. During this phase, upon completion of testing, the Program Manager receives a letter granting the Authority to Operate (ATO). This letter means that security testing is complete and the NII Systems are ready for the operational environment.

17. 17 In this phase, the Program Test team: Oversees factory acceptance testing prior to CBP taking ownership Conducts their own Acceptance test Deploys the NII technologies to the appropriate locations Supports the NII equipment through its life-cycle (approximately 10 years). Looks for continuous improvements Analyze sustainment costs Looks for ways to improve services Looks for way to reduce costs Determines if the technologies continue to meet the requirements. Replaces and disposes of obsolete technologies In this phase, the Program Test team: Oversees factory acceptance testing prior to CBP taking ownership Conducts their own Acceptance test Deploys the NII technologies to the appropriate locations Supports the NII equipment through its life-cycle (approximately 10 years). Looks for continuous improvements Analyze sustainment costs Looks for ways to improve services Looks for way to reduce costs Determines if the technologies continue to meet the requirements. Replaces and disposes of obsolete technologies