Pre-Acquisition and the Need Phase

Transcription

1 D page 1 of 20 Long Description Title screen for Module 1, Lesson 2: System Acquisition Life Cycle, with three photos: a training session, a business meeting, and a shipyard.

2 Introduction T&D To print this lesson, select print. page 2 of 20 Long Description [Rachel with arms folded next to the Acqusition Phases chart.] Narrator: Welcome to Pre-Acquisition and Need Phase. [Rachel with arms folded next to the Acqusition Phases chart.] Narrator: During these early phases of a potential acquisition program, a Component identifies needs or gaps in the capability needed to execute its mission. [Rachel pointing to a white board with the words Mission Needs Statement and Capability Development Plan.] Narrator: From among those needs, the Component identifies a candidate for further advancement and creates a Mission Needs Statement and a Capability Development Plan.

3 [Rachel with a clipboard and a image of a man at a desk.] Narrator: The goal is to define the need and the plan for addressing that need to the Acquisition Decision Authority. [Rachel and the NEED Define the problem section of the Acqusition Phases Chart.] Narrator: In this lesson, you will learn about the purpose and product of Pre-Acquisition, which is the work completed before Acquisition Decision Event 0, and the purpose, products, and processes associated with the Need Phase.

4 Learning Objectives Upon completion of this lesson, you will be able to: Identify the pre-acquisition work conducted before Acquisition Decision Event (ADE)-0 Identify the acquisition program activities conducted during the Need Phase Identify the documents associated with Pre-acquisition and the Need Phase page 3 of 20

5 How Needs Are Identified Requirements generation is an ongoing process. DHS uses a number of sources to identify capability needs (deficiencies/gaps) for Components as well as the Department. The main sources are: The DHS strategic planning process External direction from Congress or Office of Management and Budget (OMB) Component leadership representing user requests (user-identified needs) The DHS Enterprise Architecture (EA) can assist with identifying gaps and shortfalls in Information Technology (IT) capabilities and resources. page 4 of 20 Requirements A description of what, how well, and under what conditions a product must perform to accomplish a given purpose. capability The ability to execute a specified course of action supporting DHS users and departmental goals/missions. It is defined strategically by DHS and tactically by an operational user and expressed in broad operational terms. DHS Enterprise Architecture (EA) A management practice for aligning programs and projects to improve business performance and help agencies better execute their core missions. An EA describes the current and future state of the agency, and it lays out a plan for transitioning from the current state to the desired future state.

6 Pre-Acquisition (Before ADE-0) T&D The Quadrennial Homeland Security Review (QHSR) outlines a strategic framework to guide homeland security activities, specifies key DHS mission priorities, and outlines goals for each of those mission areas. The Integrated Planning Guidance (IPG) defines the policies, priorities, broad strategies, and capabilities required to meet DHS's goals; provides operational planning guidance and basic guidance for program development for the next FYHSP; and establishes priorities for committing resources for modernization, readiness, and sustainability initiatives. Transcript and Long Description [Image of the Acquisition Decision events chart.] page 5 of 20 Narrator: Acquisition programs are executed in the context of long-term, strategic planning at the DHS-headquarters level, including long-term strategic planning, Quadrennial Homeland Security Review (or QHSR), Integrated Planning Guidance (or IPG), Information Analysis (current capabilities, threats, risks, studies, training exercises, lessons learned, and user/operator input). [Chart expands with Long-term, Strategic Planning.] Narrator: As headquarters updates the Department s strategy for accomplishing its mission, the Components identify operational needs and gaps in their ability to fulfill that mission.

7 A Component that identifies a gap can develop a Preliminary Mission Needs Statement, or P-MNS, to capture the requirement. This Pre-acquisition work is executed by the Component and funded internally. After the Component approves a P-MNS at ADE-0, it is forwarded to DHS headquarters for review. Both the Component and DHS headquarters check for overlaps with the other Components missions and programs. [Image of the Acquisition Decision Events chart.] Narrator: The output of ADE-0 is a component-approved P-MNS and permission to enter the Need Phase. FYHSP Future Years Homeland Security Program

8 DOTMLPF + R/G/S Factor Model You will see the lengthy acronym "DOTMLPF + R/G/S" or the term "DOTMLPF + R/G/S Factor Model." What that means is that a perceived need may be defined in terms of: Plus: Doctrine Organization Training Materiel Leadership Personnel Facilities Regulations/ Grants/ Standards Materiel (from the French "matériel" for equipment or hardware) refers to equipment and supplies in military and commercial supply chain management. In this context, materiel refers to the specific needs of a force to complete an assigned mission. page 6 of 20

9 Preliminary Mission Needs Statement The P-MNS is the initial statement that an actual or perceived need exists in DHS and/or Component capabilities, which may be defined in terms of DOTMLPF+R/G/S. Select the P-MNS tab within the binder to learn more about the Preliminary Mission Needs Statement. D As you progress through the course, you will learn about more acquisition documents and the acquisition document binder will reappear. As you encounter a new document, that document's tab will become active within the binder. For your convenience, a PDF entitled Common Acquisition Documents is available in the resources section of this course. This resource contains the content of the complete binder in its final form. Long Description page 7 of 20 [ A open binder with 11 tabs, P-MNS is highlighted] The purpose of the P-MNS is to state the need at a top-level, clearly and accurately, as a basis for developing a Mission Needs Statement (MNS) and submitting a Resource Allocation Plan (RAP) to request funding for a future acquisition. The P-MNS is prepared by the User/Sponsor that identifies the need. The P-MNS is drafted using the same format as for a MNS, which is located in Instruction/Guidebook Appendix C: Mission Needs Statement. The User/Sponsor only completes those sections for which knowledge is available. The P-MNS is approved by the Component at ADE-0 and sent to the ADA for review. The P-MNS is not a formal requirement; if the Component desires, it may develop a MNS directly without developing a P-MNS first.

10 Preliminary Missions Need Statement Purpose The purpose of the P-MNS is to state the need at a top-level, clearly and accurately, as a basis for developing a Mission Needs Statement (MNS) and submitting a Resource Allocation Plan (RAP) to request funding for a future acquisition. Prepared by The P-MNS is prepared by the User/Sponsor that identifies the need. Appendix The P-MNS is drafted using the same format as for a MNS, which is located in Instruction/Guidebook Appendix C: Mission Needs Statement. The User/Sponsor only completes those sections for which knowledge is available. Approval The P-MNS is approved by the Component at ADE-0 and sent to the ADA for review. Additional Information The P-MNS is not a formal requirement; if the Component desires, it may develop a MNS directly without developing a P-MNS first.

11 ADE-0 At ADE-0, the Component collects and reviews needs/gaps and identifies candidates for further advancement. ADE-0 is not a formal milestone, but a key decision point at which a sponsoring organization decides to explore a need by approving the P-MNS. The Component notifies DHS headquarters by submitting the P-MNS to Joint Requirements Council (JRC). Potential outcomes of this review: The need is unique and not being pursued within DHS. The Component will proceed with efforts to take the need to ADE-1. The need is valid, but duplicates a P-MNS submitted by another DHS activity or a need that is in the process of being fulfilled by another DHS program or initiative. PARM will work with all the parties to determine the most efficient way to explore the need or leverage the in-process program. The need is already fulfilled by existing capabilities. PARM will work with the submitting Component to leverage the existing capability. While the JRC is reviewing the P-MNS, the Component may begin expanding the P-MNS into a full MNS. The Component may also submit a Resource Allocation Plan (RAP), which is a request for funds for a new program. page 8 of 20 P-MNS Preliminary Mission Needs Statement ADE-1 Validate the need Resource Allocation Plan (RAP) A systematic allocation of resources required to achieve Component missions, objectives, and priorities. The RAP is prepared by Components each year during the programming phase of the PPBE process. It depicts time-phased requirements for funding, equipment, and manpower five years into the future.

12 Knowledge Check The articulates the identified need at a top-level. P-MNS MNS CDP Acquisition Plan Submit page 9 of 20 The P-MNS articulates the identified need at a top-level.

13 Recap: Pre-Acquisition Review the key concepts introduced in this topic: Pre-Acquisition is the work completed before ADE-0 (the start of the Acquisition Life Cycle Framework (ALF)) to identify and document a need or gap in operational capability. The product of Pre-Acquisition is a Preliminary Mission Needs Statement (P-MNS), which articulates an identified need at the top-level. The P-MNS may describe the need in terms of the DOTMLPF + R/G/S (Doctrine, Organization, Training, Materiel, Leadership, Personnel, and Facilities, plus Regulations/Grants/Standards) factor model. The Component approves the P-MNS at ADE-0 and submits it to the Under Secretary for Program Accountability and Risk Management (PARM) Office review. The next topic is The Need Phase. page 10 of 20 Acquisition Life Cycle Framework (ALF) A template for planning and executing acquisitions. The DHS Acquisition Life Cycle consists of four phases: Need, Analyze/Select, Obtain, and Produce/Deploy/Support.

14 Introduction to the Need Phase During the Need Phase, the User/Sponsor expands the P-MNS into a full MNS, which will be approved by the Component prior to ADE-1. The Component will also prepare a Capability Development Plan (CDP) to describe the planned activities and program resources for the Analyze/Select Phase. In this topic, you will be introduced to: The purpose of the Need Phase The key activities of the Need Phase The products of the Need Phase page 11 of 20 P-MNS Preliminary Mission Needs Statement MNS Mission Needs Statement ADE-1 Validate the need

15 The Need Phase T&D page 12 of 20 Long Description [Image of the Acquisition Decision Events.] Narrator: The Need phase is the first phase of the Acquisition Life Cycle Framework. [Image of two orange triangles labeled 0 and 1.] Narrator: The purpose of the Need phase is to document a need or gap and plan and resource the activities that will take place during the Analyze/Select Phase. [Arrow labeled P-MNS appears over the triangle labeled 0.] Narrator: At ADE-0, the P-MNS is approved by the Component and forwarded to DHS headquarters, initiating the Need phase.

16 [Primary Activities are listed.] Narrator: The primary activities of the Need Phase are: Document a need or gap in mission capability in a full Mission Needs Statement, or MNS Prepare a Capability Development Plan, or CDP, to lay the groundwork for the Analyze/Select phase Submit a Resource Allocation Plan, or RAP, to get a "wedge" of funding in a future budget cycle [Arrow labeled MNS/CDP appears over the second triangle labeled 1.] Narrator: At ADE-1, the MNS and CDP are reviewed by the Component and forwarded to DHS headquarters for approval for all Level One and Level Two programs. [Image of Acquisition Decision Events.] Narrator: Headquarters reviews the MNS and CDP to verify that they reflect a valid mission need; align with DHS strategic guidance, critical thinking, and analysis; reflect a DHS-level focus rather than a Componentlevel focus; and reflect the adequate planning and resourcing for the Analyze/Select phase. The Headquarters\' review culminates in the ADA convening the Acquisition Review Board (ARB) for granting the ADE 1 decision.

17 Mission Needs Statement and Capability Development Plan To fully document the need, the User/Sponsor either expands a P-MNS or develops a MNS from scratch. The MNS summarizes specific functional capabilities required to accomplish the Department s mission and objectives, along with deficiencies and gaps in these capabilities. The PM develops a CDP, which lays the groundwork for the Analyze/Select Phase. Select the MNS and CDP tabs within the binder to learn more about these documents. D Long Description Interactive three ring binder with selectable tabs. page 13 of 20 P-MNS Preliminary Mission Needs Statement MNS Mission Needs Statement PM Program Manager

18 CDP Capability Development Plan

19 Mission Needs Statement Purpose The MNS describes a specific functional capability required by users to accomplish a Component mission or objective. The MNS: Describes the problem, NOT the solution Is a formal description of a strategic need for investment Initiates acquisition program management process Is the basis for submitting a Resource Allocation Plan (RAP) to request funding Prepared by The MNS is prepared by the User/Sponsor that identifies the need. Appendix Instruction/Guidebook Appendix C: Mission Needs Statement contains guidance and a sample MNS template. Approval The MNS is approved by the ADA at ADE-1. Example For example, a MNS identifying a gap in Customs and Border Protection s capability for ensuring the security of the US-Mexico border might describe a need to enhance agents ability to detect people entering the country illegally. Capability Development Plan Purpose The purpose of the Capability Development Plan (CDP) is to serve as the agreement between the Component Head, the Program/Project Manager (PM), and the Acquisition Decision Authority (ADA) on the activities, cost, schedule, and performance boundaries of the work to be performed in the Analyze/Select phase. This critical period leading up to ADE-2A develops the knowledge used by the ADA to make informed decisions on the performance, schedule, and cost of the program that will effectively deliver capabilities to users. Prepared by The PM prepares the CDP with input from the User/Sponsor, cost analysts, logisticians, and other subject matter experts (SMEs).

20 Appendix Instruction/Guidebook Appendix D: Capability Development Plan contains guidance and a sample CDP template. Approval The ADA approves the CDP at ADE-1. Preliminary Missions Need Statement Purpose The purpose of the P-MNS is to state the need at a top-level, clearly and accurately, as a basis for developing a Mission Needs Statement (MNS) and submitting a Resource Allocation Plan (RAP) to request funding for a future acquisition. Prepared by The P-MNS is prepared by the User/Sponsor that identifies the need. Appendix The P-MNS is drafted using the same format as for a MNS, which is located in Instruction/Guidebook Appendix C: Mission Needs Statement. The User/Sponsor only completes those sections for which knowledge is available. Approval The P-MNS is approved by the Component at ADE-0 and sent to the ADA for review. Additional Information The P-MNS is not a formal requirement; if the Component desires, it may develop a MNS directly without developing a P-MNS first.

21 ADE-1: "Validate the Need" At ADE-1, the Acquisition Decision Authority (ADA) convenes an Acquisition Review Board (ARB). The Component submits the MNS and CDP to the Acquisition Review Team (ART) through the Program Accountability and Risk Management (PARM) office. The ART: 1. Ensures the need documented in the MNS is aligned with DHS strategic planning 2. Ensures the CDP demonstrates adequate planning and resourcing for upcoming phases 3. Makes a recommendation for or against approval to the ARB The ARB reviews and discusses the ART's recommendation. After the ARB's deliberations, the ADA makes a decision whether or not to grant ADE -1 approval. The ADA's decision is documented in an Acquisition Decision Memorandum (ADM). The ADM is the authority for the program to proceed or not. A favorable ADE-1 decision results in approval of the MNS and the CDP and designation of a qualified PM and is considered the point of program initiation. Overview of CDP Content: The CDP should discuss topics and issues, specific to the acquisition, that allow the PM to clearly define the "body of work" that must be accomplished during the Analyze/Select Phase. The CDP includes the plan for the phase between ADE-1 and ADE-2A. It also includes the strategies and approaches to address the key issues addressed in the Analyze/Select Phase, including the approach to determining the "optimum" solution(s) within the tradespace and the risks of the preferred alternative. The CDP provides the ADA with the assurance that the knowledge (based upon sound analytical approaches and technique) to make informed ADE-2A acquisition decisions will be available at that milestone. The CDP includes initial ground rules for either an Analysis of Alternatives (AoA) or an Alternatives Analysis (AA). Deciding whether to conduct an AoA or a more focused AA during the Analyze/Select Phase is part of ADE-1. MNS Mission Needs Statement page 14 of 20 CDP Capability Development Plan After the ARB\'s deliberations

22 The types of questions that will be answered at ADE-1 (from Guidebook ): Does the MNS provide a compelling value proposition for filling a valid need? Does the MNS clearly address alignment to DHS\'s strategic goals and Enterprise Architecture (EA)? Are the CDP and its tributary efforts (e.g., the AoA/AA) sufficiently resourced? Acquisition Decision Memorandum (ADM) An Acquisition Decision Memorandum (ADM) is written documentation of the ADA\'s decision at an ADE. The ADM includes: 1. The ADA\'s decision 2. A brief overview of any issues raised by the ARB 3. Limitations or special requirements to be levied on the program during the next phase of the acquisition 4. Any action items the ADA requires the program to complete Acquisition Decision Authority (ADA) The individual designated in accordance with criteria established by the DHS Chief Acquisition Officer to approve entry of an acquisition program into the next phase of the acquisition process. Formerly known as a Milestone Decision Authority (MDA).

23 Knowledge Check The outlines a plan of actions and milestones for the Analyze/Select phase. Preliminary Mission Needs Statement (P-MNS) Capability Development Plan (CDP) Mission Needs Statement (MNS) Acquisition Plan Submit page 15 of 20 The Capability Development Plan (CDP) outlines a plan of action and milestones for the Analyze/Select Phase.

24 Knowledge Check Which decision results in the designation of a qualified program manager and is the point of program initiation? Acquisition Decision Event-0 Acquisition Decision Event-1 Acquisition Decision Event-2 Acquisition Decision Event-3 Submit page 16 of 20 Acquisition Decision Event-1 results in the designation of a qualified program manager and is the point of program initiation.

25 The CHEM-Bot Program Before we go on to the Analyze/Select Phase, I'd like to give you an example: the CHEM-Bot Program. CHEM-Bot stands for Chemical Detection Robot. We'll be using this program from time to time to illustrate a key concept or characteristic of the phases of the ALF or the functional areas involved in executing an acquisition program. Select Next to learn more about the CHEM-Bot program. page 17 of 20

26 CHEM-Bot: Background Since September 11, 2001, DHS has spent over $1 billion per year to keep U.S. seaports safe and secure. Multimillion dollar grants have been made to our largest port cities, cutting-edge technologies have been deployed, and huge investments have been made to develop advanced screening technologies. Various federal and state agencies are responsible for port security. The U.S. Coast Guard (USCG) controls physical security; U.S. Customs and Border Protection (CBP) controls container security; and state and local port authorities, law enforcement agents, and private terminal operators provide additional security. They use a wide range of cargo screening methods, from x-ray and gamma-ray machines, to radiation detection devices and canine teams. However, no agency currently has the capability to reliably and affordably detect toxic chemical substances in our seaports. page 18 of 20

27 CHEM-Bot: T&D page 19 of 20 Transcript and Long Description [Rachel with her arms folded and a image of Baltimore Habor] Narrator: After a chemical spill in Baltimore Harbor in the summer of 2010, CBP identified the need for a reliable and affordable capability to detect toxic chemicals in U.S. ports. [Rachel with various images of DHS employees] Narrator: To document this need, they drafted a P-MNS which was approved by the Commissioner in September at ADE-0. CBP also identified initial funding requirements for the inclusion in their next RAP. [Rachel gestering her hands towards the U.S. Department of Homeland Security seal]

28 Narrator: The Commissioner sent the P-MNS to DHS headquarters, who confirmed that no other program was addressing this need. CBP expanded their P-MNS into an MNS to fully document the gap. [Image of a white board with a listing of CDP duties] Narrator: At the same time, CBP s National Targeting Center Program Management Office began preparing a CDP. It identified several alternatives to provide the capability, along with cost estimates and a schedule for conducting an AoA and other activities of the Analyze/Select phase. [Rachel holding a clipboard and a image of business people in a meeting] Narrator: The ADA approved the MNS and the CDP at ADE-1 in January Dr. Frank Jeffries was formally designated as the PM for the CHEM-Bot program, and he began assembling a team to execute the Analyze/Select Phase.

29 Lesson Summary Review the key concepts introduced in this lesson. Pre-Acquisition Pre-Acquisition refers to the work that occurs before Acquisition Decision Event (ADE)-0, when a Component identifies a gap in mission capability and documents the need in a Preliminary Mission Needs Statement (P-MNS). The P-MNS is the user's initial statement that an actual or perceived need exists, which may be defined in terms of DOTMLPF + R/G/S (Doctrine, Organization, Training, Materiel, Leadership, Personnel, and Facilities, plus Regulations/Grants/Standards). The Need Phase The first phase of the Acquisition Life Cycle Framework (ALF) is the Need Phase. The primary activities of the Need Phase are: Document a mission need / capability gap in a full Mission Needs Statement (MNS) Prepare a Capability Development Plan (CDP) to lay the groundwork for the Analyze/Select Phase Submit a Resource Allocation Plan (RAP) to get a "wedge" of funding in a future budget cycle The MNS and CDP are reviewed by the Acquisition Decision Authority (ADA) at ADE-1, when the ADA validates the need and decides whether or not to grant approval for the program to enter the Analyze/Select Phase. You have reached the end of. To continue, select the next lesson from the Table of Contents. To print this lesson, select print. page 20 of 20