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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Committee on Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Air Force Studies Board
Division on Engineering and Physical Sciences
NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES
THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
THE NATIONAL ACADEMIES PRESS
500 Fifth Street, N.W. Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
This is a report of work supported by Grant FA9550-08-1-0029 between the U.S. Air Force and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for the project.
International Standard Book Number-13: 978-0-309-13918-2
International Standard Book Number-10: 0-309-13918-X
Limited copies of this report are available from:
Air Force Studies Board
National Research Council
500 Fifth Street, N.W.
Washington, DC 20001
(202) 334-3111
Additional copies are available from:
The National Academies Press
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Copyright 2009 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
THE NATIONAL ACADEMIES
Advisers to the Nation on Science, Engineering, and Medicine
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.
www.national-academies.org
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
COMMITTEE ON OPTIMIZING U.S. AIR FORCE AND DEPARTMENT OF DEFENSE REVIEW OF AIR FORCE ACQUISITION PROGRAMS
RAND H. FISHER, Chair,
The Aerospace Corporation
J. DANIEL STEWART, Vice Chair,
University of Tennessee
JOHN A. BETTI,
Department of Defense (retired)
CHRISTOPHER L. BLAKE,
Lockheed Martin Aeronautics
CLAUDE M. BOLTON, JR.,
Defense Acquisition University
ALLAN V. BURMAN,
Jefferson Solutions
JOHN T. DILLARD,
U.S. Naval Postgraduate School
CHARLES E. FRANKLIN,
Raytheon Company (retired)
CHARLES L. JOHNSON II,
Boeing Company
LESLIE F. KENNE,
LK Associates
ANDREW P. SAGE,
George Mason University
MARK D. SCHAEFFER,
ManTech SRS Technologies
GEORGE R. SCHNEITER, Consultant
ROBERT J. SKALAMERA,
RJS Consulting
RICHARD SZAFRANSKI,
Toffler Associates
RANDALL S. WEIDENHEIMER,
Northrop Grumman Mission Systems
REBECCA A.WINSTON,
Winston Strategic Management Consultants
Staff
JAMES C. GARCIA, Study Director
KAMARA E. BROWN, Research Associate
ZEIDA PATMON, Program Associate
MARGUERITE SCHNEIDER, Administrative Coordinator
ENITA A. WILLIAMS, Research Associate (Until October 2008)
URRIKKA B. WOODS, Program Associate
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
AIR FORCE STUDIES BOARD
GREGORY S. MARTIN, Chair,
GS Martin Consulting
TAYLOR W. LAWRENCE, Vice Chair,
Raytheon Company
FRANK J. CAPPUCCIO,
Lockheed Martin Corporation
THOMAS DARCY,
EADS North America Defense Company
PAMELA A. DREW,
Northrop Grumman Corporation
KENNETH E. EICKMANN,
U.S. Air Force (retired)
JOHN V. FARR,
Stevens Institute of Technology
RAND H. FISHER,
The Aerospace Corporation
MICHAEL J. GIANELLI,
Boeing Company (retired)
JACQUELINE GISH,
Northrop Grumman Corporation
KENNETH C. HALL,
Duke University
WESLEY L. HARRIS,
Massachusetts Institute of Technology
LESLIE KENNE,
LK Associates
DONALD J. KUTYNA,
U.S. Air Force (retired)
LESTER L. LYLES,
The Lyles Group
DEBASIS MITRA,
Bell Laboratories
MATT L. MLEZIVA,
Wildwood Strategic Concepts
CHANDRA KUMAR N. PATEL,
Pranalytica, Inc.
GERALD F. PERRYMAN, JR.,
Raytheon Company
GENE W. RAY,
GMT Ventures
MARVIN R. SAMBUR,
Headquarters, U.S. Air Force (retired)
J. DANIEL STEWART,
University of Tennessee
Staff
MICHAEL A. CLARKE, Director
JESSICA BROKENBURR, Financial Assistant
KAMARA E. BROWN, Research Associate
WILLIAM E. CAMPBELL, Senior Program Associate
SARAH CAPOTE, Research Associate
LISA COCKRELL, Senior Program Associate
RESHAWN ELLIS, Senior Project Assistant (Until October 2008)
GREGORY EYRING, Senior Program Officer
ERIN C. FITZGERALD, Associate Program Officer
CARTER W. FORD, Program Officer
JAMES C. GARCIA, Senior Program Officer
CHRIS JONES, Financial Manager
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ZEIDA PATMON, Program Associate
MARGUERITE SCHNEIDER, Administrative Coordinator
DANIEL E.J. TALMAGE, JR., Program Officer
SHANNON C. THOMAS, Program Associate
ENITA A. WILLIAMS, Research Associate (until October 2008)
URRIKKA B. WOODS, Program Associate
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Preface
The Deputy Assistant Secretary of the Air Force for Science, Technology, and Engineering asked the National Research Council (NRC) to review and assess the increasing number of prescribed program reviews and assessments that U.S. Air Force space and nonspace acquisition programs in all Department of Defense (DOD) acquisition categories (ACATs) are required to undergo and to recommend ways to improve the effectiveness and efficiency of those program reviews in terms of their goals, objectives, content, and requirements. The Committee on Optimizing U.S. Air Force and DOD Review of Air Force Acquisition Programs was formed in May 2008 to conduct this review.
In developing its approach to the study, the committee concluded that the most important objective of the program reviews referred to above is to contribute to the successful execution of acquisition programs. To this end, the committee examined the substantial library of past studies; conducted a variety of interviews; surveyed managers of acquisition programs and program executive officers (PEOs); and constructed a matrix to summarize program reviews in terms of their purpose, target audience, and product output. Additionally, the committee is aware that substantial changes in acquisition policies and their implementation are being considered.
The committee’s findings, conclusions, and recommendations address principally the subject of program reviews and also make some observations on other critical elements of acquisition success.
The committee acknowledges and appreciates the contribution of the members of the Air Force Studies Board (AFSB) of the NRC for developing the study statement of task in concert with the Air Force sponsor. The AFSB was established in 1996 as a unit of the NRC at the request of the U.S. Air Force. The AFSB
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
brings to bear broad military, industrial, and academic scientific, engineering, and management expertise on Air Force technical challenges and other issues of importance to senior Air Force leaders. It discusses potential studies of interest, develops and frames study tasks, ensures proper project planning, suggests potential committee members and reviewers for reports produced by fully independent ad hoc study committees, and convenes meetings to examine strategic issues. The board members, listed on page v, were not asked to endorse the committee’s conclusions or recommendations, nor did they review the final draft of this report before its release, although board members with appropriate expertise may be nominated to serve as formal members of study committees (as were Rand Fisher, Dan Stewart, and Leslie Kenne in this case) or as report reviewers.
The committee thanks the many persons who helped provide information to the committee, including all the guest speakers shown in Appendix B, their organizations, and supporting staff members; all the Air Force program managers and program executive officers who completed the committee’s survey; the Air Force sponsor of this study, Terry Jaggers, and his staff members, including Lt Col Ed Masterson and Lt Col Don Hill; and Kristen Baldwin in the Office of the Secretary of Defense. The committee is very grateful to Connie Citro, director of the NRC Committee on National Statistics, for her counsel in developing the committee’s survey of Air Force program managers and in evaluating its results. The committee is also grateful to the NRC staff members who provided support throughout the study.
Finally, as chair and vice chair of the study committee, we extend special thanks to the committee members for their commitment and diligence, which enabled us to complete the task successfully.
Rand H. Fisher, Chair
J. Daniel Stewart, Vice Chair
Committee on Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
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Acknowledgment of Reviewers
This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:
Edward C. Aldridge, Jr., NAE, U.S. Department of Defense (retired),
Meyer J. Benzakein, NAE, Ohio State University,
Andrew Brown, Jr., NAE, Delphi Corporation,
David E. Crow, NAE, University of Connecticut,
Susan E. Dong, BAE Systems,
James H. Frey, Frey Associates,
Peter Hantos, Aerospace Corporation,
Donald A. Lamontagne, Star Mountain Consulting, Inc.,
Robert H. Latiff, Science Applications International Corporation, and
Robert R. Shannon, NAE, University of Arizona.
Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
of this report was overseen by Robert A. Frosch, NAE, Harvard University, and G. Brian Estes, U.S. Navy (retired). Appointed by the National Research Council, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Contents
SUMMARY
1
1
INTRODUCTION
5
Statement of Task,
5
Background,
5
Methodology,
13
Presentations,
13
Literature Review,
14
Survey and Other Data,
14
Comparative Matrix,
14
Integration and Synthesis of Data,
15
2
FINDINGS AND CONCLUSIONS
16
Reviews Have Both Benefits and Costs,
23
Execution of Reviews (Sequencing, Timing, Participation),
24
Program Review Planning,
27
3
RECOMMENDATIONS
30
Implementing the Recommendations,
35
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
APPENDIXES
A Biographical Sketches of Committee Members
1
B Meetings and Speakers
51
C Related Studies
55
D Survey
58
E Types of Reviews
88
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Optimizing U.S. Air Force and Department of Defense Review of Air Force Acquisition Programs
Acronyms
A5 Headquarters Air Force Deputy Chief of Staff for Air, Space, Information Operations, Plans and Requirements (A3/5)
A5R Headquarters Air Force Deputy Chief of Staff for Air, Space, Information Operations, Plans and Requirements (A3/5), Director of Operational Capability Requirements
AAC Air Armament Center
ACAT acquisition category
ACE acquisition center of excellence
ADM acquisition decision memorandum
AF Air Force
AFAA Air Force Audit Agency
AFCSE Air Force Center for Systems Engineering
AFMC Air Force Materiel Command
AFRB Air Force Review Board
AFROCC Air Force Requirements for Operational Capability Council
AFSB Air Force Studies Board
AFSO21 Air Force Smart Operations for the 21st Century
AOTR assessment of operational test readiness
AP acquisition plan
APB acquisition program baseline
ASC Aeronautical Systems Center
ASD (NII) Assistant Secretary of Defense for Networks and Information Integration
ASP acquisition strategy panel
ASR alternative system review
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CD concept decision
CDR critical design review
CPI continuous process improvement
CSAF Chief of Staff of the Air Force
CSB configuration steering board
CSP cost, schedule, performance
DAB Defense Acquisition Board
DAE Defense Acquisition Executive
DAES Defense Acquisition Executive Summary
DAPS Defense Acquisition Program Support
DASD (NII) Deputy Assistant Secretary of Defense for Networks and Information Integration
DAU Defense Acquisition University
DDR&E Director of Defense Research and Engineering
DOD Department of Defense
DOD IG Department of Defense Inspector General
DOT&E Director of Operational Test and Evaluation
DRR design readiness review
DSAB Defense Space Acquisition Board
D&SWS develop and sustain warfighting systems
DT&E development, test, and evaluation
DUSD (A&T) Deputy Under Secretary of Defense for Acquisition and Technology
EDT Eastern daylight time
ESC Electronic Systems Center
FCA functional configuration audit
FOA field operating agency
FRP full rate production
GAO Government Accountability Office
HQ headquarters
IBR integrated baseline review
IIPT integrating integrated product team
IPA independent program assessment
IPT integrated product team
J-8 Joint Chiefs of Staff Force Structure, Resources, and Assessment Directorate
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JAT joint assessment team
JCIDS Joint Capabilities Integration and Development System
JCS Joint Chiefs of Staff
JROC Joint Requirements Oversight Council
JROCM JROC memorandum
KDP key decision point
KP knowledge point
KTR contractor
LHA logistics health assessment
MAJCOM major command
MDA milestone decision authority
MILSATCOM military satellite communications
MRA manufacturing readiness assessment
MRL manufacturing readiness level
MS milestone
NAS National Academy of Sciences
NII/AT&L Networks and Information Integration/Acquisition, Technology, and Logistics
NRC National Research Council
OC2 oversight, command, and control
OIPT overarching integrated product team
OPR office of primary responsibility
OSD Office of the Secretary of Defense
OT operational test
OT&E operational test and evaluation
OTRR operational test readiness review
PCA physical configuration audit
PCDRA post-CDR assessment
PDR preliminary design review
PEO program executive officer
PEO/SR program executive officer sufficiency review
Perf performance
PM program manager
PO Program Office
PRR production readiness review
PSA Office of Portfolio Systems Acquisition
PSR program support review
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RADM rear admiral
RFP request for proposals
SAE Service Acquisition Executive
SDD system development and demonstration
SDO Services Designated Official
SDR system design review
SE system engineering
SEAM systems engineering assessment model
SECAF Secretary of the Air Force
SecDef Secretary of Defense
SES Senior Executive Service
SFR system functional review
SMC Space and Missile Systems Center
SME subject matter expert
SRR system requirements review
SSE Software and Systems Engineering
S&T Science and Technology
ST&E Science, Technology, and Engineering
SVR system verification review
TD technology development
TRA technology readiness assessment
TRR test readiness review
TSAT Transformational Satellite Communications
USAF United States Air Force
USD (AT&L) Under Secretary of Defense for Acquisition, Technology, and Logistics
VCJCS Vice Chairman, Joint Chiefs of Staff
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