Defense Acquisition Operation of the Defense Acquisition System

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Defense Acquisition Operation of the Defense Acquisition System Powered By Docstoc
					 Review of DoD’s New Acquisition
 Policy and its Impact on Programs
 and Systems Engineering

                                   by Al Bruns
                                   INCOSE Gateway Chapter
                                   Wednesday, 30 July 2003

Ref.: New Acquisition Policy by DAU, 20 May 2003, PMT-352
     New Acquisition Policy
• DoD Directive 5000.1
 Principles retained; innovation/flexibility
• DoD Instruction 5000.2
 Focused on required outcomes and statutory
  requirements and less on regulatory
• DoD Regulation 5000.2-R
 - Cancelled; becomes “guide” not a regulation
 - Provides expectations (TEMP, C4ISP, etc..),
   best practices and lessons learned
                 The Defense Acquisition Management
                                       DoDI 5000.2, May 2003

     Technology Opportunities
                                                 • Process entry at Milestones A, B, or C
          & User Needs
                                                 • Entrance criteria met before entering phase
                                                 • Evolutionary Acquisition or Single Step to
                                                  Full Capability

            A              B   Initiation)               C                IOC                  FOC
 Concept    Technology System Development                      Production &           Operations &
Refinement Development & Demonstration                         Deployment               Support
                                              Design                      FRP
 Concept                                     Readiness       LRIP/IOT&E   Decision
 Decision                                     Review                      Review

 Pre-Systems Acquisition                     Systems Acquisition                       Sustainment
                                                                                Increment II

                                                                                           Increment III

          New Requirements Documents

 Common element is CAPABILITIES
 • Initial Capabilities Document (ICD) replaces MNS at Milestone A
   Describes desired capability. Evaluates multiple materiel approaches.
   Recommends a materiel approach.
 • Capability Development Document (CDD) replaces ORD at
  Milestone B
   Describes the SDD effort and provides KPPs for the increment.
   Describes program to get to complete solution.
 • Capability Production Document (CPD) replaces ORD at
  Milestone C
   Describes the SDD effort to produce materiel solution for the
   increment and provides KPPs for the production increment.

Details will be implemented by CJCSI 3170.01C & CJCSM 3170.01
       Technology Development Strategy

• Required ACAT I and IA programs. Based on AoA
• Contents:
   - Rational for EA or single-step strategy
   - For EA, description of how program will be divided into
       technology spirals & development increments
   -   Appropriate limits on prototypes produced and deployed
       during the TD Phase
   -   Performance Goals and Exit Criteria to be met prior to
       proceeding into SDD and producing additional prototypes
   -   Overall cost, schedule and performance goals for the total
       R&D effort
   -   Specific cost, schedule and performance goals and exit
       criteria for the first technology spiral demonstration, and
       a test plan to ensure that they are met.
              DoD Instruction 5000.2
     Operation of the Defense Acquisition System

New/Revised from previous 5000.2:
  • “Concept Decision” - new decision point prior to
   Milestone A
  • Analysis of materiel approaches done prior to
   Concept Decision, and documented in Initial
   Capabilities Document (ICD). MNS is eliminated.
  • New phase prior to Milestone A, “Concept
  • Analysis of Alternatives (AoA) due at Milestone A
   vice program initiation (Milestone B). Used to
   refine the initial concept and provide basis for the
   Technology Development Strategy.
                      Oversight & Review
                      ACAT ID/IAM Programs*

                           Defense                             Chief
                         Acquisition                        Information
                          Executive                            Officer

                      Defense Acquisition                   IT Acquisition
                            Board                               Board

 Weapon    Systems                   C3ISR Systems            Major    AIS
    Overarching                                     C3I Overarching
Integrated Product                                Integrated Product
   Teams (OIPT)                                       Team (OIPT)
  Director, Defense
      Systems                                  The acquisition responsibilities of
                                               USD(Intel) vs. ASD(NI2)/DoD CIO are
    OUSD(AT&L)                                 a work in process.

           *Note: Space Programs have been delegated to the Air Force and
           most missile defense programs to the Missile Defense Agency
Transformation to the Joint Capabilities
 Integration and Development System

      RGS                          JCIDS

   Integrated at        National
    Department                             Joint

                       Joint Concept of Operations

   Requirements               Joint Concepts
                         Integrated Architectures

                            Joint Capabilities

Bottom Up, Often       Top Down, Born Joint
      Evolutionary Acquisition

    Increment 2
                         OR Single Step to
        Increment 3             Full Capability ?

             Key Considerations
• Urgency of Requirement
• Maturity of Key Technologies
• Interoperability, Supportability, and Affordability of
  Alternative Acquisition Approaches
   • Cost/Benefit of Evolutionary vs. Single Step Approach
                   DoD Instruction 5000.2
         Operation of the Defense Acquisition System

                Evolutionary Acquisition
•   Two development processes to implement
    Evolutionary Acquisition Strategy
     - Incremental Development: End-state requirement is
        known, and requirement will be met over time in several
    -   Spiral Development: Desired capability is identified, but
        end-state requirements are not known at Program
        Initiation. Requirements for future increments dependent
        upon technology maturation and user feedback from
        initial increments
• Evolutionary acquisition strategies shall be
    preferred approach to satisfying operational needs.
•   Spiral development shall be the preferred process.
                     Evolutionary Acquisition –
                Incremental & Spiral Development

      = Capability
                                   Known             Known        Known
                                 increment         increment    increment
- Incremental

       First Fielded Capability

- Spiral                               Partially
                                                   Not known
Technology Demos
    Feedback from                                              Not known
      warfighter                                               increment

                 Single Step Approach
                                           Technology Base
                   NO CAPABILITY

Capability                                          Requirements

                                     FOC       Capability


                Evolutionary Acquisition
                                              Technology Base

          Evolutionary Approach
     A        B          C

CR       TD        SDD           PD           OS

                             B        C

                                      Increment 2

                                          B         C

                                                    Increment 3
                  Key Enablers
• Time-Phased Requirements
• A Modular Open Systems Approach to facilitate
  Technology Insertion
• Evolutionary Sustainment Strategies
• T&E Consistent with Evolutionary Approach
• Full Funding
            Each Increment Must Have…
                               B       C

                                       Increment 2

                                           B         C

                                                     Increment 3

• Approved Operational Requirements
   • Interoperability Key Performance Parameter
• Performance, Cost and Schedule Goals (Acquisition Program
• Operational and Live Fire Testing (If Required)
• Compliance with Acquisition Oversight Requirements
• An Acquisition Strategy that reflects consideration of Logistics
  Planning; Manpower, Personnel and Training; Environmental and
  Security Factors; Protection of Critical Program Information; and
  Spectrum Management
• Other information tailored to the conditions of the program
    Each Increment is Managed as a Unique Acquisition
    Acquisition Strategy Comparison Table
       Acquisition Single Step   Pre-planned                 Evolutionary Acquisition *
         Strategy    to Full       Product
                                                            Incremental            Spiral
Criteria            Capability Improvement (P3I)            Development        Development **
Full requirements
defined at outset      Yes                Yes                   Yes                  No
intermediate            No                Yes                   Yes                 Yes
Multiple iterations     No                 No                   Yes                 Yes
All capabilities
required in initial    Yes                 No                   No                   No
User feedback
from earlier
iterations used to      No                 No                   Yes                 Yes
define final
                      Traditional   Achieves increased     Often used in      Preferred process
Other                 acquisition   capability from        hardware           (Previously used
characteristics       strategy      predictable maturing   development        mostly in Software
                                    technology                                development)

                                                  *   Preferred strategy   ** Preferred process
                    DoD Instruction 5000.2
       Operation of the Defense Acquisition System

Statutory Information Requirements Changed/Added

    Requirement               Reference                        Comment
Spectrum Certification   47 USC 305 & 901-904 MS B, or        Name change
Compliance               PL 102-538           MS C if no B    Formerly –
                         OMB A-11, Part 2                     Application
                         DoDD 4650.1                          For Frequency
Environmental                                  MS B, or       From
                             42 USC 4321
Safety & Health                                MS C if no B   DoD 5000.2-R

Electronic                Sec. 220, PL 103-    annually       From
Warfare T&E               160 & Sec. 214, PL                  DoD 5000.2-R
Report                    103-337
                        DoD Instruction 5000.2
         Operation of the Defense Acquisition System

Statutory Information Requirements Changed/Added
      Requirement             Reference                    Comment
Certification of
Compliance with                             MS A, B,         NEW
Financial Management         PL 107-249     and C            From
Modernization Plan (FM                                     Congress
acq programs only)
Benefits Analysis
& Determination                                              NEW
                            15 USC 644(e)   MS B, or
(applies to bundled                                          From
                                            MS C if no B
acquisitions; part of                                      Congress
acq strategy)

Technology                                                   NEW
                             Sec. 803, PL   MS A, B and
Development                                                  From
                             107-314        C
Strategy                                                   Congress
                        DoD Instruction 5000.2
       Operation of the Defense Acquisition System
Regulatory Information Requirements Changed/Added
 Regulatory Information                      When
                             Reference                     Comment
  Requirements Added                        Required
                                                           NEW from
 Initial Capabilities
                            CJCSI 3170.01    MS A         Joint Staff
 Document (ICD)
                                                         Replaces MNS
 Capability Development
                            CJCSI 3170.01    MS B          NEW from
 Document (CDD)
                                                           Joint Staff
 Capability Production                                   Replaces ORD
                            CJCSI 3170.01    MS C
 Document (CPD)
 Technology Readiness                                    Revised from
                             DoDI 5000.2    MS B & C     DoD 5000.2-R
 Assessment (PM-level)
                                                         requirement for
 Independent Technology                                  an Independent
 Readiness Assessment                                    Technology
                             DoDI 5000.2    MS B & C
 (ACAT ID only – as                                      Assessment for
 required by DUSD(S&T))                                  all programs

 Earned Value               OMB Cir A-11, See ANSI/      From
 Management Systems         part 7        EIA-748-1998   DoD 5000.2-R
                     DoD Instruction 5000.2
      Operation of the Defense Acquisition System
                   Other Reports Changed/Added
       Report                 Reference       When Required            Comment
Defense Acquisition                         Quarterly
Executive Summary    DoDI 5000.2            POM or BES submit
                                                              DoD 5000.2-R
(DAES) (MDAP & MAIS)                        UCR breach

Contractor Cost Data                                                  From
                            DoD 5000.4-M-1 See the reference
Report (CCDR)                                                         DoD 5000.2-R

Software Resources                          -180 days prior to
Data Report                 DoD 5000.4-M-2 contract award
                                                                      NEW from
(ACAT I/IA programs for                     -60 days after contract
                                            award                        OSD
all major contracts & sub
– contracts for any                         -60 days after start of    Director,
software development                        subsequent software         PA&E
elements with a projected                   releases
software effort greater                     -within 120 days after
than $25M (FY02 constant                    software release or
dollars)                                    final delivery
    Defense Acquisition Management
        Framework – Key Points

• Evolutionary acquisition is the preferred strategy
  for rapid acquisition of mature technology; spiral
  development is the preferred process
• MDA may authorize entry at any point consistent
  with phase-specific entrance criteria and
  statutory requirements
• Non-mandatory guidance on best practices,
  lessons learned and expectations are available in
  the Interim Guidebook (former DoD 5000.2-R)
• Validated and approved ORDs are still required
  until revised CJCSI 3170.01 is published
                    The Defense Acquisition Management

                 User Needs &                         • Process entry at Milestones A, B, or C
            Technology Opportunities                  • Entrance criteria met before entering phases
                                                      • Evolutionary Acquisition or Single Step to
                                                        Full Capability

            A             B                                C                  IOC                      FOC
                                System         System          LRIP       Full-Rate Prod & Sustainment
                              Integration   Demonstration                   Deployment
                                         Design                         FRP
                                         Readiness                      Decision
                                         Review                         Review
 Concept    Technology         System Development                                                    Operations
Refinement Development                                         Production & Deployment
                                 & Demonstration                                                     & Support
     Pre-Systems                              Systems Acquisition                                  Sustainment

                                                                                           Validated & approved by
   Initial Capabilities           Capability Development        Capability Production
                                                                                        operational validation authority
     Document (ICD)                  Document (CDD)               Document (CPD)

                                 Relationship to Requirements Process

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