Milestone A to Milestone B Requirements Management Activities Tom Fritz thomas.fritz@dau.mil 703 805 4583

Lesson Description & Reading Assignment Reading Assignments: Reading Package MS A to MS B RQM 310.pdf -- containing:   Lesson Charts. DoDI 5000.02, Enclosure 2, Procedures, paragraph 5, Technology Development Phase. JCIDS Manual, Enclosure B, section 7 , CDD, page B-27 Defense Acquisition Guidebook, part 2.1.1 (and all subparagraphs under 2.1.1), The Acquisition Program Baseline (APB), and part 2.2.8, Technology Maturation. Defense Acquisition Guidebook, part 4.2.4.1 Fig 1 – IPTs and Technical Reviews Guidance - Improving Milestone Process Effectiveness, 23 Jun 11 Technology Readiness Assessment guidance 2011, page 2-5, 2.3.3 Identify Technologies To Be Assessed Scan: Teaching Note, Technical Reviews\ On line : ADM MS B assign ACAT 1D PIM_17June11 ADM MS B KC-X _ 24 Feb 11 ADM MS B SDB II _6 Aug10 ADM MS B JHSV _30Oct08.pdf Milestone A to Milestone B: Requirements Management Activities   Materials: Lesson Charts , student papers selected from assignment 1, current ADM (s) from MS B References. See student reading assignments posted to Blackboard. Read them. Time Breakdown: 1 Hour Lesson Outline Purpose: To familiarize students with the requirements management related activities that take place during the acquisition process from Milestone A to Milestone B, the scope/construct of the Technology Development Phase, and the decisions made at Milestone B.   0.1

Lesson Objectives Determine the major requirements management activities during the acquisition process from Milestone A to Milestone B Analyze the purpose and major activities of the Technology Development phase and the links between those activities Describe the decisions the Milestone Decision Authority (MDA) makes and the items the MDA approves at Milestone B 1

Milestone A to Milestone B Technology Development Full Rate Prod Decision Review Joint Concepts Capabilities - Based Assessment MS C MS B Strategic Guidance MS A Technology Development Engineering & Manufacturing Development Production & Deployment AoA Materiel Solution Analysis Technology Opportunities & Resources ICD O&S User Needs MDD CDD CPD Post CDR Assessment Pre-EMD Review Incremental Development Draft ICD or ICD Waiver 2

Milestone A to Milestone B Requirements Management Activities ICD or ICD Waiver Purpose: Reduce technology risk Major activity: Competitive prototyping B A CDD Technology Development CDD Sponsor Approved CDD Pre-EMD Review PDR SRR SFR or TRA Requirements Management Activities Develop Update draft CDD and submit to JCIDS. Validated CDD to support Pre-EMD review. Participate in IPTs and Technical Reviews (DAG 4.2.4.1 Fig 1) Program , Pre-EMD, and Milestone Reviews Monitor/provide input Acquisition Strategy Acquisition Program Baseline (APB) Test & Evaluation Master Plan (TEMP) Affordability Requirements & Cost Estimate PPBE Process Technology Readiness Assessment (TRA) Life Cycle Sustainment Plan (LCSP) AoA Update , RAM-C report update 3

Preliminary Design Review (PDR) PDR is a technical review to ensure that the system is ready to proceed into detailed design – assesses the design as captured in performance specification (system allocated baseline) and each function in functional baseline is allocated to one or more system configuration items. PDRs before Milestone B are mandatory for MDAPs. “A successful PDR will inform requirements trades; improve cost estimation; and identify remaining design, integration, and manufacturing risks. The PDR shall be conducted at the system level and include user representatives and associated certification authorities. The PDR Report shall be provided to the MDA at Milestone B and include recommended requirements trades based upon an assessment of cost, schedule, and performance risk.” (DoDI 5000.02) 4

Pre-EMD Review Pre-EMD Review is directed by AT&L Memo, June 23, 2011. Validated CDD supports Pre-EMD review Purpose is to authorize release of final RFP and source selection for EMD contract. Contract award ASAP after MS B approval 5

Technology Readiness Assessment (TRA) TRA is a systematic, metrics based process that assesses maturity of, and risk associated with Critical technologies to be used in an MDAP TRA plan prepared by PM; approved by PEO, CAE and ASD(R&E). Conducted by Subject Matter Experts independent of PMO, but assigned by PM. Required for MDAPs for Sec. 2366b cert at Milestones B TRA results are included in CDD/CPD ASD(R&E) provides MDA an independent assessment and review of the TRA final report as to whether technology was demonstrated in relevant environment Technology Readiness Levels (TRLs) are knowledge-based standard but not a substitute for professional judgment A TRA focuses on the program’s “critical” technologies (i.e., those that may pose major technological risk during development, particularly during the Engineering and Manufacturing Development (EMD) phase of acquisition). Page 1-1 , TRA Guidance, April 2011, ASD(R&E) 6

Technology Maturity Technology Readiness Levels (TRL) Actual system proven through successful mission operations Actual system completed and qualified through test and demonstration (Full-Rate Production Decision) System prototype demonstration in a operational environment (Milestone C) System/subsystem model or prototype demonstration in a “relevant environment” (2366b certification item - Milestone B) Component and/or breadboard validation in relevant environment Component and/or breadboard validation in laboratory environment Analytical and experimental critical function and/or characteristic proof-of-concept Technology concept and/or application formulated Basic principles observed and reported System Test, Launch & Operations System/Subsystem Development Technology Demonstration Technology Development Research to Prove Feasibility Basic Technology Research TRL 9 TRL 8 TRL 7 TRL 6 TRL 5 TRL 4 TRL 3 TRL 2 TRL 1 Here are a few official resources to help out: U.S.C. Title 10, Section 2364 U.S.C. Title 10, Section 2366a (MDA Certification) Defense Acquisition Resource Center http://akss.dau.mil/darc/darc.html DoD Directive 5000.1 (DoDD 5000.1), The Defense Acquisition System, dated May 12, 2003 DoD Instruction 5000.2 (DoDI 5000.2), Operation of the Defense Acquisition System, dated May 12, 2003 Defense Acquisition Guidebook http://akss.dau.mil/DAG/ DAU Continuous Learning Module CLE021 https://learn.dau.mil/html/clc/Clc.jsp (to browse it) TRA Deskbook http://www.acq.osd.mil/ddre/publications/docs/TRA2011.pdf http://www.dod.mil/ddre/doc/DoD_TRA_July_2009_Read_Version.pdf   TRL Definitions on wikipedia: http://en.wikipedia.org/wiki/Technology_Readiness_Level Current update: TRA 2011 Link Public law requires MDAPs be at TRL 6 for Milestone B 7

Milestone B MDA approves: (DAG Encl 2—6, EMD Phase) Program Initiation (for most programs) Entry into Engineering and Manufacturing Development (EMD) Acquisition Strategy APB (includes affordability requirement – functional equivalent of KPPs) LRIP quantities Exit criteria for next phase Type of Contract Milestone B Certification ADM Requires Approved CDD (to include ICD elements if ICD waived), and Full Funding in the Future Years Defense Program (FYDP) 8

ACAT I Program Certification for MS B WSARA 2009 & NDAA 2012 Changes MEMORANDUM FOR THE RECORD SUBJECT: Milestone B Program Certification As required by Section 2366b of Title 10, United States Code, (1) I have received a business case analysis for the (name of program) and certify on the basis of the analysis that: (A) the program is affordable when considering the ability of the Department of Defense to accomplish the program's mission using alternative systems; (B) appropriate trade-offs among cost, schedule, and performance objectives have been made to ensure that the program is affordable when considering the per unit cost and the total acquisition cost in the context of the total resources available during the period covered by the future-years defense program submitted during the fiscal year in which the certification is made; (C) reasonable cost and schedule estimates have been developed to execute, with the concurrence of the Director of Cost Assessment and Program Evaluation, the product development and production plan under the program; (D) funding is available to execute the product development and production plan under the program, through the period covered by the future-years defense program submitted during the fiscal year in which the certification is made, consistent with the estimates described in paragraph (C) for the program; and (2) I have received the results of the preliminary design review and conducted a formal post- preliminary design review assessment, and certify on the basis of such assessment that the program demonstrates a high likelihood of accomplishing its intended mission; and Note: WSARA Changes highlighted in bold red (no NDAA 2012 changes to para. (1) and (2)) 9

Program Certification for MS B continued.. WSARA 2009 & NDAA 2012 Changes (3) I further certify that: (A) appropriate market research has been conducted prior to technology development to reduce duplication of existing technology and products; (B) the Depart of Defense has completed an analysis of alternatives with respect to the program; (C) the Joint Requirements Oversight Council has accomplished its duties with respect to the program pursuant to section 181(b) of Title 10, including an analysis of the operational requirements for the program; (D) the technology in the program has been demonstrated in a relevant environment, as determined by the Milestone Decision Authority on the basis of an independent review and assessment by the Director of Defense Research and Engineering; and (E) life-cycle sustainment planning, including corrosion prevention and mitigation planning, has identified and evaluated relevant sustainment costs throughout development, production, operation, sustainment, and disposal of the program, and any alternatives, and that such costs are reasonable and have been accurately estimated; (F) an estimate has been made of the requirements for core depot-level maintenance and repair capabilities, as well as the associated logistics capabilities and the associated sustaining workloads required to support such requirements; and (G) the program complies with all relevant policies, regulations, and directives of the Department of Defense. WSARA Changes highlighted in bold red; NDAA 2012 changes in bold blue italics 10

Technology Development Phase Linkage: CDD, APB, TEMP & Contract for Engineering and Manufacturing Development (EMD) Milestone A Milestone B Pre-EMD Review ICD or ICD Waiver Cost Estimate & $$ Competitive Designs & Prototypes DT TEMP COIs, MOEs, MOPs, CTPs KPPs KSAs Sponsor Approved CDD Contract AoA Update KPPs KSAs Validated CDD SPECs “design-to” PDR MOEs MOPs APB KPPs KSAs EMD Technology Development Phase 11 12

BACK UP SLIDES and INFORMATION

The Information Technology (IT) Box- (Before Jan 2012) Purpose: Describe overall bounds of an IT program to facilitate program initiation and reduce subsequent return trips to the JROC for approval of improved capabilities as the program is executed. (former JCIDS Manual Enclosure C) Applies to systems where there is no need to develop hardware systems (i.e., commercial-off-the-shelf hardware is used) Note: With JCIDS revision – the IT Box is an ICD format (JCIDS Manual Draft, 14 Oct 2011, page B-14) BU 1

The IT Box – Four Major Areas (Before Jan 2012) Presents the complete program for JCB and JROC members on one chart Flag-level oversight Chair & Members Total program cost Plan & cost for hardware & system integration Plan & cost for tech refresh per FY KPPs that represent initial level of performance for entire IT program FY funding for software development Total program costs for application and system software development/integration How often new releases will be delivered BU 2

Oversight & Review BU 3 DAE CAE PEO IPT’s assist in oversight & review USD(AT&L) Defense Acquisition Executive Acquisition Category DAE Makes Decisions Signs ADM ACAT ID DAB-Defense Acquisition Board ITAB-Information Technology Acquisition Board $365M RDT&E or $2.19B Procurement (FY2000 Constant $) DAB ITAB ACAT IAM $378M Life Cycle Cost or $126M Total Prog. Cost or $32M Prog. Cost in any single year (FY2000 Constant $) OIPTs Overarching IPT’s (OIPT’s) Issue resolution Component Acquisition Executive (Asst Secretary) ACAT IC/IAC Configuration Steering Boards Makes ACAT IC, IAC & II Decisions Signs ADM CAE ACAT II Working-Level IPT’s (WIPT’s) $140M RDT&E or $660M Procurement (FY2000 Constant $) Teaching points: - Relationship of ACAT to the level of milestone review: clearly, more oversight at the ACAT ID/IAM level. -Important point is that ACAT ID/IAM programs are reviewed by the CAE before they go to OSD for review. -Note IPTs: requirements manager need to be involved at each level: PM level; WIPT and OIPT at Pentagon. Component HQ Review Issue resolution Program Level IPT’s Program Executive Officer (General Officer/SES Civilian) ACAT III PEO Makes ACAT III/IV Decisions Signs ADM No Fiscal Criteria IPT’s assist in oversight & review Program Manager (Col/LtCol/Civilian Equivalent) ACAT IV PM Navy USMC Note: Some PMs report directly to CAE. BU 3

Defense Acquisition Guidebook , 4.2.4.1 Figure 1 BU 4