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Gate Review Process presented at DODCAS 2009 DON Session CAPT Jim Baratta Deputy Director, NCCA

Gate Review Process presented at DODCAS 2009 DON Session CAPT Jim Baratta Deputy Director, NCCA

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Gate Review Process

presented at DODCAS 2009 DON Session

CAPT Jim Baratta

Deputy Director, NCCA

2

Gate Review Process Overview

• Purpose

– improve governance and insight

– ensure alignment between capability requirements and acquisition

– improve senior leadership decision making

– gain better understanding of RISKS and COSTS

• Objectives– endorse or approve key JCIDS and acquisition documents– facilitate decisions regarding capabilities and material solutions

• 2-Pass, 6-Gate Process– address Requirements and Acquisition governance respectively

– EVERY GATE reviews program health – cost, risks, budget

3

Gate Review BoardMembership

• Principal (voting) members– CNO / CMC / VCNO / ACMC

– ASN (RDA) / PDASN

– ASN (FM&C)

– OPNAV N8 / HQMC DC P&R and DC CD&I

– Appropriate SYSCOM Commander

• Advisory (non-voting) members– Resource Sponsor, CHSENG

– N80, N81, N091, FMB

– Cognizant DASN

– DASN (C&E)

• Attendance limited to Principal or Deputy (Flag/SES) plus one

4

Pass 1 Gates

• Gates 1, 2, and 3 “Requirements” Gates– Led by CNO or CMC

– Starts prior to Material Development Decision, ends after Gate 3

– Leads to:

• Approving the ICD

• Approving AOA guidance

• Selecting an AOA “optimal” alternative

• Approving a CDD

• Developing a CONOPS

• Approving System Design Specification (SDS) Development Plan

5

Pass 2 Gates

• Gates 4, 5, and 6 “Acquisition” Gates– Led by ASN(RDA)

– Starts after Gate 3, ends after Milestone B (initial EMD phase)

– Leads to:

• Approving the SDS

• Approving release of the RFP

• Assessing readiness for production

• Assessing sufficiency of the EVMS PMB

• Assessing the IBR

– Follow-on Gate 6’s pre- and post-Milestone C and FRP DR

• Serve as Configuration Steering Boards and review program health

6

Pass 1 – Requirements Gates

• Gate 1: Approval of the ICD

– input: Service review of the ICD

– brief: AoA assumptions, cost constraints and life-cycle considerations

– outcome: Validates AoA guidance, authorizes to proceed to MSA phase

• Gate 2: Approval of the preferred alternative

– input: Approved ICD, AoA, “sufficiently mature” MS-A documentation

– brief: AoA assumptions, analysis, findings, preliminary TRL assessment

– brief: Projected life cycle costs for all AoA options

– outcome: Approves development of CDD and CONOPS for alternative

7

Pass 1 – Requirements Gates

• Gate 3: Approval of the Service CDD and CONOPS

– input: Approved AoA, SDS development plan

– input: Service review of CDD/CONOPS,

• supports LCCE (employment, sustainment, training, manning, etc)

– brief: Initial independent cost estimate & schedule assessment

– brief: Compare to PM estimates

– outcome: Approves the CDD/CONOPS, SDS development plan

– outcome: Approves program to MS-A (or with MS-B preparations)

8

Pass 2 – Acquisition Gates

• Gate 4: Approval of the SDS

– may be combined with Gate 5 and MS-B for ACAT IC/IAC/II

– input: Approved CDD, CONOPS, and review of SDS

– input: Independent cost estimate, PM cost estimate, budget

– brief: Capability, risk, independent/PM cost/schedule estimates

– outcome: Authorizes program to proceed to Gate 5 (or Milestone B)

• Gate 5: Approval of release of the RFP

– may be before, concurrent with, or after MS-B

– input: Approved SDS, key business elements in acquisition strategy

– brief: Capability, risk, independent/PM cost and schedule estimates

– outcome: RFP approval for release to industry

9

Pass 2 – Acquisition Gates

• Gate 6: Assesses readiness for production

– occurs after contract award and IBR completion

– input: Source Selection completed, contract awarded, IBR completed

– brief: Capability, risk, independent/PM cost and schedule estimates

– brief: Assesses IBR results, sufficiency of the SDS and EVMS PMB (EAC)

– outcome: follow-on Gate 6 reviews prior to and post MS-C, FRP DR

• Gate 6 follow-on: Pre-LRIP, Pre-FRP DR

– “as needed” tailored approach

– specific elements undefined in SECNAV 5000.2, same as Gate 6

10

DON Requirements AcquisitionPASS 1

OSD/JOINTLEVEL

JROCJROC AnnualCSB

2 6NAVY/USMC LEVEL

ICDApproval

ICDApproval

AlternativeSelection

AlternativeSelection

SDSApproval

SDSApproval

RFPApproval

RFPApprovalCBACBA Contract

AwardContract Award

Forum*:Lead Org:Chair:

R3BOPNAV/HQMC

CNO (N8)/DC, CD&I

R3BOPNAV/HQMC

CNO/CMC

R3BOPNAV/HQMC

CNO/CMC

R3BASN(RD&A)ASN(RD&A)

R3BASN(RD&A)ASN(RD&A)

PEO/SYSCOM/ OPNAV/HQMCLEVEL

IBR

# Gate Review

SDDSSAC

MS B**

5

JROC

PASS 2

1

CD

AOA CONOPSCDD

3

CDD and CONOPSApproval

CDD and CONOPSApproval

MS A**

InitiaISDS

R3BASN(RD&A)ASN(RD&A)

UpdatedSDS

RFP

4

Illustrated example for program initiation at Milestone A

11

DON Requirements AcquisitionPASS 1 PASS 2

OSD/JOINTLEVEL

JROCMS A**JROC AnnualCSB

2 4 6NAVY/USMC LEVEL

ICDApproval

ICDApproval

AlternativeSelection

AlternativeSelection

SDSApproval

SDSApproval

RFPApproval

RFPApprovalCBACBA Contract

AwardContract Award

Forum*:Lead Org:Chair:

R3BOPNAV/HQMC

CNO/CMC

R3BOPNAV/HQMC

CNO (N8)/DC, CD&I

R3BOPNAV/HQMC

CNO/CMC

R3BASN(RD&A)ASN(RD&A)

R3BASN(RD&A)ASN(RD&A)

PEO/SYSCOM/ OPNAV/HQMCLEVEL

InitiaISDS

IBR

# Gate Review

1

AOA CONOPSCDD

CD

3

CDD and CONOPSApproval

CDD and CONOPSApproval

RFP

R3BASN(RD&A)ASN(RD&A)

SDDSSAC

MS B**

5

UpdatedSDS

Illustrated example for program initiation at Milestone B

12

Program Cost UncertaintyOver Time

Pre Systems AcquisitionPre Systems Acquisition Systems Acquisition Sustainment

Material Solution Analysis

Technology Development

Engineering & Manufacturing Development

Production& Deployment

Operations& Support

A B C IOC FOC Disposal

Cos

t, T

echn

ical

, an

d P

rogr

amm

atic

Unc

erta

inty

Tec

hnic

al

Rev

iew

sE

stim

atin

g T

echn

ique

s

ITR ASR SRR IBR

Preferred System Concept

System Specification/

CDD

SFR

System Functional Baseline

PDR

Allocated Baseline

CDR

Product Baseline

TRR

FRR SVR/PRR

OTRR PCR

ECPR

Product Baseline

Parametric

Analogy

Parametric

Analogy

Engineering Build-Up

Parametric

Analogy

Extrapolate

Actuals Engineering Build-Up

Parametric

Extrapolation of Actuals

Engineering Build-Up

1 2 3 4 5 66 fo

6 fo

6 fo

GateReviews

vs. BUDGET?

13

Gate Review ProcessPotential “Cost Community” disconnects?

• How often are the program’s definition and bounds changing during the pre-MS-B timeframe?

• What reliable data is available to estimate a program this early in its acquisition life cycle?

• What documents are complete and approved leading up to each Gate?

• To what extent are CAIV decisions still being made prior to RFP release?

• Do “best practice” estimating methods allow significant cost estimate confidence at this point?

• As the estimate progresses, in what “ballpark” should the estimate’s upper bound of range be expected to cover potential costs into MS-B?

• How will the range and estimates be used to program a budget at this early phase in the program?

• What value does an independent assessment add in the early “requirements” Gates?

14

COST ANALYSIS

GoArmy!

Questions?

15

Cost Estimate Confidence thru Pre-MS-B Phase of Programs

TECHBASELINE

ESTIMATESTABILITY

OVERRUNPOTENTIAL

COSTRISK

PROGRAMMATICBASELINE

COSTDATA

ESTIMATECONFIDENCE

MOST CASES WILL BE RED OR YELLOW

SCOREDefined? Steady?Mature? Stable?

Budget supportable?

Upper Bounds Stable?

Analogy?

Parametric?

Program info?

Small changes early

in program life?

Methodology?

Underlying data?