Center for Program Management Defense Acquisition University 27 by dustindiamond

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									      DoDD 5000.1
       DoDI 5000.2
      DoD 5000.2-R

Center for Program Management
 Defense Acquisition University
         27 November 2002
      Supercedes 7 Nov 2002 version
          Structure of this

• This presentation provides information on
  what has changed and why (through chart 16)
• A short tutorial is provided to step through the
  acquisition process using the interim
  guidance (charts 17 through 46)

   - A more comprehensive tutorial will be
   posted to this site after the new DoDD 5000.1
   and DoDI 5000.2 are issued in early 2003
            New Acquisition Policy
       From This
        (April 2002)
• DoD Directive 5000.1
• DoD Instruction 5000.2
• DoD Regulation 5000.2-R
                                            To This
                                          (30 Oct 2002)
                    • Interim Guidance Documents:
                        - The Defense Acquisition System
                        - Operation of the Defense Acquisition System
                        - Interim Defense Acquisition Guidebook
• DoDD 5000.1 & DoDI 5000.2 will be reissued in January 2003.
• DoD 5000.2-R will not be reissued.
• The former DoD 5000.2-R serves as the Interim Guidebook pending issuance
 of a streamlined guidebook. The former DoD 5000.2-R is NOT mandatory.
   Need for New Policy Environment

“I have determined that the current DoD Directive
5000.1, “The Defense Acquisition System,” DoD
Instruction 5000.2, “The Operation of the Defense
Acquisition System,” and DoD 5000.2-R, “Mandatory
Procedures for Major Defense Acquisition Programs
(MDAPs) and Major Automated Information System
(MAIS) Acquisition Programs,” require revision to
create an acquisition policy environment that
fosters efficiency, flexibility, creativity, and
innovation. Therefore, by separate memorandum, I
have cancelled those documents effective
                     Paul Wolfowitz
                     Deputy Secretary of Defense
DEPSECEDEF Memo, Defense Acquisition, 30 Oct 2002
•   Streamlined: The Defense Acquisition System (replaces DoDD
    5000.1) from 12 to 6 pages; Operation of the Defense
    Acquisition System (replaces DoDI 5000.2) from 46 to 34
•   Retains basic acquisition model (no new phases)
•   Emphasizes evolutionary acquisition and cost realism
•   Has initiative to develop Joint Integrated Architectures
•   Creates Information Technology Acquisition Board (ITAB)
•   Renames Component Advanced Development work effort as
    Technology Development
•   Replaces Interim Progress Review with Critical Design Review
•   Provides “special interest” for ACAT I designation
•   Incorporates DOTMLPF terminology (Joint Vision 2020)
•   Replaces MNS and ORD with ICD, CDD and CPD
•   Cancels DoD 5000.2-R. Replaced by Guidebook
          DEPSECDEF Memo, Defense Acquisition, 30 Oct
        2002, attachment 1, The Defense Acquisition System
      DoDD 5000.1, chg1, 4 Jan 01             The Defense Acq System, 30 Oct 02
    • Five major categories containing        • Thirty short, clear and concise policy
      14 definitive policy statements:          statements, with following additions:
       − Achieving Interoperability              − Decentralized Responsibility
       − Rapid & Effective Transition from       − Reduced Cycle Time
         S&T to Products                         − Collaboration
       − Rapid & Effective Transition from       − Information Superiority
         Acquisition to Production               − Information Assurance
       − Integrated & Effective Operational      − Intelligence Support
         Support                                 − Knowledge-Based Acquisition
       − Effective Management                    − Systems Engineering
    • 8 pages and 3 enclosures                   − Products, Services & Technologies
                                                 − Performance-Based Logistics
Most policy statements                           − Program Goals
from DoDD 5000.1 have                            − Legal Compliance
been summarized and                              − International Agreements
included in the new interim                      − Cost Realism
guidance. Many policy areas                      − Cost Sharing
were added from cancelled                        − Program Information
DoDI 5000.2 and DoD 5000.2-R                  • 5.5 pages, No enclosures
   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 2, Operation of the Defense Acquisition System

       • Replaces DoDI 5000.2
       • Deleted material:
          - Program Initiation in advance of
           Milestone B (except for Ships)
          - Transition Fund in FYDP*
          - Approval of Acquisition Strategy prior
           to release of RFP*
          - IPR between the C&TD work efforts
     *Discretionary areas covered in Guidebook (former DoD 5000.2-R)
   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 2, Operation of the Defense Acquisition System

   • Replaces DoDI 5000.2
   • New/Revised material:
     - Revision of evolutionary acquisition (EA) and
       spiral development (SD) definitions (blocks to
     - New requirements process – Joint Staff will
       provide details in the CJCSI 3170.01 revision
       when it is released in early CY2003.
     - Sys Development and Demonstration IPR now
       Critical Design Review (CDR)
     - Establishes Information Technology Acquisition
       Board (ITAB) – DAB counterpart for MAIS
   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 2, Operation of the Defense Acquisition System

    • New/Revised material…, continued:
      - Defines “special interest” reasons for ACAT I
      - Requires Operational Test Readiness Review
       (OTRR) to be chaired by SAE (ACAT I) or PEO
       (ACAT II/III)
      - Requires Dpty Dir, DT&E independent
       assessment of system readiness for IOT&E
      - Added procedures for Acquisition of Services
      - New report: Software Resources Data Report
   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 2, Operation of the Defense Acquisition System

    • New/Revised material…, continued:
      - Places emphasis on Requirements and
       Acquisition integration; requires that
         •   Joint Staff lead development of joint
             integrated architectures (three views:
             operational, systems and technical)
         •   USD(AT&L) lead development of
             integrated capability assessments,
             capability roadmaps, and investment
                          The 5000 MODEL
           User Needs &                             • Process entry at Milestones A, B, or C
      Technology Opportunities
                                                    • 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 &
        Development        & Demonstration                 Deployment             Support
                                         Critical                     FRP
 Concept     Technology                  Design       LRIP/OT&E       Decision
Exploration Development                  Review                       Review

      Pre-Systems                         Systems Acquisition                    Sustainment

   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 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.
   DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
attachment 2, Operation of the Defense Acquisition System
                 New Requirements Documents
  • Initial Capability Document (ICD) replaces MNS at Milestone A
    Captures capability shortfall in terms of integrated architectures;
    identifies critical capabilities to satisfy the requirement, and best joint
  • Capability Development Document (CDD) replaces ORD at
   Milestone B
    Each CDD will have a set of validated KPPs that will apply only to that
    increment of the evolutionary acquisition strategy.
  • Capability Production Document (CPD) replaces ORD at
    Milestone C
  • Common element is CAPABILITIES that may be required to:
    Resolve a shortfall in warfighting capability, accommodate
    technology breakthrough or intelligence discoveries.

   Details will be implemented by revisions to CJCSI 3170.01B.
     DEPSECDEF Memo, Defense Acquisition, 30 Oct 2002,
  attachment 2, Operation of the Defense Acquisition System

                              Requirements/Acquisition Process
Enterprise Architecture                                                         MS B
  Approved                                                                                      MS C
                                              MS A
                     D                                                          MDA
                     O                               Refinement of        RA              CPD
                            Analysis                 Solution Sets
                     T         Of
                                                       Concept and Technology
                     M     Capability   ICD                  Development                       MDA
                     L      Solution                                                      RA
  Ongoing Mission            Sets
   Area Analysis     P                                        Demo
                                             MDA                                       SDD             LRIP
                     F                  RA                           Demo                                            FRP
                                                                                           Increment 1

                                                                     Demo             MS B             MS C LRIP
     Doctrine, organizations,                                                                                              FRP
     training, materiel, leadership,                                        Demo                 Increment 2
     personnel & facilities
                                                                            Demo             MS B             MS C    LRIP
                                                                                                        Increment 3              FRP

                                                   Integrated Decision Meetings                           Acquisition
   Acquisition Category I Program
Major Defense Acquisition Program (MDAP)

   • Estimated by the USD(AT&L) to
    require eventual total expenditure
    (FY 2000 constant dollars) of:
         - RDTE of more than $365M, or
         - Procurement of more than $2.19B, or
   • May be “special Interest”
    (technology complexity; Congressional
    interest; resource implications; critical to
    achievement of a capability or set of
    capabilities; or is a joint program)
   • Designated by USD(AT&L)
                      Overarching IPT’s

                     Defense Acquisition                Chief 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                                  Deputy ASD C3ISR,
    Systems                                       Space & IT Programs
   OUSD(A&T)                                          OASD(C3I)
Defense Acquisition Management
        A Short Tutorial

The following charts provide a summary of
the acquisition framework based on the
interim guidance issued to replace DoDD
5000.1 and DoDI 5000.2, in attachment 2,
“Operation of the Defense Acquisition
System” DEPSECDEF Memo, 30 Oct 2002,
subject, “Defense Acquisition”
      Defense Acquisition Management
        Framework – A Short Tutorial

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
• Non-mandatory guidance on best practices, lessons
  learned and expectations are available in the Interim
  Guidebook (former DoD 5000.2-R)
• Validated and approved MNS and ORD are still
  required until revised CJCSI 3170.01 is published with
  the new DoDD 5000.1 and DoDI 5000.2 in early CY2003
                                        The 5000 Model

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

A                              B                                C             IOC                            FOC
 Concept         Technology   System               System           LRIP       Full-Rate Prod & Sustainment Disposal
Exploration     Development Integration         Demonstration                    Deployment

                                                 Critical                    FRP
                                                 Design                      Decision
                                                 Review                      Review

       Concept &                      System Development                                                  Operations
    Tech Development                    & Demonstration             Production & Deployment               & Support
        Pre-Systems                                Systems Acquisition                                   Sustainment
        Acquisition                             (Demonstration, Engineering
                                              Development, LRIP & Production)
IOC: Initial Operational Capability
FOC: Full Operational Capability

      Initial Capability               Capability Development        Capability Production      Validated & approved by
                                                                                             operational validation authority
       Document (ICD)                     Document (CDD)               Document (CPD)
                                       Relationship to Requirements Process
                  Pre-Systems Acquisition

          Technology Opportunities & User Needs
                                      Work Content

           User Need                              Technology Opportunities
           Documents                                      Activities
    • Initial Capability                           • Science & Technology
      Document (ICD)*                                (S&T) activities
                                                       − ATDs
                                                       − ACTDs
                                                       − Joint Warfighting
*MNS is required until CJCSI 3170.01 is revised
Hierarchy of Materiel Alternatives
  The DoD Components shall work with users to define
  requirements that facilitate, in preferred order:
1. Procurement/modification of commercially
   available products, services, and technologies,
   from domestic or international sources, or the
   development of dual-use technologies;
2. The additional production/modification of
   previously-developed U.S. and/or Allied military
   systems or equipment;
3. A cooperative development program with one or
   more Allied nations;
4. A new joint Component or Government Agency
   development program; or
5. A new DoD component-unique development
    Entering the Acquisition Process
    The MDA may authorize entry into the acquisition process
    at any point consistent with phase-specific entrance criteria.

                Entrance Criteria
•   Validated & approved ICD resulting from
    analysis of potential concepts across DoD,
    international systems from Allies and
    cooperative opportunities?
•   Assessment of critical technologies
    associated with the concepts, including
    technology maturity, technology risk, and if
    necessary, technology maturation and
    demonstration needs?                             Concept &
                    Milestone A
•   Approval to enter the Concept and
    Technology Development Phase
•   MDA approves:
      - Initiation of concept studies
      - Lead Component for Joint efforts
      - Work on key sub-systems or components
      - Exit criteria
      - Acquisition Decision Memorandum(ADM)
•   Information Requirements:
      - Consideration of technology issues &
         cooperative opportunities with allies
     -   Results of market research
     -   Initial Capability Document (ICD)*
     -   Analysis of Multiple Concepts
             *MNS is required until CJCSI 3170.01 is revised
        Concept & Technology Development
                     Concept            Technology
                    Exploration         Development

 Concept Exploration                    Technology Development
Enter: Validated & approved       Enter: Project leader understands solution
  ICD                               as part of the integrated architecture and
 Activity: Paper studies of        its DOTMLPF implications.
  alternative solutions to the     Activity: Technology development
  initial concept                   demonstrations
Exit: MDA selects preferred       Exit: Affordable increment of military-useful
  solution to be pursued            capability identified and demonstrated in
                                    relevant environment – normally can be
                                    developed for production within 5 years
     Concept Exploration

Purpose: evaluate alternative solutions
 to the initial concept; select preferred
Characterized by:
• Competitive, parallel, short-term studies
• Innovation and competition
• Funding for concept studies contracts only
• Analysis of Alternatives (AoA)
• Work guided by the ICD*
        *MNS until CJCSI 3170.01 is revised
       Technology Development

Purpose: To reduce technology risk and
 determine appropriate set of technologies
 to be inserted into a full system.
Key Activities:
•   Development of a system architecture
•   Demonstration(s) of technology(ies) in a relevant
•   Risk reduction on components and subsystems
•   Capabilities Development Document (CDD)*
    prepared by user led IPT
•   Shipbuilding programs may be initiated at
    beginning of Technology Development
             *ORD is required until CJCSI 3170.01 is revised
           Concept and Technology
             Development Phase
                    Key Activities
• Form IPTs to facilitate decision-making
•   Conduct Market Research and Analysis
•   Assess AoA and select preferred solution
•   Conduct cost performance trade-offs
•   Develop overall acquisition & T&E strategy
•   Formulate initial Acquisition Program Baseline
•   Prepare Test & Evaluation Master Plan
•   Prepare C4I Support Plan (if applicable)
•   Prepare life-cycle / independent cost estimates
    (including economic analysis for AIS programs)
       Concept and Technology
         Development Phase
         Key Activities, continued

• Develop draft performance specification
• Identify potential environmental
• Prepare waiver from full-up Live Fire T&E
  (if applicable)
• Ensure full funding in FYDP prior to MS B
• Prepare contract package for next phase
• Meet exit criteria for C&TD Phase
• Propose exit criteria for next phase
 Summary, Concept & Technology
     Development Phase

• May consist of both CE & TD
• Maximum competition and innovation to
 satisfy requirements
• Thorough planning critical to success
  BOTTOM LINE: Is New Development
      Program Justified ???
        Entering the Acquisition Process
       The MDA may authorize entry into the acquisition process
       at any point consistent with phase-specific entrance criteria.

              Entrance Criteria
•   Have an integrated architecture for the relevant
    mission area?
•   Answers to following questions are “yes”?
     - Does the acquisition support core/priority mission
       functions of the Federal Government?
     - Does the acquisition need to be undertaken by DoD
       because no alternative private sector or government
       source can better support the function?
     - Does the acquisition support work processes that have
       been simplified or otherwise redesigned to reduce          Systems
       costs, improve effectiveness, and make maximum use      Development &
       of commercial off-the-shelf technology?                 Demonstration
• Technology mature?                                               Phase
• Have APB & minimum set of KPPs?
• Affordability determination?
• Full funding in FYDP?
                Milestone B

• Requires an approved Capability
  Development Document (CDD)*
• A PM has been assigned
• MDA approves:
   - Acquisition Decision Memorandum
   - Entry to System Development and
      Demonstration Phase
  -   Program Initiation
  -   Acquisition Strategy
  -   Acquisition Program Baseline
  -   LRIP Quantities
  -   Exit criteria for next phase
         *ORD is required until CJCSI 3170.01 is revised
      System Development & Demonstration

                   System                   System
                 Integration             Demonstration

       System Integration                        System Demonstration
Enter: PM has technical solution but         Enter: Prototypes demonstrated in
  has not integrated subsystems into           relevant environment
  complete system                             Activities: Complete system
 Activities: System Integration of            demonstration. DT/OT/LFT&E
  demonstrated subsystems and                Exit: System demonstration in
  components. Reduction of integration         intended environment using
  risk.                                        engineering development
Exit: Demonstration of prototypes in           models; meets validated
  relevant environment                         requirements
System Development & Demonstration

   • To develop a system
   • Reduce program risk
   • Ensure operational supportability
   • Ensure design for producibility
   • Assure affordability
   • Demonstrate system integration,
     interoperability, and utility
         System Integration

• Purpose: Integrate subsystems – reduce
  systems-level risk
• Key Activities:
   − Demonstrate prototype articles
   − Conduct an Early Operational
     Assessment (EOA)
   − Prepare for Critical Design Review
   − Prepare RFP for next effort/phase
       System Demonstration
• Purpose: Demonstrate the ability of the
  system to operate in a useful way
  consistent with the validated KPPs.
• Key Activities:
   − Conduct extensive testing: developmental,
     operational, and survivability/lethality testing,
     as appropriate
   − Conduct technical reviews, as appropriate
   − Demonstrate system in its intended
   − Prepare RFP for Low Rate Initial Production
   − Prepare for Milestone C
   − Update: Information requirements
  Summary: System Development &
      Demonstration Phase

• May consist of System Integration and
  System Demonstration depending on:
  – technology maturity
  – affordability
• System demonstrated in the intended
  environment; meets validated
  requirements; industrial capability
  available; meets exit criteria
• Manufacturing risk low
Bottom Line: System ready to begin LRIP?
        Entering the Acquisition Process
       The MDA may authorize entry into the acquisition process
       at any point consistent with phase-specific entrance criteria.

                Entrance Criteria
•   Acceptable performance in DT&E and Operational
    Assessment (OA)?
• Mature software capability?
• No significant manufacturing risks?
• Manufacturing process in control (if MS C is for full-
    rate production)?
•   Approved Capability Production Document (CPD)?         Production &
• Acceptable interoperability?                             Deployment
• Acceptable operational supportability?                      Phase
• Compliance with DoD Strategic Plan?
• Affordable throughout life cycle?
• Optimally funded and properly phased for rapid
             Milestone C

• Commits the Department to Production
• MDA approves:
  − Acquisition Decision Memorandum
  − Updated Acquisition Strategy and
    Acquisition Program Baseline
  − Entry into LRIP for systems that require a
    LRIP, into production or procurement for
    systems that do not require LRIP, or into
    limited deployment for MAIS programs or
    software intensive systems with no
    production components
  − Exit criteria for LRIP if appropriate
                     Production & Deployment

                   LRIP/IOT&E                         Full-Rate
                                                    Production &

                                                        Full-Rate Production &
Enter: System matured for production              Enter: Beyond LRIP (OSD T&E
• Activities: Low-rate initial production.          Over-sight programs) and LFT&E
  IOT&E, LFT&E of production-                       reports (covered systems)
  representative articles. Establish full           submitted to Congress
  manufacturing capability.                       • Activities: Full rate production.
Exit: System operationally effective,             Deploy system. Start support.
  suitable and ready for full rate                Exit: Full operational capability;
  production                                        deployment compete
  Low Rate Initial Production (LRIP)

• Purpose: Complete manufacturing
  development; produce minimum quantities
  for IOT&E, to establish initial production
  base, and to permit orderly ramp-up to full-
  rate production.
• Key Activities:
  − Intensive testing: DT, full-up system level
    LFT&E and IOT&E
  − Update support and deployment plans
  − Prepare RFP for full-rate production
  − Prepare for Full-Rate Production Decision
    Review (FRPDR)
  − Update: all information requirements.
Full Rate Production Decision Review

• Approves entry into Full Rate Production
• MDA Approves:
  − Acquisition Decision Memorandum (ADM)
  − Full-rate production
  − Updated Acquisition Strategy
  − Updated Acquisition Program Baseline
  − Exit criteria, if appropriate
  − Provisions for evaluation for post-
    deployment performance
      Full Rate Production and

• Establish stable, efficient production
 and support base
• Achieve initial operational capability
• Ensure fielded system continues to
 provide warfighter with required
       Full Rate Production and

Key Activities:
• Monitor and update the threat
• Produce and deploy the system
• Monitor system performance and readiness
  of initial system deployments
• Identify and correct
  shortcomings/deficiencies to improve
  performance and/or supportability
• Conduct Follow-On Operational Test and
  Evaluation (FOT&E), as appropriate
Summary: Production & Deployment

• Consists of both LRIP and Full-Rate
  – Not all programs have LRIP
  – Formal IOT&E and LFT&E conducted
• Monitor systems - correct shortcomings
• Continue testing
Bottom Line: System is produced and
 deployed; IOC attained
                   Operations & Support



         Sustainment                               Disposal
Sustainment starts immediately upon      Demilitarization & Disposal
  fielding or deployment.                • Activities: Demilitarize and
• Activities: Maintain readiness and       dispose of systems IAW legal
  operational capability of deployed       and regulatory requirements,
  system(s). Execute operational           particularly environmental
  support plans. Conduct modifications     considerations. Use Defense
  and upgrades to hardware and             Reutilization and Marketing
  software. Measure customer               Office support, as appropriate.
      Operations and Support Phase*

• Emphasis shifts from design/development
  engineering to supporting the fielded system
• Operational units established & readiness
• Test and evaluation continues
• Operational/support problems identified
• Product Improvement/Service Life Extension
  Programs energized, if required
• System disposed of at the end of its useful
* Overlaps Production and Deployment Phase since items are deployed prior to the end
of production, and must be sustained in the field

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