Major Systems Acquisition Manual(MSAM) “MissionExecutionBeginsHere” COMDTINST M5000.10B NOV 2010 COMDTINST M5000.10B This page intentionally left blank Commandant United States Coast Guard 2100 2 n d Street SW, Stop 7111 Washington, DC 20593-7111 Staff Symbol: CG-924 Phone: (202) 475-3150 Fax: (202) 475-3903 COMDTINST M5000.10B NOV 1 2010 COMMANDANT INSTRUCTION MANUAL 5000.10B Subj: MAJOR SYSTEMS ACQUISITION MANUAL Ref: (a) Department of Homeland Security Directive 102-01 (b) Department of Homeland Security Instruction/Guidebook 102-01-001 1. PURPOSE. To establish policy, procedures and provide guidance for the implementation of the Department of Homeland Security Acquisition Management and Review Process detailed in reference (a). 2. ACTION. All Coast Guard unit commanders, commanding officers, officer-in-charge, deputy/assistant commandants, and chiefs of headquarters staff elements shall comply with the provisions of this Manual. Internet release is authorized. 3. DIRECTIVES AFFECTED. The Major Systems Acquisition Manual, COMDTINST M5000.10A, Versions 2.0 and 2.1 are cancelled. 4. COAST GUARD MAJOR SYSTEMS ACQUISITION MANAGEMENT. This Major Systems Acquisition Manual (MSAM) defines the policy and process for major systems acquisition projects. Detailed procedures are provided for applying a uniform and disciplined approach to acquisition planning and project management from mission analysis and requirements generation through design, development, production, and deployment. The purpose of this revision is to align Coast Guard major acquisition policy with DHS acquisition management policy and processes established in references (a) and (b), and to continuously improve the policies and procedures applicable to major acquisitions. DISTRIBUTION – SDL No. 156 a b c d e f g h i j k l m n o p q r s t u v w x y z A B 1 C D E F G H NON-STANDARD DISTRIBUTION COMDTINST M5000.10B 5. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS. Environmental considerations under the National Environmental Policy Act (NEPA) were examined in the development of this Manual. This Manual includes preparation of acquisition documents that implement, without substantive change, the applicable Commandant Instruction or other Federal agency regulations, procedures, manuals, and other guidance documents. It is categorically excluded from further NEPA analysis and documentation requirements under Categorical Exclusion 33 as published in National Environmental Policy Act Implementing Procedures and Policy for Considering Environmental Impacts, COMDTINST M16475.1 (series). An Environmental Checklist and Categorical Exclusion Determination are not required. 6. IMPLEMENTATION. Individual major acquisition projects should implement policy changes introduced in this Manual prior to their next formal Acquisition Decision Event, but not later than six months from the date of this Manual. Documents already in concurrent clearance review may continue without implementation of policy changes unless they are needed for compliance with reference (a) or as required by law. 7. WAIVERS. Requests for exceptions to this Manual shall be submitted through the Coast Guard Acquisition Review Board Executive Secretary, Commandant (CG-924). Requests shall contain sufficient detail to clearly explain the basis of the request, policies to be waived, and the recommended alternative action. Waivers of policy will be approved by Commandant (CG-9). 8. RESPONSIBILITY. This Manual is under continual review and will be updated as necessary. Recommendations for improvement or corrections shall be submitted directly to Commandant (CG-924). 9. FORMS/REPORTS. The forms referenced in this Manual are available in USCG Electronic Forms on the Standard Workstation or on the Internet: http://www.uscg.mil/forms/; CGPortal at https://cgportal.uscg.mil/delivery/Satellite/uscg/References; and Intranet at http://cgweb.comdt.uscg.mil/CGForms. R. J. Rábago /s/ Assistant Commandant for Acquisition COMDTINST M5000.10B i TABLE OF CONTENTS Page Number CHAPTER 1: INTRODUCTION 1-1 1. MANUAL ORGANIZATION 1-1 2. COAST GUARD ACQUISITION DIRECTORATE 1-2 a. Major Systems Acquisition Manual Objectives 1-2 b. Acquisition Knowledge 1-3 3. COAST GUARD ACQUISTION TEAM 1-3 4. COAST GUARD ACQUISTION LEADERSHIP TEAM 1-5 5. ACQUISITION WORKFORCE TRAINING AND CERTIFICATION 1-6 6. PROJECT MANAGER AUTHORITY AND RESPONSIBILITY 1-7 7. CONTRACTING OFFICER AUTHORITY AND RESPONSIBILITY 1-9 8. PROGRAM MANAGER AUTHORITY AND RESPONSIBILITY 1-10 9. PROGRAM EXECUTIVE OFFICER, DIRECTOR OF ACQUISITION PROGRAMS 1-12 10. SPONSOR AND SPONSOR’S REPRESENTATIVE 1-13 11. TECHNICAL AUTHORITIES 1-15 12. EXECUTIVE OVERSIGHT COUNCIL 1-15 13. COMPONENT ACQUISITION EXECUTIVE 1-16 CHAPTER 2: MAJOR SYSTEMS ACQUISITION MANAGEMENT 2-1 1. MAJOR SYSTEMS ACQUISITION PROCESS 2-1 a. Major Systems Acquisition Management 2-1 b. Major System Acquisitions 2-2 c. Major Systems Acquisition Process Structure 2-3 2. PROJECT IDENTIFICATION PHASE 2-7 a. Project Identification Phase Objectives 2-7 b. Project Identification Phase Activities 2-8 c. Project Identification Phase Significant Accomplishments 2-8 d. Project Identification Phase Documentation 2-9 e. ADE-0 Review and Expected Outcomes 2-9 3. NEED PHASE 2-10 a. Need Phase Objectives 2-10 b. Need Phase Activities 2-11 c. Need Phase Significant Accomplishments 2-12 d. Need Phase Documentation 2-12 e. ADE-1 Reviews and Expected Outcomes 2-13 4. ANALYZE/SELECT PHASE 2-14 a. Analyze/Select Phase Objectives 2-14 b. Analyze/Select Phase Activities 2-15 c. Analyze/Select Phase Significant Accomplishments 2-18 d. Analyze/Select Phase Documentation 2-18 e. ADE-2A & ADE-2B Reviews and Expected Outcomes 2-19 5. OBTAIN PHASE 2-20 a. Obtain Phase Objectives 2-20 b. Obtain Phase Activities 2-22 c. Obtain Phase Significant Accomplishments 2-25 COMDTINST M5000.10B ii d. Obtain Phase Documentation 2-25 e. ADE-2C Reviews and Expected Outcomes 2-25 f. ADE-3 Reviews and Expected Outcomes 2-26 6. PRODUCE/DEPLOY AND SUPPORT PHASES 2-27 a. Produce/Deploy Phase Objectives 2-28 b. Produce/Deploy Phase Activities 2-28 c. Produce/Deploy Phase Significant Accomplishments 2-29 d. Produce/Deploy Phase Documentation 2-30 e. ADE-4 Review and Expected Outcomes 2-30 f. Support Phase Objectives 2-30 g. Support Phase Activities 2-31 h. Support Phase Significant Accomplishments 2-31 i. Support Phase Documentation 2-32 j.  Asset or System Removal from Service and Disposal 2-32 7. ACQUISITION LIFE CYCLE PLANNING SUMMARY 2-32 CHAPTER 3: SYSTEMS ENGINEERING LIFE CYCLE 3-1 1. INTRODUCTION 3-1 2. SYSTEMS ENGINEERING LIFE CYCLE FRAMEWORK 3-1 3. SYSTEM ENGINEERING LIFE CYCLE REVIEWS 3-3 4. PROJECT SELC TAILORING PLAN 3-7 5. RESEARCH, DEVELOPMENT, TEST AND EVALUATION PROGRAM 3-7 6. MODELING AND SIMULATION 3-8 7. TECHNOLOGY DEMONSTRATORS 3-9 CHAPTER 4: REQUIREMENTS GENERATION 4-1 1. INTRODUCTION 4-1 2. MISSION ANALYSIS 4-4 3. MISSION ANALYSIS REPORT 4-6 4. MISSION NEED STATEMENT 4-7 5. CONCEPT OF OPERATIONS 4-8 6. OPERATIONAL REQUIREMENTS DOCUMENT 4-9 7. SPECIFICATIONS OR STATEMENTS OF WORK 4-15 CHAPTER 5: PROJECT MANAGEMENT PLANNING 5-1 1. CAPABILITY DEVELOPMENT PLAN 5-1 2 ACQUISITION STRATEGY AND ACQUISITION PLAN 5-2 3. HUMAN SYSTEM INTEGRATION PLANNING 5-3 4. ALTERNATIVES ANALYSIS 5-5 5. LIFE CYCLE COST ESTIMATE 5-7 6. ACQUISITION PROGRAM BASELINE 5-9 7. PROJECT MANAGEMENT PLAN 5-11 8. SOLICITATION AND SOURCE SELECTION PLANNING 5-12 9. RISK MANAGEMENT PLAN 5-13 COMDTINST M5000.10B iii 10. TEST AND EVALUATION MASTER PLAN 5-15 11. INTEGRATED LOGISTICS SUPPORT PLAN 5-18 12. CONFIGURATION MANAGEMENT PLAN 5-21 13. PROJECT SELC TAILORING PLAN 5-23 14. DEPLOYMENT PLAN 5-25 15. POST IMPLEMENTATION REVIEW 5-25 16. PROJECT TRANSITION PLAN 5-26 CHAPTER 6: CAPITAL INVESTMENT PLANNING 6-1 1. INTRODUCTION 6-1 2. PLANNING, PROGRAMMING, BUDGETING, AND EXECUTION 6-1 3. EXHIBIT 300 6-4 4. DHS ACQUISITION REVIEW PROCESS 6-5 5. AFFORDABILITY ASSESSMENT 6-7 CHAPTER 7: REPORTS AND REVIEWS 7-1 1. INTRODUCTION 7-1 2. REPORTS 7-1 3. REVIEWS 7-4 4. RECORDS MANAGEMENT AND DOCUMENTATION 7-8 MAJOR SYSTEMS ACQUISITION MANUAL HANDBOOK APPENDIX A A-1 ACRONYMS A-313 COMDTINST 5000.10B LIST OF CHANGES A-323 COMDTINST M5000.10B iv LIST OF TABLES Page Number Table 1 Project Manager Certification Levels 1-6 Table 2 CG Acquisition Review Board Chair 2-3 Table 3 Project Identification Phase Documentation 2-9 Table 4 Need Phase Documentation 2-12 Table 5 Analyze/Select Phase Documentation 2-18 Table 6 Obtain Phase Documentation 2-25 Table 7 Produce/Deploy Phase Documentation 2-30 Table 8 Support Phase Documentation 2-32 Table 9 Acquisition Program Baseline Breaches 5-10 Table 10 Exhibit 300 Mapping to Acquisition Project Documents 6-5 Table 11 Metric Assessment Responsibilities 7-2 Table 12 EOC Membership 7-5 Table 13 CG ARB Core Membership 7-6 Table 14 Six Facets of Readiness/Thirteen Elements of Logistics 56 Table 15 Mission Operations Matrix 59 Table 16 Mission Support Matrix 60 LIST OF FIGURES Page Number Figure 1 Coast Guard Acquisition Review Organization 1-6 Figure 2 Management Interfaces 2-1 Figure 3 Major Systems Acquisition Life Cycle Framework 2-4 Figure 4 Project Identification Phase 2-7 Figure 5 Need Phase 2-10 Figure 6 Analyze/Select Phase 2-14 Figure 7 Obtain Phase 2-20 Figure 8 Produce/Deploy and Support Phase 2-27 Figure 9 Acquisition Life Cycle Planning Summary 2-33 Figure 10 Major System Acquisition Life Cycle with SELC Process 3-2 Figure 11 Systems Engineering Life Cycle Stages 3-5 Figure 12 SELC Stage Approval Authorities 3-5 Figure 13 SELC Stage Activities 3-6 Figure 14 Requirements Life Cycle 4-1 Figure 15 Mission Analysis Process 4-5 Figure 16 Requirements Development Process 4-14 Figure 17 PPBE Process 6-2 Figure 18 PPBE Overlapping Cycles 6-4 Figure 19 Capital Acquisition Planning 6-6 Figure 20 DHS Acquisition Review Process 7-8 COMDTINST M5000.10B 1-1 Chapter 1: Introduction 1. MANUAL ORGANIZATION This Manual documents the process and identifies the procedures for implementing Department of Homeland Security (DHS) Acquisition Review Process, Directive 102-01. Major System Acquisition procedures are outlined in Chapters 1 through 7, and Appendix A of this Manual. Chapter 1: Introduction This chapter includes the vision and mission of the Coast Guard Acquisition Directorate (CG-9), plus Project Manager (PM) and acquisition workforce training and certification requirements, and the organization of this Manual. It provides definitions of acquisition categories, acquisition phases, and principal decision milestones. It includes the roles and responsibilities of the key members of the acquisition management process. Chapter 2: Major Systems Acquisition Management This chapter discusses the process governing Coast Guard major systems acquisitions. Chapter 3: Systems Engineering Life Cycle This chapter highlights the Systems Engineering Life Cycle (SELC) framework to efficiently and effectively develop and deliver new capabilities to operational users. The SELC guides the definition, execution, and management of an interdisciplinary set of tasks required to plan, define, design develop, implement, operate and dispose of systems. Chapter 4: Requirements Generation This chapter emphasizes the activities that are conducted to assess mission areas and identify mission needs prior to the designation of the project as a major system acquisition. It also addresses the requirements definition process conducted once a project has been so designated. Chapter 5: Project Management Planning This chapter discusses the documents that are needed as a part of the Major Systems Acquisition management process. Chapter 6: Capital Investment Planning This chapter provides an overview of the Coast Guard Planning, Programming, Budgeting, and Execution process (PPBE); the Office of Management and Budget (OMB) Exhibit 300; and an overview of the Department of Homeland Security (DHS) Acquisition Review Process. COMDTINST M5000.10B 1-2 Chapter 7: Reports and Reviews This chapter identifies the specific reports and reviews that are required as part of the knowledge-based management process to keep senior management aware of project performance. Appendix A: Major Systems Acquisition Management (MSAM) Handbook Appendix A provides additional guidance and templates for developing acquisition plans/documents and providing required project reviews and briefings. It is composed of three parts. Part 1 provides acquisition project documentation review and approval process; Part 2 covers acquisition document content and includes templates; and Part 3 provides guidance for briefings. 2. COAST GUARD ACQUISITION DIRECTORATE The Coast Guard Acquisition Directorate (CG-9) was established in July 2007. It is a merger of the Coast Guard Acquisition Directorate (G-A) and the Coast Guard Deepwater Directorate (G-D). Commandant (CG-9) was formed to provide a single point of management for all Coast Guard major system acquisitions and to leverage the processes identified in this Manual to obtain capable, supportable, affordable, and sustainable systems, products, and services. In support of this objective, the Assistant Commandant for Acquisition has defined the Directorate’s Mission and Vision as follows: Mission Acquire and deliver more capable, interoperable assets and systems, and high quality, timely services that support Coast Guard forces in executing missions effectively and efficiently. Vision The Coast Guard Acquisition Directorate empowers a professional and credentialed workforce motivated by leadership, integrity and teamwork to deliver the assets and systems that increase readiness, enhance mission performance and create a safer working environment. a. Major Systems Acquisition Manual Objectives Major acquisition assets and systems are acquired using a disciplined project management approach and structured methodology using the processes and procedures detailed in this Major Systems Acquisition Manual (MSAM) and attached MSAM Handbook. This Manual defines the policies and procedures for Project Managers (PMs) and their staff’s to help plan, coordinate, and execute major systems acquisition projects. Objectives Reduce acquisition cycle time to field useable, affordable, sustainable, and technically mature discrete segments of capability [...]... ADE 1 Level 3 2 3 CG‐01 CAO (CG‐9) CAO (CG‐9) Notes: 1 CAE will chair CG ARB whenever DHS ADA is S2, but may delegate to CG‐01 for Level 1 ADE‐2A/2B/2C and ADE‐3 2 Non‐Major Acquisitions are governed by COMDTINST  5000.11 (series) Non‐Major Acquisition Process All decisions are documented in an Acquisition Decision Memo (ADM) with copies to senior level decision authorities where decision authority