CLR 252 Developing KPPs Note from SME: Changes to text are marked in Red. If just the title is in red, that is all that is changed—If the title AND text (or partial) changed—it will be marked.   EXCEPTION—If there is a new DIAGRAM—I only marked the title/header—to not “mess up” the diagram.

Lesson #4: Validation of JCIDS Documents and KPPs

Lesson Objectives Lesson Objective : Describe the staffing and validation process for JCIDS documents and the Key Performance Parameters (KPPs) After completing this lesson you will be able to: Describe the linkages between JCIDS documents and the Defense Acquisition System (DAS). Recognize the role of the Joint Staffing Designator (JSD) in the JCIDS document staffing and validation process Describe the staffing and validation process for JCIDS documents, their KPPs, and the role of major participants in that process Describe circumstances and processes for changes to previously validated KPP(s)

Defense Acquisition System The Defense Acquisition System is the management process that guides all DoD acquisition programs. To deliver capable, effective, efficient materiel solutions, Requirements Managers must understand “Big A” acquisition which is the combination of Requirements, Planning, Programming, Budgeting, and Execution (PPBE) (DoDD 7045.14) Joint Capabilities Integration and Development System (JCIDS) (CJCSI 3170.01 series) Defense Acquisition System (DAS) (DoDD 5000.1) Program success depends on integrating the three components of “Big A” acquisition.

Inter- and intra-departmental stakeholder coordination and support Big “A” Acquisition Big “A” Acquisition Resources (PPBE) Small “a” Acquisition Defense Acquisition System (DAS) Requirements (JCIDS) Inter- and intra-departmental stakeholder coordination and support

JCIDS Documents and Major Decisions in the DAS A validated Initial Capabilities Document (ICD) supports a decision by an acquisition Milestone Decision Authority (MDA) to approve entry into the acquisition process. The ICD guides the Materiel Solution Analysis (MSA) phase and an Analysis of Alternatives (AoA) to resolve the gaps in capability requirements identified in the ICD. Before the MDA approves a weapon system program for technology development, the JCIDS sponsor prepares a draft Capability Development Document (CDD)— which describes the materiel solution determined at Milestone A. Prior to Milestone B (program initiation), a validated CDD defines the Key Performance Parameters (KPPs) and other performance attributes that will guide the development of a system to meet the warfighter’s capability requirements. For Milestone C, the sponsor prepares a Capability Production Document (CPD) that includes the refined KPPs and other attributes for the first production increment. This linkage is depicted by the chart on the next page. Pop-up text for term highlighted in para 1: “Validation - The review and approval of capability requirement documents by a designated validation authority. The JROC is the ultimate validation authority for capability requirements unless otherwise delegated to a subordinate board or to a designated validation authority in a Service, CCMD, or other DOD Component. This lesson deals with the validation of ICDs, and the follow-on CDD/CPD with the included KPPs. DOTmLPF-P Change Requests (DCRs) for non-materiel solutions to capability gaps are not covered in this lesson. For information on DCRs see CLR-101 and RQM-110.” See notes page for pop-up text

JCIDS Document Links to DAS Milestones, Decision Points & Phases B Program Initiation C IOC FOC Materiel Solution Analysis Technology Development Engineering & Manufacturing Development Production & Deployment Operations & Support Materiel Development Decision Low-Rate Initial Production Full-Rate ProductionDecision Pre- EMD Review Post-CDR Assessment Milestone ICD validated ICD CDD draft ICD CDD validated ICD CPD validated Post-CDR Assessment Decision Point This chart illustrates the linkages between the JCIDS documents and the milestones and other decision points in the DAS A validated ICD supports the Materiel Development Decision and the Analysis of Alternatives conducted during the Materiel Solution Analysis Phase A draft CDD supports Milestone A and the Technology Development phase The validated CDD supports the Pre-EMD Review and the Technology Development phase The validated CPD supports the Milestone C LRIP decision, and the Full-Rate Production Decision and guides production of the weapon system

Reflective Questions/Knowledge Review Why is it important for a Requirements manager to understand all 3 components of “Big A” Acquisition? Why do we need a validated CPD to define the system’s Key Performance Parameters for the first production increment of capability? What document needs to be validated to initiate an acquisition program? a. An AoA study plan b. An ICD c. A CDD d. A CPD

JCIDS Document Validation The process of obtaining validation of JCIDS documents begins with the submission of the ICD, CDD and CPD to the Joint Staff’s Knowledge Management/Decision Support (KM/DS) tool. The KM/DS tool is used by DOD components to submit documents and comments for review and comment, track the status of documents in the staffing process, submit results of Capabilities-Based Assessments and other studies, and search for historical information. The staffing and validation process in KM/DS begins with the J-8 Gatekeeper assignment of a Joint Staffing Designator (JSD) Pop-up text for highlighted terms: “KM/DS: The KM/DS and the KM/DS Wiki are located on the SIPRNet. See the references enclosure of the current JCIDS Manual for the address.” “Gatekeeper: The Gatekeeper manages the overall flow of documents into and out of the JCIDS processes in addition to other activities in support of JCIDS. See the Gatekeeping enclosure of the current JCIDS Manual for details.” “Joint Staffing Designator (JSD): The JSD sets the staffing path and timeline for JCIDS documents and identifies the validation authority.” See notes page for pop-up text

Joint Staffing Designators (JSDs) The JSD determines the level of required staffing, required Joint Staff endorsements and certifications, and who the Validation Authority is. Current JSDs are: (click on each for a brief description) Joint Requirements Oversight Council (JROC) Interest Joint Capability Board (JCB) Interest Joint Information Independent Pop-up text for terms highlighted under bullet 2: “JROC Interest. Applied to all documents describing ACAT I/IA programs, Joint DCRs, and those that have a potentially significant impact on interoperability (interagency, allied/partner nation, coalition, etc.). All documents will be evaluated for Joint Staff endorsements (see JCIDS Manual for required endorsements) during staffing. FCBs will review for Interagency/ Allied/partner nation equity and perform Joint prioritization of the new capability requirements. The JROC is the validation authority for JROC Interest documents.” “JCB Interest. Applied to all documents describing ACAT II and below programs that have a potentially significant impact on interoperability (Interagency/Allied/partner nation, coalition, etc.). JCB Interest is the minimum JSD for any documents where (a) the Sponsor is a CCMD, or (b) the document is an IS ICD. All documents will be evaluated for Joint Staff endorsements (see JCIDS Manual for required endorsements) during staffing. FCBs will review for Interagency/Allied/partner nation equity and perform Joint prioritization of the new capability requirements. The JCB is the validation authority for JCB Interest documents. “Joint Integration. Applied to all documents describing ACAT II and below programs, which require one or more joint endorsements or certifications, but are below the level of JCB Interest. All weapons and munitions will be designated Joint Integration as a minimum. All documents will be evaluated for joint endorsements (see JCIDS Manual for required endorsements). FCBs will review for Interagency/Allied/partner nation equity and perform Joint prioritization of the new capability requirements. The Sponsor organization is the validation authority for Joint Integration documents.” “Joint Information. Applied to all documents describing ACAT II and below programs, which do not need Joint Staff endorsements, and are below the level of JCB Interest. FCBs will review for Interagency/Allied/partner nation equity and perform Joint prioritization of the new capability requirements. The Sponsor organization is the validation authority for Joint Information documents.” “Independent. Applied to documents describing all other programs. The documents are posted to KM/DS, but are not staffed through the Joint community for comment, but FCBs will update Joint prioritization for any new capability requirements within their JCA portfolios. The Sponsor organization is the validation authority for Independent documents. See notes page for pop-up text

Key Personnel in the Staffing and Validation Process The major players involved in staffing and validation of JCIDS documents and their KPPs are the: Gatekeeper JROC JCB Functional Capabilities Boards Functional Capabilities Board Working Groups The role and importance of each of these is described on the following pages

Role of the Gatekeeper J-8, Deputy Director for Requirements (DDR) is the Gatekeeper. The Gatekeeper: Performs an initial review of all JCIDS documents, determines the JSD, and assigns the lead and supporting FCBs Forwards revisions to validated documents to lead FCB for assessment. Reviews proposed changes to validate KPPs to determine scope of staffing required before sending to the validation authority for a decision. Manages the FCB priority lists for capability requirements Approves waiver requests for ICD or CDD when potential programs are best served by proceeding directly to Milestone B or Milestone C. Maintains a studies repository in KM/DS

Role of the JROC The JROC is the highest level board and is the process owner for the JCIDS process. The Vice Chairman of the Joint Chiefs of Staff serves as the JROC Chairman. The JROC is comprised of officers in the grade of General or Admiral from the military services. Combatant Command representatives may serve as voting members of the JROC when matters related to their area of responsibility are under consideration by the JROC. Civilian advisors to the JROC are the Under Secretaries for Acquisition, Technology and Logistics; Policy; and Comptroller; and the Directors for Cost Assessment and Program Evaluation, and Operational Test and Evaluation. The Joint Staff Directorate for Force Structure, Resources, and Assessment (J-8) serves as the JROC Secretary.. The JROC validates JROC Interest documents and associated KPPs .

Role of the Joint Capabilities Board (JCB) The JCB is a board immediately below the JROC that provides review and endorsement of documents and adjudication of lower level issues prior to validation by the JROC, and reviews/adjusts Joint prioritization from the FCBs. The Joint Staff Director, J-8 serves as the JCB Chairman. The JCB is comprised of general or flag officers, or government civilian equivalent, from the Services and Combatant Commands. The JCB validates JCB Interest documents and associated KPPs.

Role of the Functional Capability Boards (FCBs) The FCBs are boards below the JCB that provide review and assessment of documents and adjudication of lower level issues within their designated portfolios prior to review by the JCB, review/adjust Joint prioritization established by the FCB Working Groups (WGs), and perform other activities at the direction of the JCB or the JROC. FCB Members: FCB Chair. A general or flag officer, or government civilian equivalent, designated by the sponsoring organization. FCB Lead. A military officer in the grade of O-6, or government civilian equivalent, designated by the sponsoring organization. FCB Secretary/Secretariat. A military officer in the grade of O-5, or government civilian equivalent, designated by the sponsoring organization

Role of the FCB Working Groups FCB Chairs establish Working Groups to assist the FCB by providing an initial review and assessment of JCIDS documents prior to review by the FCB. The Working Groups also establish joint prioritization of capability requirements within the FCB portfolio. FCB Working Groups are comprised of the following: FCB WG Lead: Military Officer, 0-6, or Civilian Equivalent FCB WG Membership: Military, civilian, or contractor support subject matter experts from Joint Staff, Services, Combatant Commands, and other organizations with equity in the FCB’s portfolio.

Reflective Questions/Knowledge Review How is a document assigned to an FCB? It what cases do you think and FCB may want to review an ACAT II document designated as Independent? All potential or designated acquisition category (ACAT) I/IA programs and capabilities will be designated: a. JCB Interest b. Joint Information c. JROC Interest d. Joint Integration

Staffing and Validation of ICDs, CDDs and CPDs Pop-up text for each major area on chart: Sponsor. The sponsor submits new JCIDS document into KM/DS. For documents with JSDs below JCB or JROC Interest, Sponsors use their own review and validation processes. Sponsors submit final versions of all Sponsor validated documents to KM/DS for information purposes and for visibility in FCB portfolios. The sponsor may withdraw a document from active staffing at any time during the staffing process, with notification to the Gatekeeper. Gatekeeper. The staffing process begins when the Gatekeeper receives a new JCIDS document via the KM/DS system. The Gatekeeper has 4 calendar days to perform an initial review, and assign the new document to a Lead and supporting FCBs. Functional Capability Board. Staffing is conducted for 21 calendar days from assignment of the document to the lead FCB. Staffing consists of two parallel activities: 1) The lead FCB forms a working group to assist in reviewing and assessing the document against existing capability requirements, fielded solutions, and the Chairman’s Risk Assessment (CRA). 2) In parallel with the FCB assessment, documents (other than Independent documents) are available in KM/DS to the DoD Components for review and comment. Comments are due by the end of the 21 day staffing period. Following FCB review and KM/DS Staffing, the sponsor has 30 calendar days to adjudicate comments, upload the revised document back into KM/DS, and provide comment disposition to the lead FCB. The FCB then has 7 calendar days to review changes, certifications and endorsements, and assist the FCB Chair in reaching a validation recommendation. FCB Chair. The FCB Chair’s positive validation recommendation means that the capability requirements, and proposed capability solutions, are not unnecessarily redundant to existing capabilities in the Joint force. Positive validation recommendations will also summarize cost, schedule, and quantity parameters, as appropriate for the document. Once receiving a positive validation recommendation from the FCB Chair, validation takes no longer than 21 calendar days (7 for JCB; 14 for JROC). The FCB Chair briefs the validation authority with any related issues for discussion, along with the recommendation for or against validation. JCB. The JCB is the validation authority for documents that have a JSB of JCB Interest. JCB validated documents are forwarded to a Component Acquisition Executive for action. If a decision is made not to validate, a record of the reasons are posted to KM/DS. JROC. The JROC is the validation authority for documents with a JSD of JROC Interest. Validated JROC Interest documents that support ACAT I or ACAT IA programs (ICD, CDD or CPD) are forwarded to the USD(AT&L) for Defense Acquisition Board (DAB) or Information Technology Acquisition Board (ITAB) review. If a decision is made not to validate, a record of the reasons are posted to KM/DS. Select each major area for details See notes page for pop-up text

Flow of JROC and JCB Interest Documents Through the JCIDS Staffing Process This chart illustrates the flow of JROC Interest and JCB Interest documents through the staffing and validation process. Joint Staffing Designator (JSD) FCB review & prioritization JROC Interest JCB Review JROC Validation KM/DS staffing & comment ACAT I/IA programs & Joint DCRs FCB review & prioritization JCB Interest JCB Validation KM/DS staffing & comment ACAT II & below with impact on interoperability The lead FCB reviews JROC and JCB Interest documents, assigns a joint priority for new capability requirements, and advises the JROC and JCB on validation. The JCB reviews JROC Interest documents and advises the JROC on validation.

Flow of Sponsor Validated Documents Through the JCIDS Staffing Process This chart illustrates the flow of Sponsor validated documents through the JCIDS staffing and validation process. Joint Staffing Designator (JSD) FCB review & prioritization Sponsor Validation Joint Integration KM/DS staffing & comment ACAT II & below that require endorsements & certifications FCB review & prioritization Joint Information KM/DS staffing & comment ACAT II & below that do not require endorsements & certifications Independent FCB prioritization All others The lead FCB assigns a joint priority for new capability requirements for all JCIDS documents validated by the sponsor. Documents with a JSD of Independent are posted to KM/DS; however, staffing is conducted in accordance with Sponsor policy.

JCIDS CDD KPP Validation When validating the CDD, the validation authority: Validates the KPPs and their associated threshold and objective values and assesses the risks in meeting those KPPs in terms of cost, schedule and technological maturity Assesses the affordability of the system as compared to the operational capability being delivered, and may consider other alternatives to the proposed capability solution. In addition to validating KPPs, the validation authority sets parameters on cost, IOC and FOC dates, and procurement quantities. Remember, for documents with a JSD of Joint Information or Independent, the Sponsor is the document and KPP validation authority.

JCIDS CPD KPP Validation In validating the CPD, the validation authority ensures that the capability solution being delivered meets capability requirements and closes associated capability gaps originally defined in the ICD at an affordable cost. If the system does not meet the threshold levels for the KPPs, or if the cost, schedule, or procurement quantities proposed have been changed since the CDD, the validation authority will assess whether or not the capability solution remains operationally acceptable

Reflective Questions/Knowledge Review What advantages does using a SIPRNet tool like KM/DS give J-8, DoD and the services in the JCIDS process? What criteria should the J-8 Gatekeeper use when assigning a lead FCB? JCIDS is intended to encourage collaboration among the services, CCMDs, and other DOD organizations to identify joint solutions to capability gaps a. True b. False

Changing KPPs After Validation It may be necessary to change validated KPPs, such as for cost, technology, production, development, or other issues that prevent meeting the threshold of the KPP. The Sponsor may request changes to the previous validation by contacting the Gatekeeper. In some cases, the original validation memo may specify a delegated validation authority for post-validation KPP or KSA changes. For example, the JROC may delegate approval of JROC Interest KPP changes to the JCB.

KPP Relief During EMD During the EMD phase, CDD KPPs may need to be adjusted. The cause would normally be to account for technological challenges which are not cost effective to overcome, or to support other appropriate tradeoffs between cost, schedule, and performance. When a Sponsor proposes such a change during EMD, the updated CDD with adjusted KPPs will be submitted to the Gatekeeper for review and revalidation. For documents with JSDs of JROC Interest, JCB Interest, or Joint Integration, the Gatekeeper and lead FCB will review the proposed changes to determine the scope of staffing required before routing to the validation authority for decision. For documents with a JSD of Independent, KPPs are changed in accordance with the Sponsor’s policy.

Revising Validated CDD KPPs For the CPD CPD KPPs previously defined in a validated CDD may be refined (with a rationale provided) and should be tailored to the proposed system to be procured. (e.g., range, probability of kill, platform survivability, etc.) If validated CDD KPP or KSA threshold values are to be reduced in a CPD, the following questions must be answered in the CPD submitted to KM/DS for staffing and validation prior to Milestone C: Will the capability still provide sufficient military utility? If the new capability solution will replace a fielded capability solution, will it still provide more overall military utility than the fielded capability solution? Is this capability solution still a good way to address the capability requirement and close the associated capability gap or should another materiel or non-materiel alternative approach be pursued? Is the reduced capability worth the additional investments required to continue the program to completion?

Changing KPPs As a Result of a Tripwire Breach The JROC/JCB Tripwire is a JROC process established to review JROC and JCB Interest programs which deviate from cost, schedule, or quantity targets established at the time of validating CDDs or CPDs. The lead FCB initiates a Tripwire review based upon “first knowledge” of cost, schedule, and/or quantity changes reaching the tripwire values. In cases where adjustment of KPPs is appropriate and will mitigate the changes to cost, schedule or performance, the Sponsor will generate an updated CDD or CPD and submit for revalidation. The Lead FCB will forward the updated document to the validation authority for review and revalidation. In cases where adjustment of KPPs cannot mitigate the changes, the validation authority will re-evaluate the risks associated with the delayed and/or decreased capabilities offered by the program, and consider whether any alternatives are more appropriate to satisfy the original capability requirements. Pop-up text for term highlighted in para 2 of the chart: “Tripwire Values: The JROC/JCB Tripwire is a JROC process established to review JROC and JCB Interest programs which deviate from cost, schedule, or quantity targets established at the time of validating CDDs or CPDs. Cost. Programs must return to the JROC or JCB for revalidation if they experience a cost growth equal to or greater than 10 percent over their current baseline or 25 percent over their original baseline as defined in the Acquisition Program Baseline (APB) (see DoDI 5000.02 for details on the APB). Schedule. Programs must return to the JROC or JCB for revalidation if they experience a schedule slip for IOC or FOC equal to or greater than 12 months from IOC and FOC targets set in the validation JROCM. Quantity. Programs must return to the JROC or JCB for revalidation if they experience a reduction in end-item quantities equal to or greater than 10 percent from a quantity target set in the validation JROCM. See notes page for pop-up text

Changing Validated CPD KPPs During Production If significant changes to capability requirements are to be implemented during production, a revised or new CPD, with adjusted KPPs to account for the change, is submitted to the JCIDS process for staffing and validation. The Gatekeeper and lead FCB will review the proposed changes to determine the scope of staffing required before routing to the validation authority for decision.

Reflective Questions/Knowledge Review What possible circumstances can you think of in your program that would require a request for a KPP change? What criteria would the Lead FCB and the Joint Staff/J-8 Capabilities and Acquisition Division (CAD) action officer evaluate to determine if staffing is required? For KPPs not in the JROC interest or JCB interest category, what entity controls the KPPs? a. The Sponsor b. The FCB c. The Service Chief d. The Field Agency

Lesson Summary Congratulations, you have completed this lesson and should now be able to describe the staffing and validation process for JCIDS documents and the Key Performance Parameters (KPPs). Specifically, you should be able to: Describe the linkages between JCIDS documents and the Defense Acquisition System (DAS). Recognize the role of the Joint Staffing Designator (JSD) in the JCIDS document staffing and validation process Describe the staffing and validation process for JCIDS documents and the role of major participants in that process Describe circumstances and processes for changes to previously validated KPP(s)

Lesson Test ELO #1 What acquisition milestones/decision points require a validated CDD? (select all that apply) a. Milestone A b. Milestone B c. Milestone C d. Pre-EMD Review When does most of an acquisition programs technology development take place? a. Before the ICD b. Before Milestone A c. Between Milestones B and C d. Between Milestones A and B What JCIDS Document guides the Materiel Solution Analysis phase and the AoA? a. CDD b. CPD c. ICD d. Draft CDD

Lesson Test ELO #2 DOD components use what tool to submit documents and comments for staffing and validation, to post results of studies, to search for historical information, and track the status of documents? a. JCIDS b. JROC c. JPD Decision d. KM/DS All ACAT I and IA will be designated __________. a. JCB Interest b. JROC Interest c. Joint Integration d. Joint Information Who validates and approve Joint Information documents? a. JROC b. JCB c. sponsoring component d. FCB

Lesson Test ELO # 3 Who is responsible for approving waiver requests for ICDs and CDDs? a. JROC b. FCB Chair c. JCB Chair d. J-8 Gatekeeper Who first conducts prioritization of capability requirements during the JCIDS document staffing and validation process? a. FCB Working Group b. Lead FCB c. J-8 Gatekeeper d. JCB At what point does the staffing and validation process for JCIDS documents start? a. When the Gatekeeper assigns a lead FCB b. When a new document is received by the Gatekeeper via KM/DS c. When the lead FCB receives the new document d. After the initial review by the FCB working group

Lesson Test ELO #4 What circumstances may prevent meeting a KPP threshold and requiring a change to a validated KPP? (Check all that apply) a. Cost b. Technology c. Production d. Development If KPPs need to be adjusted during EMD the document sponsor must use the CPD to reflect the adjusted KPPs instead of changing the CDD and submitting the revised CDD for revalidation. a. True b. False Who is responsible for reviewing proposed changes to KPPs for JROC Interest, JCD Interest and Joint Integration documents to determine what staffing is required prior to routing to the validation authority for a decision? a. The Sponsor b. JCD Chair c. Gatekeeper and JCB d. Gatekeeper and lead FCB