NIST Technical Note 1745 

Technical Guidance for Archiving and 

Configuration Management of 

Homeland Security Simulation 

Applications 

Charles McLean 

Dr. Charles Hutchings 

Dr. Sanjay Jain 

Y. Tina Lee 

http://dx.doi.org/10.6028/NIST.TN.1745 
 

NIST Technical Note 1745 

Technical Guidance for Archiving and 

Configuration Management of 

Homeland Security Simulation 

Applications 

Charles McLean 

National Institute of Standards and Technology 

Gaithersburg, MD20899 

Dr. Charles Hutchings 

U.S. Department of Homeland Security 

Washington, DC 20528 

Dr. Sanjay Jain 

George Washington University 

Washington, DC 20052 

Y. Tina Lee 

National Institute of Standards and Technology 

Gaithersburg, MD20899 

http://dx.doi.org/10.6028/NIST.TN.1745 

June 2012 

U.S. Department of Commerce 

Rebecca Blank, Acting Secretary 

National Institute of Standards and Technology 

Patrick D. Gallagher, Under Secretary of Commerce for Standards and Technology and Director 
Certain commercial entities, equipment, or materials may be identified in this 

 document in order to describe an experimental procedure or concept adequately. 

Such identification is not intended to imply recommendation or endorsement by the 

National Institute of Standards and Technology, nor is it intended to imply that the 

entities, materials, or equipment are necessarily the best available for the purpose. 

National Institute of Standards and Technology Technical Note 1745 

Natl. Inst. Stand. Technol. Tech. Note 1745, 37 pages (June 2012) 

http://dx.doi.org/10.6028/NIST.TN.1745 

CODEN: NTNOEF 
Technical Guidance for Archiving and Configuration Management of
 

Homeland Security Simulation Applications
 

Charles McLean
 

National Institute of Standards and Technology
 

Gaithersburg, MD 20899
 

Dr. Charles Hutchings
 

U.S. Department of Homeland Security
 

Washington, DC 20528
 

Dr. Sanjay Jain
 

George Washington University
 

Washington, DC 20052
 

Y. Tina Lee
 

National Institute of Standards and Technology
 

Gaithersburg, MD 20899
 

June 2012 

U.S. Department of Homeland Security
 

Washington, DC
 

and
 

National Institute of Standards and Technology
 

Gaithersburg, MD
 
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Acknowledgments 

The U.S. Department of Homeland Security (DHS) Science and Technology Directorate sponsored the 

production of this material under Interagency Agreement HSHQDC-09-X-00357 with the National 

Institute of Standards and Technology (NIST). The work described was funded by the United States 

Government and is not subject to copyright. 

Disclaimers 

The findings expressed or implied in this report do not necessarily reflect the official view or policy of the 

U.S. Department of Homeland Security, U.S. Department of Commerce, or the United States 

Government. 

Some software products may have been identified in context in this report. This does not imply a 

recommendation or endorsement of the software products by the authors or NIST, nor does it imply that 

such software products are necessarily the best available for the purpose. 

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Executive Summary 

This document provides general guidance designed to help the U.S. Department of Homeland Security 

(DHS) Program Managers and other executives inside and outside of DHS. It is intended to provide 

useful information that may help personnel better understand the technologies used to maintain and 

support homeland security modeling and simulation (M&S) applications. 

Examples of topics (within the context of simulation) that are addressed in this report include: 

• Archiving of simulation applications, associated software, and test data 

• Configuration management of simulations, models, associated software, and test data 

For each topic, the following information is provided: a brief introduction to the topic, explanation of its 

significance, definitions of key terminology, and identification of relevant standards. Examples of 

subtopics include policies and planning, procedures, and tools. Additional information on subtopics will 

include a discussion of issues, recommendations and guidelines, and sources of further information. 

The technical guidance contained in this report is based on published literature, information available on 

the Internet, technical expertise, and personal experience. 

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Table of Contents
 

Acknowledgments........................................................................................................................................iii
 

Disclaimers ..................................................................................................................................................iii
 

Executive Summary......................................................................................................................................v
 

1 Introduction ...........................................................................................................................................1
 

1.1 Purpose ...........................................................................................................................................1
 

1.2 Background of M&S Implementation within DHS........................................................................2
 

1.2.1 DHS Component Organizations Involved in M&S.................................................................2
 

1.2.2 DHS Roles and Responsibilities Relevant to M&S ................................................................2
 

1.3 Document Overview.......................................................................................................................3
 

2 M&S Archives.......................................................................................................................................4
 

2.1 Data Retention Policy.....................................................................................................................6
 

2.2 Archival Workflow Procedures......................................................................................................7
 

2.3 Tools...............................................................................................................................................8
 

3 Software Configuration Management....................................................................................................9
 

3.1 Policies and Planning ...................................................................................................................11
 

3.2 Change Management Procedures and Tools ................................................................................12
 

4 Conclusions .........................................................................................................................................14
 

5 Selected Acronyms and Abbreviations................................................................................................15
 

6 References ...........................................................................................................................................18
 

Appendix I – DHS M&S Capabilities.........................................................................................................23
 

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1 Introduction 

Models and simulations (M&S) can be extremely useful tools for solving difficult problems, 

understanding the behavior of complex systems, conducting disaster exercises at the local and national 

levels, and training personnel on organizations, policies, operations, and procedures. The U.S. 

Department of Homeland Security (DHS) has a broad mission and a wide variety of M&S applications 

may ultimately be developed to support this mission. For example, M&S applications may be developed 

to analyze the performance of critical infrastructure systems, train incident management personnel, 

evaluate resource requirements for healthcare systems, or model the spread of plumes resulting from the 

release of hazardous materials. Within the context of the DHS M&S applications, development is 

typically performed by outside contractors, government laboratories, and the academic establishment. 

This report provides guidance for personnel involved in the maintenance, support, and deployment of 

homeland security models and simulations. Personnel may have significant expertise in some areas 

pertaining to the development of models and simulations, but may be unaware of important issues in other 

areas due to scope and complexity of M&S within DHS. This document attempts to provide a high-level 

overview of a number of key areas pertaining to homeland security M&S. It is intended to provide useful 

information for a range of topics that may help personnel better understand areas that they may not be 

familiar with, raise key issues, and answer some important questions with respect to those areas. 

For the purpose of the scope of this document, M&S applications are limited by information technology 

and software systems that are primarily used for analysis, management planning, or training needs. 

Although concepts addressed in this document should be applicable to most DHS M&S domains, it is 

only intended to focus on four application domains where M&S is currently being applied: critical 

infrastructure systems, incident management systems, healthcare systems, and hazardous material 

releases. 

1.1 Purpose 

This document was prepared to assist personnel who may not be experts in simulation technology, 

software engineering, and information technology (IT) support functions, to better understand capabilities 

and issues associated with the maintenance, support, and deployment of M&S applications. Information 

contained in this report may be useful for the creation of checklists of points to be addressed as new 

simulation applications are acquired by DHS. The report is intended to help establish a common ground 

between DHS personnel, external developers, and others in the M&S community. The technical domains 

covered and topics associated with the development of M&S applications are the subject of a separate 

report, see [NIST 2011a]. 

The intended audience for this report are DHS program and project managers, software and IT support 

personnel including web site administrators, contracting officer’s technical representatives (COTRs), 

external contractors and researchers, and users of M&S technology within and outside of DHS. The 

document is being made publicly available through the NIST Publications Portal [NIST 2011b] and is 

accessible online to all who have interest in this area. 

Topics that are the focus of this report are archives and software configuration management of M&S 

software and data. For each topic, an introduction, key terminology, issues, recommendations and 

guidance, and pointers to further information are provided. 

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1.2 Background of M&S Implementation within DHS 

Modeling and simulation activities are being actively pursued within DHS and by DHS contractors. 

DHS M&S activities are constantly evolving. This section introduces some topics pertaining to M&S 

within DHS, namely: 1) component organizations involved in M&S and 2) roles and responsibilities of 

DHS staff that potentially have a stake in M&S. 

1.2.1 DHS Component Organizations Involved in M&S

DHS is already making widespread use of M&S. This section identifies some of the organizations within 

DHS that are currently using M&S and how they are using it. M&S capabilities are being used to support 

a number of different types of risk assessments, analyses, training, exercises, and system engineering 

needs. Analytical capabilities supporting problem solving and decision making: 

•	 Analysts and analytical expertise 

•	 Analytical methods and processes 

•	 Body of knowledge (data, information, reports, etc.) 

•	 Tools (models, simulations, computational capabilities, experiments, etc.) 

For example, the Office of Infrastructure Protection (OIP) Infrastructure Analysis and Strategy Division 

(IASD) conducts risk analysis supported by contractor analysts and National Laboratory dedicated 

personnel. IASD manages multiple models/simulations and data sets through a capability portfolio. 

IASD, in coordination with the Infrastructure Information Collection Division (IICD), acquires a wide 

variety of both government and commercial data. 

A list of M&S capabilities currently used by DHS and an overview of these capabilities are listed in 

Appendix I. For examples of existing M&S applications for homeland security, please see the report on 

the DHS-NIST 2011 workshop on Modeling and Simulation Applications for Homeland Security [NIST 

2011c]. 

or examples of existing M&S applications for homeland security, please see the report on the DHSNIST 2011 workshop on Modeling and Simulation Applications for Homeland Security [NIST 2011c]. 

1.2.2 DHS Roles and Responsibilities Relevant to M&S 

There are a number of positions in different disciplines within DHS that potentially have a stake in the 

development of homeland security M&S applications. The roles and responsibilities of organization and 

position types are identified below. [DHS 2011] defines the core team in the DHS Program Management 

Office (PMO). Identified career fields and related responsibilities include: 

•	 Program Management: Acquisition professionals in the program management acquisition discipline 

are concerned with all of the functions of a PMO. Program management professionals serve in a 

wide range of PMO and component acquisition staff positions, including program integrators and 

analysts, program managers, and their deputies. They may also serve in a number of support and 

management positions throughout the workforce. 

•	 Systems Engineering: Systems engineers demonstrate how systems engineering technical and 

technical management processes apply to acquisition programs; interact with program Integrated 

Product Teams (IPTs) regarding the proper application of systems engineering processes; develop 

system models and work breakdown structures; and use top-down design and bottom-up product 

realization. 

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•	 Acquisition/Financial Management: Acquisition/Financial Management staff plan, direct, monitor, 

organize, and control financial resources including: formulation of budget to requirements, execution, 

financial systems, appropriations-related congressional issues, and reporting. They are responsible 

for all financial and budgeting for the program. 

•	 Life Cycle Logistics (LCL) Management: LCL management is the planning, development, 

implementation, and management of a comprehensive, affordable, and effective systems support 

strategy. LCL encompasses the entire system’s life cycle including acquisition (design, development, 

test, produce, and deploy), sustainment (operations and support), and disposal. Life-cycle logisticians 

perform a principal joint and component logistics role during the acquisition, operational, and 

disposal phases of the system’s life cycle. 

•	 Test and Evaluation (T&E): T&E Managers are engineers, scientists, operations research analysts, 

system analysts, computer scientists, and other technical personnel who plan, perform, and manage 

T&E tasks in support of all acquisitions. The individuals in T&E positions are subject matter experts 

who will plan, monitor, manage, and conduct T&E of prototype, new, fielded, or modified IT; nonIT; Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance 

(C4ISR); and infrastructure systems. 

•	 Cost Analysts: Cost analysts lead teams in the analysis of schedule requirements, gathering data 

relevant to the system-to-be cost, development or evaluation of existing cost estimating relationships 

and mathematical models, performance of risk analysis on program assumptions, analysis of results of 

models and other methods of developing costs, accumulation of cost estimates made by work 

breakdown structure elements, and development of summary data for presentation purposes; 

development in written, graphical and tabular from information on methods and data used during the 

development of the estimate, reconciliations of program content and methods used by the 

organization-independent estimate vice those used by the program office of the weapon/information 

system being costed; preparation of briefings to management in development of cost databases, 

parametric relationships, cost estimating software and documentation, and research reports. 

•	 Information Technology (IT): IT specialists include computer scientists, information technology 

management specialists, computer engineers, and telecommunications managers, who directly 

support the acquisition of information technology. This may include hardware, software, or firmware 

products used to create, record, produce, store, retrieve, process, transmit, disseminate, present, or 

display data or information. 

•	 Contracting Officer's Technical Representative (COTR): COTR is a business communications liaison 

between the United States Government and a private contractor. COTRs ensure that their goals are 

mutually beneficial. The COTR is responsible for recommending and authorizing (or denying) 

actions and expenditures for both standard delivery orders and task orders, and those that fall outside 

of the normal business practices of its supporting contractors and sub-contractors. 

This report will focus largely on capabilities, facilities, and services that DHS managers and technical 

staff will require from IT departments and support personnel in order to establish required archives, 

perform configuration management functions, and deploy M&S applications. 

1.3 Document Overview 

Section 2 addresses issues pertaining to the establishment of archives for models, simulations, and test 

data. Section 3 presents topics relating to software configuration management. Section 4 presents 

conclusions for this report. Section 5 provides definitions for selected abbreviations and acronyms that 

appeared in this report. Section 6 identifies references and sources of further information on the topics 

that were addressed. 

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2 M&S Archives 

Introduction – Retention of M&S software, test data, and associated documentation may not be only 

useful to future research and development efforts, it may also be legally required as part of the records 

management regulations for government agencies. Reasons for archiving information may include 

agency record keeping requirements, items of historical value, and information/evidence that may be 

required in future legal proceedings (e.g., contractual disputes). 

Issues that will need to be addressed with respect to M&S archives include the types of information that 

will be stored, retention requirements, staff roles and responsibilities, archive locations, storage media, 

information formats, and indexing requirements. 

Examples of M&S information that may be maintained in archives include: 

•	 System or module naming data and conventions 

•	 Brief description of the model 

•	 Contractor/developer identification data 

•	 Key dates of development testing 

•	 Identification of qualified/certified users and/or analysts 

•	 Copies of model code or software used or needed to run the system, e.g., database management 

software 

•	 Copies of build software used to generate executables 

•	 Source, version data, and where appropriate copies of tools/simulators used to run the model 

•	 System documentation, including explanations on how the system may be modified 

•	 Test case data files and databases 

•	 After Action Reviews, M&S outputs, and other reports 

•	 Traces and logs of test runs 

•	 Verification, Validation, and Accreditation (VV&A) and certification data 

•	 Information on exercises including participants, attendees, press clippings, and photographic images 

•	 Presentations and technical papers associated with M&S applications, analyses, and exercises 

As DHS M&S archives grow in size and complexity, it will become more important that key attributes 

associated with applications are indexed and maintained in databases that facilitate rapid access and 

retrieval of this information. 

The International Organization for Standardization (ISO) has established a standard reference model for 

archival information systems, i.e., ISO 14721:2003 Space data and information transfer systems – Open 

archival information system – Reference model. Its purpose is “to establish a system for archiving 

information, both digitalized and physical, with an organizational scheme composed of people who accept 

the responsibility to preserve information and make it available to a designated community. This 

reference model addresses a full range of archival information preservation functions including ingest, 

archival storage, data management, access, and dissemination. It also addresses the migration of digital 

information to new media and forms, the data models used to represent the information, the role of 

software in information preservation, and the exchange of digital information among archives [ISO 

2003a].” 

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NASA prepared the initial draft document to define the ISO Reference Model for an Open Archival 

Information System (OAIS). The NASA reference model [NASA 2002]: 

•	 provides a framework for the understanding and increased awareness of archival concepts needed for 

Long Term digital information preservation and access 

•	 provides the concepts needed by non-archival organizations to be effective participants in the 

preservation process 

•	 provides a framework, including terminology and concepts, for describing and comparing 

architectures and operations of existing and future archives 

•	 provides a framework for describing and comparing different long term preservation strategies and 

techniques 

•	 provides a basis for comparing the data models of digital information preserved by archives and for 

discussing how data models and the underlying information may change over time 

•	 provides a foundation that may be expanded by other efforts to cover long-term preservation of 

information that is NOT in digital form (e.g., physical media and physical samples) 

•	 expands consensus on the elements and processes for long-term digital information preservation and 

access, and promotes a larger market which vendors can support 

•	 guides the identification and production of OAIS-related standards 

Terminology: 

Archive – “a collection of computer files that have been packaged together for backup, to transport to 

some other location, for saving away from the computer so that more hard disk storage can be made 

available, or for some other purpose. An archive can include a simple list of files or files organized under 

a directory or catalog structure (depending on how a particular program supports archiving).” 

[SearchStorage 2011] 

“Also, a long-term storage device, as a disk or magnetic tape, or a computer directory or folder that 

contains copies of files for backup or future reference. 

•	 a collection of digital data stored in this way. 

•	 a computer file containing one or more compressed files. 

•	 a collection of information permanently stored on the Internet.” [DictRef 2011] 

Historical materials - includes books, correspondence, documents, papers, pamphlets, works of art, 

models, pictures, photographs, plats, maps, films, motion pictures, sound recordings, and other objects or 

materials having historical or commemorative value. [NARA 2011a] 

Records management program – “activities, policies, and procedures within an organization to 

implement the systematic and administrative control of records throughout their life cycle to ensure 

efficiency and economy in their creation, use, handling, control, maintenance, and disposition.” [SAA 

2005]. 

Digital assets management system – “software to support the acquisition, description, tracking, 

discovery, retrieval, searching, and distribution of collections of digital objects.” [SAA 2005] 

The subsections that follow provide background discussions, recommendations and guidance, and sources 

of further information on: 

•	 Data retention policy 

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• Archival workflow 

• Tools 

Information sources include published literature, information available from other agencies, and 

commercial concerns. 

2.1 Data Retention Policy 

Federal agencies have legal requirements [NARA 2011b] for preserving information that is defined in 

Records Management by Federal agencies (44 U.S.C. Chapter 31). To the extent that M&S may be used 

to support policy decisions there may be a need to keep records in this area: “Section 3101 - The head of 

each Federal agency shall make and preserve records containing adequate and proper documentation of 

the organization, functions, policies, decisions, procedures, and essential transactions of the agency and 

designed to furnish the information necessary to protect the legal and financial rights of the Government 

and of persons directly affected by the agency’s activities.” 

National Archives and Records Administration (NARA) has general responsibilities for records 

management in the Federal government under 44 U.S.C. Chapter 29 and ultimately is responsible for the 

permanent preservation of those records that have been identified as having historic value. NARA 

provides more detailed guidance on agency record keeping requirements in a management guide [NARA 

1995]. Topics covered in the guide include: 

• Determining record status 

• Adequate and proper documentation 

• Responsibilities of program managers 

• Responsibilities of records managers 

• Problem areas in implementing record keeping requirements 

• Record keeping requirements checklist 

• Using office automation applications: records management guidelines 

NARA evaluates technical information as part of the scheduling process to determine if records can be 

transferred to NARA in accordance with applicable transfer instructions, and to determine if any technical 

considerations might impede NARA’s ability to process and provide future access to the records [NARA 

2011c]. The General Accountability Office (GAO) may be involved in determining exceptions to record 

keeping requirements. 

NARA has developed a records management checklist as part of the system-development life-cycle 

(SDLC) process. It recommends that agencies embed records management requirements in the earliest 

stages of the SDLC. The checklist identifies where the agency may propose to establish records 

management review and approval to ensure that sound RM practices are incorporated into the 

development of its proposed IT systems [NARA 2011d]. 

Issues – Determining which simulations and data sets may need to be retained is not necessarily a simple 

and straightforward process. NARA and possibly departmental lawyers should be consulted to determine 

legal requirements for records retention. Certainly analyses supporting departmental policy or resource 

allocation decisions would require archiving. Simulations supporting training and exercises of historical 

significance such as those involving top officials or multiple agencies should also be archived. Multiple 

copies of runs of routine training simulations that are part of instructional programs may not need to be 

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retained. Models and simulations that may be relevant to legal proceedings will need to be preserved, 

e.g., contractual disputes or where an injury may have occurred as part of an associated exercise. 

Recommendations and Guidance – DHS managers involved in M&S need to establish data retention 

policies that are minimally based upon legal requirements. Policies should also consider the retention of 

M&S applications for historical purposes or as background information for future research and 

development efforts. Naming conventions for digital files should also be included in policy documents. 

For Further Information – For policy advice for Federal agencies on the use of PDF formats for storing 

digital documents, see [NARA 2011c]. [SANS 2002] provides suggestions for establishment of data 

retention policies, especially for legal purposes. A number of organizations have prepared white papers 

on suggested file naming conventions, see [Alberta 2005], [NCDCR 2008], and [BNL 2011] for 

recommendations. 

2.2 Archival Workflow Procedures 

What is archival workflow? “Archivists typically follow an established workflow in appraising, acquiring, 

processing, and preserving archival collections, carefully documenting each step along the way and using 

checklists and other workflow tools to guide the process. As part of their workflow, archives produce a 

range of documentation, including paper and electronic forms, lists, spreadsheets, databases, catalog 

records, finding aids in Microsoft Word or EAD, and Web pages.” [Spiro 2011] 

In [CLIR 2009], the steps of the archival workflow process are defined as follows: 

•	 Appraisal – Determining which records should be acquired by the archive and 

estimating their value as it relates to the goals and mission of the archive. 

•	 Accession – Acquiring collections and documenting the transfer of materials through 

a logbook, database, register, or other means. 

•	 Arrangement – Organizing archival collections in accordance with their original 

order and provenance. 

•	 Description – A finding aid that outlines the arrangement of the collection and 

elucidates its research value. This finding aid enables users to determine what a 

collection contains, helps archives locate materials, and acts as a record of deposit for 

donors. 

•	 Preserve – Protecting materials from deterioration by re-housing them, removing 

contaminants, providing treatments, and other means. Preservation is an ongoing 

process that typically begins soon after the collection is acquired. 

•	 Provide access – Enabling people to locate information about the collection through 

catalog records, finding aids, indexes, and other means. 

•	 Offer reference services – Assisting patrons in identifying and using collections. 

[CLIR 2009] 

Indexes will need to be created to maintain a full set of information for each M&S file set to support its 

future use. This includes descriptive data and version information on the computing platform, special 

hardware requirements, operating system, simulation environment, database management system, and 

standard file formats used. Index records will need to support standard naming conventions for attributes 

on files that are maintained based on operating system and computer platforms, e.g., exe, lib, txt, and doc. 

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Tables will be needed to identify common naming conventions for general computer files as well as the 

formats for simulation-environment-specific files. 

Issues – Handling the complexity of M&S software applications will require a technical skill set that is 

beyond that of the typical archivist. Archivists will probably not understand the programs, support 

software, and data files that are used to run models and simulations. Furthermore, these files will vary 

depending on the simulation environment involved. Archival efforts will undoubtedly require an M&S 

analyst and possibly IT support personnel to ensure that archived M&S software and associated 

information is complete, correct, and re-usable. To ensure quality, software will need to be retrieved from 

archives and tested to guarantee that the proper items have been included in the archived set of materials. 

Also, experts have found that there are significant preservation issues associated with digital media. 

Long-term storage solutions remain an outstanding issue, i.e., virtually all current media formats, such as 

CDs and DVDs, tend to fail over time. 

Recommendations and Guidance – DHS M&S managers should determine the current state of efforts 

across the department in the areas of archiving and digital records retention. M&S archival efforts may 

be able to be “piggy-backed” on current ongoing activities. Appropriate personnel will need to be 

identified to perform archivist and archivist support functions for M&S software and other digital 

information. Archival workflow should also be defined in appropriate policy documents. The archival 

workflow process associated with preserving executable software will require additional steps and 

checklists beyond those identified above, e.g., the test retrieval, installation or setup, and execution of 

M&S applications and models. 

For Further Information – See [CLIR 2009] for more detailed information on archival workflow 

processes, documents produced, and additional references. For information on a NIST workshop that 

addressed issues of long-term knowledge retention see [NIST 2007]. [Digital 2011] defines archival 

preservation formats and evaluation factors selecting formats for storing digital information. 

2.3 Tools 

Two different types of tools will be most relevant to the archival process – archive management and file 

compression software. The first type of software is used to support the archival workflow process. The 

second type of software is used to place files in convenient, efficient formats for storage and retrieval. 

Examples of the second type of software include file aggregation tools, such as ZIP file software or PDF 

file generators, that translate documents into a standard format for commonly available reader software. 

Issues – It may take some time to establish retention policies and select tools that will be used on a longterm basis. Interim solutions may be necessary to temporarily manage a growing base of M&S 

applications and associated digital files. 

Recommendations and Guidance – Interim archival management tools should be acquired and 

implemented by supporting IT personnel to manage emerging M&S collections in the near term. A 

liaison should be established with the National Archives to determine how to best use their resources in 

the implementation of long-term data retention solutions. 

For Further Information – NARA provides an online toolkit [NARA 2011e] that provides extensive 

information on resources for managing electronic records. [CLIR 2009] provides criteria for evaluating 

archival management software as well as a survey of some of the commercially available tools. 

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3 Software Configuration Management 

Introduction – Configuration management (CM) is a set of activities that are designed to: 1) control 

changes to software systems by identifying software items under CM control, 2) define baseline 

configurations of sets of items, 3) specify procedures for making changes to those items, 4) define version 

control mechanisms, 5) control the implementation of changes, 6) audit those changes, and 7) generate 

reports on the changes that are made. This section presents some of the key components of configuration 

management: policies and planning, configuration identification, configuration change control, 

configuration status accounting, and configuration reviews. Configuration management involves 

identifying the configuration of the M&S applications at given points in time, systematically controlling 

changes to the configuration, and maintaining the integrity and traceability of the configuration 

throughout the software lifecycle. 

In the realm of homeland security M&S applications, the items that may be placed under configuration 

management include models, simulations, simulation environments and other support software, test data, 

and documentation. Other software that is required to create modules and data, diagnose problems, 

perform maintenance, build run-time systems, update documentation, and/or execute these products may 

also be placed under CM. Proper CM will help enable the organization to answer the following 

questions: 

•	 What is the configuration of the M&S application and associated data files? 

•	 What is the process for making changes to the M&S applications? 

•	 Who made a change to the application? 

•	 What changes were made to the application? 

•	 When were the changes made? 

•	 Why were the changes made? 

•	 Who authorized the changes? 

Some of the benefits an organization can derive from CM include: 

•	 Increased control over technology assets through improved visibility and tracking 

•	 Enhanced system reliability through more rapid detection and correction of improper 

configurations that could negatively impact performance 

•	 The ability to define and enforce formal policies and procedures that govern asset 

identification, status monitoring, and auditing 

•	 Improved asset maintenance through the ability to better utilize proactive, 

preventative, and predictive measures
 

•	 Greater agility through more accurate analysis of the impact of potential changes to 

hardware, software, firmware, documentation, testing procedures, etc. 

•	 Enhanced reconciliation and management of complex system and infrastructures. 

[SAManage 2010] 

A number of consensus as well as governmental standards for CM have been developed. These standards 

provide useful information that can be readily applied to CM for homeland security M&S applications. 

For example, the following consensus standards are currently available: 

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•	 ANSI/EIA-649/-1998 American National Standards Institute (ANSI)/Electronic Industries Alliance 

(EIA) National Consensus Standard for Configuration Management addresses CM planning, 

configuration identification, configuration change management (change control), configuration status 

accounting, and configuration verification. [GEIA 2011] 

•	 ISO 10007:2003 Quality Management Systems – Guidelines For Configuration Management gives 

guidance on the use of configuration management within an organization. It is applicable to the 

support of products from concept to disposal. It first outlines the responsibilities and authorities 

before describing the configuration management process that includes configuration management 

planning, configuration identification, change control, configuration status accounting and 

configuration audit [ISO 2003b]. 

•	 IEEE STD/ 828-2005 IEEE Standard for Software Configuration Management Plans – The minimum 

required contents of a Software Configuration Management (SCM) Plan are established via this 

standard. This standard applies to the entire life cycle of critical software (e.g., where failure would 

impact safety or cause large financial or social losses). It also applies to non-critical software and to 

software already developed. The application of this standard is not restricted to any form, class, or 

type of software. [IEEE 2005] 

Terminology – IEEE STD 610 Standard Glossary of Software Engineering Terminology standardized the 

definition of the following configuration management terms: 

Baseline – (1) a specification or product that has been formally reviewed and agreed 

upon, that thereafter serves as the basis for further development, and that can be changed 

only through formal change control procedures. (2) a document or a set of such 

documents formally designated and fixed at a specific time during the life cycle of a 

configuration item. (3) any agreement or result designated and fixed at a given time, from 

which changes require justification and approval. 

Configuration – (1) the arrangement of a computer system or component as defined by 

the number, nature, and interconnections of its constituent parts, (2) the functional and 

physical characteristics of hardware or software as set forth in technical documentation or 

achieved in a product. 

Configuration audit – an audit conducted to verify that the development of a 

configuration item has been completed satisfactorily, that the item has achieved the 

performance and characteristics specified in the configuration identification, and that its 

operational and support documents are complete and satisfactory. 

Configuration control – the evaluation, coordination, approval or disapproval, and 

implementation of changes to configuration items after formal establishment of their 

configuration identification. 

Configuration control board (CCB) – group of people responsible for evaluating and 

approving or disapproving proposed changes to configuration items, and for ensuring 

implementation of approved changes. 

Configuration identification – (1) selecting the configuration items for a system and 

recording their functional and physical characteristics in technical documentation, (2) the 

10 
 

 

 

 

 

 

 

 

 

 

current approved technical documentation for a configuration item as set forth in 

specifications, drawings, associated lists, and documents referenced therein.
 

Configuration index – a CM document that provides an accounting of the configuration 

items that make up a product. 

Configuration item (CI) – an aggregation of hardware, software, or both, that is
 

designated for configuration management and treated as a single entity in the CM
 

process.
 

Configuration item development record – the development status of a configuration 

item based on the results of configuration audits and design reviews. 

Configuration management (CM) – a discipline applying technical and administrative 

direction and surveillance to: identify and document the functional and physical 

characteristics of a configuration item, control changes to those characteristics, record 

and report change processing and implementation status, and verify compliance with 

specified requirements. 

Configuration status accounting – the recording and reporting of information needed to 

manage a configuration effectively, includes a listing of the approved configuration 

identification, the status of proposed changes to the configuration, and the 

implementation status of approved changes. 

Engineering change – an alteration in the configuration of a configuration item or other 

designated item after formal establishment of its configuration identification. 

Engineering change proposal (ECP) – the documentation by which a proposed 

engineering change is described and suggested. [IEEE 1990]
 

Key topics pertaining to the implementation of CM for homeland security M&S applications, data, and 

documentation are addressed in the following subsections of this document: 

• Policies and planning. 

• Change management procedures and tools. 

For each topic, a brief discussion of issues, recommendations and guidance, and sources of further 

information are provided. Information sources include published literature, information available from 

other agencies, and commercial concerns. 

3.1 Policies and Planning 

What are CM policies and plans? A configuration management policy specifies the procedures by which 

managed items and systems stored in a configuration management system evolve. Different configuration 

management systems typically use different policies. Subjects covered in a CM policy may include: 

• Applicability – to which organizations and systems does this CM policy apply? 

• Required documentation – what types of documentation are required for CM? 

11 
 

 

 

 

 

 

 

•	 Roles and responsibilities – who is involved in CM and what are their responsibilities? 

•	 Training – what training is available and required for CM? 

•	 Tools – what CM tools are available and in use? 

•	 Methodologies – what CM methodologies are being employed? 

•	 Planning – what plans are required for each system placed under CM? 

•	 System identification – how are systems identified, e.g., naming conventions? 

•	 Tracking and reporting – what types of tracking and reporting mechanisms are used? 

•	 Change control board (CCB) – how is the CCB established, who serves on it, and what are its 

procedures? 

For an example CM policy statement, see [CHHS 2004]. 

A CM plan for a specific item or system under CM might contain (from EIA STD 649): 

Title Page 

1.	 Purpose of Document 

2.	 Scope of Project 

3.	 Organization, Roles, and Responsibilities 

4.	 Configuration Item Identification 

5.	 Change Management 

6.	 Configuration Status Accounting 

7.	 Configuration Audits 

8.	 Applicable Documents 

Issues: Although individual projects within agencies of DHS have implemented configuration 

management on a case-by-case basis, it does not appear that any general department-wide CM policies or 

plans currently exist. 

Recommendations and Guidance – If a champion does not already exist, DHS should identify one for CM 

of homeland security M&S. It could then accelerate the development of CM policies and plans for M&S 

applications by: 1) establishing liaisons other government departments/agencies with strong commitments 

to CM, 2) studying existing documents from those organizations, and 3) deriving DHS-specific policies 

and plans from those other agency documents. Some other departments/agencies that appear to have 

considerable expertise and available information to offer are the Department of Defense (DoD), 

Department of Transportation (DOT), and the National Aeronautics and Space Administration (NASA). It 

is recommended that they be starting points for establishing CM liaisons. 

For Further Information – The DOT System Engineering Handbook provides extensive information on 

departmental policies and procedures for configuration management [DOT 2011a]. Pressman provides 

links to many appropriate references on configuration management [Pressman 2011]. [HUD 2011], [DOT 

2011b], [DOT 2011c], and [NIST 2011d] provide templates for configuration management plans. 

3.2 Change Management Procedures and Tools 

What is change management? It is a process for reviewing, approving, and tracking proposed changes to a 

system. Costs and benefits of proposed changes are principal criteria for the change review process. The 

first step of the change process is the completion of a change request form. Change-request forms may 

typically contain the following types of information: 

12 
 

 

 

 

 

 

 

 

 

 

 

 

• Originator: name, phone, organization, and date 

• Description of proposed change 

• Change justification 

• Preliminary assessment 

• Urgency 

• Impact assessments 

• Change control board (CCB) decision 

The kinds of issues that the CCB may address include [Toolbox 2011]: 

• Schedules 

• Interim delivery dates 

• Requirements changes 

• Design changes 

• Source code changes 

• Executable code changes 

• Library changes 

• Documentation changes 

• Defects/failures 

• Software-related problem resolution 

Depending on the size of the organization, the software involved, etc. the CCB may range from a single 

individual such as a project manager to a group. 

Configuration management tools will provide functionality for creating change requests, tracking 

changes, identifying configuration items, and aggregating among other functions. See [ISO 2010] for a 

discussion of standard CM tool capabilities. 

Issues – Homeland security M&S applications will vary greatly in size, complexity, development costs, 

number of users, distribution plans, impact of outputs, and decisions resulting from those outputs. As 

such, CM procedures and tools should be appropriate to the items put under configuration management. 

It is assumed that perhaps only more significant items by the above criteria may be managed by CM 

systems. Another issue is that software companies tend to come and go – expected longevity and stability 

of CM vendors should be an important evaluation criteria. 

Recommendations and Guidance – DHS should identify configuration management needs including the 

number and types of M&S applications that will be placed under configuration management in the 

foreseeable future. It should perform a survey of available tools and select a tool that comes closest to 

meeting DHS needs. 

For Further Information – For a guide to selection of configuration management tool capabilities, see 

[ISO 2010]. Concurrent Versions System (CVS) [CVS 2012] is an open source tool that performs some 

of the functions associated with configuration management. [Eaton 2011] provides a summary of 

commercially available configuration management tools. 

13 
 

 

 

 

 

 

 

4 Conclusions 

This document presented information archiving and configuration management of modeling and 

simulation (M&S) in a manner and at a level appropriate for DHS Program Managers, project managers, 

and IT support staff with significant experience and domain knowledge but with limited understanding of 

the M&S, archiving, or CM technologies. The current status of M&S implementation in DHS was 

discussed including the relevant policies, DHS component organizations utilizing M&S, and DHS roles 

and responsibilities relevant to M&S. 

This document focused on two key areas of responsibility pertaining to M&S applications that were 

typically developed and delivered to DHS by outside organizations. Each area was briefly introduced, 

relevant standards were identified, and terminology was defined. The first area was archiving of digital 

information, i.e., the establishment of archives for M&S applications and data associated with those 

applications including technical reports, support software, and information of historical significance. 

Subtopics included data retention policy, archival workflow, and tools. The second area was 

configuration management. Configuration management involves the creation of policies, orderly 

procedures, and documentation to manage changes to M&S applications. Subtopics included policies and 

planning, change management, and tools. 

DHS Program Managers and others inside and outside DHS should find this document a very useful 

source of overview information on M&S for initiating efforts to archive and manage the configuration of 

M&S applications. If recommendations are implemented, wide and regular use of this document by the 

Program Managers should help DHS successfully establish efforts to meet data retention obligations and 

implement a configuration management program for simulation applications. These efforts should in turn 

help increase the use of M&S and in the long term, help improve the DHS’s performance. 

14 
 

 

 

 

 

 

 

 

 

5 Selected Acronyms and Abbreviations 

AAR/IP – After Action Report/Improvement Plan 

AHRQ – The Agency of Healthcare Research & Quality 

AIAA – American Institute of Aeronautics and Astronautics 

ALERT – Center of Excellence for Awareness & Location of Explosives-Related Threats 

ANSI – American National Standards Institute 

API – Application Programmer Interface 

ASC – Advanced Simulation and Computing Program 

ASME – American Society of Mechanical Engineers 

C2I – Center of Excellence in Command, Control and Interoperability 

CAMRA – Center for Advancing Microbial Risk Assessment 

CCB – Configuration Control Board or Change Control Board 

CDC – The Centers for Disease Control and Prevention 

CGMOES – Coast Guard Maritime Operational Effectiveness Simulation 

CI – Critical Infrastructure Systems 

CIKR or CI/KR– Critical Infrastructure and Key Resources 

CM – Configuration management 

COE – Center of Excellence 

COTR – Contracting Officer’s Technical Representative 

CREATE – Center for Risk and Economic Analysis of Terrorism Events 

CTIA – Common Training and Instrumentation Architecture 

CVS – Concurrent Versions System 

DBMS – Database Management System 

DHS – Department of Homeland Security 

DMSO – Defense Modeling and Simulation Office 

DoD – Department of Defense 

DOE – Department of Energy 

DOT – Department of Transportation 

EOC – Emergency Operations Center 

EIA – Electronic Industries Alliance 

EPA – Environmental Protection Agency 

ESF – Emergency Support Function 

EXCIMS – Executive Council for Modeling and Simulation 

FAZD – National Center for Foreign Animal and Zoonotic Disease Defense 

FDA – Food and Drug Administration 

FEMA – Federal Emergency Management Agency 

FFRDC – Federally Funded Research and Development Center 

GAO – General Accountability Office 

GIS – Geographic Information System 

GWU – George Washington University 

Hazmat – Hazardous Material 

HAZUS-MH – Hazards U.S. Multi-Hazard 

HHS – Health and Human Services 

HITRAC – Homeland Infrastructure Threat and Risk Analysis Center 

HSEEP – Homeland Security Exercise and Evaluation Program 

HSNRA –Homeland Security Nation Risk Assessment 

15 
 

 

 

 

 

 

 

 

 

HSPD – Homeland Security Presidential Directive 

HSSAI – Homeland Security Studies and Analysis Institute 

HSTA – Homeland Security Threat Assessment 

IASD – OIP Infrastructure Analysis and Strategy Division 

I&A – Intelligence and Analysis 

IC – Incident Command 

IEEE – Institute of Electrical and Electronics Engineers 

IICD – Infrastructure Information Collection Division 

IM – Incident Management 

IMAAC – Interagency Modeling and Atmospheric Assessment Center 

INS – Incident of National Significance 

IPTs – Integrated Product Teams 

ISO – International Organization for Standardization 

IT – Information Technology 

LCL – Life Cycle Logistics 

LLNL – Lawrence Livermore National Laboratory 

MIPS – Center for Maritime, Island and Port Security 

MS or M&S – Modeling and Simulation 

MSCO – DoD Modeling and Simulation Coordination Office 

MSWG – DoD Modeling and Simulation Working Group 

NARA – National Archives and Records Administration 

NARAC – National Atmospheric Release Advisory Center 

NASA – National Aeronautics and Space Administration 

NCBSI – National Center for Border Security and Immigration 

NCFPD – National Center for Food Protection and Defense 

NDCIEM – Center for Natural Disasters, Coastal Infrastructure, and Emergency Management 

NESC – National Exercise Simulation Center 

NGB – National Guard Bureau 

NGO – Non-Governmental Organization 

NIBS – National Institute of Building Sciences 

NIMS – National Incident Management System 

NIPP – National Infrastructure Protection Plan 

NISAC – National Infrastructure Simulation and Analysis Center 

NIST – National Institute of Standards and Technology 

NNSA – National Nuclear Security Administration 

NOAA – National Oceanic and Atmospheric Administration 

NPS – National Planning Scenario 

NRC – National Research Council 

NRF – National Response Framework 

NTSCOE – National Transportation Security Center of Excellence 

OAD – Operations Analysis Division 

OAIS – Open Archival Information System 

OIP – Office of Infrastructure Protection 

PACER – National Center for the Study of Preparedness and Catastrophic Event Response 

PMO – Program Management Office 

RAPID – Risk Assessment Process for Informed Decision Making 

RDBMS – Relational Data Base Management System 

RM – Risk Management 

RMA – Office of Risk Management & Analysis 

16 
 

 

 

 

SAA – Society of American Archivists 

S&T – DHS Science and Technology Directorate 

S/L – State and Local 

SCM – Software Configuration Management 

SDLC – System Development Life Cycle 

SEDI – Homeland Security Systems Engineering and Development Institute 

SISO – Simulation Interoperability Standards Organization 

SME – Subject Matter Expert 

SSP – Stockpile Stewardship Program 

START – National Consortium for the Study of Terrorism and Responses to Terrorism 

SUMMIT – Standard Unified Modeling Mapping Integration Toolkit 

T&E – Test and Evaluation 

USNORTHCOM – U.S. Northern Command 

USPHS – U.S. Public Health Service 

VNN – Virtual News Network 

VV&A – Verification, Validation, and Accreditation 

WMD - Weapons of Mass Destruction 

17 
 

 

 

 

6 References 

[Alberta 2005] 

[BNL 2011] 

[CHHS 2004] 

[CLIR 2009] 

[CVS 2012] 

[DHS 2011] 

[DictRef 2011] 

[Digital 2011] 

[DoD 2007] 

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“SID Policy on Configuration Management.” California Health and Human 

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configuration%20management%20(2458_6).pdf (Accessed on 30 November 

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2012.) 

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Management, U.S. Department of Homeland Security: Washington, DC. May 5, 

2011. 

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(Accessed on 20 November 2011.) 

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http://www.digitalpreservation.gov/formats/intro/intro.shtml (Accessed on 24 

November 2011.) 

“Strategic Vision for DoD Modeling and Simulation.” Office of the Director of 

Defense Research and Engineering, Washington, DC. August 24, 2007. 

Available via: http://www.msco.mil/files/Strategic_Vision_Goals.pdf 

(Accessed on 20 November 2011.) 

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Transportation. Federal Highway Administration and the California Department 

18 
 

 

 

 

of Transportation. Available via: http://www.fhwa.dot.gov/cadiv/segb/ 

(Accessed on 1 November 2011.) 

[DOT 2011b]	 “Configuration management plan template.” Federal Highway Administration 

and the California Department of Transportation. Available via: 

http://www.fhwa.dot.gov/cadiv/segb/views/document/sections/section8/8_4_3.ht 

m (Accessed on 29 November 2011.) 

[DOT 2011c]	 “Configuration Management for Transportation Management Systems 

Handbook.” Federal Highway Administration and the California Department of 

Transportation. Available via: 

http://ops.fhwa.dot.gov/freewaymgmt/publications/cm/handbook/append ixA.ht 

m (Accessed on 29 November 2011.) 

[Eaton 2011] “Configuration Management Tools Summary.” Available via: 

http://www.daveeaton.com/scm/CMTools.html (Accessed on 29 November 

2011.) 

[EPA 2002]	 U.S. Environmental Protection Agency, Quality Assurance Project Plans for 

Modeling, EPA QA/G-5M. Office of Environmental Information, Washington, 

DC, 2002. Available via: http://www.epa.gov/quality/qs-docs/g5m-final.pdf 

(Accessed on 05 March 2012.) 

[EPA 2009]	 U.S. Environmental Protection Agency. “Guidance on the Development, 

Evaluation, and Application of Environmental Models.” EPA/100/K-09/003, 

Washington, DC. March 2009. 

[FEMA 2008]	 “National Response Framework.” Federal Emergency Management Agency 

(FEMA) Department of Homeland Security. January 2008. Available via: 

http://www.fema.gov/pdf/emergency/nrf/nrf-core.pdf (Accessed on 22 

November 2011.) 

[GEIA 2011]	 “ANSI-EIA-649-A-Standard – National Consensus Standard for Configuration 

Management.” Available from: http://www.geia.org/Standards-And-Publications 

(Accessed on 20 November 2011.) 

Also available from: 

http://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FEIA-649­

A+2004&gclid=CMj-ldDr3KwCFUdn5Qod6GersQ 

(Accessed on 20 November 2011.) 

[Hollenbach 2009]	 Hollenbach, J.W. “Inconsistency, Neglect, and Confusion; A Historical Review 

of DoD Distributed Simulation Architecture Policies” Paper 09S-SIW-077. 

Simulation Interoperability Workshop (SIW), San Diego, CA. March 23-27, 

2009. 

[HUD 2011]	 “Configuration Management Plan.”U.S. Department of Housing and Urban 

Development. Available via: 

http://portal.hud.gov/hudportal/documents/huddoc?id=cmptemplate.doc 

(Accessed on 29 November 2011.) 

19 
 

 

 

 

 

 

[Hutchings 2010] Hutchings, C.W. “Improving the Management of Modeling and Simulation 

Capabilities in the U.S. Department of Homeland Security.” U. S. Department of 

Homeland Security, Science & Technology Directorate Workshop on Grand 

Challenges in Modeling, Simulation and Analysis for Homeland Security 

(MSHAS-2010), Arlington, VA, 17 – 18 March 2010. 

[IEEE 1990] IEEE Std 610.12-1990, IEEE standard glossary of software engineering 

terminology. Institute of Electrical and Electronics Engineers. Available via: 

http://standards.ieee.org/findstds/standard/610.12-1990.html (Accessed on 18 

December 2011.) 

[IEEE 2005] IEEE STD 828-2005 - IEEE Standard for Software Configuration Management 

Plans. Institute of Electrical and Electronics Engineers. Available via: 

http://standards.ieee.org/findstds/standard/828-2005.html (Accessed on 27 

November 2011.) 

[ISO 2003a] “ISO 14721:2003 Space data and information transfer systems -- Open archival 

information system -- Reference model.” International Organization for 

Standardization. Available via: 

http://www.iso.org/iso/catalogue_detail.htm?csnumber=24683 (Accessed on 27 

November 2011.) 

[ISO 2003b] “ISO 10007:2003 Quality management systems -- Guidelines for configuration 

management. International Organization for Standardization. Available via: 

http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumb 

er=36644 (Accessed on 27 November 2011.) 

[ISO 2010] “ISO/IEC TR 18018:2010 Information technology -- Systems and software 

engineering -- Guide for configuration management tool capabilities.” 

International Organization for Standardization. Available via: 

http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumb 

er=51042 (Accessed on 29 November 2011.) 

[NARA 1995] “Agency Record keeping Requirements: A Management Guide.” National 

Archives and Records Administration (NARA). Available via: 

http://www.archives.gov/records-mgmt/publications/agency-recordkeepingrequirements.html (Accessed on 15 November 2011.) 

[NARA 2011a] “National Archives and Records Administration (44 U.S.C. Chapter 21) § 2101. 

Definitions.” Available via: http://www.archives.gov/about/laws/nara.html#def 

(Accessed on 22 November 2011.) 

[NARA 2011b] “44 USC Chapter 31 - Records Management by Federal Agencies.” Available 

via: http://www.archives.gov/about/laws/fed-agencies.html (Accessed on 26 

November 2011.) 

[NARA 2011c] “Tips for Scheduling Potentially Permanent Records in Portable Document 

20 
 

 

Format (PDF).” National Archives and Records Administration (NARA). 

Available via: http://www.archives.gov/records-mgmt/publications/pdf-tips.pdf 

(Accessed on 30 November 2011.) 

[NARA 2011d]	 “Records management toolkit.” National Archives and Records Administration 

(NARA). November 16, 2011. Available via: http://www.archives.gov/recordsmgmt/toolkit/pdf/all-nara-tools-by-date.pdf (Accessed on 30 November 2011.) 

[NARA 2011e]	 “Systems Development Life Cycle Checklists.” National Archives and Records 

Administration (NARA). Available via: http://www.archives.gov/recordsmgmt/initiatives/sdlc-checklist.pdf (Accessed on 30 November 2011.) 

[NASA 2002]	 “Reference Model for an Open Archival Information System (OAIS).” 

Management Council of the Consultative Committee for Space Data Systems 

(CCSDS). National Aeronautics and Space Administration. Washington, DC 

2002. Available via: http://public.ccsds.org/publications/archive/650x0b1.pdf 

(Accessed on 15 November 2011.) 

[NCDCR 2008]	 “Best Practices for File-Naming.” North Carolina Department of Cultural 

Resources. 2008. Available via: 

http://www.records.ncdcr.gov/erecords/filenaming_20080508_final.pdf 

(Accessed on 30 November 2011.) 

[NIST 2007]	 Lubell, J., S.Rachuri, E.Subrahmanian, W.Regli. “Long Term Knowledge 

Retention Workshop Summary - NISTIR 7386.” National Institute of Standards 

and Technology, Gaithersburg, MD. 2007. Available via: 

http://www.nist.gov/customcf/get_pdf.cfm?pub_id=822647 (Accessed on 30 

November 2011.) 

[NIST 2011a]	 McLean, C., C. Hutchings, Y. T. Lee, S. Jain. Technical Guidance for the 

Specification and Development of Homeland Security Simulation Applications, 

National Institute of Standards and Technology: Gaithersburg, MD. November 

2011. (in preparation, for information, contact: [leet@nist.gov].) 

[NIST 2011b]	 “NIST Publications Portal.” Available via: http://www.nist.gov/publicationportal.cfm (Accessed on 27 November 2011.) 

[NIST 2011c]	 DHS/NIST Workshop on Homeland Security Modeling & Simulation, June 14­

15, 2011 (NISTIR 7826). National Institute of Standards and Technology: 

Gaithersburg, MD. November 2011. 

[NIST 2011d]	 “Configuration Management Plan.” National Institute of Standards and 

Technology. Gaithersburg, MD. Available via: 

http://csrc.nist.gov/groups/SMA/fasp/documents/hw_sw_mainenance/ConfigMngment-Plan.doc (Accessed on 27 November 2011.) 

[NNSA 2004]	 National Nuclear Security Administration (NNSA). “ASC Program Plan, FY06, 

NA-ASC-106R-05-Vol. 1-Rev. 0.” Washington, DC. 2004. 

https://asc.llnl.gov/publications/asc_program_plan_fy06.pdf (Accessed 05 

21 
 

March 2012.) 

[Pressman 2011] “Software Configuration Management.”R.S.Pressman & Associates. Available 

via: http://www.rspa.com/spi/SCM.html (Accessed on 20 November 2011.) 

[SAA 2005] Pearce-Moses, R. “Glossary of archival and records terminology.” Society of 

American Archivists. 2005. Available via: 

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[SAManage 2010] “The Benefits of IT Configuration Management.” SAManage. May 14, 2010. 

Available via: · http://www.samanage.com/blog/2010/05/the-benefits-of-itconfiguration-management/ (Accessed on 27 November 2011.) 

[SANS 2002] “Electronic Data Retention Policy.” SANS Institute. Available via: 

http://www.sans.org/reading_room/whitepapers/backup/electronic-dataretention-policy_514 (Accessed on 15 November 2011.) 

[SearchStorage 

2011] 

“Definition – Archive.” Available via: 

http://searchstorage.techtarget.com/definition/archive (Accessed on 20 

November 2011.) 

[Spiro 2011] Spiro, L. “Archival Workflow.” Available via: 

http://archivalsoftware.pbworks.com/w/page/13600237/Archival%20Workflow 

(Accessed on 26 November 2011.) 

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http://it.toolbox.com/blogs/enterprise-solutions/scm-change-control-board-3334 

(Accessed on 26 November 2011.) 

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Appendix I – DHS M&S Capabilities 

This appendix presents a list of M&S capabilities currently used by DHS and an overview of these 

capabilities. Facilities in this appendix may often be sources (i.e., developers) or recipients of M&S 

homeland security applications. Other likely recipients of deployed homeland security M&S applications 

include other Federal government agencies, state and local governments, first responder organizations, 

and various non-governmental organizations (e.g., healthcare institutions, the Red Cross, and faith-based 

organizations). 

Name Overview 

DHS Operations Battle Lab Mission: To act as the operational DHS and Interagency 

experimentation and proof of concept center with the express 

purpose of enhancing and improving current capabilities, 

situational awareness, and information sharing by leveraging cost 

effective existing and emerging technologies, concepts, and 

processes. 

Goals: 

• Transform information sharing and reporting by 

incorporating a single query federated search capability. 

• Enhance DHS, federal, state and local (S/L), tribal, and 

private sector access to data, information, and analysis. 

• Provide DHS, federal, S/L, tribal, and private sector 

authorities access to an advanced analytical toolkit to support 

data correlation and fusion. 

• Enhance interoperability with DoD, U.S. Northern Command 

(USNORTHCOM), and National Guard Bureau (NGB) 

during crisis operations. 

• Enhance situational awareness by integrating interagency, 

incident command (IC), law enforcement, proprietary, and 

multiple classification data into a user-defined picture and 

share via a role and privilege-based interface. 

• Provide real time data to facilitate timely, risk-mitigated 

decision making. 

Homeland Security Studies 

and Analysis Institute 

(HSSAI) 

HSSAI is a Federally Funded Research and Development Center 

(FFRDC) established by the Homeland Security Act of 2002. 

HSSAI delivers independent and objective analyses and advises in 

core areas important to all DHS components in support of policy 

development, decision making, analysis of alternative approaches, 

and evaluation of new ideas on issues requiring scientific, 

technical, and analytical expertise. HSSAI efforts are framed 

around nine strategic capability areas: 

• Risk analysis – at the strategic, tactical, and operational levels. 

23 
 

 

 

 

 

 

 

• Operations analysis – to improve real-world processes 

• Threat analysis – identify and understand existing and emerging 

threats. 

• Systems analysis – illuminate complex interdependencies and 

tradeoffs. 

• Information-sharing analysis – improve the effectiveness and 

efficiency of HS operations among all levels of government and 

the private sector. 

• Policy and planning analysis – help set the direction for 

homeland security. 

• Program analysis – identify solutions for capability gaps. 

• Science and technology analysis – ensure advances in these 

areas benefit the end users. 

• Training, education, and professional development analysis – 

ensure the necessary competencies for the homeland security 

workforce. 

Homeland Security Systems The SEDI FFRDC was established in early 2009 to provide 

Engineering and Development systems engineering expertise and acquisition strategy advice to 

Institute (SEDI) improve policies, processes, and tools for mission capabilities that 

ensure the nation’s security. SEDI provides an interdisciplinary 

engineering approach to the challenges of homeland security, 

combining technical expertise, domain knowledge, and business 

capabilities to improve interoperability, develop flexible and 

expandable architectures, and integrate proven technology into 

practical solutions. Key areas for SEDI work include: 

• Border security and immigration. 

• Intelligence and cyber analysis. 

• Preparedness, response, and recovery. 

• Protection of critical infrastructure. 

• Screening and credentialing. 

• Transportation security. 

National Exercise Simulation 

Center (NESC) The NESC provides a state-of-the-art facility at FEMA to serve the 

all-hazards preparedness and response mission through pooling 

resources, maximizing efficiency, and providing sustained exercise 

and training support to all stakeholders. NESC will expand its 

capabilities to: 

• Support national, federal, state, and local exercises throughout 

the United States and internationally, with around-the-clock 

availability, to include Radiological Emergency Preparedness 

Program exercises and the National Level Exercise with Master 

Control Cell and National Simulation Cell and related 

functions. 

• Provide a forum for interagency planners to test their plans 

(e.g., annual hurricane plans, pandemic influenza plans) by 

24 
 

 

 

 

 

 

 

 

 

 

 

providing realistic incident scenarios through which partners 

can identify gaps and determine courses of action. 

• Serve as “future planning” support for FEMA's Disaster 

Operations Directorate and other FEMA and DHS Directorates 

by providing technical modeling and simulation tools that 

enable planners to better visualize potential future scenarios. 

• Coordinate activities that support real-world events and 

exercises, such as Homeland Security Exercise and Evaluation 

Program training and initial-, mid-, and final- planning 

conferences. 

• Incorporate real-time, mock-media capabilities, such as the 

Virtual News Network, that provide exercise participants with 

realistic breaking news bulletins, interviews, and live news 

coverage of incidents. 

• Provide practical training opportunities to those learning about 

exercise design, conduct, and management through individual 

mentorship of federal, state, tribal, and local professionals. 

• Link to other centers that provide specialty modeling, 

simulation and data services such as the Joint War-fighting 

Center, the National Infrastructure Simulation and Analysis 

Center, the Emergency Management Institute, and other centers 

that provide natural and man-made disaster modeling, 

constructive simulation tools, and Subject Matter Expert (SME) 

databases and historical deployment/response information. 

Incorporate national and FEMA improvement management 

services to include the Remedial Action Management Program, the 

National Corrective Action Program, and the Lessons Learned 

Information System, to support in-depth analysis of real-world and 

exercise events and provide real-time lessons learned capabilities 

Office of Infrastructure 

Protection- Homeland 

Infrastructure Threat and Risk 

Analysis Center 

(HITRAC)/National 

Infrastructure Simulation and 

Analysis Center (NISAC) 

HITRAC performs threat, vulnerability, and consequence analysis 

for risk to the National Critical Infrastructure and the capabilities 

that infrastructure provides. The Modeling, Simulation, and 

Analysis capability is directed and managed by HITRAC and 

executed by NISAC. NISAC provides strategic, multi-disciplinary 

analyses of interdependencies and the consequences of 

infrastructure disruptions across all 18 critical infrastructure and 

key resource (CIKR) sectors at National, regional, and local levels. 

HITRAC manages the capability development and employment of 

tools for HITRAC and NISAC analysts to address the complexities 

of interdependent national infrastructures, including process-based 

systems dynamics models, mathematical network optimization 

models, physical-science-based models of existing infrastructures, 

and high-fidelity agent-based simulations of systems. 

Office of Intelligence and 

Analysis (I&A) “Future 

Series” Workshops 

The Strategic Analysis Group has implemented a pilot program of 

Future Workshops as a follow on the Homeland Security Threat 

Assessment (HSTA). These workshops have two principal goals. 

The first is to better integrate intelligence analysts with planning 

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and programming analysts across the DHS Enterprise to support 

capabilities and gaps analysis. The second is to identify Emerging 

Trends that may impact homeland security, a requirement of the 

9/11 Commission emphasis on preventing surprise. The topics of 

these workshops are derived from the HSTA Threat Streams, but 

are focused on more detailed levels of analysis of interest to the 

Policy customer. These workshops have been jointly hosted by the 

Undersecretary for Intelligence and Analysis and the 

Undersecretary for Policy. 

Office of Risk Management & 

Analysis (RMA) 

RMA was established in April 2007 and delegated its authority 

(Delegation Number: 17001) to lead DHS's efforts to establish a 

common framework to address the overall management and 

analysis of homeland security risk, develop systematic rigorous 

risk analysis methodologies, and provide core risk-analysis 

capabilities to be used throughout DHS to enhance homeland 

security risk management. 

RMA addresses risks to the Nation from the DHS Enterprise and 

the broader Homeland Security Enterprise perspectives. RMA 

leads DHS’s efforts to develop a framework and embed a 

consistent coordinated approach to address the overall 

management and analysis of homeland security risk. RMA partners 

with DHS component organizations to develop and apply 

systematic risk analysis methodologies and to ensure risk 

information is used effectively to manage homeland security risk. 

Additionally, RMA is developing and implementing crosscomponent analysis in the Risk Assessment Process for Informed 

Decision Making (RAPID) and in the Homeland Security Nation 

Risk Assessment (HSNRA). The risk information produced 

through these assessments will inform enterprise level strategic 

planning and resource allocation processes and decisions. 

Science and Technology The Director of the Operations Analysis Division (OAD) is 

Directorate (S&T) -­ responsible to the S&T Under Secretary as the principal assistant 

Operations Analysis Division for operations analysis and senior advisor on requirements for 

operations analysis, initiating and conducting projects as required 

and overseeing and managing analytical resources within the S&T 

Directorate. The OAD director is executive agent of the two DHS 

FFRDCS (HSSAI and SEDI), as well as executive director of the 

Homeland Security Science and Technology Advisory Committee 

(HSSTAC). OAD also manages two other programs with crossComponent applicability: 

• Gaming Simulations conduct seminar games focused on 

resolving technology transition challenges. These games result 

in operational capability gap articulation and understanding, as 

well as identifying potential technology solutions. Games 

conducted by OAD have helped identify organizational 

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Science and Technology 

Directorate (S&T) - University 

Programs Centers of 

Excellence 

impediments to homeland security technology handoff and 

fielding. Games typically involve participation from multiple 

DHS Components, private sector, technology experts, and 

interagency personnel. 

•	 Operational Experimentation assists DHS components by 

conducting experiments in real-world environments that 

involve actual users and operators (vice scientists and 

engineers) and a realistic mix of operational systems in addition 

to those being tested. Operational experiments are focused on 

the effects of systems on operations, as opposed to test and 

evaluation, which tends to consider the effects of operations 

upon systems. 

The Homeland Security Act of 2002 granted DHS the authority to 

create university-based Centers of Excellence (COEs). The centers 

are authorized by Congress and chosen by the S&T through a 

competitive selection process. 

“The Secretary, acting through the Under Secretary for Science 

and Technology, shall designate a university-based center or 

several university-based centers for homeland security. The 

purpose of the center or these centers shall be to establish a 

coordinated, university-based system to enhance the Nation's 

homeland security.” – as amended. 

The COEs bring together leading experts and researchers to 

conduct multidisciplinary research and education for homeland 

security solutions. Each center is led by a university in 

collaboration with partners from other institutions, agencies, 

laboratories, think tanks, and the private sector. Current COEs 

include: 

•	 The Center for Risk and Economic Analysis of Terrorism 

Events (CREATE), led by the University of Southern 

California, develops advanced tools to evaluate the risks, 

costs and consequences of terrorism, and guides 

economically viable investments in countermeasures that will 

make our Nation safer and more secure. 

•	 The National Center for Foreign Animal and Zoonotic 

Disease Defense (FAZD), led by Texas A&M University, 

protects against the introduction of high-consequence foreign 

animal and zoonotic diseases into the United States, with an 

emphasis on prevention, surveillance, intervention, and 

recovery. 

•	 The National Center for Food Protection and Defense 

(NCFPD), led by the University of Minnesota, defends the
 

safety and security of the food system from pre-farm inputs
 

through consumption by establishing best practices, 

developing new tools, and attracting new researchers to
 

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prevent, manage, and respond to food contamination events 

•	 The National Consortium for the Study of Terrorism and 

Responses to Terrorism (START), led by the University of 

Maryland, makes decisions on how to disrupt terrorists and 

terrorist groups, while strengthening the resilience of U.S. 

citizens to terrorist attacks. 

•	 The Center for Advancing Microbial Risk Assessment 

(CAMRA), led by Michigan State University, Drexel 

University, and established jointly with the U.S. 

Environmental Protection Agency, fills critical gaps in risk 

assessments for decontaminating microbiological threats, 

such as plague and anthrax, and answering the question, 

“How Clean is Safe?” 

•	 The National Center for the Study of Preparedness and 

Catastrophic Event Response (PACER) led by Johns Hopkins 

University, optimizes our nation's preparedness in the event 

of a high-consequence natural or man-made disaster, as well 

as develops guidelines to best alleviate the effects of such an 

event. 

•	 The Center of Excellence for Awareness & Location of 

Explosives-Related Threats (ALERT), led by Northeastern 

University in Boston, MA and the University of Rhode Island 

in Kingston will develop new means and methods to protect 

the nation from explosives-related threats, focusing on 

detecting leave-behind Improvised Explosive Devices, 

enhancing aviation cargo security, providing next-generation 

baggage screening, detecting liquid explosives, and 

enhancing suspicious passenger identification. 

•	 The National Center for Border Security and Immigration 

(NCBSI), led by the University of Arizona in Tucson 

(research co-lead) and the University of Texas at El Paso 

(education co-lead), is developing technologies, tools, and 

advanced methods to balance immigration and commerce 

with effective border security, as well as assess threats and 

vulnerabilities, improve surveillance and screening, analyze 

immigration trends, and enhance policy and law enforcement 

efforts. 

•	 The Center for Maritime, Island and Port Security (MIPS), 

led by the University of Hawaii in Honolulu for maritime and 

island security and Stevens Institute of Technology in 

Hoboken, New Jersey, for port security, will strengthen 

maritime domain awareness and safeguard populations and 

properties unique to U.S. islands, ports, and remote and 

extreme environments. 

•	 The Center for Natural Disasters, Coastal Infrastructure, and 

Emergency Management (NDCIEM), led by the University 

of North Carolina at Chapel Hill and Jackson State 

University in Jackson, Mississippi will enhance the Nation's 

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ability to safeguard populations, properties, and economies as 

it relates to the consequences of catastrophic natural disasters. 

•	 The National Transportation Security Center of Excellence 

(NTSCOE), was established in accordance with HR1, 

Implementing the Recommendations of the 9/11 Commission 

Act of 2007, in August 2007. NTSCOE is made up of seven 

institutions: Connecticut Transportation Institute at the 

University of Connecticut, Tougaloo College, Texas Southern 

University, National Transit Institute at Rutgers - The State 

University of New Jersey, Homeland Security Management 

Institute at Long Island University, Mack Blackwell National 

Rural Transportation Study Center at the University of 

Arkansas, and the Mineta Transportation Institute at San José 

State University. The NTSCOE will develop new 

technologies, tools and advanced methods. The goal is to 

defend, protect, and increase the resilience of the nation's 

multi-modal transportation infrastructure and education and 

training baselines for transportation security geared towards 

transit employees and professionals. 

•	 The Center of Excellence in Command, Control and 

Interoperability (C2I), led by Purdue University (visualization 

sciences co-lead) and Rutgers University (data sciences colead), will create the scientific basis and enduring 

technologies needed to analyze massive amounts of 

information from multiple sources to more reliably detect 

threats to the security of the nation and its infrastructures, and 

to the health and welfare of its populace. These new 

technologies will also improve the dissemination of both 

information and related technologies. 

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