DoDI 5000.80, Operation of the Middle Tier of Acquisition (MTA)
31 Mar 2020
www.dau.edu
“The Adaptive Acquisition Framework will be the most
transformational acquisition policy change we’ve seen
in decades.”
The Honorable Ellen Lord, USD, A&S
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Adaptive Acquisition Framework
ATP: Authority to Proceed
I: Iteration
MS: Milestone
OD: Outcome Determination
DD: Disposition Decision
IOC: Initial Operation Capability
MVCR: Minimum Viable Cap Release
R: Release
FOC: Full Capability Release
MDD: Material Dev Decision
MVP: Minimum Viable Product
Legend:
DoDD 5000.01: The Defense Acquisition System
DoDD 5000.02: Operation of the Adaptive Acquisition Framework
1. Simplify Acquisition Policy
2. Tailor Acquisition Approaches
3. Empower Program Managers
4. Conduct Data Driven Analysis
5. Actively Manage Risk
6. Emphasize Sustainment
December 2019
Tenets of the Defense Acquisition System
DODI 5000.02 Figure 1. AAF
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Adaptive Acquisition Framework Policies
5000.02T
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Adaptive Acquisition Framework Policy Transition
5000.02T
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Policy End State
5000.02T
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Middle Tier of Acquisition (MTA)
Not subject to JCIDS or Major Capability Acquisition requirements
To rapidly develop fieldable prototypes and residual operational capabilities using innovative technologies within 5 years
To rapidly field new capabilities using proven technologies requiring minimal development, start production < 6 months
and complete fielding < 5 years
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MTA History of Authorization to Use Authority
FY16 NDAA
enacted
25 November 2015
Interim Guidance
signed by USD(A&S)
16 April 2018
DODI 5000.80
signed by USD(A&S)
30 December 2019
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DoD and Service Specific MTA Direction
ASN(RD&A)
24 April 2018
11 June 2018
10 Jan 2019
ASA(ALT)
25 Sep 2018
28 Feb 2019
SAF/AQ
10 April 2018
13 June 2018
10 August 2018
27 June 2019
USD(A&S)
16 April 2018
9 Oct 2018
20 March 2019
23 September 2019
CAPE
30 August 2018
5 April 2019
USSOCOM
1 August 2018
9 August 2018
DOT&E
24 October 2019
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Implements Section 804 of NDAA 2016, Middle Tier of Acquisition, and the Adaptive Acquisition Framework’s Middle Tier of Acquisition Pathway
DoDI 5000.80, Operation of MTAUSD(A&S) Dec 30, 2019
2016 NDAA; Section 804 (Middle Tier of Acquisition)• Acquisition programs intended to be completed within 5 years• Acquisition Pathways: -Rapid Prototyping – Innovative technologies to rapidly develop fieldable
prototypes, demonstrate new capabilities and meet emerging needs; demonstrated in an operational environment and provide residual capability within 5 years-Rapid Fielding – Proven technologies to field new or upgraded systems with
minimal development; begin production within 6 months and complete fielding within 5 years of an approved requirement
• Not subject to CJCSI 5123.01H, Charter of the JROC and Implementation of JCIDS, or DoDD 5000.01, The Defense Acquisition System
• Not exempt from statutory requirements, unless waived
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DoDI 5000.80, Operation of MTAUSD(A&S) Dec 30, 2019
Organization
• Section 1 General Issuance Information
• Section 1.1 and 1.2 Applicability and Policy
• Section 2 Responsibilities
• Section 3 Procedures
• Section 3.1 Rapid Prototyping Procedures
• Section 3.2 Rapid Fielding Procedures
• Section 4 Implementation
• Section 4.1 Entrance
• Section 4.2 Governance
• Section 4.3 Exit
• Section 4.4 Pre-Existing MTA Programs
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• 1.2.b. The MTA pathway must be used to accelerate capability maturation before transitioning to another pathway or may be used to minimally develop a capability before rapidly fielding
• 1.2.c. (Rapid Prototyping) The objective of an acquisition program under this path will be to field a prototype
• 1.2.d. (Rapid Fielding) The rapid fielding path provides for the use of proven technologies to field production quantities of new or upgraded systems with minimal development required
• 1.2.e. Not all programs are appropriate for the MTA pathway. Major systems intended to satisfy requirements that are critical to a major interagency requirement or are primarily focused on technology development, or have a significant international partner involvement are discouraged from using the MTA pathway
• 1.2.f. Each DoD component will develop a streamlined process that results in a succinct requirements document no later than 6 months from the time the operational need process is initiated
DoDI 5000.80, Operation of MTA
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• 2.1 USD(A&S)
– Establishes policy and provides guidance
– Determines when a program is not appropriate for the MTA pathway. Programs exceeding the dollar thresholds for a major defense acquisition program pursuant to Section 2430 of Title 10 USC require written approval prior to using the MTA pathway
• 2.2 USD(R&E)
– Consults with USD(A&S) on policies and guidance
– Advises USD(A&S) on program technologies, program protection, developmental testing, program risks and other areas as appropriate
• 2.3 USD(C)/CFO
– Reviews and advises on funding through the normal PPBS processes
• 2.4 Director, Operational Test and Evaluation (DOT&E)
– Selects programs for DOT&E operational and/or live fire test and evaluation oversight
• 2.5 Director of Cost Assessment and Program Evaluation
– Establishes policies and prescribes procedures for the collection of cost data and cost estimates
DoDI 5000.80, Operation of MTA
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• 2.6 DOD and OSD Component Heads with MTA Programs
- Component Acquisition Executives (CAEs) will designate a Program Manager (PM) and a Product Support Manager (PSM) for each program. CAEs will serve as the Decision Authority (DA) for MTA programs, unless delegated by the CAEs
- PMs develop acquisition strategies, execute approved program plans, field capabilities, and report program status
• Employ an innovative and disciplined approach and will seek appropriate alternatives to regulatory requirements that increase burden without adding value to their programs
• “Tailor- in” reviews, assessments, and relevant documentation that results in an acquisition strategy customized to the unique characteristics and risk of their program
• Ensure risks are identified and reduced
• Comply with statutory requirements unless waived
- PMs, with the support of the PSM, develop and implement sustainment programs that address each of the integrated product support elements to deliver affordable readiness
• 2.7 VCJCS
– Maintains a library of MTA requirement documents; advises on interoperability, cybersecurity and alignment with future warfighting concepts
DoDI 5000.80, Operation of MTA
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DoDI 5000.80 Section 3: Procedures
• 3.1 Rapid Prototyping
a. Operational Needs. DoD Components will develop a merit-based process…
b. Acquisition and Funding Strategies. DoD Components will develop a process…
c. Demonstrating and Evaluating Performance. DoD Components will develop a process...
d. Transitioning Rapid Prototyping Programs. For each MTA program, DoD Components will develop a process...
• 3.2 Rapid Fielding
a. Operational Needs. DoD Components will develop a merit-based process…
b. Demonstrating and Evaluating Performance. DoD Components will develop a process…
c. Acquisition and Funding Strategies. DoD Components will develop and implement acquisition and full funding strategies…
d. Lifecycle Cost, Logistics Support, and Interoperability. DoD Components will develop a process…
e. Reducing Total Ownership Cost. DoD Components will develop a process…
f. Transitioning Rapid Fielding Programs. For each MTA program, DoD Components will develop a process...
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DoDI 5000.80 Section 3.1: Rapid Prototyping Procedures
• 3.1.a. Operational Needs– Process
• Consideration of innovative technologies and new capabilities• To meet needs communicated by the Joint Chiefs of Staff and the Combatant Commanders
– Result • Approved requirement• DA signed Acquisition Decision Memorandum
– Validates the rationale for using the MTA pathway – Identifies the full funding required
• 3.1.b. Acquisition and Funding Strategies. Operational Needs– Process
• Implement acquisition and full funding strategies for the program– Result
• Acquisition strategy which includes– Security, schedule and production risks– A cost estimate
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DoDI 5000.80 Section 3.1: Rapid Prototyping Procedures
• 3.1.c. Demonstrating and Evaluating Performance – Process
• Demonstrating performance and• Evaluating for current operational purposes the proposed products and technologies
– Result• Test strategy or assessment of test results
– Included in the acquisition strategy– Documenting the evaluation of the demonstrated operational performance
» Include validation of required cybersecurity and interoperability as applicable• Programs on the DOT&E oversight list will follow applicable procedures
• 3.1.d. Transitioning Rapid Prototyping Programs– Process
• Transitioning successful prototypes to new or existing acquisition programs – For production, fielding, and operations and sustainment– Under the rapid fielding pathway or other acquisition pathway
– Result• Transition plan
– Included in the acquisition strategy
– Provides a timeline for completion within 2 years of all necessary documentation required for transition, as
determined by the DA, after MTA program start
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DoDI 5000.80 Section 3.2: Rapid Fielding Procedures
• 3.2.a. Operational Needs. – Process
• Consideration of existing products and proven technologies
• To meet needs communicated by the Joint Chiefs of Staff and the Combatant Commanders– Result
• Approved requirement
• DA signed acquisition decision memorandum – Minimum fielding plan criteria
• 3.2.b. Demonstrating and Evaluating Performance. – Process
• Demonstrating performance and
• Evaluating for current operational purposes the proposed products and technologies
– Result• Test strategy or assessment of test results
– Included in the acquisition strategy
– Documenting the evaluation of the demonstrated operational performance» Include validation of required cybersecurity and interoperability as applicable
• The operational demonstration assessment will support the initial production decision by the DA
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DoDI 5000.80 Section 3.2: Rapid Fielding Procedures
• 3.2.c. Acquisition and Funding Strategies.– Process
• Implement acquisition and full funding strategies for the program
– Result• Acquisition strategy which includes
– Security, schedule and production risks
– Cost estimate• 3.2.d. Lifecycle Cost, Logistics Support, and Interoperability.
– Process• Considering lifecycle costs and • Address issues of logistics support and training;
• System, joint, and coalition interoperability;
• Planning for cooperative opportunities, to include foreign sales– Result
• Tailored lifecycle sustainment plan
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DoDI 5000.80 Section 3.2: Rapid Fielding Procedures
• 3.2.e. Reducing Total Ownership Cost– Process
• Identifying and exploiting opportunities to use the rapid fielding pathway to reduce total ownership costs
– Result• Programs on the DOT&E oversight list will follow applicable procedures
• 3.2.f. Transitioning Rapid Fielding Programs– Process
• Transitioning successful programs to operations and sustainment
– Result• Transition plan
– Included in the acquisition strategy
– Provides a timeline for completion within 2 years of all necessary documentation required for transition,
as determined by the DA, after MTA program start
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DoDI 5000.80 Section 4: Implementation
• 4.1 Entrance• 4.1.a. The DA will approve MTA documentation within their purview. Table 1 describes the documentation CAEs
will ensure is available via Defense Acquisition Visibility Environment (DAVE) interfaces
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DoDI 5000.80 Section 4: Implementation
• 4.1.b/c. Any program expected to require a total expenditure that exceeds threshold of Title 10, CAEs will ensure documentation in DAVE at the time of the President’s Budget and requires a written decision from USD(A&S) approving use of the MTA pathway or direction to use an alternative strategy
• 4.1.d. Table 1 documentation for non-major systems will be available DAVE interfaces at least 10 workdays before the desired obligation of funds
• 4.1.e. CAEs will also ensure availability of Program Identification Data via DAVE interfaces (see DAU Website for PID requirements that are tiered between major and non-major systems)
• 4.2 Governance USD(A&S) will chair an advisory board comprised of CAEs, the VCJCS, the USD(R&E), the Director of Cost Assessment and program Evaluation, the DOT&E, the USD(C)/CFO to assess the use of the MTA authority when a request is made that exceeds the major defense acquisition threshold
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DoDI 5000.80 Section 4: Implementation
• 4.3 Exit No later than 60 calendar days after MTA completion date, CAEs submit a. Outcome determination ADM; Assessment of test results; final Program Identification Data capturing updated entries
• 4.4 Pre-Existing MTA Programs MTA programs designated prior to the effective date of DoDI 5000.80 (Dec 30, 2019) will maintain their MTA program start date of funds first obligated. No later than 60 calendar days after the effective days after the effective date of this issuance, pre-exiting MTA programs will comply with this Issuance, to include Table 1 deliverables.
• 4.5 MTA Companion Guide Additional information will be available at DAU Webpage
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MTA Related Terms Used in DoDI 5000.80Glossary G.2. Definitions
• MTA Program Completion Date. The date of an outcome determination ADM signed by the Decision Authority (DA) stating that the rapid prototyping program has transitioned to an existing acquisition program, transitioned to a new acquisition program, transitioned to a different acquisition pathway, has residual operational capability sustained in the field, transitioned to rapid fielding, or terminated. For rapid fielding programs, the date of an outcome determination ADM stating that the minimum fielding plan criteria approved by the DA, have been met
• MTA Program Production Start. The date of funds first obligated to perform production activities
• MTA Program Start Date. The date an ADM is signed by the DA initiating the effort as an MTA rapid prototyping or MTA rapid fielding program, consistent with this issuance
• Operational Environment. A set of operational conditions, selected by the users in coordination with the appropriate independent operational testing agency that are representative of the desired spectrum of operational employments
• Prototype. A model built to evaluate and inform its feasibility or usefulness. Non-physical models are acceptable if the non-physical model is the residual operational capability to be fielded
• Residual Operational Capability. For rapid prototyping programs, residual operational capability will be considered any military utility for an operational user that can be fielded
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https://aaf.dau.edu/aaf/mta/
Reference Source: DoDI 5000.80, Paragraph 1.2.b
The MTA pathway is intended to fill a gap in the Defense Acquisition System (DAS) for those capabilities that have a level of maturity
to allow them to be rapidly prototyped within an acquisition program or fielded, within 5 years of MTA program start. The MTA pathway may
be used to accelerate capability maturation before transitioning to another acquisition pathway or may be used to minimally develop a
capability before rapidly fielding.
See Overview & Highlights and FAQs for unique considerations for the MTA pathway.
Middle Tier of Acquisition (MTA)The Middle Tier of Acquisition pathway is used to rapidly develop fieldable prototypes within an acquisition program to
demonstrate new capabilities and/or rapidly field production quantities of systems with proven technologies that require
minimal development.
See what’s changed recently.
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MTA Webpage
• Overview and Highlights: How to use the site; OUSD(A&S) Highlights; Videos; DOD Component Guidance
• Statutes and Policy: NDAA’s(16-18); MTA Policy letters from CAPE and OT&E; List of Name/Date of Signed Component Guidance Instructions
• Responsibilities: Key Information aligned with DoDI 5000.80 Section 2
• Resources: Program Examples; Templates; Execution Resources - Acquisition Information Repository (AIR) and Defense Acquisition Visibility Environment (DAVE); Contracting Cone Strategies; Listing of Program Information Data
• FAQ’s & Definitions: GREAT list of questions asked thus far for clarification
• Enter Program Data: Details about Acquisition Information Repository (AIR) and Defense Acquisition Visibility Environment (DAVE) and listing of Program Identification Data (PID)
• See what’s changed recently: Highlights recent updates
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Rapid Prototyping
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SEC. 804. MIDDLE TIER OF ACQUISITION FOR RAPID PROTOTYPING
AND RAPID FIELDING
(b) Acquisition Pathways
(1) Rapid Prototyping
The rapid prototyping pathway shall provide for the use of innovative
technologies to rapidly develop fieldable prototypes to demonstrate
new capabilities and meet emerging military needs. The objective of an
acquisition program under this pathway shall be to field a prototype
that can be demonstrated in an operational environment and provide
for a residual operational capability within five years of the
development of an approved requirement.
What is it?
What are the specific outcomes?
What need will the prototype address?
What specific element/s will be prototyped?
What is the operational environment to test prototype?
What is it? Is it reasonable to achieve within 5 years?
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Rapid
Prototyping
Graphic from
aaf.dau.edu
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Rapid Fielding
SEC. 804. MIDDLE TIER OF ACQUISITION FOR RAPID PROTOTYPING
AND RAPID FIELDING
(b) Acquisition Pathways
(2) Rapid Fielding
RAPID FIELDING.—The rapid fielding pathway shall provide for
the use of proven technologies to field production quantities of
new or upgraded systems with minimal development required.
The objective of an acquisition program under this pathway shall
be to begin production within six months and complete fielding
within five years of the development of an approved
requirement.
What is it? How proven? TRL level?
What is/are the system/s? What development is necessary?
Is it reasonable to begin production in 6 months and complete fielding in 5 years?
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Rapid Fielding
Graphic from
aaf.dau.edu
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Director, Cost Assessment & Program EvaluationMTA Policy
• Rapid Prototyping (RP) Programs
– CAPE will conduct an estimate of life cycle costs for RP programs likely to exceed ACAT I threshold.
CAPE may delegate authority for conduct of the cost estimate to the Service Cost Agency (SCA)
– Estimates for RP programs that do not exceed ACAT I threshold must be conducted IAW guidance issued by the Service Cost Agency (SCA)
• Rapid Fielding (RF)Programs
– CAPE will conduct an estimate of life cycle costs for RF programs likely to exceed ACAT I or ACAT II thresholds
CAPE may delegate the authority for conduct of the cost estimate to the SCA
– DoD Components must conduct life cycle cost estimates for RF programs that do not exceed the ACAT II threshold IAW guidance issued by the SCA
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Timeline for Preparation of Rapid Prototyping & Rapid Fielding Cost Estimates
•PMO submits comprehensive program description to SCA, no later than 10 days after ADM is signed. PMO may submit a Cost Analysis Requirements Description (CARD); however, a CARD is not required.
•No later than 14 days after ADM is signed, director of SCA will meet with CAPE Deputy Director for Cost Assessment (DDCA). DDCA determines if CA prepares life-cycle cost estimate or responsibility delegated to SCA.
•Estimate of life-cycle costs should be completed no later than 60 days after ADM is signed. Summary of final cost estimate must be documented in memo signed by SCA Director or DDCA, as relevant, with copies delivered to relevant acquisition executive, PM, MTA governance board, and CAPE.
SCA – Service Cost Agency or Defense Agency equivalentCA – Office of Cost Assessment, CAPECADE – Cost Assessment Data Enterprise
RP – Rapid PrototypingRF – Rapid Fielding
Adapted from Figure 7, DoDI 5000.73
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Significant Changes with DoDI 5000.80
• For new MTA programs, the program “start” is the date of the signed Acquisition Decision Memo (ADM)
• Entrance/Exit Documentation requirements have changed; also submitted via DAVE
• PID updates are required 2x/yr; with President’s Budget (Feb) and POM submission to OSD (normally Sep)
• Advisory Board meetings are 2x/yr or if program exceeds MDAP dollar threshold
• For programs expected to exceed MDAP dollar threshold and prior to obligation of funds, USD(A&S) prior written approval required to use the MTA pathway
• Transition plan, included in the acquisition strategy, which provides a timeline for completion within 2 years of all necessary documentation required for transition
• PMs are encouraged to “tailor in” reviews, assessments, and relevant documentation
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Middle Tier of Acquisition (MTA) Resources
• Publically Available– MTA Website
https://aaf.dau.edu/aaf/mta/
• Resources
• FAQs & Definitions
• POCs (bottom of MTA Pathway link)
• Restricted Access– Defense Acquisition Visibility Environment (DAVE)
https://dave.acq.osd.mil/
• MTA Submissions – View/Create
• AIR – Acquisition Document Repository
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DAVE
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MTA Programs
• Approved MTA Programs that Submitted PB21 information: 40
• Active Programs reporting in DAVE (as of 25 March 2020): 75– Includes programs that did not submit PB21 information
– Includes programs that have asked to be grandfathered in under prior guidance, but no decision has been made
Component # Programs
Air Force 37
Army 12
DISA 1
Navy 14
USSOCOM 11
Total 75
Component # Programs $B
Air Force 11 $27.9
Army 6 $12.3
DISA 1 $0.6
Navy 11 $5.6
USSOCOM 11 $0.1
Total 40 $46.6
Approved MTA Programs with PB21 MTA Programs in DAVE
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Rapid Prototyping vs Rapid Fielding
Rapid Prototyping Rapid Fielding
Component Major Non-Major Major Non-Major Total
Air Force 15 13 2 7 37
Army 4 7 1 12
DISA 1 1
Navy 3 8 3 14
USSOCOM 10 1 11
Total 22 39 2 12 75
* As Reported in DAVE (as of 25 March 2020)
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Planned Contract Strategy & Type
Strategy Air Force Army DISA Navy USSOCOM Total
10 USC 2371b (OTA) 4 14 1 9 5 33
10 USC 2373 (Experimental) 1 1
15 USC 3715 (PIA) 1 1
FAR 12 (Commercial) 1 1 1 3
FAR 13 (Simplified) 2 2
FAR 15 (Negotiated) 13 2 4 1 20
FAR 16.5 (IDIQ) 7 4 4 15
FAR 16.603 (Letter) 39 1 40
FAR 16.7 (Basic Agreements) 1 1 2
FAR 19.5 (SB) 1 1
FAR 8.4 (Fed Supply) 4 4 8
Not Reported 1 1 2
Total 70 18 5 23 12 128
Type Air Force Army DISA Navy USSOCOM Total
Cost 2 1 5 8
CPAF 1 1
CPFF 9 5 6 1 21
CPIF 5 1 2 8
FFP 6 12 2 11 6 37
FFPLOE 1 1
FPIF 1 1 2
OTA 1 1
T&M 6 2 8
Not Reported 39 2 41
Total 70 18 5 23 12 128
Planned Contract Strategy
Planned Contract Type
* As Reported in DAVE (as of 25 March 2020)
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Important Policy Takeaways
• MTAs can be used for MDAPs – NO limitation on size or scope currently exists; however, USD(A&S) written approval needed for those exceeding MDAP threshold. SAR-like reporting also required.
• MTAs are not required to use OTAs – MTAs can use OTAs, but OTAs are just one tool in the contracting toolbox
• Rapid fielding is independent of rapid prototyping – Can transition from rapid prototyping to rapid fielding, but can also start with rapid fielding
• Both rapid prototyping and rapid fielding are limited to 5 years – Neither rapid prototyping nor rapid fielding can exceed 5 years, so can’t take 7 years for rapid prototyping, followed by 3 years of rapid fielding
• Each program is unique – There are no checklists; critical thinking is required to determine what makes sense for your program
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Lessons Learned from Current MTA Programs
• Pursue outcomes not KPPs – MTA supports changing requirements. Requires continual user involvement
• Culture is huge hurdle – True partnering and collaboration across the Services, PEOs, OSD, Industry and your organization is essential
• Iterate as often as possible – Initial concept is the right solution about 10% of the time; iterating at least 22 times increases likelihood of success to 90%
• Deliberate talent management – Requires support from all of the functional representatives and stakeholders
• Invest in vendor relationship – Prototyping approach requires complete alignment between vendor and government.
• Accept we must constantly check and adjust - Fail fast, revector, move on
• Adaptive capability delivery requires intense discipline – Rigor in systems engineering and planning is key to success
• Pause as needed for detailed assessment and planning – Conduct detailed planning with stakeholders and vendor before entering into any phase of prototyping
• Deliveries of capabilities must be appropriately scoped - Capability releases that contain too much content and releases with highly integrated hardware and software add risk to timely delivery
• Clean sheet of paper and “Tailoring In” is difficult
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Questions
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