1. MODULE 1 Software Acquisition Management (SAM) Overview
Lesson 1: SAM Mission, Policy, and Exclusions
Lesson 2: SAM Four-Step Continuous Process

2. Purpose
Given the lesson Student Guide and support materials, recognize the Software Acquisition Management mission, policy, and process. 2

3. CMQ101 - Course Introduction
4/21/2018
Module Lessons
Lesson 1: SAM Mission, Policy, and Exclusions
Lesson 2: SAM Four-Step Continuous Process

4. What Will You Learn in This Module?
CMQ101 - Course Introduction
4/21/2018
What Will You Learn in This Module?
This module:
Introduces you to SAM
Explains the SAM mission, governing policy, and exclusions that will affect the activities you perform
Describes the SAM Four-Step Continuous Process you will be required to perform daily

5. Lesson 1: SAM Mission, Policy, and Exclusions
Objective: Define the Software Acquisition Management mission, policy, and exclusions.

6. CMQ101 - Course Introduction
4/21/2018
Lesson Objective
Lesson 1: SAM Mission, Policy, and Exclusions
Objective: Define the Software Acquisition Management mission, policy, and exclusions.

7. SAM Mission, Policy, and Exclusions
CMQ101 - Course Introduction
4/21/2018
SAM Mission, Policy, and Exclusions
SAM mission and policy are defined in DCMA-INST 203,
Software Acquisition Management Instruction (SAMI).
It is primarily derived from:
DOD Directive Defense Contract Management Agency
FAR (a) Contract Administration Functions
Mission and Policy

8. SAM Mission
“Ensure that our customers receive software products and/or systems with embedded software that meet or exceed contractual specifications/requirements, and provide our customers with the knowledge to allow them to make informed milestone and other on-going decisions relative to software cost, schedule, and technical performance.” DCMA-INST 203, Section 1.1.1
Embedded Software includes software delivered embedded in a system, end item component, or as firmware. 8

9. How Do We Accomplish Our SAM Mission?
Perform Independent Oversight:
Monitor the supplier’s real time contractual adherence, such as:
Review/Assess processes – Are they adequate? Are they being followed?
Assess technical capability – Will the supplies/services do what is intended?
Examine/Accept product – Does it meet the contractual requirements?
Assess cost, schedule, and technical performance – Is supplier on track?
Take Action as Appropriate – Protect the Government’s interests
Corrective Action Request (CAR)
Continuous Improvement Opportunity (CIO)
Report to Customer
Follow through – Make sure issues are resolved closed loop
Perform customer requested tasks/activities (customer unique)
HANDOUT
SAM RELATED FAR 302(a) 9

10. How Do We Accomplish Our SAM Mission? Cont.
Provide Independent Insight:
Onsite eyes and ears – Keep CUSTOMER informed
Determine impacts, make recommendations, provide predictive analysis
The Software Professionals’ Responsibility:
Perform the SAM mission as defined in DCMA-INST 203, Software Acquisition Management Instruction (SAMI) 10

11. Functions Excluded from the SAM Mission: Exclusion 1
Written or verbal notifications implying certification/recognition that suppliers or sub- contractors have obtained a specified level of competency or maturity based on any industry accepted capability model.
DCMA Software Professionals (SPs) may participate in Capability Maturity Model Integrated (CMMI) based appraisals but must be invited and meet prerequisite training.
SPs are limited to identification and reporting of any weaknesses and strengths observed 11

12. Functions Excluded from the SAM Mission: Exclusion 2
DCMA does not accept requests from customers for the Operations Directorate, regions, CMO, or SP to be the responsible “AGENT” for conducting Independent Verification and Validation (IV&V) without obtaining the written approval and expressed authorization from the Director of DCMA. 12

13. Functions Excluded from the SAM Mission: Exclusion 2, Cont.
Responsibility for IV&V is normally conducted by an agent specified in the contract.
The agent may be identified as:
The Acquisition customer’s technical staff
An independent agent within the supplier’s organization
An independent services provider contracted by the Acquisition customer/supplier 13

14. Questions 14

15. Knowledge Review Question 1
Part of the SAM mission is to provide its customers with the information to make informed decisions relative to software cost, schedule, and _________.
Virtual performance
Contractual performance
Technical performance
Functional performance 15

16. Which document is DCMA-INST 203 primarily derived from?
Knowledge Review Question 2
Which document is DCMA-INST 203 primarily derived from?
FAR 302(a)
DCMA PAM 55.1
DCMA INST 1201
FAR (a)

17. Knowledge Review Question 3
Whose authorization must be secured in writing prior to DCMA being used as the responsible “AGENT” for conducting Independent Verification and Validation?
Executive Director of E&A
Director of DCMA
Prime Supplier
Customer 17

18. Lesson Summary
Defined the Software Acquisition Management mission, policy, and exclusions.

19. Lesson 2: SAM Four-Step Continuous Process
Objective: Identify the components of the Software Acquisition Management Four-Step Continuous Process.

20. CMQ101 - Course Introduction
4/21/2018
Lesson Objective
Lesson 2: SAM Four-Step Continuous Process
Objective: Identify the components of the Software Acquisition Management Four-Step Continuous Process.

21. SAM Four–Step Continuous Process
CMQ101 - Course Introduction
4/21/2018
SAM Four–Step Continuous Process
Software Surveillance Planning and Execution is conducted using a four-step process. These steps are outlined in DCMA-INST 203 SAMI.
Chapter 3
Chapter 4
Chapter 5
Chapter 3, paragraph 3.18

22. DCMA–INST 203 SAMI Location Online1. 3. 2.
DCMA Home Page 22

23. DCMA–INST 203 SAMI Resource Page23

24. DCMA–INST 203 Structure The SAMI is structured as follows:
Chapter 1: Policy (Mission statement
and Exclusions)
Chapter 2: Roles and Responsibilities
Chapter 3: Software Surveillance
Planning
Chapter 4: Execute the Software
Surveillance Plan (SSP)
Chapter 5: Take Action as Appropriate
The SAMI also includes a listing of embedded Tables and a Glossary (Definitions and Acronyms) 24

25. DCMA–INST 203 Structure, Cont.
The SAMI Appendices include:
SAM Mission Process Flowchart
Software Surveillance Planning Process Flowcharts
Software Risk Assessment
Data/Measures Life Cycle
Execute the SSP Process Flowcharts
Process Review and Product Examination Goals
Take Action as Appropriate Flowcharts 25

26. SAM Four–Step Continuous Process
The SAMI describes the SAM mission as a “continuous process” having four steps.
Chapter 3
Chapter 4
Chapter 5
Chapter 3, paragraph 3.18 26

27. Step 1: Plan Step 1 includes the following tasks: Gather Facts
Document Surveillance Elements
Estimate Resources
Finalize the SSP
Issue Letter of Delegation (LOD) 27

28. Step 1: Plan, SSP Templates
Contract SSP (Default)
Program SSP
Lite SSP (6 Months or Less)
Data/Measure Analysis Specification (DMAS) Template
Facility SSP Template (optional)
Contract SSP Template 28

29. Step 2: Execute the Plan
Tasks are engaged by the SP using one or more of the following techniques/methods:
Process Reviews
Product Examinations
Formal Reviews/Audits
Collecting and Analyzing Data
Accepting Product 29

30. Step 2: Templates
Data/Measure Analysis Results (DMAR) template is used during the execution process.
Template is a tab/worksheet within one MS Excel Workbook
Several canned DMAR templates are available (Size, Defects, Staffing, Earned Value, etc.)
One “blank” DMAR template is available
The Software Surveillance Record (SSR) Log template is used by the SP to record all activities they have performed. 30

31. Step 3: Take Action as Appropriate
Step 3 of the process has three intended purposes:
Remedy a contract non-compliance, nonconformance, or deficiency.
Make continuous process improvement recommendations to the supplier.
Keep the customer informed of issues that may impact technical, cost, or schedule performance. 31

32. Step 3: Toolset
The SAMI describes the “toolset” to be utilized by the SP in Chapter 5. The toolset includes:
Corrective Action Requests
(CAR) (Paragraph 5.2)
Continuous Improvement
Opportunities (CIO) (Paragraph 5.3)
Reports to Customer
(Paragraph 5.4) 32

33. Step 3: Common Paragraphs
The CAR, CIO, and Report to Customer procedures have two steps in common according to DCMA INST 203:
Document Results: Whenever a task/activity is executed by the SP that results in a CAR, CIO, or Report to Customer, the SP shall enter a line item record for it into the SSR Log.
Determine SSP Impact: The SP shall determine if issuance of the CAR/CIO indicates that the Contract, Program, Lite, or Facility SSP should be updated. If so, the SP shall revisit the appropriate section of the SSP to make any needed adjustments.
5.2.4 (CAR), (CIO), (Report)
5.2.5 (CAR), (CIO), (Report) 33

34. Step 3: Corrective Action Request (CAR) eTOOL
SAMI paragraph 5.2 Corrective Action Request (CAR) has been superseded by DCMA INST 1201, “Corrective Action Process”.
The Tool used by the SP for “Taking Action as Appropriate” is the DCMA Enterprise - Corrective Action Request (CAR) eTOOL. It is used to create, issue, track, and close-out CARs and CIOs.
All DCMA functional elements shall issue, manage, and close CARs and CIOs using the Enterprise CAR eTOOL.
DCMA INST 1201 34

35. Step 3: The Corrective Action Request (CAR)
A CAR is a formal process for informing the supplier of a contractual non-compliance that it must resolve.
The CAR is issued when a contract nonconformance is identified by the SP.
A CAR shall be documented, issued, and tracked through closure as described in DCMA-INST 1201, “Corrective Action Process.” 35

36. Step 3: DCMA–INST 1201 DCMA Corrective Action Policy
It is DCMA policy for corrective action to be requested from suppliers when contractual non-compliances are independently identified by DCMA personnel performing Contract Administration duties outlined in paragraph (a) of FAR Part , “Contract Administration Functions”. (Paragraph 1.1.1)
CARs will be coordinated, approved, and distributed in accordance with (IAW) Table 1, CAR Coordination, Approval, and Distribution Matrix. There are four CAR levels (I, II, III, and IV). (Paragraph 2.1.2) 36

37. Step 3: CAR Levels Level I: Level II:
“Issued for non-compliances that are minor in nature, are promptly corrected by the contractor, and present no need for root cause determination or further preventive action. Level I CARs shall be issued to the contractor management level responsible for correcting the cited non-compliance.”
Level II:
“Issued for non-compliances that are not promptly correctable and warrant root cause analysis and preventive action, or need action by the contractor to determine if other products/services are affected. Level II CARs shall be directed to the contractor management level responsible for initiating corrective actions.” 37

38. Step 3: CAR Levels, Cont. Level III: Level IV:
“Issued to the contractor’s management responsible for the company or business segment to call attention to a serious non- compliance, a significant deficiency pursuant to Reference (e) of DFARS , a failure to respond to a lower level CAR or to remedy recurring non-compliance.”
Level IV:
“Issued to the contractor’s segment or corporate management and when the contractual non-compliance(s) is of a serious nature or when a Level III CAR has been ineffective.” 38

39. Step 3: CAR Coordination
Level I and II CARs may be issued by Functional Specialists.
Level I and II CARs may be issued by functional specialists IAW Table 1. 39

40. Step 3: CAR Coordination, Cont.
For Level III and IV CARs, the cognizant Contracting Officer (CO) is responsible for issuance of the CAR, acceptance of supplier corrective action plans, and CAR closure. 40

41. Step 3: CAR Process
The four types of non- compliance covered in the CAR process are:
DCMA Identified Non-Compliance
“Customer Identified Non- Compliance”
“Contractor Identified Non- Compliance”
“Concurrently Identified Non- Compliance”
When the contractor’s response to the customer-initiated PQDR or CAR is inadequate, DCMA may issue a CAR at the appropriate level. 41

42. Step 3: Minimum CAR Elements
All CARs shall clearly state that the request should be treated by the contractor (supplier) as a customer complaint and include the information contained in the Minimum CAR Elements Matrix.
Table 2. Minimum CAR Elements Matrix 42

43. Step 3: CAR Response Required Matrix
All CARs shall clearly state that the request should be treated by the supplier as a customer complaint and include the information contained in the CAR Response Requirements Matrix.
Table 3. CAR Response Requirements Matrix 43

44. A CIO is NOT contractually binding!
Step 3: The Continuous Improvement Opportunity (CIO)
A CIO is a mechanism for telling the supplier or sub-contractor that its “process” or “product” could be improved based on the SP’s observances.
When engaging in software surveillance activities, the SP may identify such an opportunity and should bring it to the attention of the supplier by issuing a CIO.
A CIO is NOT contractually binding! 44

45. Step 3: Issuing a CIO Process
If a CIO is issued it shall be documented and issued using the CIO feature available in the Enterprise CAR eTOOL.
There is no policy requirement for the SP to issue CIOs. 45

46. Step 3: Generate the CIO and Document Actions
The CIO shall contain the statement: “This CIO is not a directive from the Government and does not authorize any constructive changes to the contract.”
If the supplier agrees to act on the CIO recommendation, the SP shall track through closure and verify implementation of the supplier’s solution within the CIO feature of the Enterprise CAR eTOOL.
If the supplier does not agree to act on the CIO recommendation, the SP shall close it out within the CIO feature of the Enterprise CAR eTOOL.
Document results by entering a line item record into the SSR Log.
Determine if issuance of the CIO indicates that the SSP should be updated.
5.3.4. 46

47. Step 3: Report to Customer
Reporting is DCMA mechanism for informing the customer about services or products being provided by a supplier and include project status and concerns or issues that may impact technical performance, cost, or schedule.
The two types of reports are:
Timely Reporting of Actual/Potential Impacts
Routine Reporting to Customer
5.4 47

48. Step 3: Timely Reporting of Actual/Potential Impacts
Unless otherwise instructed by the customer, whenever the SP has identified an issue or concern that represents an actual (or indicates a potential) impact to technical performance, cost, or schedule, the SP shall immediately report it to the customer and provide sufficient details that will allow the customer to take action as necessary.
5.4.2 48

49. Step 3: Routine Reporting to Customer
At minimum on a monthly basis, or as otherwise instructed by the customer, the SP shall report the following (but not limited to):
Status of known program performance-related issues or concerns
The SP’s independent assessments of any supplier risk mitigation efforts
Results of the SP’s data collection and analysis
Recommendations when appropriate
5.4.3 49

50. Step 3: Routine Reporting to Customer Guidance
Per DCMA-INST 203:
As may be applicable, the SP shall report to the customer via pre- established methods as defined in the Memorandum of Agreement/Memorandum of Understanding (MOA/MOU), LOD, or other form of agreement/customer instruction. If CMO management approval is required, the SP shall follow the established local protocol to obtain approval.
If the SP is assigned to a contract/program involving a major program acquisition having an assigned Program Integrator/Supporting Program Integrator, the SP shall also adhere to the additional reporting requirements that are described in DCMA-INST 205, Major Program Support.
, 2, and 3 50

51. Step 4: Review
The review cycle is the step where the process is looped
back into itself until the contract is complete.
REVIEW CYCLE
DCMA-INST 203, Chapter 3, paragraph 3.18 51

52. Step 4: Annual Review
At minimum, all Contract, Program, and Facility SSPs shall be reviewed on an annual basis to:
Document contractual changes
Update risk assessments
Update resource requirements
Exception: The SSP Lite is valid for a maximum period of six months. 52

53. Step 4: Immediate Review
At any time, when there are significant changes in supplier performance (positive or negative), and/or contractual requirements, the SP will:
Conduct an immediate review of the SSP to determine if updates/changes are needed
Document all changes in the SSP Revision History Table 53

54. Step 4: Immediate Review Examples
Examples of significant changes include:
Major changes to supplier processes that could impact performance that have not yet been reviewed or proofed by DCMA
Supplier Cost, Schedule, or Technical Performance has denigrated to unacceptable levels
A contractual modification that has “re- baselined” the Software Development Schedule 54

55. Step 4: Contract/Program Complete
When the Contract/Program is completed the Software Professional shall:
Archive program-related records as detailed in DCMA-INST 809, Records Management
Support the contract closeout process as requested
Document and maintain a “Lessons Learned” archive for the Contract
Execute the “Software Contract Ends/Cancelled/Stop-Work” process described in DCMA-PAM 55.1, Compiling, Approving, and Closing Out the Software Surveillance Plan (SSP) 55

56. Questions 56

57. Knowledge Review Question 1
During which step of the SAM Four-Step Continuous Process would the Software Professional finalize the Software Surveillance Plan?
Step 1
Step 2
Step 3
Step 4 57

58. Knowledge Review Question 2
The Taking Action as Appropriate step toolset includes Reports to Customers, CARs, and _________.
CDRs
CMOs
CIOs
SSRs

59. Knowledge Review Question 3
At which level would the SP start issuing CARs for non-compliances that are not promptly correctable and warrant root cause analysis?
Level I
Level II
Level III
Level IV 59

60. Knowledge Review Question 4
Any updates or changes required during the Annual or Immediate Review step will be documented in the Revision History Table of the_______.
SSR
SRA
SSP
SRR 60

61. Lesson Summary
Identified the components of the Software Acquisition Management Four-Step Continuous Process. 61

62. CMQ101 - Course Introduction
4/21/2018
Module Summary
This module covered:
SAM Mission, Policy, and Exclusions
SAM Four-Step Continuous Process
Lesson 4: Safety Stock