Introduction to Defense Acquisition Summary

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).

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"

Requirements Management Overview Summary

Lesson Outcome: Identify how the requirements management process relates to the DoD management processes.

Topic 1: Requirements Manager Roles and Responsibilities Learner Outcome: Define the role and typical responsibilities of the Requirements Manager as the link between the JCIDS community, the warfighter, and the acquisition system.

A Requirements Manager is a military manager or DoD civilian charged with assessing, developing, validating, and prioritizing requirements through the Joint Capabilities Integration and Development System (JCIDS) process, which fulfills the requirements function for Capabilities-Based Planning (CBP).

The Requirements Manager is the link between the warfighter, the JCIDS community, and the acquisition system. Requirements Managers apply knowledge, tools, and skills to support:

Better capabilities

Better procedures

Better management systems



Requirements Managers ensure warfighters’ requirements get through the JCIDS and acquisition systems clearly, so DoD can field effective capabilities in a timely manner at an affordable cost. Specific responsibilities include:

Establish common understanding

Create clear communication

Prepare necessary documentation



To deliver capable, effective, efficient materiel solutions, Requirements Managers must understand “Big A Acquisition”: the combination of the Requirements Process; the Planning, Programming, Budgeting, and Execution (PPBE) processes; and the acquisition system.

To do a complete job, the Requirements Manager must:

Protect the information from the warfighters by making sense out of the feedback from the field and then getting that feedback into the Requirements process.

Assess, develop, and prioritize field requirements so the combined Acquisition processes work for the warfighters as DoD provides both non-materiel and material solutions.

Work with field units to be sure solutions will be effective.

Understand the PPBE and acquisition processes because those processes work with the requirements process to deliver effective capabilities.

Topic 2: Statutory and Regulatory Authority Learner Outcome: Recognize the legal authority for the Requirements process and for training Requirements Managers.

Congress established the Joint Requirements Oversight Council (JROC) under Title 10 of the United States Code. Congress has also recognized the need for qualified and certified Requirements Managers. As a result, Congress mandated that DoD establish a certification program that provides essential training to Requirements Managers.

Key authorities behind this training include:

The Joint Requirements Oversight Council (JROC)

The Joint Capabilities Integration and Development System (JCIDS) as directed in the CJCSI 3170 series and the JCIDS Manual

The Fiscal Year 2007 National Defense Authorization Act (FY 2007 NDAA)

Topic 3: Key Terms 

Learner Outcome: Define several key terms.



Requirement: An established need justifying the timely allocation of resources to achieve a capability to accomplish approved military objectives, missions, or tasks.

Need: A lack of something necessary, a necessity arising from the circumstances of a situation or case, or a condition marked by the lack of something requisite.

A lack of something deemed necessary:
We need the capability to kill the enemy!



Necessity arising from the circumstances of a situation or case: We need to respond rapidly to the changing designs of insurgent IEDs!

A condition marked by the lack of something requisite:
We need capabilities to move supplies around the battlefield!


Requirements Manager: A military manager or DoD civilian manager charged with assessing, developing, validating, and prioritizing requirements and associated requirements products through the Joint Capabilities Integration and Development System (JCIDS) process.

Warfighter: Those forces engaged in National Security Council (NSC)-directed missions around the world. A warfighter can be in a Combat, Combat Support, or Combat Service Support specialty. The term “warfighter” should be confined to those forces in or assigned to a Combat Zone. The term is intended to be totally neutral in regards to any specific military Service, branch, or agency.

Lesson #2 – Requirements Manager Overview Page 2 of 3



Capabilities-Based Requirement: A requirement written to specify and to provide a capability

Capabilities-Based Planning: An overarching framework for planning under uncertainty to provide capabilities suitable for a wide range of modern-day challenges and circumstances while working within an economic framework that necessitates choice.

Identifying and Approving DOD Requirements Summary

Lesson Outcome: Recognize the DoD process for requirements identification and fulfillment.

Topic 1: Major Stakeholders Learner Outcome: Recognize the major stakeholders who support the requirements identification and approval process.

The first major stakeholders remain the individuals and organizations who identified the capability gap in the first place. These stakeholders are:

Users: the warfighters, Combatant Commanders, and DoD agencies

Policy makers: the Joint Staff and the Office of the Secretary of Defense (OSD)

The first stakeholders must agree on a requirement and then approve pursuing that requirement. In light of today’s emphasis on joint operations and interoperability, the Joint Requirements Oversight Council (JROC) emerges as the final arbiter of priorities and of alternative requirements.

Additional stakeholders enter into the picture:

The acquisition community must develop proposed materiel solutions.

Industry must build materiel solutions, support equipment, and support supplies such as ammunition and fuel.

The Business, Cost Estimating, and Financial Management (BCEFM) system must fund any development effort.

The logistics system must provide necessary support.

Systems Engineering must anticipate and solve development, production, and deployment problems.

The Test and Evaluation (T&E) community must test new weapons systems to help ensure their effectiveness before those new systems go into the field.


DoD approval authorities include the Acquisition Executive, the JROC, Functional Capabilities Boards (FCBs), the Joint Capabilities Board (JCB), and authorities within each Service and agency.

Topic 2: The Requirements Identification Process Learner Outcome: Identify the elements of the DoD requirements identification and approval processes to fill a capability gap.

The formal requirements process begins with a Capabilities-Based Assessment (CBA). Any DoD organization may initiate a CBA. Organizations may initiate CBAs to provide a joint examination of an operational concept proposed by a particular community; or to provide a broad examination of a functional area; or to provide answers on extremely compressed timelines.

The CBA identifies: 1) The capabilities and operational performance criteria required to execute missions successfully 2) The shortfalls in existing weapon systems to deliver those capabilities and the associated operational risks 3) The possible solution space for the capability shortfalls

Gaps in capabilities may be addressed as follows:

1) take no further action because the operational risk is at an acceptable level

2) a non-materiel approach such as changes to doctrine or organization

3) a materiel solution

4) some combination of approaches

CBA results go into either a DOTMLPF Change Recommendation (DCR) or an Initial Capabilities Document (ICD).

When the JROC approves an ICD, it is validating

1) the capabilities required to perform the mission as defined

2) the gap in capabilities

3) priorities and operational risks; and

4) the need to address the capability gaps

Topic 3: Requirements Manager Challenges Learner Outcome: Identify the challenges for Requirements Managers in guiding a requirement through the Capabilities-Based Planning (CBP) Requirements Process.

The Requirements Manager is the warfighters’ agent to be sure the JCIDS and all the other stakeholders see and understand a capability gap whether that gap comes from warfighter feedback or from a new national policy. Since there are many stakeholders, imagine all the things that can go wrong throughout a complicated and confusing process such as JCIDS. The Requirements Manager must be willing and able to face many challenges before DoD delivers an effective solution to the warfighter.

Perhaps the biggest problem the Requirements Manager faces is the need to develop a consensus within an individual Service and take that consensus through the JCIDS analysis and through the joint staff levels. Other action officers and Requirements

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Managers will compete for higher prioritization and for funding. Experts with excellent qualifications and valid points of view will question the maturity of a concept as they imply the solution is not technically feasible or that someone is rushing the requirement ahead of more valid warfighters’ needs.

Everyone will want to change the requirements to reflect additional missions, priorities, or opportunities. As key people move in and out of their jobs, consensus can collapse if a new general or a new chief engineer rejects predecessor’s agreements, takes time to get up to speed, or brings a new point of view.

Translating the requirements to the managers in the acquisition community is a great challenge because different managers and different specialists have different training, different experience, different points of view, and different communications patterns. The requirements process needs extensive documentation and visualization because everyone needs to know and to agree on what the customer really needs. Throughout the various processes, the Requirements Manager must remain the voice of the warfighter.