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. Note: These describe the GOVERNMENT process, NOT the Contractors processes (it indirectly guides what contractors do)
Agenda
Overview of Defense Acquisition Environment
Overview of JCIDS
Overview of the DoD
Overview of DoD
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 D
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 (PA&E) 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(AT&L)] is responsible for all acquisition matters within DOD.
USD(AT&L) or Assistant Secretary of Defense for Command Control, Communications and Intelligence [ASD(C3I)] designates “Milestone Decision Authority”
Director, Operational Test and Evaluation (OT&E) provides independent assessment of the operational effectiveness & suitability of new weapon systems

5. DoD Acquisition References
Defense Acquisition University (DAU) Publications: <
& <
Integrated Defense Acquisition, Technology, & Logistics Life Cycle Management Framework (2004)
Chairman of the Joint Chiefs of Staff (CJCS) Instruction E, Joint Capabilities and Integration Development System (JCIDS), 11 May, 2005
DoD Directive , The Defense Acquisition System, May 12, 2003
DoD Instruction , 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.

6. 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)

7. The Defense Acquisition Management Framework
CPD
CDD
JCIDS Process
(JROC & CJCSI 3170)
DAS Process
(AT&L & DoD 5000)
Note: Although SE is used in all Phases, YOU are most likely to be working programs in the SD&D Phase.
As such, THIS COURSE WILL FOCUS ON THE SDD PHASE of the DAS Process.

8. JCIDS Process More on JCIDS may be found in the Backup Slides
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

9. 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 (=> Use of TRLs and TRAs)

10. 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

11. DoD Directive 5000.1 Overview
DoD Directive : The Defense Acquisition System, May 12, 2003
“provides management principals and mandatory policies and procedures for managing all acquisition programs.”
“The USD(AT&L), 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

12. 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

13. DODI

14. 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
Enclosure 4: IT Consideration
Enclosure 5: Integrated Test and Evaluation
Enclosure 6: Resource Estimation
Enclosure 7: Human Systems Integration
Enclosure 8: Acquisition of Services
Enclosure 9: Program Management
Reference: DoD Directive : Operation of the Defense Acquisition System, May 12, 2003
Purpose: “provides management principals and mandatory policies and procedures for managing all acquisition programs.”

15. 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):
>$365 M/year or > $2.19 B total
ACAT IA (MAIS):
>$126 M/year or > $378 M total
ACAT II (Major System):
Not MAIS or MDAP
>$140 M/year or > $660 M B total
ACAT III (Other):
Not ACAT IA or ACAT II

16. Section 3.1: DoD Acquisition Process Life Cycle
DoD Instruction (2003)

17. Integrated Defense AT&L Life Cycle Management Framework

18. Integrated Defense AT&L 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)

19. 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 AT&L (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)

20. Develop Integrated Plans or Roadmaps to
Section Integrated Capability Assessment, Capability Roadmaps and Investment Strategies
Develop Integrated Plans or Roadmaps to
Conduct capability assessments
Guide Systems Development
Define associated Investment Plans

21. 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.”

22. Capabilities-Based vs. Requirements-Based Acquisition
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
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

23. Section 3.4 User Needs and Technology Opportunities
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 …

24. 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

25. 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 R&D
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

26. 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 customer’s 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

27. 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

28. 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

29. 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 (DT&E)
Verify System Performance: Integrated DT&E & Live Fire Test and Evaluation (LFT&E)
Test Readiness Review (TRR)
Verify System Functionality: System DT&E & LFT&E, & Operational Assessment (OA)
Demonstrate System: Combined DT&EO/OT&E/LFT&E
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.

32. Section 3.8: Production and Deployment Phase
Entry Criteria:
Approved Capability Production Document (CPD)
Acceptable DT&E 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)

33. 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)

34. Defense Acquisition Guidebook (DAG)
The DAG (see “References” slide) provides details on every aspect of DoD
The SEP Preparation Guide references many sections in the DAG
Know where it is and how to use it
It is an invaluable resource

35. 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

36. 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 DOD’s 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
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.”
FAA Tasks
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 Process: Post-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

41. DoDI 5000.2 Key Artifacts by Phase

42. DoD 5000.2 Key Technical Reviews [1]

43. DoD 5000.2 Key Technical Reviews [1]