SMR4 Attachment J-15 - Program Level IBR Guide Final.pdf

Program-Level Integrated Baseline Review Guide

July 2016

Acquisition Management System Guidance

SIR 693KA7-25-R-00001

Surface Movement Radar Model 4 (SMR4) Section J, Attachment J-15

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Section J, Attachment J-15

TABLE OF CONTENTS

1.0 FAA INTEGRATED BASELINE REVIEWS

1.1. INTRODUCTION

1.2. TYPES OF IBRS

1.2.1. Program Level IBRs

1.2.2. Contractor IBRs

1.3 IBR PROCESS ... …………………………………………………………………………………………6

2.0 PROGRAM LEVEL INTEGRATED BASELINE REVIEW PROCESS

2.1. PROGRAM LEVEL IBR OVERVIEW

2.2. IBR READINESS

3.0. CONTRACTOR INTEGRATED BASELINE REVIEW PROCESS

4.0. FOLLOW-ON IBR PROCESS

Section J, Attachment J-15

1.0 FAA INTEGRATED BASELINE REVIEWS

1.1. Introduction

Integrated Baseline Reviews are required by the FAA Acquisition Management System (AMS) and Office of Management and Budget (OMB) memo M-10-27. They are to be conducted at the program level for all programs designated by the JRC for program level EVM reporting as well as for all contracts that are required by AMS policy to have EVM reporting.

The objective of an IBR is to improve FAA program and contractor performance measurement by ensuring that adequate planning and risk consideration have been performed in conjunction with an established performance measurement baseline. The IBR also serves to verify that the program management processes are integrated and an adequate and appropriate metrics management plan is in place to manage, monitor, and report program performance.

The Integrated Baseline Review (IBR) is a program or contract review that serves to:

Verify that the total program technical, schedule, resource, and cost baselines are achievable and risks have acceptable risk handling plans.

Verify program management control processes and systems are in place to achieve program objectives and Agency commitments.

The IBR involves FAA program management teams, prime contractor program management, and independent subject matter experts who validate the program baselines and performance management processes as depicted in Figure 1-1, Performance Baseline Chain.

Performance Baseline Chain ™

Scope

Technical Solution

Resources Schedule

Budget

Risk

Mission Constraints:

• Requirements

• Schedule

• Cost

Mission Success:

• Quality Product /

System

• On Schedule

• Within Budget

Performance Baseline Chain

Scope

Technical Solution

Resources Schedule

Budget

Risk

Mission Constraints:

• Requirements

• Schedule

• Cost

Mission Success:

• Quality Product /

System

• On Schedule

• Within Budget

Section J, Attachment J-15

Figure 1-1. Performance Baseline Chain

1.2. Types of IBRs

The program Implementation Strategy and Planning Document submitted as part of the JRC Readiness process will include discussions on how the program will plan to conduct both program and contractor IBRs.

1.2.1. Program Level IBRs

Program Level IBRs are an integral part of the program management process for programs that have been designated by the JRC to report program level EVM data. It is designed to provide a review of the program baseline that will be used to report program level EVM data to FAA management as well as external reporting. The program level IBR will be conducted by the FAA EVM Focal Point with a team of functional experts not connected with the program.

The goal is to conduct this program level IBR within 60 days after the completion of any contractor IBRs. If there is no IBR requirement on the contract, program level IBR is conducted within 180 days of contract award or after the execution of a major contract modification to establish and maintain understanding and provide visibility of the performance measurement baseline if there are significant program changes such as a JRC approved rebaseline.

The duration of IBRs may vary based on the scope of the review and the complexity of the program (with most in the range of 1-3 days). The IBR scope includes review of the total program cost, schedule, and technical baseline as well as program risk and program management processes. In addition to Control Account Managers, the program staff is usually briefed or interviewed to establish an understanding of the program baseline, current performance, future performance plans, functional processes, and program risks.

1.2.2. Contractor IBRs

Contractor IBRs include the involvement of the FAA program management team, prime and sub-contractor program management as appropriate, and FAA functional area subject matter experts to ensure all parties understand and concur with the technical, schedule, and cost baselines used to monitor program performance. The contractor IBR is led by the FAA Program Manager supported primarily by the program office members as well as outside functional experts such as the FAA EVM Focal Point. IBRs are not required to review support contractors that provide staff augmentation to a program.

If not conducted prior to contract award, the program manager conducts a comprehensive IBR of the program baseline for major contracts with EVM reporting requirements within 120 days of contract award or after the execution of a major contract modification.

Section J, Attachment J-15

1.3. IBR Process

The IBR process is essentially the same for both Program Level and Contractor IBRs. This process is defined in the NDIA IBR Guide, available at the NDIA documents website:

http://www.ndia.org/Divisions/Divisions/IPMD/Pages/Documents.aspx:

All IBRs follow the generic process flow of:

• Identify the reason for the IBR,

• Identify the key program elements for the IBR,

• Confirm that all participants are ready for the IBR,

• Actual conduct of the IBR, and

• Post IBR actions and closure.

An IBR is usually required for programs and their associated major contracts at the start of the program. However, an IBR might also be needed if there is a significant program change during program execution. These could be; significant Program Management Baseline (PMB) change, exercise of a contract option, funding profile changes, a new rolling wave implementation, or any other program event that would require another review of the program baseline.

Once it is determined that an IBR is required, the next step will be to identify the program information that will be required by the IBR team to properly evaluate the PMB that is to be reviewed. This would include information such as the statement of work, Integrated Master Schedule, funding profile, Work Breakdown structure and dictionary, risk management plan and risk register, Control Account Manager identification, a dollarized Responsibility Assignment Matrix, as well as any other program planning information that would assist the team in evaluating the baseline.

The readiness for the IBR should be confirmed by the assurance that all required documentation has been provided, the IBR team has been identified, all IBR participants have received appropriate IBR training, and timing and location of the IBR has been finalized. A final agenda for the review should also be published at this time.

The actual conduct of the review normally requires 1-5 days, depending on the complexity of the effort that is being reviewed. The IBR should start with in introductory briefing on the purpose of the IBR, introduction of participants, and an overview of the program that is being reviewed.

During the review, both program staff and Control Account Managers will be interviewed by the IBR team to evaluate the actions that were used to create the PMB and how the program will be managed and reported. The goal is for all parties to come to a mutual understanding of the baseline and agreement that it is executable given the risks that have been identified.

The results of the IBR will be documented and actions to resolve any findings or concerns that were raised during the IBR. An initial IBR report will be created to review the IBR process and http://www.ndia.org/Divisions/Divisions/IPMD/Pages/Documents.aspx

Section J, Attachment J-15 identify any actions that need to be taken to close out any corrective actions that were identified.

Following the closure of all actions, a final close-out IBR report will be published.

The FAA EVM Focal Point and the program manager are responsible for ensuring IBRs are conducted on FAA programs to assess baseline implementations and program performance systems. The FAA EVM focal point is responsible for working with the FAA program manager in assembling the IBR teams and scheduling reviews. The IBR team coordinates the preparation and the conduct of the IBRs.

Section J, Attachment J-15

2.0 PROGRAM LEVEL INTEGRATED BASELINE REVIEW PROCESS

2.1 Program Level IBR Overview

Once the program has been approved and designated for program level EVM reporting, the FAA EVM Focal Point will contact the program manager and begin preparation for the program level IBR. While the goal is to have the review at the most logical time in terms of the level of program definitization, the IBR should occur within 60 days after the contractor IBR. If there is no IBR requirement on the contract, a program level IBR (conducted by the EVMFP and Program Office) should occur within 180 days of FID for major program or non-major program designated by JRC to have EVM reporting requirement. Any deviation from this timeline should be coordinated with the FAA EVM Focal Point.

The intent of the IBR is to provide FAA programs with guidance on the viability of the proposed baseline and to gain a mutual understanding of the assumptions and risks made in the planning of a program. The IBR is a program review that:

• Verifies that the total program technical, schedule, resource, and cost baselines are achievable and risks have acceptable risk handling plans; and

• Verifies program management control processes and systems are in place to achieve program objectives and agency commitments.

The objective is to improve FAA program performance by ensuring that adequate planning and risk consideration have been performed in conjunction with an established PMB after JRC program approval. The IBR also serves to verify that the program management processes are integrated and an adequate and appropriate metrics management plan is in place to manage, monitor, and report program performance.

2.2 IBR Readiness

Prior to the planned program IBR date, the program manager must determine that the program team is ready for the Program Level IBR. Readiness can be determined by assuring that:

1. There is adequate work definition in the WBS work flow down to prime contractors and allocations to support contractors and government FTEs.

2. The program schedule 1) comprehensively reflects the total scope of work (regardless of funding source through the integration of contractor and government support and subcontractor schedules), 2) is technically correct with regard to the vertical integration within control accounts as well as horizontal integration between functions and tasks, and

3) identifies FAA level 1 and level 2 AMS standard milestones and key deliverables.

3. Adequate resources are identified, fully planned for, and have been allocated to all defined activities.

Section J, Attachment J-15

4. The risk management process has identified key risks and they are linked to specific elements in the WBS and schedule.

5. Work performance measures, including Earned Value methods, have been defined for all control accounts.

6. The program performance portfolio metrics plan is implemented consistent with the program performance portfolio metrics guide and the program ISPD.

7. The program team is trained on IBRs.

8. The FAA program manager and the prime contractor have concurred with the contract technical, schedule, and cost baselines to be used for contract performance measurement reporting as verified by a contractor IBR.

9. All required documentation has been placed on the EVM KSN site at least 30 days prior to the IBR.

The Program Level IBR plan will be jointly developed by the Program Manager and the FAA EVM Focal Point to document the requirements for the IBR as well as identifying the team members who will be participating in the IBR.

The FAA EVM Focal Point, serving as the program level IBR team lead, will ensure that the IBR team of functional experts has been notified of the IBR date, have access to the EVM KSN for the program IBR data, have been trained on the function and process of the IBR.

Section J, Attachment J-15

3.0. CONTRACTOR INTEGRATED BASELINE REVIEW PROCESS

The AMS policy regarding contractor IBRs states that IBRs are required for all major contracts which have EVM reporting requirements. Non-major programs should also include IBRs in the program schedule if it is determined that it would assist the program team in evaluating the contractor preparation for performing the contract requirements. However, these reviews should be tailored, as appropriate, by the program. The National Defense Industrial Association (NDIA) has an IBR guide available which outlines many of the requirements for a contractor IBR. Since this is an accepted industry guide, the majority of contractors would be familiar with its content.

This document is available at the NDIA documents website:

http://www.ndia.org/Divisions/Divisions/IPMD/Pages/Documents.aspx

The Program Manager and the program technical team will conduct an IBR on all the major contractors which have EVM requirements on contract. These IBRs should be planned to correspond with the definitization of the work by the contractor, but usually should occur within 120 days after contract award. The exact timeframe will be dictated by the size and length of the contract, when the work is definitized and in coordination with the contractor.

It should be noted that while there will be an initial IBR at the beginning of the program, that does not preclude additional IBRs being conducted on the contractors’ baseline. In fact, IBRs are required to be conducted when there is a major contract modification or change to the contract including additional awards to the contractor, or based on large portions of the work being definitized.

The process is similar to the program level IBR. However, the Program Manager replaces the FAA EVM Focal Point Office as the lead for the contractor IBR. The FAA EVM Focal Point Office can support the program during its execution of the IBR.

4.0. FOLLOW-ON IBR PROCESS

IBRs are not a one-time event during a program and should be conducted on a continuous basis to ensure the program performance baselines and processes are providing useful and accurate performance measures, such as contract revisions, major planning package rollout, and significant change to the PMB. Programs should conduct program IBRs after JRC approved baselines are revised. Contractor IBRs should also be conducted after significant changes to the contract such as major contract modification, a rebaseline, rolling wave planning, or exercise of a contract option.

http://www.ndia.org/Divisions/Divisions/IPMD/Pages/Documents.aspx