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May 4, 2011
Establish an Acquisition process that produces:
• Required, Affordable, Timely Products
Big “A” Acquisition
Resources
Acquisition
Requirements
Establish a Resource Allocation Process that produces:
• Realistic program cost and schedule estimates
• Balances requirements across Department
Establish a Requirements process that produces:
• Clearly defined, stable, validated and affordable requirements
Processes are inter- and intra-departmentally coordinated and supported
Synchronize Requirements, Resources and Acquisition to deliver capabilities2
Small “a” acquisition
Big “A” Acquisition
Resources
Acquisition
Requirements
•Funding instability•Insufficient resource trade space •Budget not properly phased/magnitude to
support planned development•Lack of life-cycle focus•Lack of corporate risk management
•Immature technologies•Inadequate systems engineering•Inadequate requirements flow-down/
traceability/ decomposition•Insufficient schedule trade space•Inadequate project management
including risk management•Inadequate implementation of Earned
Value Management System•Lack of time and assets for testing
•Lack of validated requirements for basic program•Inadequate requirements for basic program and any increments•Critical dependence on external programs with developmental issues•Lack of relative priorities across department
•Lack of inter- and intra-departmental stakeholder coordination and support
Synchronize Requirements, Resources and Acquisition to deliver capabilities3
4
Cost to
corre
ct
problem
Planning Phase Acquisition Phase
5
Identify “Mission Critical” projects Identify and manage risk:
• Cost• Schedule• Performance
Risk Management
Severity Rating Matrix
Likelih
oo
d
5
4
3
2
1
1 2 3 4 5
Consequence
Legend
HighPriority management attention required.
ModerateAdditional management attention may be needed.
LowMinimum oversight needed to ensure risk remains low.
Likelih
oo
d
Level What is the likelihood the risk will occur?
5Extremely Likely. Current controls will not prevent this risk.
4Likely.Current controls have significant uncertainties.
3Moderately likely.Current controls have some uncertainties.
2Not likely.Current controls have minor uncertainties.
1Extremely unlikely.Strong controls in place.
Co
nseq
uen
ce
Level 1 2 3 4 5
Performance(including cost and schedule)
No impact on DOC goals1.
Significant impact to any single DOC objective.
Significant impact to multiple DOC
objectives.
Failure to meet multiple DOC objectives.
Failure to meet DOC Goal.
ReputationNo damage to DOC
or Administration reputation.
Reputation questioned but easily recovered.
Reputation diminished but recoverable at moderate price.
Reputation diminished but recoverable at
heavy price.
Reputation damaged and never fully recoverable.
BudgetMinimal impact
(<$100K).Moderate impact ($100K up to $1M).
Significant impact ($1M up to $10M).
Major impact($10M up to $50M).
Major impact. (> $50M).
ComplianceNon-compliance with DOC policy or
procedure.
Regulatory non-compliance (ex. OMB ). Mild corrective action
required.
Moderate regulatory non-compliance.
Corrective actions required.
Major regulatory non-compliance. Corrections
are required.
Statutory non-compliance. Corrective actions are unknown.
Safety and Security
No harm.Minor first aid
treatment or minor loss of DOC asset2.
Medical treatment required or moderate loss of DOC asset.
Serious injury or major loss of DOC asset.
Death or permanent injury or complete loss
of DOC asset.
Timeframe
Near Impact felt this fiscal year,
Mid Impact felt next fiscal year.
Far Impact felt in 3-5 years.
1. DOC goals and objectives are those found on the DOC Balanced Scorecard.2. DOC assets include facilities, vehicles, equipment, inventories and information assets, such as data. 6
7
Organize
Identify & Score
AssessRemediate
Monitor
Report
Information &Communication
• Identify and train RMOs and RMs• Tailor ERM to fit the organization• Set the “tone at the top”• Consider the mission &
constraints
• Determine the response to a risk
• Develop a corrective action plan
• Execute that plan
8
• Review corrective action plans
• Changes to the risk baseline
• Communicatepertinent information
• Identify and score risks
• Review the risks• Establish the risk
baseline for DOC
• Determine risk severity• Check risk related controls• Assign responsibility
• Report risk status
A systematic planning process for all acquisitions◦ Formal application to “Mission Critical” projects
General framework that incorporates leading practices from other organizations◦ DOC Bureaus create unique procedures
consistent with overall framework
9
10
Strategic Investment Decisions
We can only take so many
trips!
Where do we need to go?
What is the best way to
get there from here?
Prepare for the trip!
Follow the road!
Trip planning approval
OK to here! Now define it.
OK to here!Now get ready.
OK to here! Now do it.
11
NASA NPR 7120.5D - Space Flight Program NASA NPR 7120.7 - IT & Institutional Infrastructure (IT Life-Cycle) (Institutional Infrastructure slightly different)
Formulation Implementation Pre-System Acquisition System Acquisition Operations Decom-
missioning
Pre-Phase A Phase A Phase B Phase C Phase D Phase E Phase F
Concept Studies
Concept & Technology Development
Preliminary Design & Technology Completion
Final Design & Fabrication Build
System Assembly, Integration & Test, Launch
Deployment, Operations & Sustainment
Decom-missioning Closeout
DoDI 5000.02 (12/8/2008) Operation of the Defense Acquisition system
Pre-System Acquisition System Acquisition Sustainment
Milestones
Material Solution Analysis Technology Development Engineering and Manufacturing Development Production & Deployment Operations & Support
Integrated System Design
System Capability &
Manufacturing Process
Demonstration
LRIP/IOT&E Full-Rate Production & Deployment
Life Cycle Sustainment
Disposal
LRIP = Low-Rate Initial Production IOT&E = Initial Operational Test and Evaluation
Typical IT System Development Life-Cycle (SDLC) project phases
Initiation System Concept
Development Planning Requirements
Analysis Design Development Integration and Test Implementation Operations and
Maintenance Disposition
Project Management Institute - Project Management Body of Knowledge (PMBOK) Initiating Process Group
Planning Process Group Executing Processes & Monitoring & Controlling Process Groups
Closing Process Group
NOAA NAO 216-108 - REQUIREMENTS MANAGEMENT Needs
Identification & Definition
Solution Alternatives Identification Solution Selection Acquisition & Implementation Full Operational
Capability
OMB Exhibit 300 Planning Phase
OMB Exhibit 300 Acquisition Phase
OMB Exhibit 300 Operations & Maintenance
B A C
Approval for Implementation
Project InitiationApproval
Project Definition
Phase
Project Approval
InvestmentApproval
MS 1
• Needs Analysis • Resource/Affordability
Analysis • Independent Cost
Review/Estimate• Initial Risk
Assessment
• Alternatives ID • Analysis of Alternatives • Capabilities Requirements
Development • Requirements Traceability • Resource Requirements • Project Cost Estimate • Independent Cost Estimate• Project Planning • Risk Update • Tech Readiness Assessment
• Requirements Traceability
• Budget • Acquisition Strategy
Update • Independent Cost Estimate • Procurement Requirements• Project Planning Update • External Independent
Review • Risk Assessment Update • Product Demo/ Prototype
• Requirements Traceability
• Execution Management, Oversight, and Adjustment
• Mission Need Statement
• Sponsor Commitment
• Initial Risk Assessment
• AOA Report • CONOPS • Preliminary Reqmnts Doc • Selected Alternative • Project Mgt Plan • Project Baseline• Sponsor Commitment
Reaffirmed • Acquisition Strategy• Risk Assessment Update
• Requirements Document
• Project Mgt Plan Update• Sponsor Commitment
Reaffirmed • Acquisition Strategy
Update• Risk Assessment
Update
Project Execution
Phase
Project Development
Phase
Conceptual Phase
MS 3MS 2
Tasks to be conducted during phases:
Deliverables required for milestone reviews:
MS 0 MS 4
ProjectDelivery
ConceptInitiation
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