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Lecture 2.1a: DoD Acquisition Model

Dr. John MacCarthyUMBC CMSC 615Fall, 2006

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Lecture Purpose/Goals Set context for understanding the Systems

Engineering/Architecting Process Develop a global understanding of the DoD

Acquisition Process and associated key References, Artifacts and Acronyms:

Joint Capabilities and Integration Development System Defense Acquisition System (aka DoD 5000 Process)

Know where to find key references related to the DoD Acquisition Process

Understand New DoD 5000 process (vs. dated 5000.R process described in the SEF).

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Agenda Overview of Defense Acquisition Environment Overview of JCIDS Overview of the DoD 5000.1 Overview of DoD 5000.2

Phases and Milestones Capability-based and Requirements-based Acquisition Evolutionary Acquisition and Spiral and Incremental Development

Integrated Defense Acquisition, Technology, & Logistics Life Cycle Management Framework

Focus on System Development and Demonstration Life Cycles Key Artifacts Comparison to SE Process

Defense Acquisition Guidebook Conclusions

Note: These describe the GOVERNMENT process, NOT the Contractors processes (it indirectly guides what contractors do)

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Defense Acquisition Overview

TITLE 10 Provides legal framework & direction

for Acquisition Process The Joint Capabilities Integration

and Development System (JCIDS) Responsible for “identifying,

assessing and prioritizing joint military capability needs.”

Governed by CJCSI 3170.01D The Joint Requirements

Oversight Council [JROC] has “Requirements Authority”

The Planning, Programming, Budgeting, and Execution (PPBE) Process

Responsible for resource allocation Director, Program Analysis and

Evaluation (PA&E) ensures money is spent properly and in a timely manner

USD Comptroller controls the budget & release of funds, i.e., has “Budget Authority”

The Defense Acquisition System (DAS)

Responsible for turning stated user needs (from JCIDS) and technological opportunities into reliable and sustainable systems

Governed by the 5000 series The Under Secretary of Defense for

Acquisition Technology and Logistics [USD(AT&L)] is responsible for all acquisition matters within DOD.

USD(AT&L) or Assistant Secretary of Defense for Command Control, Communications and Intelligence [ASD(C3I)] designates “Milestone Decision Authority”

Director, Operational Test and Evaluation (OT&E) provides independent assessment of the operational effectiveness & suitability of new weapon systems

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DoD Acquisition References

Defense Acquisition University (DAU) Publications: <http://akss.dau.mil/jsp/default.jsp>& <http://www.dau.mil/pubs/Online_Pubs.asp>

Integrated Defense Acquisition, Technology, & Logistics Life Cycle Management Framework (2004)

Chairman of the Joint Chiefs of Staff (CJCS) Instruction 3170.01E, Joint Capabilities and Integration Development System (JCIDS), 11 May, 2005

DoD Directive 5000.1, The Defense Acquisition System, May 12, 2003

DoD Instruction 5000.2, Operation of the Defense Acquisition System, May 12, 2003

Defense Acquisition Guidebook, Version 1.0, 10/17/2004

Note: DoD Acquisition Policy is all web-based and hyperlinked.

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Integrated Defense Acquisition, Technology, & Logistics Life Cycle Management Framework

Back of chart provides overview of Defense Acquisition System Process and Products

Front of chart provides details of Defense Acquisition Life Cycle and Development Processes and Products (to be discussed in detail later)

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The Defense Acquisition Management Framework

JCIDS Process (JROC & CJCSI

3170)

DAS Process(AT&L & DoD 5000)

Note: Although SE is used in all Phases, YOU are most likely to be working programs in the SD&D Phase.

As such, THIS COURSE WILL FOCUS ON THE SDD PHASE of the DAS Process.

CDD

CPD

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JCIDS Process Process Purpose: Identify and

prioritize needed “Capabilities” Key Documents/Artifacts:

Initial Capabilities Documents (ICDs): identifies and defines capability gaps in a given area

Capabilities Development Documents (CDDs): “outlines an affordable increment of … capability” that serves as the basis for a program.

Capabilities Production Documents (CPDs): “addresses the production elements specific to … an acquisition program.”

Generally a JROC-approved CDD is the source requirements document for the System Development and Demonstration (SDD) Phase

More on JCIDS may be found in the Backup Slides

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JCIDS & Capability Based Acquisition

DoD is moving toward identification of desired strategic-level capabilities that may be achieved in more than one way, by more than one service

DoD seeks to leverage these solutions through Joint Integrated and Interoperable Family of Systems (FoS) and Systems of Systems (SoS) Architectures

To accomplish this, DoD has developed the JCIDS process to guide the acquisition process

DoD seeks to integrate advanced technology into producible systems in the shortest possible time (=> Use of TRLs and TRAs)

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Capability: Definition Capability: “The ability to execute a specified course of

action.”

Capability definition must include: Key attributes with appropriate measures of effectiveness Supportability Time Distance Effect (including scale) Obstacles to be overcome

Capability definitions must be: General enough so as not to prejudice decisions in favor of a

particular means of implementation Specific enough to evaluate alternative approaches to implement

the capability

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DoD Directive 5000.1 Overview

DoD Directive 5000.1: The Defense Acquisition System, May 12, 2003

“provides management principals and mandatory policies and procedures for managing all acquisition programs.”

“The USD(AT&L), the Assistant Secretary of Defense (Command, Control, Communications, and Intelligence), and the Director of Operational Test and Evaluation are key officials of the Defense Acquisition System.”

The use of SYSTEMS ENGINEERING is specified throughout the document (Especially in Annex E)

Outline:1. Purpose2. Applicability and Scope3. Definitions4. Policy

4.3.1 Flexibility4.3.2 Responsiveness4.3.3 Innovation4.3.4 Discipline4.3.5 Streamlined and Effective Management

5. Responsibilities6. Effective DateEnclosure 1: Additional Policy

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Summary of Key Policy Areas (DoDD 5000.1)

E1.1 Armaments Cooperation E1.2 Collaboration E1.3 Competition E1.4 Cost and Affordability E1.5 Cost Realism E1.6 Cost Sharing E1.7 Financial Management E1.8 Independent Operational Test

Agency E1.9 Information Assurance E1.10 Information Superiority E1.11 Integrated Test and Evaluation E1.12 Intelligence Support E1.13 Interoperability E1.14 Knowledge-Based Acquisition E1.15 Legal Compliance

E1.16 Performance-Based Acquisition E1.17 Performance-Based Logistics E1.18 Products, Services, and

Technologies E1.19 Professional Workforce E1.20 Program Information E1.21 Program Stability E1.22 Research and Technology

Protection E1.23 Safety E1.24 Small Business Participation E1.25 Software Intensive Systems E1.26 Streamlined Organizations E1.27 Systems Engineering E1.28 Technology Development and

Transition E1.29 Total Systems Approach

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DODI 5000.2

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DoD Instruction 5000.2 Overview

Reference: DoD Directive 5000.2: Operation of the Defense Acquisition System, May 12, 2003

Purpose: “provides management principals and mandatory policies and procedures for managing all acquisition programs.”

Outline:1. Purpose2. Applicability and Scope3. Procedures

3.1 Defense Acquisition Management Framework3.2 Requirements and Acquisition Integration3.3 Evolutionary Acquisition3.4 User Needs and Technology Opportunities3.5 Concept Refinement3.6 Technology Development3.7 System Development and Demonstration3.8 Production and Development3.9 Operations and Support3.10 Review Procedures

4. Responsibilities5. Effective DateEnclosure 1: References, continuedEnclosure 2: ACAT and MDAEnclosure 3: Statutory and Regulatory

Information and Milestone RequirementsEnclosure 4: IT ConsiderationEnclosure 5: Integrated Test and EvaluationEnclosure 6: Resource EstimationEnclosure 7: Human Systems IntegrationEnclosure 8: Acquisition of ServicesEnclosure 9: Program Management

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Applicability & Types of DoD Projects Types of defense technology and projects and

acquisition programs: Major Defense Acquisition Program (MDAP) Major Automated Information Systems (MAIS) Others

Acquisition Categories (ACATs): ACAT I: (MDAP):

>$365 M/year or > $2.19 B total ACAT IA (MAIS):

>$126 M/year or > $378 M total ACAT II (Major System):

Not MAIS or MDAP >$140 M/year or > $660 M B total

ACAT III (Other): Not ACAT IA or ACAT II

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Section 3.1: DoD Acquisition Process Life Cycle

DoD Instruction 5000.2 (2003)

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Integrated Defense AT&L Life Cycle Management Framework

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Integrated Defense AT&L Life Cycle Management Framework

Note repeated use of the “V” Life Cycle Model/ Development Process for:

Concept Refinement Phase Technology Development Phase System Development & Demonstration Phase

Note this is essentially a Spiral Model, with each Milestone being the start/end of a new spiral

Note selected Key Artifacts are refined of over successive phases

Note the activities and milestones that make up the “V” in the System Development & Demonstration Phase: This course will focus on these.

Note: This describes the GOVERNMENT process, NOT the Contractor process (though clearly it is in the interest of a Contractor to be in synch with their customer)

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Section 3.2.1 Integrated Architectures

Use DOD Architecture Framework: “Each integrated architecture shall have three views:

operational, systems, and technical …” The Joint Staff (or Principal Staff Assistant (PSA)) leads

the development of the Operational View: Describe the joint capabilities that the user seeks and how

to employ them USD AT&L (or PSA) leads the development of the

Systems View: Identify the kinds of systems and integration needed to

achieve the desired operational capability DoD Chief Information Officer (CIO) leads the development

of the Global Information Grid (GIG) Integrated Architecture

Technical View standards are selected from the Joint Technical Architecture (JTA)

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Section 3.2.2 Integrated Capability Assessment, Capability Roadmaps and Investment Strategies

Develop Integrated Plans or Roadmaps to Conduct capability assessments Guide Systems Development Define associated Investment Plans

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Section 3.3 Evolutionary Acquisition

“Evolutionary acquisition is the preferred DoD strategy for rapid acquisition of mature technology for the user.”

“An evolutionary approach delivers capability in increments, recognizing, up front, the need for future capability improvements.”

Approaches to achieve evolutionary acquisition … include:

Spiral Development: “a desired capability is identified, but the end-state requirements are not known at program initiation. Those requirements are refined through demonstration and risk management …”

Incremental Development: “a desired capability is identified, an end-state requirement is known, and that requirement is met over time by developing several increments, each dependent on available mature technology.”

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Capabilities-Based vs. Requirements-Based Acquisition

Requirements-Based Acquisition (Old):

Government specified systems and requirements for systems

Nothing was fielded until system met all requirements

System failed if it did not meet requirements

Waterfall nature did not respond well to dynamic technical (and operational) environment

Capabilities-Based Acquisition (New):

Government indicates desired capabilities

Contractors determine system requirements needed to meet desired capabilities

Permits systems to be developed in evolutionary stages of increased capability

Responds better to dynamic technical (and operational) environment

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Section 3.4 User Needs and Technology Opportunities Use:

Joint Concepts Integrated Architectures (DODAF) Analysis of Doctrine, Organization, Training, Material,

Leadership, Personnel, and Facilities (DOTMLPF)To define desired capabilities to guide the development of affordable systems

Joint Capabilities and Integration Development System (JCIDS) Process

Development of the Initial Capabilities Document (ICD)

Technologists and industry identify and protect promising technologies …

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Acquisition Phases & Milestones: Overview Pre-Acquisition:

JCIDS MS: Concept Decision

Phase: Concept Refinement MS: Milestone A

Phase: Technology Development MS: Design Readiness Review MS: Milestone B

Acquisition: Phase: System Development and Demonstration

MS: Milestone C Phase: Production and Deployment

MS: IOC MS: FRP Review

Sustainment: Phase: Operations and Support

MS: FOC

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Section 3.5: Concept Refinement Phase (1) Entry Criteria:

Complete an Initial Capability Document (ICD) Identifies the desired capabilities from multiple DOD communities

Complete a Technology Maturity Analysis Complete an Analysis of Alternatives (AOA) Plan for the Concept Pass the Concept Decision Milestone

Purpose: Refine an initial concept to meet some mission need/objective Develop a Technology Development Strategy (TDS) for the concept

that includes: Acquisition approach (life cycle model(s) indicating all technology spirals and

development increments) Technology Readiness Assessment (TRA) for Critical Technologies Plan to manage R&D Description of first technology demonstration Test Plan for the first technology demonstration

Exit Criteria: Complete TDS Pass Milestone A

Concept Refinement is essentially a Program Planning Phase

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Concept Refinement Phase (2)(My Thoughts)

Develop an “Objective System” Capabilities List (derived from the ICD)

Develop a high-level Functional Architecture that encompasses the Capabilities List (generally I find customer’s desired capabilities have functional overlap)

Develop a Concept of Operations (which may be or may include a set of high-level Use Cases)

Identify the (upper, lower, and expected) cost and schedule constraints on the project

Develop an urgency-based Prioritized Capabilities List (identify dependencies)

Develop a high-level Capability Specification that defines the capabilities in terms of functionality.

Identify System-level Technical Performance Metrics for the project Identify Key Performance Parameters (KPPs) for each capability Develop a Technology Readiness List Checklist for hardware,

software and algorithms

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Section 3.6: Technology Development Phase

Entry Criteria: Completed Initial Capability Document (ICD) Completed Technology Development Strategy (TDS) Pass Milestone A

Purpose: “Reduce technology risk and determine the appropriate set of technologies to be

integrated into a full system” “Assess the viability of technologies while simultaneously refining user

requirements” Develop the Capability Development Document (CDD) for the concept that

includes: Refined integrated Architecture Set of Key Performance Parameters (KPPs) for the current capability increment

Exit Criteria: Complete CDD Pass Milestone B

“An affordable increment of militarily-useful capability has been identified” “The Technology for the increment has been demonstrated in a relevant environment”

(i.e., TRL 6) “A system can be developed for production within a short time frame (normally less than 5

years)”Technology Development is essentially a Requirements Elaboration Phase

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Section 3.7: System Development and Demonstration Phase

Entry Criteria: Completed Initial Capability Document (ICD) Completed Capability Development Document (CDD) Completed Technology Readiness Assessment (TRA) covering all enabling

technologies (TRL 6+) Pass Milestone B

Purpose: “Develop a system or an increment of capability” Complete Subsystem Integration Complete Detailed Design Design Review Milestone “Demonstrate the ability of the system to operate in a useful way consistent with

KPPs” Exit Criteria:

Complete Demonstration Pass Milestone C

“An affordable increment of militarily-useful capability has been identified” “The Technology for the increment has been demonstrated in a relevant environment” (i.e.,

TRL 6) “A system can be developed for production within a short time frame (normally less than 5

years)”System Development and Demonstration is essentially a Design, Development, and Development Test Phase

Most government development contracts are for this and the next phase

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System Development and Demonstration Phase

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System Development and Demonstration Phase Subphases & Milestones

Milestone B Refine System Performance Spec

& Environmental Constraints System Requirements Review

(SRR) Develop System Functional Specs

& System Verification Plan System Functional Review (SFR)

Develop CI Functional (Design to) Specs & CI Verification Plan

Preliminary Design Review (PDR) Develop Product Documentation

and Inspection Plan Critical Design Review (CDR)

Design Readiness Review (DRR) Milestone

Fabricate/Assemble/Code CI Verification Development

Test & Evaluation (DT&E) Verify System Performance:

Integrated DT&E & Live Fire Test and Evaluation (LFT&E)

Test Readiness Review (TRR) Verify System Functionality:

System DT&E & LFT&E, & Operational Assessment (OA)

Demonstrate System: Combined DT&EO/OT&E/LFT&E

System Verification Review (SVR)

Production Readiness Review (PRR)

Functional Configuration Audit (FCA)

Milestone C

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System Development and Demonstration Phase (My Thoughts)

Key Technical Artifacts: CDD Increment Capability

List Integrated

Architecture System Specification Design Specifications Design Documentation Interface

Control/Description Document(s) (ICDs/IDDs)

Other Key Artifacts: Acquisition Strategy Systems Engineering Plan

(SEP) SEP-Related Documents

CMP RMP Etc.

Test and Evaluation Master Plan (TEMP)

Technology Readiness Assessment Cost Analysis Requirements

Description (CARD) Program Life Cycle Cost Estimate

(PLCCE)

Note: Homework and your Project Notebook will focus on developing the BOLDED artifacts.

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Section 3.8: Production and Deployment Phase Entry Criteria:

Approved Capability Production Document (CPD) Acceptable DT&E Performance Pass Milestone C

Purpose: “Achieve an operational capability that satisfies mission

needs.” Achieve a Low-Rate Initial Production (LRIP) of the

System of interest Exit Criteria:

Demonstrated process/quality control data Complete Reports to Congress Pass Full-Rate Production Decision Review (FRP

DR)

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Section 3.9: Operations and Support Phase Entry Criteria:

Pass Full-Rate Production Decision Review (FRP DR) Purpose:

“[Execute] a support program that meets operational support performance requirements and sustains the system in the most cost-effective manner over its total life cycle.”

Dispose of the system in an appropriate manner, when it has reached the end of its useful life

Exit Criteria: N/A

Generally includes: Full-Rate Production (FRP) Deployment Initial Operational Capability (IOC) Full Operational Capability (FOC)

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Defense Acquisition Guidebook (DAG)

The DAG (see “References” slide) provides details on every aspect of DoD 5000.2

The SEP Preparation Guide references many sections in the DAG

Know where it is and how to use it It is an invaluable resource

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Conclusions on DoD Acquisition Process

Note that there are different contract types for each Government phase of development

Globally essentially a Waterfall approach to the development of each increment/block

Can also be thought of as a Global Spiral Note each Phase uses a “V” model. Consider Spiral Development for the

“development” block within the “V” Applies only to GOVERNMENT Drives Contractors

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BACKUP

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CJCSI 3170.01D Joint Capabilities Integration and Development System (JCIDS)

Purpose: “The JCIDS, the Defense Acquisition System, and the Planning, Programming, Budgeting and Execution (PPBE) Process for the DOD’s three principal decision support processes for transforming the military forces to support the National Military Strategy and the Defense Strategy.”

Key Organizations: Joint Requirements Oversight Council

(JROC): Determines which functional areas are

assigned to which FCBs Functional Capabilities Board (FCB):

Responsible for all aspects of its assigned functional area.

Evaluates JCIDS documents. Functional Capability Board Working

Groups (FCB WGs)

Outline:1 Purpose2. Cancellation3. Applicability4. Policy5. Definitions6. Responsibilities7. Summary of Changes8. Releasability9. Effective DateDistributionList of Effective PagesRecord of ChangesTable of ContentsEnclosure A: Joint

Capabilities Integration and Development System (JCIDS) Process

Enclosure B: ResponsibilitiesEnclosure C: ReferencesGlossary

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JCIDS Process

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JCIDS Process: Pre-Concept Decision Activities

Pre-Concept Decision Activities: Functional Area Analysis (FAA): “identifies the

operational tasks conditions and standards needed to achieve military objectives.” “JFCs define capabilities by functional domain, describing common attributes desired of subordinate systems, FoS, SoS, and nonmaterial solutions.”

Inputs: National Strategies Joint Operations Concepts (JOpsCs) Joint Operating Concepts (JOCs) Joint Functional Concepts (JFCs) Joint Integrating Concepts (JICs) Integrated Architectures: “describe complex relationships

and linkages to portray the synergy provided by multiple DOTMLPF solutions within the joint force..”

The Universal Joint Task List (UJTL) Anticipated range of broad adversary capabilities

Outputs: Tasks to be reviewed in FNA

Functional Needs Analysis (FNA): “assesses the ability of the current and programmed joint capabilities to accomplish the tasks that the FAA identified under the full range of operating conditions and to the designated standards.”

Inputs: FAA Tasks

Outputs: List of capability gaps that require solutions

Functional Solution Analysis (FSA): “an operationally based assessment of all potential DOTMLPF approaches to solving (or mitigating) one or more of the capability gaps (needs) identified in the FNA”

Inputs: Capability Needs Solution Options

Outputs: Recommended changes to (Alternatives):

DOTMLPF Product Improvements to Existing

materials or facilities Adoption of interagency or foreign

material solutions Initiation of new material programs

Post Independent Analysis Input:

FSA Output Output:

Initial Capabilities Documents (ICDs)

Note: The ICD is a required input to the Acquisition Process’ CD Milestone

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JCIDS Process:Post-Concept Decision Activities Prior to MS B (System Development & Demonstration)

Review Capability Development Document (CDD) Update

JFC JIC Integrated Architecture

J-8 Interoperability & Supportability Certification System Threat Assessment Information Support Plan Key Performance Parameters (KPPs)

Prior to MS C (Production & Deployment) Review Capability Production Document (CPD)

Updates to elements under CDD Threshold/Objective Attributes Trade

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DoDI 5000.2 Key Artifacts by Phase

Artifact Concept Refinement Technology Development System Dev & Demo Production & Deployment Operations & SupportInputs Outputs Inputs Outputs Inputs Outputs Inputs Outputs Inputs Outputs

Exit Criteria X X X XAnalysis of Alternaitives (AoA) Plan XAlternative M&L Concepts XInitial Capabilities Document (ICD) X Input XSystem Performance Specification Preliminary X XAcquisition Strategy X X XTest & Evaluation (T&E) Strategy X XSystem Engineering Plan (SEP) X X X X X X X X XSupport & Maintenanced Concepts & Technologies X X

Validated Support & Maintenance Objectives & Requirements X X

Capabilities Description Document (CDD) Input Draft XAnalysis of Alternaitives (AoA) Input X XTechnology Development Strategy (TDS) Input X XCost/Manpower Estimates Input Input Input InputPreferred System Concept XCost Analysis Requirements Description (CARD) X X X

Test and Evaluation Master Plan (TEMP) X X X X XIntegrated Support Plan (ISP) Input XAcquisition Program Baseline (APB) Input X XProgrammatic Environment, Safety, & Occupational Health Evaluation (PESHE) X X XProduct Baseline Initial XTest Reports X X XTechnology Readiness Assessment (TRA) XRisk Assessment X

Capabilities Production Document (CPD) Input X

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DoD 5000.2Key Technical Reviews [1]

Milestone Review Description Artifacts Phase

Initial Technical Review (ITR)A multi-disciplined technical review to support a programs POM submission. CR

Alternative Systems Review (ARS)

A technical review that demonstrates the preferred concept is cost effective, affordable, operationally effective and suitable, and can be develolped to provide a timely solution to a need at an acceptable risk. CR

System Requirements Review (SRR)

A formal, system-level review conducted to ensure that system requirements have been completely and properly identified and that a mutual understanding between government and contractor exists.

Entry/Exit Criteria, Functional Baseline (System Performance Specification), Concept of Operations, Architecture Artifacts, Environmental Constraints SD&D

System Functional Review (SFR)

A formal review of the conceptual design of the system to establish its capability to satisfy requirements. It establishes the functional baseline.

Entry/Exit Criteria, Functional Baseline (System Performance Specification), Concept of Operations, Conceptual Design, Architecture Artifiacts, System Verification Plan

TD and SD&D

Software Specification Review (SSR)

A formal review of requirements for and interface specifications for computer software Cis.

Entry/Exit Criteria, Allocated Baseline (Item Performance Specification), Architecture Artifacts, CI Verifcation Plan SD&D

Preliminary Design Review (PDR)

A formal review that confirms that the preliminary design logically follows the SFR findings and meets the requirements. It normally results in approval to begin detailed design.

Entry/Exit Criteria, Allocated Baseline (Item Performance Specification), Architecture Artifacts, Preliminary Design, CI Verification Plan SD&D

Critical Design Review (CDR)A formal review conducted to evaluate the completeness of the design and its interfaces.

Entry/Exit Criteria, Product Baseline (Design Documentation & process and material specifications), Inspection Plan SD&D

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DoD 5000.2 Key Technical Reviews [1]

Test Readiness Review (TRR)A formal review of the contractors' readiness to begin testing on both hardware and software CIs.

Entry/Exit Criteria, Allocated and Functional Baseline (Specifications), System Verification Plan, CI Verification Results SD&D

Functional Configuration Audit (FCA)

A formal review conducted to verify that all subsystems can perform all of their required design functions in accordance with their functional and allocated configuration baselines. SD&D

System Verification Review (SVR)

A formal review conducted to verify that the actual item (which represents the production configuration) complies with the performance specification SD&D

Production Readiness Review (PRR)

A formal examination of a program to determine if the design is ready for production, production engineering problems have been resolved, and the producer has accomplished adequate planning for the production phase. SD&D

Operational Test Readiness Review (OTRR) P&DPhysical Configuration Audit (PCA) P&DPhysical Configuration Review (PCR)In-Service Review (ISR) O&SPre-Initial Operational Capability (IOC) Supportability Review (SR)