DHS Interagency Targeting Architecture - Services Discovery & Recommendations

1. DHS Interagency Targeting Architecture - Services Discovery & Recommendations

2. Introduction • Government agency co-sponsors for this project: • U.S. Coast Guard, • Customs & Border Protection, and • Immigration & Customs Enforcement, • Under executive management by their Senior Guidance Team • DHS Program Manager: • Susan J. Henry • USCG Information Sharing Executive Agent • U.S. Coast Guard Headquarters • susan.j.henry@uscg.dhs.gov • (202) 372-2645 office

3. Agenda • DHS Interagency Targeting Architecture (ITA) - Services Discovery & Recommendations • Project Overview & Objective • DHS Maritime Targeting and Screening Components (DMTC) • DMTC Composition and Missions • Project Objectives • Project Approach • Observations and Recommendations • DMTC Service Context • CBP SOA • USCG SOA • DMTC Service Provisioning • Next Steps

4. Project Overview & Objective • SAFE Port Act (2006) mandated Inter-Agency Operations Centers (IOCs) • DHS Maritime Targeting and Screening Components (DMTC) primary members include CBP, USCIS (ICE), and USCG • Ongoing work includes: • People screening & targeting • Exchange of personnel & data between CBP & CG national centers. • Cargo screening & targeting • Joint Automated Commercial Environment Pilot • Directed by SGT in 2009; late 2011 pilot in Charleston. • Vessel Screening & Targeting • Joint Targeting Architecture Project • Requirements documentation to support efforts listed above, & to recommend shared services.

5. DHS Maritime Targeting and Screening Components (DMTC)

6. DMTC Roles • DMTC Primary roles: • CBP: Cargo screening & targeting • U.S.C.G: Vessel Screening & Targeting • ICE: People Screening & Targeting • Integrated mission operations in Interagency Operations Centers (IOCs)

7. Project Objectives, Deliverables & Recommendations • Objectives • improve integration of intelligence and operational targeting processes across partner agencies • serve as a reference to system planners and developers • assist in the develop an integrated targeting architecture • identify performance requirements for any shared services which may be derived from the architecture assessment, and recommended for future DHS or USCG capital investment • Deliverables • Provide internal/external stakeholder visibility into ITA processes via architectural artifacts • DoD Architecture Framework (DoDAF) artifacts: • As-is Ovs, As-is SVs, To-be OVs • Recommendations: • Align specified DMTC Business Functions to supporting system functions for translation into DHS services.

8. Project Approach • Documented Current State (AS-IS) Operational Processes • Core processes for: • Cargo manifesting and entry • Crew and passenger entry • Vessel and container safety, security • Operational responses to various targeting stimuli • Organizational Structure • Documented Current State Systems • Proposed Future State (TO-BE) Operational Processes • Interagency Operations Center (IOC) at USCG Sector locations • Assessed and derived Recommended Business Functions into Services

9. Project ApproachScenario Basis • DMTC activities described through five operational response scenarios • Importation of counterfeit materials/merchandise • Stowaways • Narcotics • Certain dangerous cargo • Low-grade nuclear materials • Core entry and targeting processes documented in Scenario “0” • Standard manifest and entry filings and targeting that occur for every cargo importation transaction • Standard advanced notice of arrival filings and targeting for passengers and crew • Standard notifications of vessel arrival and associated targeting

10. Project ApproachDoDAF Models • Operational Views document the need of information to flow between nodes/roles • Nodes/roles are based in the organizations • Each needline has one or more information exchanges (IE) • IEs can be shown in time-order • IEs are mapped to interfaces between systems – each interface can support multiple IEs • Each interface is detailed based on the data it carries

11. Project Approach • Service discovery based on DMTC Business function definitions: • ITA Team developed hybrid OV-3 to SV-6 ‘bridge’ matrix • The catalog of Information Exchanges (IEs) from ‘bridge’ matrix include System sources and sinks • Systems include DMTC ‘organic’ and legacy • Legacy systems support major DMTC capabilities • Lack of available technical documentation • Systems research: • Used DMTC information where possible • Reliance on public sources for legacy systems • Research into these source Systems was detailed to define Business Processes (BPs) • BPs were aligned to IEs: Summarized & Ranked • Identified candidate Services based on frequency of use

12. Observations & Recommendations • Investigated and documented shared service opportunities • Assessed potential solutions for feasibility and affordability • Align specified DMTC Business Functions to supporting system functions for translation into DHS services. • Implement Organizational actions to facilitate service development as per DHS and DMTC policy • Develop services and publish to DHS/DMTC Service Catalogs

13. DMTC Service Context • DHS SOA Policy provides framework for DMTC Service Recommendations • Align to DHS SOA Goals, Governance, Categories DHS SOA Oversight/ Governance Groups Source: DHS SOA Framework v 1.0

14. DMTC Service Context • DHS SOA Goals of the implementation of the DHS SOA include the following: • Provide information sharing across DHS components and among DHS components and external agencies • Reduce the implementation of duplicative interfaces with external agencies and the implementation of the same capabilities in multiple DHS components • Foster greater reuse of existing services to reduce cost and maximize application efficiencies • Implement all modernized applications as a collection of services and ensure that services are not just used to share information among agencies or applications • Allow components to rationalize and modernize systems without impacting users of the information • Allow component systems and databases to be updated, merged, and/or rationalized Source: DHS SOA Framework v 1.0

15. DMTC Service Context DHS Proposed Service Categories Source: W. Tombe, CBP

16. DMTC Service Context • Various SOA methodologies in place among DMTCs • The principle agencies have selected different protocols for developing their respective SOA • Not a major issue, but a consideration • Must access legacy systems with aging mainframe technology • Service provisioning is expected to evolve as a multi-lateral process • (e.g., CBP uses USCG-developed data packets, USCG uses ICE data packets). • DMTC Service messages IAW National Information Exchange Model (NIEM) Information Exchange Package Document (IEPD) Specification IAW DHS policy

17. CBP SOA • CBP Enterprise Technical Architecture (ETA) is comprised of three component architectures • Enterprise Technology Architecture • Enterprise Data Architecture • Enterprise Applications Architecture • CBP ETA provides mandatory direction for designing and building CBP applications systems & incorporates the following: • CBP Strategic Architecture Principles • CBP Service-Oriented Architecture • CBP Application Integration Infrastructure and other direction • “One major goal of this ETA is …sharing of information both between CBP systems and organizations and with groups outside of CBP.” Source: DHS SOA Framework v 1.0

18. CBP SOA SOA Life Cycle Management CBP SOA: uses Simple Object Access Protocol (SOAP) Source: DHS CBP Service Lifecycle (briefing 6/2011)

19. USCG SOA • SOA for the CG means … • Doctrine and event-driven, loosely coupled, asynchronous message based, business services • Semper Paratus: Enterprise Architecture Realization (SPEAR) • The SPEAR architecture is document oriented. • A SPEAR Document is one that meets several criteria: • It belongs to the namespace http://uscg.document.spear • The root element is USCG Document. • It has a SPEAR header • It has a SPEAR body • SPEAR architecture leverages the ESB as the primary mechanism Source: USCG SPEAR Implementation Guide

20. USCG SOA USCG SPEAR Service incorporates Representational State Transfer (REST) web services SPEAR Example Source: CAPT Mike Ryan, Semper Paratus: Enterprise  Architecture Realization (briefing 4/12/2011)

21. DMTC Service Provisioning • DMTC Services Technical Team should be responsible for the following: • Cataloging/prioritizing recommended system functions • Cataloging data structures associated with system functions • Developing a master data model based on all cataloged data structures • Developing transformation rules between component-level data structures and the master data model • Resolving data structure and data naming conflicts

22. Concluding Recommendations • DMTC Business Functions should now be analyzed to reveal the supporting system functions • Some of these systems are legacy with poor documentation adding technical challenge • System functions assessed for translation into DHS services • DMTC participants coordinate Organizational actions to deploy services IAW DHS and Agency SOA policy: • Execute as per current policy where appropriate • Develop policy ‘flow-down’ from DHS SOA policy where necessary • Develop services and publish to DHS/DMTC Service Catalogs

23. Next Steps • DMTC Governance: define Inter-Agency Agreement • Develop Implementation Plan • Align Business functions to providing System Functions • Services extracted from providing System functions • Encapsulated as XML documents in accordance with NIEM IEPD methodology • Form Integrated Project Team (IPT) as appropriate • DMTC Stakeholders develop Service Level Agreements: Publish/Subscribe model • Publish to DMTC/DHS Service Catalogs

24. Questions? Thank you!