HHS ACQUISITION LIFECYCLE FRAMEWORK HALF Webcast Training Session

HHS ACQUISITION LIFECYCLE FRAMEWORK (HALF) Webcast Training Session v 1. 1 September 14, 2017 HHS Acquisition: Ready. Resourceful. Responsive.

Outline • HALF Overview • Benefits of HALF • Roles and Responsibilities under HALF • Tools and Resources Available to Support HALF • The HALF Roll-out Plan and Next Steps 2

HALF At-A-Glance The HHS Acquisition Lifecycle Framework (HALF) provides the HHS workforce with policies and guidance, recommended processes, and support systems needed to achieve an integrated acquisition system across HHS. HALF aligns HHS acquisition practices with laws, regulations, and policies HALF is based on leading industry acquisition standards such as the CMMI-ACQ and customized to the HHS environment HALF represents an enterprise-wide change in HHS’s approach to acquisition and will require leadership support, clear communications, and a coordinated effort to ensure that the HALF can be successfully adopted 3

HALF At-A-Glance (Cont. ) HALF will provide a structured and streamlined process, governance and oversight, and improved accountability and responsibility for programs/projects across HHS 4

HALF Aligns & Synchronizes with Key HHS Processes HALF provides the overarching framework to align and synchronize processes 5

HALF Will Help You Comply with Key Laws, Regulations, and Policies Existing and emerging laws, regulations, and policies require better governance, oversight, and communication between Chief Executive Officers (CXO) along with greater transparency throughout the portfolio / program / project lifecycle. LAWS Program Management Improvement and Accountability Act (PMIAA) Federal Information Technology Acquisition Reform Act (FITARA) Federal Grant and Cooperative Agreement Act (FGCAA) Clinger. Cohen Act (CCA) The Digital Accountability and Transparency Act (DATA Act) The Services Acquisition Reform Act (SARA) HHS Acquisition Regulation (HHSAR) REGULATIONS POLICIES & GUIDANCE Federal Acquisition Regulation (FAR) OMB Circular A-11 Circular A-94 OMB Circular A-123 Circular A-131 GOALS Transparency Accountability Improved Coordination & Communication between CXOs Better Stewardship of Resources 6

Why Adopt HALF? – Addressing HHS Business Environment Challenges HHS’ ability to most effectively and efficiently deliver on its mission is impacted by the following needs: Strategy and Planning: Renewed strategic vision and planning will enable clear definition of business need and ability to manage program/project risks throughout the lifecycle Governance: A clear governance structure with functioning checks and balances will support the prompt escalation of issues Business Processes: Complete integration of complex functional processes for program/project management, budgeting, contracting, and information technology (IT) will promote efficiency in business processes Program Ownership: A clearly identified Business Owner (Requiring Activity) who is accountable and responsible for program success and empowered to make decisions streamlines operations Program Management: A qualified Program / Project Manager (P/PM) assigned to every program and supported by an Integrated Program/Project Team (IPT) with defined roles and responsibilities will enable smooth functioning of HHS activities Highlights of Related GAO & HHS OIG Findings • CDC “did not fully monitor some of its contracts” – HHS OIG A-04 -12 -01012 • HHS has numerous potentially-duplicative systems, including four investments in Enterprise Information Security worth >$250 M as well as at least three contract writing systems – GAO-13 -718 7

Benefits of HALF Adoption HALF will help P/PMs better manage programs; ensure acquisitions comply and align with laws, regulations, and policies; enable greater transparency and accountability; and support integrated decision-making across the Department. Mission Focus Resources and Tools ü Additional resources, such as a dedicated IT infrastructure and support system, complement existing business processes for efficiency and ease of processing acquisitions Integrated Structure ü ü Every acquisition has integrated, multi-disciplinary governance and oversight Personnel from multiple disciplines and divisions across OPDIVs engage in chartered review and oversight boards along with Integrated Product Teams P/PM Support ü P/PMs are able to work faster and more efficiently, freeing up time to focus on missioncritical HHS priorities and meet LRP requirements ü P/PMs act as clear managers for each acquisition ü More time can be spent on program specific efforts, instead of on paperwork or systems management at the Division level; connection between programs and mission is clearer to employees Transparency & Accountability ü ü ü Acquisition Decision Memorandums (ADM) provide for transparency of decisions throughout the lifecycle and allow for data-driven decisions Tiered governance and oversight provide accountability at all levels Defined stage gates ensure entry and exit criteria are met 8

HALF Components: Mission/Portfolio > Program > Project Communicable Disease Mission/Portfolio HALF Tool: Influenza Program Vaccines Project HALF Tool: Acquisition Plan Contracts Acquisition Strategy Outreach Project Contracts HALF Tool: Acquisition Plan Note: An Acquisition Strategy can either be done at the mission / portfolio or program level

HALF Components: Lifecycle Phases & Key Activities HALF includes a five-phase process through which a program / project progresses in order to deliver a new product or capability Conceptual Phase Program Definition Phase Program Development Phase Program Delivery, Execution, and Operations Phase Program Close-Out Phase Adopt an Agile approach to delivery where feasible Key Activities By Phase Define the problem / need Identify the alternatives and resource the requirements Develop and obtain capabilities / products Deliver and deploy the capabilities / products Maintain and retire / dispose of capabilities / products 10

HALF Components: HALF Events & Criteria HALF includes formal points in the lifecycle, known as Acquisition Decision Events (ADE), when decisions are made whether the program meets the requirements (Exit Criteria) necessary to move on to the next phase. The information is documented in the Program Lifecycle Document (PLD) and ADE decisions are documented in Acquisition Decision Memorandums (ADM). = Acquisition Decision Event (ADE) ADE Key Exit Criteria Conceptual Phase A: Validate Needs A Program • Business Needs Definition Narrative 1 Phase Approved • Approved Budget • P/PM Appointment Request • Acquisition Strategy 1&2 Approved • Program Charter Approved Conceptual B: Approve Program B Program Development Phase • Acquisition Plan 2 Approved • Program Management Baseline Approved Phase HHS POB Involved if Program Meets Criteria C C: Approve Supporting Projects / Contracts; Contracts Awarded D: Approve Program Close-out Program Delivery, Execution, & Operations Phase D Program • Sustainment Plan 1 Approved Close-out • Annual Approval of Phase Performance Metrics (Program Performance • Program Close-Out Reports 1) Plan 1 Approved • Authorization to Operate • Lessons Learned 1 (ATO) – if IT system 2 OPDIV/STAFFDIV Governance IAW HALF Guidance 1 – Part of the Project Lifecycle Document (PLD) 2 – Existing HHS Directive 3 – Accept from Enterprise Performance Life Cycle (EPLC) Note: HALF requirements do not supersede other documentation requirements (including contracting documentation) outlined in HHS policy and/or Federal laws, regulations, and policies. 11

Key Roles & Responsibilities: HALF Multi-Disciplinary Teams HALF ensures personnel from all disciplines lead and support programs/projects Roles Multi-Disciplinary Acquisition Teams COR / CO Program / Project Manager IT Specialist Budget Analyst Responsibilities Program / Project Manager (P/PM) • Leads Integrated Program/Project Team (IPT) • Makes program decisions based on strategy established by leadership • Establishes Acquisition Strategy and Acquisition Plan • Manages costs, schedule, risks, and performance Contracting Officer’s Representative (COR) • Supports day-to-day administration of contract • Monitor contractor progress and performance in collaboration with the PM • Liaison between PM and CO for any contract issues and modifications • Tracks contractor deliverables & approves invoices Contracting Officer (CO) • Enters into, administers, or terminates contracts and makes related determinations and findings Budget Specialist • Enters into, administers, or terminates contracts and makes related determinations and findings • Ensures budget requirements are validated and confirms availability of funding IT Specialist • Supports the IT Capital Planning and Investment Control (CPIC) Process • Manages development, testing and deployment of IT systems to meet business needs 12 • Provides information security and privacy expertise

Key Roles and Responsibilities: HALF Governance & Oversight HALF provides tiered oversight and governance throughout the lifecycle HHS Roles Program Oversight Board (POB) CAO CFO OSDBU OPDIV / STAFFDIV Aggregate program cost equals or exceeds $20 M, has high risk factors, and/or is designated as a Special Interest Program/Project. Division Acquisition Executive (DAE) Acquisition Review Board (ARB) POB (HHS) • Oversight body for review of programs equal to or exceeding $20 M, with high risk factors, and/or is designated as a Special Interest Program/Project Division of Acquisition (HHS) • Provides HALF guidance and support for Acquisition Workforce through ALFsmart and other initiatives. DAE (OPDIV / STAFFDIV) • Responsible for making Division acquisition investment decisions • DAE designated by the Division ARB (OPDIV / STAFFDIV) • Division-level cross-functional governance • Composition determined by the Division and should include the Requiring Activity (RA) and HCA • Cross-agency stakeholders represented when appropriate P/PM (OPDIV / STAFFDIV) • Leads IPT along with program development and delivery IPT (OPDIV / STAFFDIV) • Supports the P/PM in each functional support area Ad-hoc Business Owner (Requiring Activity) Program / Project Manager (P/PM) Integrated Program/Project Team (IPT) HCA HHS Division of Acquisition (DA) Responsibilities 13

HALF Tools and Resources HALF Playbook Online, comprehensive resource designed to help you understand implement HALF within your division HALF Toolkit Templates, directives, plans, charters, checklists, FAQs, and job aids to use to adopt and sustain HALF ALFSmart One-stop shop to answer your questions about and enhance your knowledge of HALF Training Courses Training courses for executives and staff members about HALF

The HALF Roll-Out Plan: HALF Toolkit Launch • • The HALF Toolkit will be released online – Includes templates, directives, plans, charters, checklists, FAQs, and job aids that can be used throughout the entire P/P lifecycle by HHS workforce members to adopt and sustain HALF The HALF Toolkit includes: – Revised/Updated Content • Directive for the Acquisition Strategy • Directive for the Acquisition Plan – New Content • Guidance for HALF • HALF Playbook • HALF Templates and Job Aids for the Entire P/P Lifecycle 15

The HALF Roll-Out Plan: HALF Training & Outreach • • • Comprised of a series of outreach and training activities for OPDIVs and STAFFDIVs Designed to help HHS Senior Executives and the workforce understand successfully adopt HALF Each outreach and training session will help participants understand the impact of HALF as it relates to their individual roles and responsibilities and to successfully identify and utilize available tools and resources throughout the HALF Phases. HALF TRAINING & OUTREACH TIMELINE Step 1 Leadership Roadshow (HHS Senior Execs) Step 2 Executive Training (Division Execs) Staff Training (Division staff with HALF roles) Step 3 Adopt HALF 16

The HALF Roll-Out Plan: HALF Training & Outreach (Cont. ) Two training opportunities will be made available through OAWSI in 2017/2018 HALF Executive Training HALF Staff Training Ø Format / Content: Two-hour training providing decision-makers and HHS and Division leaders with a deeper understanding of the HALF benefits, application, and governance Ø Format / Content : Two-day, simulationstyle training with role-specific information to give staff hands-on experience using HALF tools and resources throughout the P/P lifecycle Ø Audience: Division Senior Executives including but not limited to: DAE, COO, CIO, HCA, and Potential ARB Members Ø Audience: Integrated Program /Project Team (IPT) Members including, but not limited to: P/PM, COR, Budget and IT Specialist, and Requiring Activity Representatives Ø CLP Credits: 2 Ø CLP Credits: 16

HALF Next Steps All HHS workforce members are critical to the successful adoption of HALF As a member of the HHS workforce, we are requesting the following support from you: • Identify the program(s)/project(s) that you support and your HALF role(s) for each P/P • Equip Yourself and Your Teams to successfully work with HALF by participating in the HALF training and outreach activities offered in 2017/2018 • Support the adoption of HALF in your OPDIV/STAFFDIV and across the Department by using HALF resources and tools to better manage and execute your P/P 18