Lecture 2.1a: DoD Acquisition Model

1
Lecture 2.1a DoD Acquisition Model

• Dr. John MacCarthy
• UMBC CMSC 615
• Fall, 2006

2
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).

3
Agenda
Note These describe the GOVERNMENT process, NOT
the Contractors processes (it indirectly guides
what contractors do)

• 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

4
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 (PAE)
  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(ATL) is
  responsible for all acquisition matters within
  DOD.
• USD(ATL) or Assistant Secretary of Defense for
  Command Control, Communications and Intelligence
  ASD(C3I) designates Milestone Decision
  Authority
• Director, Operational Test and Evaluation (OTE)
  provides independent assessment of the
  operational effectiveness suitability of new
  weapon systems

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DoD Acquisition References

• Defense Acquisition University (DAU)
  Publications lthttp//akss.dau.mil/jsp/default.jsp
  gt
• lthttp//www.dau.mil/pubs/Online_Pubs.aspgt
• 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
CPD
CDD
JCIDS Process (JROC CJCSI 3170)
DAS Process (ATL DoD 5000)
Note Although SE is used in all Phases, YOU are
most likely to be working programs in the SDD
Phase. As such, THIS COURSE WILL FOCUS ON THE SDD
PHASE of the DAS Process.
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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
  (gt 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(ATL), 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. Purpose
• 2. Applicability and Scope
• 3. Definitions
• 4. Policy
• 4.3.1 Flexibility
• 4.3.2 Responsiveness
• 4.3.3 Innovation
• 4.3.4 Discipline
• 4.3.5 Streamlined and Effective Management
• 5. Responsibilities
• 6. Effective Date
• Enclosure 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

• Outline
• 1. Purpose
• 2. Applicability and Scope
• 3. Procedures
• 3.1 Defense Acquisition Management Framework
• 3.2 Requirements and Acquisition Integration
• 3.3 Evolutionary Acquisition
• 3.4 User Needs and Technology Opportunities
• 3.5 Concept Refinement
• 3.6 Technology Development
• 3.7 System Development and Demonstration
• 3.8 Production and Development
• 3.9 Operations and Support
• 3.10 Review Procedures
• 4. Responsibilities
• 5. Effective Date
• Enclosure 1 References, continued
• Enclosure 2 ACAT and MDA
• Enclosure 3 Statutory and Regulatory Information
  and Milestone Requirements

• 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.

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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)
• gt365 M/year or gt 2.19 B total
• ACAT IA (MAIS)
• gt126 M/year or gt 378 M total
• ACAT II (Major System)
• Not MAIS or MDAP
• gt140 M/year or gt 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 ATL Life Cycle Management
Framework
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Integrated Defense ATL 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 ATL (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

• 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

• 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

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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 RD
• 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 customers 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)

Most government development contracts are for
this and the next phase
System Development and Demonstration is
essentially a Design, Development, and
Development Test Phase
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System Development and Demonstration Phase
30
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
  (DTE)
• Verify System Performance Integrated DTE Live
  Fire Test and Evaluation (LFTE)
• Test Readiness Review (TRR)
• Verify System Functionality System DTE LFTE,
  Operational Assessment (OA)
• Demonstrate System Combined DTEO/OTE/LFTE
• System Verification Review (SVR)
• Production Readiness Review (PRR)
• Functional Configuration Audit (FCA)
• Milestone C

31
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 DTE 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
37
CJCSI 3170.01D Joint Capabilities Integration and
Development System (JCIDS)

• Outline
• 1 Purpose
• 2. Cancellation
• 3. Applicability
• 4. Policy
• 5. Definitions
• 6. Responsibilities
• 7. Summary of Changes
• 8. Releasability
• 9. Effective Date
• Distribution
• List of Effective Pages
• Record of Changes
• Table of Contents
• Enclosure A Joint Capabilities Integration and
  Development System (JCIDS) Process
• Enclosure B Responsibilities
• Enclosure C References
• Glossary

• Purpose The JCIDS, the Defense Acquisition
  System, and the Planning, Programming, Budgeting
  and Execution (PPBE) Process for the DODs 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)

38
JCIDS Process
39
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
40
JCIDS ProcessPost-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
42
DoD 5000.2Key Technical Reviews 1
43
DoD 5000.2 Key Technical Reviews 1