Lesson Outcome: Identify statutory and regulatory requirements for oversight and review of defense acquisition programs and their relationship to the JCIDS process.
Topic 1: Statutory and Regulatory
Documents Identify and define the key statutory and regulatory documents for
systems acquisition.
Five
documents discussed in this topic: Title 10, United States Code, Armed
Forces, provides permanent legislation for matters relating systems
acquisition. DoD Directive 5000.01, Defense Acquisition, provides top-level
policies and principals for all acquisition programs DoD Instruction
5000.02, Operation of the Defense Acquisition System, implements the
provisions of DoDD 5000.1, other DoD directives and instructions, executive
direction, and public law. Federal Acquisition Regulation, and the
Defense and Military Department/ Agency supplements provide regulatory guidance
for the contracting process. Defense Acquisition Guidebook, provides
details on staff expectations and discretionary best practices for implementing
the guidance in DoDI 5000.2.
Required references
to Title 10 are provided in DoDI 5000.02.
Access to DoDI 5000.02 and the other listed documents is provided by DAU
at https://akss.dau.mil
Topic 2: Acquisition Categories
Identify and define the Acquisition Categories (ACAT).
Identify and define the Acquisition Categories (ACAT).
The ACAT of the program determines its
level of management oversight and review, and the programmatic chain the PM
reports through to the MDA. Under no
circumstances should there be more than two levels of review between the
program manager (PM) and the milestone decision authority.
The four major ACATs
are: ACAT I, ACAT IA, ACAT II and ACAT III.
The potential ACAT is first determined by the requirements manager and
entered on the cover page of the ICD.
ACAT I programs are major defense acquisition programs (the
most expensive in terms of RDT&E and Procurement dollars). ACAT I programs and are further divided into
ACAT ID – those reviewed by the Defense Acquisition Board (DAB) with the Under
Secretary of Defense (Acquisition, Technology and Logistics) (USD(AT&L)) as
the Chair and milestone decision authority (MDA), and ACAT IC – those delegated
by the USD(AT&L) for review and decisions by the Component Acquisition
Executive (CAE).
ACAT IA programs
are Major Automated Information Systems (MAIS) (the most expensive AIS) and are
further divided into ACAT IAM and IAC.
ACAT IAM are reviewed by the Information Technology Acquisition Board
(ITAB), chaired by the USD(AT&L) or the Assistant Secretary of Defense (Networks
and Information Integration) (ASD(NII). The MDA is the USD(AT&L), or if
delegated, the ASD(NII). ACAT IAC are
delegated by the USD(AT&L) or ASD(NII) to the CAE for review and decision
authority.
ACAT ID and ACAT IAM programs
are subject to the most comprehensive level of oversight and review. These
programs are reviewed at the Component level, then proceed to OSD for review by
an Overarching Integrated Product Team (OIPT).
After the OIPT review, the program proceeds to the DAB (ACAT ID), DSAB
(Space Programs) or the ITAB (ACAT IAM) for final review, and then an MDA
decision.
ACAT IC, IAC and
II programs are reviewed at the Component Headquarters and decisions are
made by the CAE. The PM reports through a PEO or directly to the CAE.
ACAT II programs
are major systems with a lower dollar threshold than ACAT I. ACAT II programs
are reviewed and decided by the CAE. There are no ACAT II Automated Information
System (AIS) programs.
ACAT III programs do not meet
ACAT I or II criteria, and are reviewed and decided at the lowest appropriate
level in accordance with Component policy. ACAT III programs have the shortest
reporting chain for the PM – who often reports direct to the MDA. Programs are
reviewed at the PEO or command level depending on Component policy.
Missile Defense
and Space Programs. The Director of the Missile Defense Agency is the MDA
for assigned programs until Milestone C, then the USD(AT&L) becomes the
MDA. The USD(AT&L) is the MDA for Space ACAT I programs.
The final ACAT determination is
made by the appropriate MDA.
Topic 3: Acquisition Strategy
Identify the key elements of a system acquisition strategy and distinguish the
characteristics of an evolutionary acquisition strategy.
An acquisition strategy is the PM’s
business, technical and management approach for implementing the cost,
schedule, performance and other requirements (depending on the ACAT) from
Milestone B to disposal. An evolutionary acquisition (EA) strategy is
characterized by the rapid fielding of an initial capability as increment 1,
while recognizing up front, the need for future capability improvements. The content of an acquisition strategy can be
extensive depending on the ACAT of the program.
Details on the content are in the Defense Acquisition Guidebook, Chapter
2.
Topic 4: Acquisition Program
Baseline Examine the content of the Acquisition Program Baseline (APB) and the
relationship of that content to the Capabilities Development Document (CDD) and
Capability Production Document (CPD)
Key Performance Parameters (KPPs) with
their threshold and objective values are copied verbatim from the CDD and CPD
into the APB. The MDA may add APB
parameters for performance attributes in addition to the validated KPPs.
Performance thresholds represent
what the user desires and expects and may be expressed as either a minimum or
maximum acceptable value. If no objective is specified, the threshold value
also serves as the objective value.
Threshold and objective values may change between the CDD and CPD based
on experience gained during EMD and trade-off decisions made to optimize
performance. The PM manages the program
to the objective values.
Schedule dates
are driven by the CDD/CPD target dates to achieve Initial Operational Capability
(IOC). If the CDD/CPD are developed in coordination with the PM, requirements
for IOC will be agreed upon well in advance of acquisition strategy and APB
development. The objective date is the
scheduled date. The threshold is the objective date plus 6 months for ACAT I
programs.
Cost parameters (thresholds and
objectives) must be consistent with the affordability section of the CDD. Cost
thresholds are the objective cost value plus 10%. The APB contains cost parameters for major elements
of life-cycle costs, or total ownership costs if available
The capability
documents drive nearly all cost, schedule and performance matters throughout
development, production, fielding, and life-cycle sustainment.
Topic 5:
Information Technology, National Security Systems, and Space Systems. Recognize
the unique characteristics of information technology (IT), National Security
Systems (NSS), and Space Systems Development.
National security systems, automated
information systems, and business systems are all information technology (IT)
systems. All IT systems must comply with
the requirements of Title 40, U.S. Code, or the Clinger-Cohen Act (Title
40/CCA). Compliance is not required to
be spelled out in special or different documents. Enclosure 4 of DoDI 5000.02 provides a table
of compliance actions and what traditional program documents are used to
document the actions.
Interoperability and supportability
certification is required for most IT and NSS systems. This certification is
conducted by the Joint Staff, J-6 for both the JCIDS documents and as a result
of actual system level interoperability testing. The ability to meet the
requirements of the Net-Ready KPP found in the CDD is a key element of this
certification process.
Major automated information systems
(MAIS) have special reporting requirements to Congress for notices prior to
cancellation or reduction in scope, changes in cost, schedule and performance,
and an assessment and certification of critical program changes.
Business Systems. The Director, Business Transformation Agency
is the acquisition executive for Defense Business Systems. The MDA for business
systems that are major automated information systems is the DoD Asst. Deputy
Chief Management Officer (ADCMO)."
Automated
information systems (AIS) business systems cannot obtain MS A approval unless
the MDA has determined the system can achieve IOC within 5 years. Business
systems valued at $1 million or more must be certified by the Defense Business
Systems Management Committee.
Space Systems. National Security Space Systems are high
technology, small quantity programs, developed using a streamlined decision
making framework. Policy for the
acquisition of space systems is found in Interim Space Acquisition Policy.
There are similarities between DoDI 5000.02 and NSS 03-10; however, the
milestones and phases are slightly different to provide for earlier fielding of
one-of-a-kind satellites and launch vehicles. The Under Secretary of the Air
Force is the DoD Executive Agent for Space. As such, the Under Secretary is
responsible for the development and fielding of all ACAT I space assets across
DoD, and may be the MDA if delegated by the USD(AT&L).
Prior to each DAB, the DoD Space MDA will convene an Independent
Program Assessment Team (IPAT) to advise him on a program’s readiness to
advance into the next acquisition phase.
A cost analysis conducted by an Independent Cost Analysis Team (ICAT) is
presented as part of the DAB process. There are two acquisition models for
space programs: A small quantity model, usually for 10 or less systems such as
satellites, satellite ground-based command and control and data processing
stations, and launch vehicle system. A large quantity model for 50 or more
systems is used for user equipment such as hand-held terminals. This model is more similar to the DoD 5000
model"
