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
Construct
• DoD Directive 5000.1
Principles retained; innovation/flexibility
emphasized
• DoD Instruction 5000.2
Focused on required outcomes and statutory
requirements and less on regulatory
requirements
• 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
Framework
DoDI 5000.2, May 2003
Technology Opportunities
& User Needs
• Process entry at Milestones A, B, or C
• Entrance criteria met before entering phase
• Evolutionary Acquisition or Single Step to
Full Capability
A
B
(Program
Initiation)
C
Concept
Technology System Development
Refinement Development & Demonstration
Design
Readiness
Review
Concept
Decision
Pre-Systems Acquisition
FOC
IOC
Production &
Deployment
LRIP/IOT&E
Systems Acquisition
Operations &
Support
FRP
Decision
Review
Sustainment
Increment II
Increment III
New
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
results
• 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
Refinement”
• 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*
Weapon
Systems
Overarching
Integrated Product
Teams (OIPT)
Director, Defense
Systems
OUSD(AT&L)
Defense
Acquisition
Executive
Chief
Information
Officer
Defense Acquisition
Board
IT Acquisition
Board
C3ISR Systems
Major
AIS
C3I Overarching
Integrated Product
Team (OIPT)
The acquisition responsibilities of
USD(Intel) vs. ASD(NI2)/DoD CIO are
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
JCIDS
RGS
Integrated at
Department
Systems
Requirements
National
Military
Strategy
Joint
Vision
Joint Concept of Operations
Joint Concepts
Integrated Architectures
Joint Capabilities
Bottom Up, Often
Stovepiped
Top Down, Born Joint
Evolutionary Acquisition
Increment 2
Increment 3
OR Single Step to
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
increments
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
Warfighter
= Capability
Known
increment
- Incremental
Known
increment
Known
increment
First Fielded Capability
- Spiral
Known
increment
Partially
known
increment
Not known
increment
Technology Demos
Feedback from
warfighter
Not known
increment
Time
Single Step Approach
Technology Base
Capability
NO CAPABILITY
Requirements
IOC
FOC
Capability
Time
Evolutionary Acquisition
Technology Base
Requirements
Capability
Capability
Time
Evolutionary Approach
CR
C
B
A
TD
SDD
PD
B
OS
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
Baseline)
• 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
Pre-planned
Acquisition Single Step
Product
Strategy
to Full
Criteria
Capability Improvement (P3I)
Full requirements
defined at outset
Evolutionary Acquisition *
Incremental
Development
Spiral
Development **
Yes
Yes
Yes
No
Useful
intermediate
capabilities
No
Yes
Yes
Yes
Multiple iterations
No
No
Yes
Yes
All capabilities
required in initial
increment
Yes
No
No
No
User feedback
from earlier
iterations used to
define final
requirement
No
No
Yes
Yes
Other
characteristics
Traditional
acquisition
strategy
Achieves increased
capability from
predictable maturing
technology
*
Often used in
hardware
development
Preferred strategy
Preferred process
(Previously used
mostly in Software
development)
** Preferred process
DoD Instruction 5000.2
Operation of the Defense Acquisition System
Statutory Information Requirements Changed/Added
Requirement
Spectrum Certification
Compliance
Programmatic
Environmental
Safety & Health
Evaluation
Electronic
Warfare T&E
Report
Reference
When
Required
Comment
47 USC 305 & 901-904 MS B, or
PL 102-538
MS C if no B
OMB A-11, Part 2
DoDD 4650.1
Name change
Formerly –
Application
For Frequency
Allocation
MS B, or
MS C if no B
From
DoD 5000.2-R
annually
From
DoD 5000.2-R
42 USC 4321
Sec. 220, PL 103160 & Sec. 214, PL
103-337
DoD Instruction 5000.2
Operation of the Defense Acquisition System
Statutory Information Requirements Changed/Added
Continued…..
Requirement
Certification of
Compliance with
Financial Management
Modernization Plan (FM
acq programs only)
Benefits Analysis
& Determination
(applies to bundled
When
Required
Comment
MS A, B,
and C
NEW
From
Congress
15 USC 644(e)
MS B, or
MS C if no B
NEW
From
Congress
Sec. 803, PL
107-314
MS A, B and
C
NEW
From
Congress
Reference
PL 107-249
acquisitions; part of
acq strategy)
Technology
Development
Strategy
DoD Instruction 5000.2
Operation of the Defense Acquisition System
Regulatory Information Requirements Changed/Added
Regulatory Information
Requirements Added
Reference
When
Required
Initial Capabilities
Document (ICD)
CJCSI 3170.01
MS A
Capability Development
Document (CDD)
CJCSI 3170.01
MS B
Capability Production
Document (CPD)
CJCSI 3170.01
MS C
Technology Readiness
Assessment (PM-level)
DoDI 5000.2
MS B & C
Independent Technology
Readiness Assessment
(ACAT ID only – as
required by DUSD(S&T))
DoDI 5000.2
MS B & C
Earned Value
Management Systems
OMB Cir A-11, See ANSI/
EIA-748-1998
part 7
Comment
NEW from
Joint Staff
Replaces MNS
NEW from
Joint Staff
Replaces ORD
Revised from
DoD 5000.2-R
requirement for
an Independent
Technology
Assessment for
all programs
From
DoD 5000.2-R
DoD Instruction 5000.2
Operation of the Defense Acquisition System
Other Reports Changed/Added
Report
Reference
Defense Acquisition
Executive Summary
DoDI 5000.2
(DAES) (MDAP & MAIS)
When Required
Quarterly
From
POM or BES submit
DoD 5000.2-R
UCR breach
Contractor Cost Data
Report (CCDR)
DoD 5000.4-M-1 See the reference
Software Resources
Data Report
DoD 5000.4-M-2 contract award
(ACAT I/IA programs for
all major contracts & sub
– contracts for any
software development
elements with a projected
software effort greater
than $25M (FY02 constant
dollars)
Comment
From
DoD 5000.2-R
-180 days prior to
-60 days after contract
award
-60 days after start of
subsequent software
releases
-within 120 days after
software release or
final delivery
NEW from
OSD
Director,
PA&E
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
Framework
User Needs &
Technology Opportunities
A
B
C
System
Integration
Concept
Decision
Concept
Technology
Refinement Development
Pre-Systems
Acquisition
Initial Capabilities
Document (ICD)
• Process entry at Milestones A, B, or C
• Entrance criteria met before entering phases
• Evolutionary Acquisition or Single Step to
Full Capability
System
Demonstration
Design
Readiness
Review
System Development
& Demonstration
IOC
LRIP
Full-Rate Prod & Sustainment
Deployment
Disposal
FRP
Decision
Review
Production & Deployment
Systems Acquisition
Capability Development
Document (CDD)
FOC
Capability Production
Document (CPD)
Relationship to Requirements Process
Operations
& Support
Sustainment
Validated & approved by
operational validation authority