Research, Development, and Acquisition Army Acquisition Procedures

285 Pages·2009·2.81 MB·English

Department of the Army
Pamphlet 70–3
Research, Development, and Acquisition
Army
Acquisition
Procedures
Rapid Action Revision (RAR) Issue Date: 1 April 2009
Headquarters
Department of the Army
Washington, DC
28 January 2008
UNCLASSIFIED
SUMMARY of CHANGE
DA PAM 70–3
Army Acquisition Procedures
This rapid action revision, dated 1 April 2009--
o Updates acquisition program baseline requirements and procedures (paras 2-4
and 10-10 through 10-18).
o Changes the requirement for a post implementation review for Major Automated
Information Systems to 6 to 12 months after reaching initial operational
capability (para 7-18c).
o Adds information and procedures for Configuration Steering Boards (para 8-
10).
o Adds acquisition procedures for clothing and individual equipment (paras 10-
60 and 10-61).
o Provides information on periodic reporting requirements for acquisition
programs (paras 10-57 through 10-59).
o Replaces information on type classification with direction to see AR 700-142
and DA Pam 700-142 for type classification and materiel release policy and
procedures (paras 10-1 and 10-2).
o Adds Major Automated Information Systems program baseline breach procedures
(para 10-17).
o Changes the Milestone Decision Authority for Major Automated Information
Systems from the Assistant Secretary of Defense (Networks and Information
Integration) to the Under Secretary of Defense (Acquisition, Technology, and
Logistics) (throughout).
o Changes Deputy Assistant Secretary of the Army (Policy and Procurement) to
Deputy Assistant Secretary (Procurement) (throughout).
o Changes Deputy Assistant Secretary of the Army (Integrated Logistics Support)
to Deputy Assistant Secretary (Acquisition Policy and Logistics)
(throughout).
o Updates information to reflect terminology changes brought about by the
publication of DODI 5000.02 (throughout).
Headquarters *Department of the Army
Department of the Army Pamphlet 70–3
Washington, DC
28 January 2008
Research, Development, and Acquisition
Army Acquisition Procedures
individual equipment information and pro- i n c l u d e f o r m a l r e v i e w b y t h e a c t i v i t y ’ s
c e d u r e s f o r C o n f i g u r a t i o n S t e e r i n g senior legal officer. All waiver requests
Boards. It replaces type classification and will be endorsed by the commander or
materiel release information and updates s e n i o r l e a d e r o f t h e r e q u e s t i n g a c t i v i t y
acquisition program baseline, terminolo- and forwarded through higher headquar-
gy, and organizational information.
ters to the policy proponent. Refer to AR
Applicability. This pamphlet applies to 25–30 for specific guidance.
t h e A c t i v e A r m y , t h e A r m y N a t i o n a l
Suggested improvements. Users are
Guard/Army National Guard of the United
States, and the U.S. Army Reserve, unless invited to send comments and suggested
otherwise stated. Also, it applies to per- improvements on DA Form 2028 (Recom-
sonnel involved in research, development, m e n d e d C h a n g e s t o P u b l i c a t i o n s a n d
acquisition, and support of materiel items Blank Forms) directly to the Office of the
and systems. Assistant Secretary of the Army (Acquisi-
tion, Logistics and Technology), 2511 Jef-
Proponent and exception authority.
ferson Davis Highway (SAAL–PA), Suite
The proponent of this pamphlet is the As-
History. This publication is a rapid action
sistant Secretary of the Army for Acquisi- 10353, Arlington, VA 22202–3911.
revision (RAR). This RAR is effective 1
t i o n , L o g i s t i c s a n d T e c h n o l o g y . T h e
April 2009. The portions affected by this Distribution. This publication is availa-
proponent has the authority to approve ex-
RAR are listed in the summary of change. ble in electronic media only and is in-
ceptions or waivers to this pamphlet that
Summary. This pamphlet provides dis- a r e c o n s is t e n t w i t h c o n t r o l l i n g l a w a n d tended for command levels C, D, and E
cretionary guidance on materiel acquisi- regulations. The proponent may delegate for the Active Army, the Army National
tion management. It is to be used with this approval authority, in writing, to a Guard/Army National Guard of the United
DODD 5000.1, DODI 5000.02, and AR d i v i s i o n c h i e f w i t h i n t h e p r o p o n e n t States, and the U.S. Army Reserve.
70-1. It contains information relevant to agency or its direct reporting unit or field
r e s e a r c h , d e v e l o p m e n t , a n d a c q u i s i t i o n , operating agency, in the grade of colonel
and life cycle management of Army mate- or civilian equivalent. Activities may re-
r i e l t o s a t i s f y a p p r o v e d A r m y r e q u i r e - quest a waiver to this pamphlet by provid-
m e n t s . T h i s r e v i s i o n a d d s c l o t h i n g a n d i n g j u s t i f i c a t i o n t h a t i n c l u d e s a f u l l
analysis of the expected benefits and must
Contents (Listed by paragraph and page number)
Chapter 1
Acquisition Management Process, page 1
Section I
General, page 1
Purpose (cid:129) 1–1, page 1
References (cid:129) 1–2, page 1
Explanation of abbreviations and terms (cid:129) 1–3, page 1
Section II
Army acquisition, page 1
Applicability (cid:129) 1–4, page 1
Overview (cid:129) 1–5, page 2
*This publication supersedes DA Pam 70–3, dated 15 July 1999. This edition publishes a rapid action revision of DA Pam 70–3.
DA PAM 70–3 (cid:129) 28 January 2008/RAR 1 April 2009 i
UNCLASSIFIED
Contents—Continued
Categories of acquisition programs and milestone decision authority (cid:129) 1–6, page 2
Evolutionary acquisition (cid:129) 1–7, page 3
Section III
Modifications, page 3
General modification provisions (cid:129) 1–8, page 3
Modification management (cid:129) 1–9, page 3
Section IV
Areas of special coordination/consideration, page 4
Special coordination (cid:129) 1–10, page 4
Assigning popular names (cid:129) 1–11, page 8
Section V
Program Office and Program Management, page 11
Establishing program/project/product management offices (cid:129) 1–12, page 11
Disestablishing product/project manager offices (cid:129) 1–13, page 15
Terminating a program (cid:129) 1–14, page 17
Section VI
Science and Technology Maturation, Demonstration, and Transition Information, page 19
Science and technology introduction (cid:129) 1–15, page 19
Army Science and Technology Master Plan (cid:129) 1–16, page 20
Science and technology vision (cid:129) 1–17, page 20
Science and technology strategy (cid:129) 1–18, page 20
Army Science and Technology Advisory Group; Army Science and Technology Working Group; and the Army
Science and Technology Working Group Councils (cid:129) 1–19, page 20
Science and technology procedures (cid:129) 1–20, page 22
Small business innovation research and small business technology transfer programs (cid:129) 1–21, page 27
Human and animal use in research (cid:129) 1–22, page 29
Technology maturity and transition (cid:129) 1–23, page 29
International cooperative programs (cid:129) 1–24, page 30
Technology information papers (cid:129) 1–25, page 30
Section VII
Critical Program Information Protection Planning, page 31
Program protection plans (cid:129) 1–26, page 31
Program protection plan submittal (cid:129) 1–27, page 33
Section VIII
Technical Controlled Unclassified Information Security, page 36
Guidelines for the disclosure of technical controlled unclassified information (cid:129) 1–28, page 36
Guidelines for the disclosure of technical critical unclassified information (cid:129) 1–29, page 37
Policy considerations (cid:129) 1–30, page 37
Military considerations (cid:129) 1–31, page 38
Controlled unclassified information reference terms (cid:129) 1–32, page 38
Chapter 2
Program Goals, page 39
Goals (cid:129) 2–1, page 39
Objectives and thresholds (cid:129) 2–2, page 39
Cost as an independent variable (cid:129) 2–3, page 39
Acquisition program baseline (cid:129) 2–4, page 41
ii DA PAM 70–3 (cid:129) 28 January 2008
Contents—Continued
Chapter 3
Acquisition Strategy, page 41
Section I
Overview, page 41
Introduction (cid:129) 3–1, page 41
Acquisition strategy report staffing (cid:129) 3–2, page 41
Section II
Modeling and Simulation, page 42
Simulation support planning procedures (cid:129) 3–3, page 42
Effective modeling and simulation planning (cid:129) 3–4, page 42
Section III
Transportability and Deployability, page 43
Introduction and purpose (cid:129) 3–5, page 43
General (cid:129) 3–6, page 43
Procedures (cid:129) 3–7, page 44
Materiel capabilities documents (cid:129) 3–8, page 44
Transportability and deployability assessments (cid:129) 3–9, page 44
Transportability reports, transportability engineering analyses, and transportability approvals (cid:129) 3–10, page 45
Force deployability analyses (cid:129) 3–11, page 45
Airdrop, external helicopter air transport, and shelter certification (cid:129) 3–12, page 46
Transportability modeling and simulation (cid:129) 3–13, page 46
Transportability testing (cid:129) 3–14, page 46
Transportability guidance documentation (cid:129) 3–15, page 47
Transportability guidance pamphlets/references (cid:129) 3–16, page 47
Transportability characteristics data (cid:129) 3–17, page 47
Section IV
Support Strategy, page 47
Integrated logistics support (cid:129) 3–18, page 47
Supportability strategy (cid:129) 3–19, page 47
Performance based logistics (cid:129) 3–20, page 49
Total systems approach (cid:129) 3–21, page 49
Source of repair (cid:129) 3–22, page 49
Section V
Manpower and Personnel Integration/Human Systems Integration, page 49
Manpower and personnel integration considerations (cid:129) 3–23, page 49
Manpower considerations (cid:129) 3–24, page 50
Personnel capabilities (cid:129) 3–25, page 50
Training considerations (cid:129) 3–26, page 50
Soldier survivability (cid:129) 3–27, page 50
Human factors engineering (cid:129) 3–28, page 50
System safety and heath hazards (cid:129) 3–29, page 50
Section VI
Environment, Safety, and Occupational Health, page 51
Environment, safety and occupational health requirements (cid:129) 3–30, page 51
System safety program (cid:129) 3–31, page 57
Environmental, safety, occupational, and health as part of acquisition milestone reviews (cid:129) 3–32, page 63
Environmental, safety, occupational, and health as part of Army Cost Review Board reviews (cid:129) 3–33, page 63
Section VII
Commercial and Non-Developmental Items, page 64
DA PAM 70–3 (cid:129) 28 January 2008 iii
Contents—Continued
Commercial and non-developmental items considerations (cid:129) 3–34, page 64
Commercial and non-developmental item guidance (cid:129) 3–35, page 64
Section VIII
Small Business Strategy, page 64
Small business strategy development (cid:129) 3–36, page 64
Small business strategy references (cid:129) 3–37, page 65
Section IX
International Cooperative Research, Development, and Acquisition, page 65
International cooperative research, development, and acquisition determinations (cid:129) 3–38, page 65
Documenting international cooperative research, development, and acquisition determinations (cid:129) 3–39, page 65
Chapter 4
Test and Evaluation, page 65
Overview (cid:129) 4–1, page 65
Test and evaluation roles and responsibilities (cid:129) 4–2, page 65
Modeling and simulation (cid:129) 4–3, page 67
Continuous evaluation (cid:129) 4–4, page 68
System evaluation (cid:129) 4–5, page 68
Developmental test (cid:129) 4–6, page 68
Operational test (cid:129) 4–7, page 69
Interoperability testing (cid:129) 4–8, page 70
Anti-tampering testing (cid:129) 4–9, page 70
Foreign comparative testing (cid:129) 4–10, page 70
International Cooperative Test and Evaluation Program (cid:129) 4–11, page 70
Joint Test and Evaluation Program (cid:129) 4–12, page 70
Test schedule and review committee (cid:129) 4–13, page 70
Test and evaluation key documents (cid:129) 4–14, page 71
Test and evaluation budget and financial considerations (cid:129) 4–15, page 73
Instrumentation considerations (cid:129) 4–16, page 73
Targets and threat simulator considerations (cid:129) 4–17, page 73
Chapter 5
Life Cycle Resource Estimates, page 74
Section I
Life Cycle Cost Estimates, page 74
Life cycle cost estimates overview (cid:129) 5–1, page 74
Introduction to the cost analysis process (cid:129) 5–2, page 74
Cost analysis requirements, uses, and limitations (cid:129) 5–3, page 75
Key cost analysis interfaces (cid:129) 5–4, page 76
Procedures (cid:129) 5–5, page 76
Section II
Manpower Estimate, page 76
Applicability (cid:129) 5–6, page 76
Manpower estimate general provisions (cid:129) 5–7, page 76
Section III
Analysis of Alternatives, page 77
General analysis of alternatives information (cid:129) 5–8, page 77
Analysis of alternative preparation (cid:129) 5–9, page 78
Section IV
Affordability, page 79
iv DA PAM 70–3 (cid:129) 28 January 2008
Contents—Continued
Affordability (cid:129) 5–10, page 79
Full funding (cid:129) 5–11, page 79
Chapter 6
Program Design, page 79
Section I
Integrated Product and Process Development/Performance Based Business Environment, page 79
Integrated product and process development (cid:129) 6–1, page 79
Performance based business environment (cid:129) 6–2, page 80
Section II
Systems Engineering, page 80
Systems engineering considerations (cid:129) 6–3, page 80
Engineering and manufacturing development (cid:129) 6–4, page 82
Modeling and simulation (cid:129) 6–5, page 83
Quality (cid:129) 6–6, page 85
Reliability, availability, and maintainability (cid:129) 6–7, page 87
Configuration management (cid:129) 6–8, page 92
Human systems integration (cid:129) 6–9, page 94
Human factors engineering (cid:129) 6–10, page 95
Technical data management (cid:129) 6–11, page 97
Section III
Other Design Considerations, page 101
Work breakdown structure (cid:129) 6–12, page 101
Performance measurements (cid:129) 6–13, page 101
Value engineering (cid:129) 6–14, page 102
Accessibility requirements (cid:129) 6–15, page 102
Corrosion prevention and control (cid:129) 6–16, page 102
Survivability (cid:129) 6–17, page 103
Standardization (cid:129) 6–18, page 106
Chapter 7
Information Superiority, page 107
Section I
General, page 107
Introduction (cid:129) 7–1, page 107
Intelligence support (cid:129) 7–2, page 107
Section II
Information Interoperability, page 108
Intra-Army interoperability (cid:129) 7–3, page 108
Joint interagency and multinational interoperability (cid:129) 7–4, page 109
Open systems design (cid:129) 7–5, page 109
Information support plan (cid:129) 7–6, page 110
Army networthiness (cid:129) 7–7, page 111
Section III
Electromagnetic Environmental Effects and Spectrum Management, page 111
Electromagnetic environmental effects introduction (cid:129) 7–8, page 111
Electromagnetic environmental effects applicability (cid:129) 7–9, page 112
Electromagnetic environmental effects requirements board (cid:129) 7–10, page 112
Electromagnetic environmental effects criteria determination (cid:129) 7–11, page 113
Electromagnetic environmental effects assessment and tradeoff analyses (cid:129) 7–12, page 113
DA PAM 70–3 (cid:129) 28 January 2008 v
Contents—Continued
Electromagnetic environmental effects program planning (cid:129) 7–13, page 114
Spectrum management (cid:129) 7–14, page 114
Electromagnetic environmental effects test and evaluation (cid:129) 7–15, page 115
Life cycle surveillance and maintenance (cid:129) 7–16, page 115
Section IV
General Information Superiority Provisions, page 115
Information assurance (cid:129) 7–17, page 115
Clinger-Cohen Act compliance and certification (cid:129) 7–18, page 116
Privacy impact assessment (cid:129) 7–19, page 117
Chapter 8
Program Decisions, Assessments, and Periodic Reporting, page 117
Purpose (cid:129) 8–1, page 117
Integrated product teams in the oversight and review process (cid:129) 8–2, page 118
Program information (cid:129) 8–3, page 118
Joint program management (cid:129) 8–4, page 121
International cooperative program considerations (cid:129) 8–5, page 122
Cost analysis improvement group procedures (cid:129) 8–6, page 124
Cost review board procedures (cid:129) 8–7, page 124
Army Cost Analysis Manual (cid:129) 8–8, page 124
Cost and economic analysis procedures (cid:129) 8–9, page 124
Army Configuration Steering Board (cid:129) 8–10, page 125
Chapter 9
Career Management for Army Acquisition Corps and Acquisition Workforce Members, page 126
Section I
Acquisition, Logistics, and Technology Workforce Overview, page 126
Acquisition, Logistics, and Technology Workforce definition (cid:129) 9–1, page 126
Composition of the Acquisition, Logistics, and Technology Workforce (cid:129) 9–2, page 126
Acquisition, Logistics, and Technology Workforce career fields (cid:129) 9–3, page 127
Acquisition Corps and Acquisition, Logistics and Technology Workforce (cid:129) 9–4, page 128
Critical acquisition positions and key leadership positions (cid:129) 9–5, page 131
Section II
Acquisition, Logistics, and Technology Workforce Management, page 131
Director and Deputy Director, Acquisition Career Management (cid:129) 9–6, page 131
U.S. Army Acquisition Support Center (cid:129) 9–7, page 131
Acquisition Management Branch, Human Resources Command (cid:129) 9–8, page 131
Regional directors (cid:129) 9–9, page 131
Acquisition career managers (cid:129) 9–10, page 131
Acquisition career management advocates (cid:129) 9–11, page 132
Functional chief/functional chief representatives (cid:129) 9–12, page 132
Section III
Acquisition Corps Central Management, page 132
Central selection boards (cid:129) 9–13, page 132
The Career Acquisition Personnel Position Management Information System (cid:129) 9–14, page 133
Acquisition career record brief, officer record brief, and Army Reserve acquisition corps management information
system (cid:129) 9–15, page 133
Rating supervisor (cid:129) 9–16, page 133
Senior rater potential evaluation (cid:129) 9–17, page 133
Civilian Acquisition Career Development Plan (cid:129) 9–18, page 133
Military leader development model (cid:129) 9–19, page 138
vi DA PAM 70–3 (cid:129) 28 January 2008
Contents—Continued
Section IV
Acquisition, Logistics, and Technology Workforce Policy, page 138
Career development as a mission (cid:129) 9–20, page 138
Selection and placement of civilians in acquisition, logistics, and technology workforce positions (cid:129) 9–21, page 139
Acquisition, logistics, and technology workforce waivers (cid:129) 9–22, page 139
Certification (cid:129) 9–23, page 139
Continuous learning (cid:129) 9–24, page 140
Individual development plan (cid:129) 9–25, page 141
Section V
Acquisition, Logistics, and Technology Workforce Programs, page 141
Acquisition, Education, Training, and Experience Program (cid:129) 9–26, page 141
Regional Acquisition, Education, Training, and Experience Program (cid:129) 9–27, page 141
Competitive development group/Army Acquisition Fellowship Program (cid:129) 9–28, page 142
Department of Defense’s Acquisition Career Management Mandatory Course Fulfillment Program (cid:129) 9–29, page 142
The Civilian Regional Rotational Development Assignment Program (cid:129) 9–30, page 142
Acquisition Tuition Assistance Program (cid:129) 9–31, page 142
Chapter 10
Army Unique Procedures, page 143
Section I
Type Classification and Materiel Release, page 143
Type classification (cid:129) 10–1, page 143
Materiel release (cid:129) 10–2, page 143
Section II
Management of Program/Product Manager Owned Wholesale Stock and DOD Parts Management Program,
page 143
Management of program/product manager owned wholesale stock guidance (cid:129) 10–3, page 143
Management of program/product manager owned wholesale stock procedures (cid:129) 10–4, page 143
DOD parts management program (cid:129) 10–5, page 144
Section III
Materiel Status Record Program, page 144
Materiel status record purpose and procedures (cid:129) 10–6, page 144
Materiel status record format (cid:129) 10–7, page 145
Section IV
Soldier Enhancement Program, page 145
Soldier Enhancement Program (cid:129) 10–8, page 145
System evaluation plan procedures (cid:129) 10–9, page 145
Section V
Acquisition Program Baseline Army Guidance Package, page 145
Overview (cid:129) 10–10, page 145
Acquisition program baseline parameters (cid:129) 10–11, page 146
Acquisition program baseline preparation (cid:129) 10–12, page 147
Acquisition program baseline content (cid:129) 10–13, page 147
Administrative processing (cid:129) 10–14, page 149
Acquisition program baseline breaches/program deviations (cid:129) 10–15, page 150
Resolving breaches/program deviations (cid:129) 10–16, page 150
Major Automated Information Systems (MAIS) breaches (cid:129) 10–17, page 150
Nunn-McCurdy unit cost breach reporting (cid:129) 10–18, page 151
DA PAM 70–3 (cid:129) 28 January 2008 vii
Contents—Continued
Section VI
Unsolicited Proposals, page 152
Unsolicited proposals introduction and purpose (cid:129) 10–19, page 152
Unsolicited proposals procedures (cid:129) 10–20, page 152
Section VII
Supply Maintenance Army–Operation Support Cost Reduction Management and Oversight Process, page 160
General supply maintenance Army–operation support cost reduction information (cid:129) 10–21, page 160
Qualifying criteria for supply maintenance Army–operation support cost reduction (cid:129) 10–22, page 161
Supply maintenance Army–operation support cost reduction funds (cid:129) 10–23, page 161
Supply maintenance Army–operation support cost reduction procedure to develop an initiative (cid:129) 10–24, page 162
Supply maintenance Army–operation support cost reduction reporting (cid:129) 10–25, page 162
Major subordinate command supply maintenance Army–operation support cost reduction requirements (cid:129) 10–26,
page 162
Supply maintenance Army–operation support cost reduction management control questions (cid:129) 10–27, page 163
Section VIII
Guide for the Preparation of Army Acquisition Programs for Review by the Army Systems Acquisition Review
Council, page 163
Guidance for systems coordinators (cid:129) 10–28, page 163
Background of the Army Systems Acquisition Review Council, Defense Acquisition Board, and Information
Technology Acquisition Board review process (cid:129) 10–29, page 163
Army Systems Acquisition Review Council organization and membership (cid:129) 10–30, page 164
Integrated product team structure (cid:129) 10–31, page 164
Duties/functions of the Department of Army system coordinator (cid:129) 10–32, page 172
Cost review board role and responsibilities (cid:129) 10–33, page 174
Schedule of events (cid:129) 10–34, page 176
Army Systems Acquisition Review Council documentation (cid:129) 10–35, page 178
Review meetings (cid:129) 10–36, page 185
Suggestions for a successful milestone review (cid:129) 10–37, page 188
Summary (cid:129) 10–38, page 190
Section IX
Standard Study Number to Line Item Number Automated Management and Integrating System, page 190
Standard study number to line item number automated management and integrating system introduction (cid:129) 10–39,
page 190
Standard Study Number to Line Item Number Automated Management and Integrating System Web Address
(uniform resource locator) (cid:129) 10–40, page 191
Section X
Insensitive Munitions/Unplanned Stimuli, page 191
Introduction (cid:129) 10–41, page 191
Insensitive munitions concept and objectives (cid:129) 10–42, page 191
U.S. Army Insensitive Munitions Board (cid:129) 10–43, page 191
Insensitive munitions program plan elements (cid:129) 10–44, page 191
Insensitive munitions technical approaches (cid:129) 10–45, page 195
Insensitive munitions test and evaluation strategy (cid:129) 10–46, page 197
Insensitive munitions test and evaluation guidelines (cid:129) 10–47, page 197
Insensitive munitions waivers (cid:129) 10–48, page 197
Out-of-cycle insensitive munitions waiver requests (cid:129) 10–49, page 200
Section XI
End Use Certificates, page 202
Introduction and purpose (cid:129) 10–50, page 202
End use certificates procedures (cid:129) 10–51, page 202
viii DA PAM 70–3 (cid:129) 28 January 2008