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2
Gate Review Process Overview
• Purpose
– improve governance and insight
– ensure alignment between capability requirements and acquisition
– improve senior leadership decision making
– gain better understanding of RISKS and COSTS
• Objectives– endorse or approve key JCIDS and acquisition documents– facilitate decisions regarding capabilities and material solutions
• 2-Pass, 6-Gate Process– address Requirements and Acquisition governance respectively
– EVERY GATE reviews program health – cost, risks, budget
3
Gate Review BoardMembership
• Principal (voting) members– CNO / CMC / VCNO / ACMC
– ASN (RDA) / PDASN
– ASN (FM&C)
– OPNAV N8 / HQMC DC P&R and DC CD&I
– Appropriate SYSCOM Commander
• Advisory (non-voting) members– Resource Sponsor, CHSENG
– N80, N81, N091, FMB
– Cognizant DASN
– DASN (C&E)
• Attendance limited to Principal or Deputy (Flag/SES) plus one
4
Pass 1 Gates
• Gates 1, 2, and 3 “Requirements” Gates– Led by CNO or CMC
– Starts prior to Material Development Decision, ends after Gate 3
– Leads to:
• Approving the ICD
• Approving AOA guidance
• Selecting an AOA “optimal” alternative
• Approving a CDD
• Developing a CONOPS
• Approving System Design Specification (SDS) Development Plan
5
Pass 2 Gates
• Gates 4, 5, and 6 “Acquisition” Gates– Led by ASN(RDA)
– Starts after Gate 3, ends after Milestone B (initial EMD phase)
– Leads to:
• Approving the SDS
• Approving release of the RFP
• Assessing readiness for production
• Assessing sufficiency of the EVMS PMB
• Assessing the IBR
– Follow-on Gate 6’s pre- and post-Milestone C and FRP DR
• Serve as Configuration Steering Boards and review program health
6
Pass 1 – Requirements Gates
• Gate 1: Approval of the ICD
– input: Service review of the ICD
– brief: AoA assumptions, cost constraints and life-cycle considerations
– outcome: Validates AoA guidance, authorizes to proceed to MSA phase
• Gate 2: Approval of the preferred alternative
– input: Approved ICD, AoA, “sufficiently mature” MS-A documentation
– brief: AoA assumptions, analysis, findings, preliminary TRL assessment
– brief: Projected life cycle costs for all AoA options
– outcome: Approves development of CDD and CONOPS for alternative
7
Pass 1 – Requirements Gates
• Gate 3: Approval of the Service CDD and CONOPS
– input: Approved AoA, SDS development plan
– input: Service review of CDD/CONOPS,
• supports LCCE (employment, sustainment, training, manning, etc)
– brief: Initial independent cost estimate & schedule assessment
– brief: Compare to PM estimates
– outcome: Approves the CDD/CONOPS, SDS development plan
– outcome: Approves program to MS-A (or with MS-B preparations)
8
Pass 2 – Acquisition Gates
• Gate 4: Approval of the SDS
– may be combined with Gate 5 and MS-B for ACAT IC/IAC/II
– input: Approved CDD, CONOPS, and review of SDS
– input: Independent cost estimate, PM cost estimate, budget
– brief: Capability, risk, independent/PM cost/schedule estimates
– outcome: Authorizes program to proceed to Gate 5 (or Milestone B)
• Gate 5: Approval of release of the RFP
– may be before, concurrent with, or after MS-B
– input: Approved SDS, key business elements in acquisition strategy
– brief: Capability, risk, independent/PM cost and schedule estimates
– outcome: RFP approval for release to industry
9
Pass 2 – Acquisition Gates
• Gate 6: Assesses readiness for production
– occurs after contract award and IBR completion
– input: Source Selection completed, contract awarded, IBR completed
– brief: Capability, risk, independent/PM cost and schedule estimates
– brief: Assesses IBR results, sufficiency of the SDS and EVMS PMB (EAC)
– outcome: follow-on Gate 6 reviews prior to and post MS-C, FRP DR
• Gate 6 follow-on: Pre-LRIP, Pre-FRP DR
– “as needed” tailored approach
– specific elements undefined in SECNAV 5000.2, same as Gate 6
10
DON Requirements AcquisitionPASS 1
OSD/JOINTLEVEL
JROCJROC AnnualCSB
2 6NAVY/USMC LEVEL
ICDApproval
ICDApproval
AlternativeSelection
AlternativeSelection
SDSApproval
SDSApproval
RFPApproval
RFPApprovalCBACBA Contract
AwardContract Award
Forum*:Lead Org:Chair:
R3BOPNAV/HQMC
CNO (N8)/DC, CD&I
R3BOPNAV/HQMC
CNO/CMC
R3BOPNAV/HQMC
CNO/CMC
R3BASN(RD&A)ASN(RD&A)
R3BASN(RD&A)ASN(RD&A)
PEO/SYSCOM/ OPNAV/HQMCLEVEL
IBR
# Gate Review
SDDSSAC
MS B**
5
JROC
PASS 2
1
CD
AOA CONOPSCDD
3
CDD and CONOPSApproval
CDD and CONOPSApproval
MS A**
InitiaISDS
R3BASN(RD&A)ASN(RD&A)
UpdatedSDS
RFP
4
Illustrated example for program initiation at Milestone A
11
DON Requirements AcquisitionPASS 1 PASS 2
OSD/JOINTLEVEL
JROCMS A**JROC AnnualCSB
2 4 6NAVY/USMC LEVEL
ICDApproval
ICDApproval
AlternativeSelection
AlternativeSelection
SDSApproval
SDSApproval
RFPApproval
RFPApprovalCBACBA Contract
AwardContract Award
Forum*:Lead Org:Chair:
R3BOPNAV/HQMC
CNO/CMC
R3BOPNAV/HQMC
CNO (N8)/DC, CD&I
R3BOPNAV/HQMC
CNO/CMC
R3BASN(RD&A)ASN(RD&A)
R3BASN(RD&A)ASN(RD&A)
PEO/SYSCOM/ OPNAV/HQMCLEVEL
InitiaISDS
IBR
# Gate Review
1
AOA CONOPSCDD
CD
3
CDD and CONOPSApproval
CDD and CONOPSApproval
RFP
R3BASN(RD&A)ASN(RD&A)
SDDSSAC
MS B**
5
UpdatedSDS
Illustrated example for program initiation at Milestone B
12
Program Cost UncertaintyOver Time
Pre Systems AcquisitionPre Systems Acquisition Systems Acquisition Sustainment
Material Solution Analysis
Technology Development
Engineering & Manufacturing Development
Production& Deployment
Operations& Support
A B C IOC FOC Disposal
Cos
t, T
echn
ical
, an
d P
rogr
amm
atic
Unc
erta
inty
Tec
hnic
al
Rev
iew
sE
stim
atin
g T
echn
ique
s
ITR ASR SRR IBR
Preferred System Concept
System Specification/
CDD
SFR
System Functional Baseline
PDR
Allocated Baseline
CDR
Product Baseline
TRR
FRR SVR/PRR
OTRR PCR
ECPR
Product Baseline
Parametric
Analogy
Parametric
Analogy
Engineering Build-Up
Parametric
Analogy
Extrapolate
Actuals Engineering Build-Up
Parametric
Extrapolation of Actuals
Engineering Build-Up
1 2 3 4 5 66 fo
6 fo
6 fo
GateReviews
vs. BUDGET?
13
Gate Review ProcessPotential “Cost Community” disconnects?
• How often are the program’s definition and bounds changing during the pre-MS-B timeframe?
• What reliable data is available to estimate a program this early in its acquisition life cycle?
• What documents are complete and approved leading up to each Gate?
• To what extent are CAIV decisions still being made prior to RFP release?
• Do “best practice” estimating methods allow significant cost estimate confidence at this point?
• As the estimate progresses, in what “ballpark” should the estimate’s upper bound of range be expected to cover potential costs into MS-B?
• How will the range and estimates be used to program a budget at this early phase in the program?
• What value does an independent assessment add in the early “requirements” Gates?
15
Cost Estimate Confidence thru Pre-MS-B Phase of Programs
TECHBASELINE
ESTIMATESTABILITY
OVERRUNPOTENTIAL
COSTRISK
PROGRAMMATICBASELINE
COSTDATA
ESTIMATECONFIDENCE
MOST CASES WILL BE RED OR YELLOW
SCOREDefined? Steady?Mature? Stable?
Budget supportable?
Upper Bounds Stable?
Analogy?
Parametric?
Program info?
Small changes early
in program life?
Methodology?
Underlying data?