AFI 10-601 Capabilities-based Requirements Development.pdf

BY ORDER OF THE

SECRETARY OF THE AIR FORCE

AIR FORCE INSTRUCTION 10-601

31 JULY 2006

Operations

CAPABILITIES-BASED REQUIREMENTS

DEVELOPMENT

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

ACCESSIBILITY: Publications and forms are available on the e-Publishing website at www.e-publishing.af.mil for downloading or ordering.

RELEASABILITY: There are no releasability restrictions on this publication

OPR: HQ USAF/A5RD Certified by: HQ USAF/A5R (Maj Gen Stanley Gorenc)

Supersedes AFI10-601, 30 July 2004 Pages: 74

This Air Force Instruction (AFI) implements Air Force Policy Directive (AFPD) 10-6, Capabili-ties-Based Planning & Requirements Development, Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 3170.01, Joint Capabilities Integration and Development System, Chairman of the Joint Chiefs of Staff Manual (CJCSM) 3170.01, Operation of the Joint Capabilities Integration and Development Sys-tem, and CJCSI 6212.01, Interoperability and Supportability of Information Technology Systems and National Security Systems. It establishes the guidelines, policies and procedures for defining, developing, documenting, validating, approving, and managing Air Force capabilities-based requirements in support of the Defense Acquisition Management Framework. This AFI must be used with the policies in Depart-ment of Defense Directive (DoDD) 5000.1, The Defense Acquisition System, DoD Instruction (DoDI) 5000.2, Operation of the Defense Acquisition System (collectively called the DoD 5000-series), and National Security Space (NSS) Acquisition Policy 03-01, Guidance for DoD Space System Acquisition Process. This AFI must be used in conjunction with AFI 63-101, Operations of Capabilities-Based Acquisition System, AFI 10-602, Determining Mission Capability and Supportability Requirements, AFI 10-604, Capabilities-Based Planning and AFI 99-103, Capabilities-Based Test and Evaluation. This AFI applies to all Air Force personnel who develop, review, approve, manage, or use documents in the Air Force Capabilities-Based Requirements Development Process. This instruction applies to all unclassi-fied, collateral, compartmented and special access programs. Adherence is mandatory, except when stat-utory requirements, DoD or Joint Staff (JS) directives override. If there is any conflicting guidance between this AFI and DoD 5000-series, NSS 03-01, CJCSI 3170.01, CJCSM 3170.01, the latter (DoD 5000-series, NSS 03-01, or CJCSI/M 3170.01) shall take precedence. Any organization may supplement this instruction. Send proposed supplements or recommended changes to this instruction to Headquarters (HQ) USAF/A5R, 1480 Air Force Pentagon, Washington, DC 20330-1480; email: reqmnts@penta-gon.af.mil. Ensure that all records created as a result of processes prescribed in this publication are main-tained in accordance with AFPD 37-1, Information Management, and AFMAN 37-123, Management of Records, and disposed of in accordance with the Air Force Records Disposition Schedule (RDS) located at https://afrims.amc.af.mil.

http://www.e-publishing.af.mil mailto:reqmnts@pentagon.af.mil mailto:reqmnts@pentagon.af.mil https://afrims.amc.af.mil

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SUMMARY OF CHANGES

The most significant changes to this AFI are discussions on Joint Capability Documents, Doctrine, Orga-nization, Training, Materiel, Leadership and Education, Personnel, and Facilities (DOTMLPF) Change Recommendations (DCR), deletion of “Stages” associated with Initial Capability Documents, introduc-tion of Air Force Capabilities Document (AFCD) and the process to transition from capability-based planning to capability-based requirements development.

Chapter 1— VISION & IMPLEMENTATION CONCEPTS 5

1.1. Vision

1.2. Joint Capabilities Integration and Development System (JCIDS)

1.3. Acquisition Category (ACAT) Levels

1.4. Air Force Capabilities-Based Requirements Development

Figure 1.1. Contributing Elements to Air Force Capabilities-Based Requirements

1.5. Implementation

Figure 1.2. Integration of Requirements, Acquisition, and T&E Processes

1.6. Space-Related Capabilities-Based Requirements Development

Figure 1.3. Integration of Requirements, Space Acquisition, and T&E Processes

Chapter 2— OVERVIEW: AIR FORCE CAPABILITIES-BASED REQUIREMENTS

DEVELOPMENT PROCESS 11

2.1. Purpose

Figure 2.1. Requirements / Acquisition / Test Documents Relationship

2.2. Capabilities-Based Requirements Documents

2.3. Document Development, Review and Approval

Table 2.1. Validation and Approval Authority

2.4. Waiver Authority

2.5. Air Force Requirements Document Library

2.6. Joint Staff JCIDS Document Publication and Archiving

Chapter 3— ROLES AND RESPONSIBILITIES 17

3.1. Purpose

3.2. Authority

3.3. Roles and Responsibilities

3.4. Air Force Requirements for Operational Capabilities Council (AFROCC)

AFI10-601 31 JULY 2006 3

3.5. Functional Capabilities Boards (FCBs)

3.6. Joint Capabilities Board (JCB)

3.7. Joint Requirements Oversight Council (JROC)

Chapter 4— REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE A

ACQUISITION DECISION 26

4.1. Purpose

Figure 4.1. Activities to Support Milestone A Acquisition Decision

4.2. JCD and AFCD

4.3. ICD

4.4. Post-ICD Activities

4.5. Changes to the ICD

Chapter 5— REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE B

ACQUISITION DECISION 31

5.1. Purpose

Figure 5.1. Activities to Support Milestone B Acquisition Decision

5.2. Requirements Strategy Development

5.3. Requirements Strategy Review

5.4. HPT Planning

5.5. CDD Guidelines

5.6. CDD Requirements Correlation Table (RCT)

Table 5.1. CDD KPP RCT Format

Table 5.2. CDD KSA RCT Format

Table 5.3. CDD Attribute RCT Format

5.7. CDD Processing

5.8. Post-CDD Activities

5.9. Changes to the CDD

Chapter 6— REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE C

ACQUISITION DECISION 36

6.1. Purpose

Figure 6.1. Activities to Support Milestone C Acquisition Decision

6.2. Requirement Strategy Development

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6.3. Requirements Strategy Review

6.4. HPT Planning

6.5. CPD Guidelines

6.6. CPD Requirements Correlation Table (RCT)

Table 6.1. CPD KPP RCT Formats

6.7. CPD Processing

6.8. Post-CPD Activities

6.9. Changes to the CPD

Chapter 7— REQUIREMENTS ACTIVITIES TO SUPPORT DOTMLPF CHANGE

RECOMMENDATION (DCR) 41

7.1. Purpose

7.2. Pre-DCR Activities

7.3. Requirements Strategy Development

7.4. Requirements Strategy Review

7.5. HPT Planning

7.6. DCR Guidelines

7.7. DCR Processing

7.8. Post-DCR Activities

Chapter 8— REQUIREMENTS ACTIVITIES TO SUPPORT MODIFICATIONS 43

8.1. Purpose

Figure 8.1. Activities to Support Modifications

8.2. Sustainment

8.3. Modifications

Table 8.1. Modification ($) Thresholds

8.4. Forms Adopted

Attachment 1— GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION 46

Attachment 2— DOCUMENT REVIEW 60

Attachment 3— RESPONDING TO WARFIGHTER URGENT OPERATIONAL

NEEDS (UON) 64

AFI10-601 31 JULY 2006 5

Chapter 1

VISION & IMPLEMENTATION CONCEPTS

1.1. Vision. The intent of this instruction is to facilitate rapid development and fielding of affordable and sustainable operational capabilities needed by the combatant commander. The primary goal is to fulfill stated defense strategy needs with effects based, capabilities-focused materiel and non-materiel solutions.

The overarching strategic guidance detailed in the National Security Strategy, National Defense Strategy (NDS), National Military Strategy, planning guidance outlined in the Quadrennial Defense Review (QDR), Strategic Planning Guidance, Joint Programming Guidance, Transformation Planning Guidance, and the family of Joint Operations Concepts (JOpsC) lays the foundation for the Air Force’s needed capa-bilities. Capabilities are employed to achieve desired effects in support of these strategies. The Air Force must be innovative and flexible in the way it resources current and future defense strategies. The Air Force must be able to integrate functions such as strategic planning, capabilities-based planning, capabil-ities-based requirements development, acquisition and sustainment activities, and program and budget execution.

1.2. Joint Capabilities Integration and Development System (JCIDS). The Air Force capability development process is closely linked and complies with its joint overarching guidance, JCIDS. The JCIDS process is integrated with the acquisition process and exists to identify, develop, and validate defense-related requirements. JCIDS implements a capabilities-based approach that leverages the exper-tise of all government agencies and industry to identify improvements to existing capabilities and to develop new warfighting capabilities. The process validates warfighting capability needs while consider-ing the full range of materiel and non-materiel solutions. New capabilities must be defined within the “art of the possible” and grounded within real world constraints of time, technology and affordability. Within DoD there is a distinct separation between the requirements authority and acquisition authority, which requires early and continued collaboration between both communities in order for the processes to work effectively together. As a collaborative effort, Air Force-sponsored JCIDS documents (independent of acquisition category level) are vetted through the Joint Staff Functional Capabilities Board (FCB) review process, as described in CJCSI 3170.01 and CJCSM 3170.01. To implement a capabilities-based approach, the FCB uses the family of JOpsC and Joint Capability Areas to establish a common under-standing of how a capability will be used, who will use it, when it is needed and why it is needed to achieve a desired effect. Each capability should be assessed based on the effects it seeks to generate and the associated operational risk of not having it. The Joint Staff, Vice Director J-8, in the capacity of the Gatekeeper determines the capability proposal’s Joint Potential Designator (JPD), which specifies JCIDS validation, approval and interoperability expectations.

1.3. Acquisition Category (ACAT) Levels. ACATs are described in DoDI 5000.2, Operation of the Defense Acquisition System. The three ACAT Levels (ACAT I, II, & III) are established to aid decentral-ized decision-making and to comply with Congressional and DoD direction. The Service component, with the help of the requirements sponsor, determines the ACAT level during capabilities development.

Acquisition categories for systems are usually based on total research, development, test and evaluation (RDT&E) or procurement costs, but may also be designated at the discretion of the Milestone Decision Authority (MDA). An ACAT and MDA table can be found at: https://www.xo.hq.af.mil/xor/xord/ dod5000.htm.

https://www.xo.hq.af.mil/xor/xord/dod5000.htm https://www.xo.hq.af.mil/xor/xord/dod5000.htm

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1.4. Air Force Capabilities-Based Requirements Development. Figure 1.1. depicts various elements that influence and define Air Force capabilities-based requirements development. Each of these elements identifies potential and core capabilities that the Air Force may invest in and field in the future.

Figure 1.1. Contributing Elements to Air Force Capabilities-Based Requirements

1.4.1. Capabilities-Based Planning (CBP). CBP is planning under uncertainty to provide capabilities suitable for a wide range of challenges and circumstances, all designed to achieve certain battlespace effects. The Air Force uses a capabilities-based planning process (the AF/A5X led Air Force’s Capa-bilities Review & Risk Assessment [CRRA]) based on subjective, operational expertise and objective analysis to identify required capabilities and families of related capabilities, or capability objectives.

JCIDS analysis and AF/A5X capabilities-based planning are primary contributors to the Air Force requirements development process, but top-down direction, urgent warfighter needs, technological opportunities, and experiments and demonstrations provide other means for identifying the need for a new capability. Refer to AFI 10-604 for details on Air Force CBP and CJCSI 3170.01 and CJCSM

3170.01 for details on JCIDS analysis.

1.4.2. Integrated Architectures. When developed in accordance with the DoD Architecture Frame-work, integrated architectures provide a consistent, complete, accurate, comparable and reusable description of the operational activities, skills, organizations, systems, systems functions and informa-tion that combine to provide capabilities. Integrated architectures accurately capturing the interrela-tionship of systems, operational activities and capabilities provide a basis for CBP, including the determination of gaps and shortfalls and the utility of proposed solutions.

1.4.3. Top-Down Direction. Higher authority may direct a sponsor to initiate the development and fielding of a new capability. Written direction from the Chief of Staff of the United States Air Force (CSAF) or higher authority fulfills the AFPD 10-6 requirement for identifying a capability need.

However, the designated requirements sponsor is still responsible for conducting appropriate analysis and producing the capabilities-based requirements documents. In addition, the JCIDS process may direct multiple materiel solutions due to a system of systems (SoS) or a family of systems (FoS) approach that could result in driving top-down, capabilities-based requirements.

1.4.4. Combatant Commander’s Needs. A Combatant Commander’s need may identify a capability gap/shortfall (perhaps identified in their Integrated Priority List) that may be satisfied through the nor-mal acquisition process or through the Rapid Response Process (RRP), as described in AFI 63-114, Rapid Response Process, and Attachment 3. For a normal acquisition, the Combatant Commander may perform the functional solution analysis (FSA) with internal resources and submit a completed Initial Capabilities Document to the Joint Staff for approval. However, the Combatant Commander

AFI10-601 31 JULY 2006 7

normally forwards a need to the force providing Service component. In turn, the sponsoring MAJ- COM works with AF/A5X to validate the need and with AF/A5R to evaluate the need for an appropri-ate JCIDS document.

1.4.5. Technology Transition Activities. Throughout the capabilities-based requirements develop-ment process, the Air Force maximizes efforts to provide operators with capabilities built on superior and affordable technology. Current sources for capitalizing on technology transition are Advanced Technology Demonstrations (ATDs), Advanced Concept Technology Demonstrations (ACTDs), Joint and Air Force Battlelab experiments, operational exercises, wargaming, DoD and Air Force lab-oratory and research projects, and commercial sources identified within the Defense Science and Technology (S&T) Program. Evaluation results can lead to a sponsor developing an appropriate JCIDS document to facilitate technology transition.

1.4.6. Air Force Lesson Issue Resolution Program (AFLIRP). AFLIRP assigns Lessons Learned issues to Functional HAF and/or MAJCOM OPR's for validation, decisions and resolutions via pro-grammatic and budgetary recommendations and DOTMLPF actions, to include development of DOT- MLPF Change Recommendations (see Chapter 7). The AFLIRP monitors recommended corrective actions to conclusion and implementation. The program includes an AFLIRP Board which is an Air Force organizational body chaired by the AF/CVA responsible for addressing identified lessons and issues of critical importance to the Air Force. The AFLIRP Board is aligned with the AEF cycle, meets 3 times a year, and members include HAF-2 Letters and MAJCOM CVs. The board is sup-ported by the AFLIRP Group (0-6's), chaired by AF/ D A9, and an AFLIRP Panel (AO level), chaired by AF/A9L.

1.5. Implementation. The Air Force requirements are driven by desired effects and needed capabilities.

All stakeholders in the acquisition framework must know why the Air Force needs a particular capability, how and where it will be used, who will use it, when it is needed, and how it will be supported and main-tained. For a materiel solution, fielding an operational capability starts with sound strategies for require-ments, acquisition, test and evaluation (T&E) and support and sustainment. To be viable, these strategies must be developed in concert and require early and ongoing collaboration among operators, developers, acquirers, testers, sustainers and operations analysts. No one strategy can stand alone and still be viable since all are interdependent and require the integration of the others to be effective.

1.5.1. Collaboration. Expanding upon the JCIDS collaborative effort, there are three mutually sup-porting Air Force processes that facilitate the development and sustainment of operational capabili-ties: capabilities-based requirements development as described in this instruction; capabilities-based acquisition as described in AFI 63-101, Operations of Capabilities-Based Acquisition System (National Security Space Acquisition Policy 03-01 [NSS 03-01], Guidance for DoD Space System Acquisition Process, for applicable space programs); and seamless verification as described in AFI 99-103, Capabilities-Based Test and Evaluation. These processes are interdependent and require col-laboration to rapidly deliver new capabilities to the operator. The three communities must use the guidance in all three instructions to integrate their efforts and create synergy. Figure 1.2. depicts the integration of the three processes in relation to the overarching DoDI 5000.2 acquisition framework.

Initiative specifics (i.e., ACAT level, JPD, etc.) may vary the actual steps executed within each pro-cess.

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Figure 1.2. Integration of Requirements, Acquisition, and T&E Processes

1.5.2. Capabilities-Based Acquisition System. The primary goal of the acquisition system is to rap-idly deliver affordable and sustainable capability that meets the operator’s needs. To achieve this goal, all stakeholders must collaborate in planning and execution activities that lead to developing, fielding and sustaining new operational capabilities. After required capabilities and performance attributes are defined and approved, they are used to guide development, test and evaluation, produc-tion, procurement, deployment, and sustainment of the new capability. Working with the operator, the acquirer balances cost, schedule, and performance in response to approved capabilities-based requirements documents.

1.5.2.1. Evolutionary Acquisition (EA). Evolutionary acquisition is the preferred DoD strategy for rapidly acquiring needed capability based on mature technologies. An evolutionary acquisi-tion approach delivers capability in increments, recognizing up front the need for future capability improvements. The objective is to balance needs and potential capability with resources. The success of the strategy depends on consistent and continuous definition of capabilities-based requirements, and the maturation of technologies that lead to the disciplined development of sys-tems that provide increasing capability.

1.5.2.2. Development Approaches. There are two approaches to evolutionary acquisition: spiral development and incremental development. In spiral development, a desired capability is identi-fied, but the end-state requirements are not known at program initiation, and the requirement is met over time by developing an unspecified number of increments. Incremental development dif-fers from spiral development in that a desired capability is identified, an end-state requirement is

AFI10-601 31 JULY 2006 9

known, but the requirement is met over time by developing several increments, each dependent on available mature technology. The operator, working with the acquisition community, must con-sider the relative importance of each increment of capability, its projected timeline, and the antic-ipated cost necessary to achieve the desired end-state capability.

1.5.3. Integrated Test and Evaluation. The overarching functions of T&E are to determine the opera-tional capabilities and limitations of systems, to reduce risks, and to identify and help resolve deficien-cies as early as possible. Integrated T&E combines developmental and operational test objectives to the maximum extent possible and provides assurance that systems will satisfy mission requirements in operational environments. Testers contribute their knowledge to the requirements and acquisition communities by verifying performance and mitigating risks in fielding new capabilities.

1.6. Space-Related Capabilities-Based Requirements Development.

1.6.1. Space-Related Capabilities-Based Requirements Policy. Space system acquisitions are prima-rily governed by NSS 03-01. Figure 1.3. depicts the integration of the three processes in relation to NSS 03-01 acquisition framework. Since DoDI 5000.2 does not apply in many space-related capabil-ities, but the 3170 process does apply, some acquisition steps differ in timing. However, Air Force space-related capabilities-based requirements development is subject to AFI 10-601 processes and procedures.

1.6.2. JCIDS Documents and Key Decision Points. Although the NSS 03-01 uses Key Decision Points (KDP) instead of Milestones, the timing of JCIDS documents relative to KDPs is similar, but there are some subtle differences. An Initial Capabilities Document is required to support the Analy-sis of Alternatives and concept refinement activities prior to a KDP A decision. In addition, NSS 03-01 requires an approved initial Capability Development Document (iCDD) prior to KDP A. The iCDD will be updated after KDP A and will be used as the Capability Development Document (CDD) required to support a KDP B decision. The CDD will be updated again to incorporate what was learned during Phase B of the system acquisition and document refined thresholds and objectives for system attributes and key performance parameters (KPPs) and support KDP C. A Capability Produc-tion Document will be generated and validated/approved in time to support the Build Approval (low-rate initial production [LRIP] decision meeting for production-focus model).

1.6.3. Validation and Approval Authority. NSS 03-01 does not use the DoDI 5000.2 Acquisition Cat-egories (ACAT I, II, III); instead it uses the equivalent dollar thresholds (or “special interest” designa-tion) to identify Major Defense Acquisition Programs (MDAPs) (ACAT I) and non-MDAP. The DoDI 5000.2 ACAT levels and their associated dollar threshold values are used to determine the val-idation and approval authority levels for space-related requirements. Space acquisition programs can be ACAT I, ACAT II or ACAT III equivalent efforts. A space acquisition program should identify its ACAT equivalent level during the JCIDS validation and approval process.

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Figure 1.3. Integration of Requirements, Space Acquisition, and T&E Processes

AFI10-601 31 JULY 2006 11

Chapter 2

OVERVIEW: AIR FORCE CAPABILITIES-BASED REQUIREMENTS DEVELOPMENT

PROCESS

2.1. Purpose. This chapter details the Air Force capabilities-based requirements development process and provides guidance for Air Force requirements strategy, document preparation, validation, approval, and archiving. With the exception of the Doctrine, Organization, Training, Materiel, Leadership and Edu-cation, Personnel, and Facilities (DOTMLPF) Change Recommendation (DCR), capabilities-based requirements documents are developed to support acquisition activity as depicted in Figure 2.1. Within the Air Force, the MAJCOM or agency responsible for a capability or mission (referred to as the sponsor) normally develops requirements documents. In most cases, the sponsor determines when a specific requirements document is needed. However, the Office of the Secretary of Defense (OSD), the Joint Staff, or the Air Force Requirements for Operational Capabilities Council (AFROCC) may also direct development of a capabilities-based requirements document. This tasking will be directed to the appro-priate Air Force sponsor.

Figure 2.1. Requirements / Acquisition / Test Documents Relationship

2.2. Capabilities-Based Requirements Documents. JCIDS directs the use of five types of documents for capabilities-based requirements. These are the Joint Capabilities Document (JCD), the Initial Capa-bilities Document (ICD), the Capability Development Document (CDD), the Capability Production Doc-ument (CPD), and the DOTMLPF Change Recommendation (DCR). Details on the use, content, and

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format of JCIDS documents are located in CJCSI 3170.01 and CJCSM 3170.01. Additionally, the Air Force has established several alternative means for documenting capabilities-based requirements that are suitable in some situations. These are the Air Force Capabilities Document (AFCD), the Combat Capa-bility Document (CCD), and the AF Form 1067, Modification Proposal.

2.2.1. Joint Capabilities Document (JCD). A JCD captures the results of a Functional Area Analysis (FAA) and a Functional Needs Analysis (FNA). The FAA identifies a set of capabilities that support a defined mission area utilizing associated Family of Joint Future Concepts, Concept of Operations (CONOPS) or Unified Command Plan-assigned missions. Analyzing what is required across all func-tional areas to accomplish the mission identifies the capabilities. The FNA compares the capability needs to the capabilities provided by existing or planned systems and identifies the gaps/shortfalls or redundancies. The JCD will be used as a baseline for one or more FSAs leading to the appropriate ICD or Joint DCR. A JCD can be developed by combatant commands, FCBs and combat support agencies with designated functional management roles. Air Force sponsors may develop a JCD if they have pre-coordinated with the applicable FCB to ensure they are not duplicating work. MAJ- COM sponsors will develop a JCD only when directed by AF/A5R. The activities associated with the development and coordination of a JCD are described in CJCSI 3170.01 and CJCSM 3170.01. Spon-sors should consult with AF/A5RD if given responsibility for a JCD.

2.2.2. Initial Capabilities Document (ICD). An ICD documents the need for a materiel approach, or an approach that is a combination of materiel and non-materiel, to satisfy one or more specific capa-bility gaps/shortfalls. It may build on an existing JCD or AFCD by documenting the results of an FSA for one or more capability gaps/shortfalls. If there is no predecessor JCD or AFCD, the ICD will doc-ument the results of a sponsor conducted FAA, FNA, and FSA. The ICD summarizes the analyses and identifies one or more approaches (materiel and non-materiel) that may deliver the required capa-bility. The outcome of an ICD could be one or more DCRs or CDDs.

2.2.3. Capability Development Document (CDD). A CDD captures the information necessary to develop a proposed program, normally using an evolutionary acquisition strategy. The CDD outlines an affordable increment of militarily useful, logistically supportable and technically mature capabil-ity.

2.2.4. Capability Production Document (CPD). A CPD addresses the production elements specific to a single increment of an acquisition program.

2.2.5. DOTMLPF Change Recommendation (DCR). DCRs are generated by combatant commands, Services or agencies when it is necessary to change DOTMLPF resources to meet a capability gap/ shortfall. The DCR focuses primarily on transformation efforts in the areas of doctrine, organization, training, materiel, leadership and education, personnel and facilities as well as policy. The DCR pro-cess focuses on changes that are primarily non-materiel in nature, although there may be some associ-ated materiel changes (commercial or non-developmental) required. A DCR is normally developed when an ICD recommends a non-materiel approach, but may also result from an innovation, new tech-nologies, experimentation, testing, capability reviews, combatant commanders’ integrated priority lists, warfighting lessons learned, etc. Chapter 7 contains instructions on the development and coor-dination of the DCR. For additional information on DCRs, see CJCSI 3170.01 and CJCSM 3170.01.

2.2.6. Air Force Capabilities Document (AFCD). An AFCD is normally generated by the sponsor as a result of the Air Force capability-based planning process and lays the foundation for additional anal-ysis and discovery. An AFCD captures results of the broad FAA and FNA conducted during the AF/

AFI10-601 31 JULY 2006 13

A5X led capabilities-based planning process or an internal MAJCOM/Field Operating Agency (FOA)/Direct Reporting Unit (DRU) capabilities-based planning process. In most cases, the results of the FAA/FNA will be presented to the appropriate FCB to determine joint applicability. If it is deter-mined that the FAA/FNA are not of joint interest and a JCD is not an appropriate course of action, the sponsor will proceed with the development of an AFCD if directed by A5R. An AFCD is not required prior to the development of all ICDs. Its primary purpose is to identify a broad set of Air Force capa-bilities and capability gaps/shortfalls that will require one or more FSAs. After the AFCD is validated by the AFROCC and approved by AF/A5R, the designated sponsor or sponsors develop an FSA study plan, which must be approved by the AFROCC prior to commencing the FSA. FSAs will include DOTMLPF analysis to identify one or more approaches (ICD, DCR, etc.) that may deliver the required capability.

2.2.7. Combat Capability Document (CCD). A CCD is a capabilities-based requirements document used by the Air Force in lieu of an ICD, CDD and CPD to support fielding an interim solution to a warfighter’s urgent capability needs. A CCD activates the Air Force Rapid Response Process (as per AFI 63-114, Rapid Response Process) and supports fielding a short-term solution. The Lead MAJ- COM should follow-up by processing the required JCIDS documents (ICD/CDD/CPD) for the long-term solution, sustainment activities, or to transition the CCD solution into a permanent pro-gram. CCDs are only used when other capabilities-based requirements documentation does not exist.

Attachment 3 contains instructions and criteria on the development, coordination, and approval of a

CCD.

2.2.8. AF Form 1067 Modification Proposal. An AF Form 1067 documents the submission, review, and approval of requirements for modifications to fielded Air Force systems. Chapter 8 contains instructions and criteria on the development, coordination, and approval of a Form 1067. AFI 63-1101, Modification Management, contains additional information on the modification process.

2.3. Document Development, Review and Approval. The following paragraphs describe the Air Force process for developing, coordinating, and approving JCIDS documents and the AFCD. This process complements, but does not replace, the JCIDS process established in CJCSI 3170.01 and CJCSM

3170.01. Refer to Attachment 3 for procedures on processing a CCD, Chapter 7 for DCR processes and Chapter 8 for AF Form 1067 processes.

2.3.1. Requirements Strategy Development. The Air Force process is based on development and exe-cution of a viable requirements strategy. The requirements strategy supports capability development by establishing the path and resources necessary to successfully advance through each acquisition phase and develop higher quality documents. Each strategy is tailored based on where the initiative is in the acquisition phase, and addresses strategy elements such as: joint interoperability/implications, funding, schedule, testing, sustainment, training, analysis, intelligence supportability, potential chal-lenges and constraints, etc. The sponsor develops the requirements strategy in collaboration with Air Force acquisition, test, and logistics communities, as well as other appropriate stakeholders (e.g., combatant command, FCB Working Group, Services, Office of the Secretary of Defense/Program Analysis and Evaluation [OSD/PA&E]).

2.3.2. Air Force Requirements Strategy Review (RSR). Once the strategy is developed, the sponsor conducts a RSR with AF/A5R. The RSR is mandatory for all Air Force sponsored documents. Dur-ing the RSR, AF/A5R reviews the requirements strategy, evaluates operator needs, ensures necessary Air Force/Agencies, OSD, Joint Staff and Services are involved, and provides any necessary guidance

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to support the most effective acquisition approach. The RSR should occur at least 30 days before the High Performance Team (HPT) meeting to allow for AF/A5R directed requirements strategy changes.

The RSR briefing is coordinated with an assigned AF/A5RD HPT facilitator and HQ USAF Subject Matter Expert (SME). After AF/A5R approval, AF/A5RD archives a copy of the RSR briefing and RSR minutes in the Air Force Requirements Document Library. RSR scheduling, procedures and briefing templates are located on the AF/A5RD web site at: https://www.xo.hq.af.mil/xor/xord/.

2.3.3. Air Force High Performance Team (HPT). An AF/A5RD facilitated HPT must be used to develop capabilities-based requirements documents unless waived by AF/A5R at the RSR. An HPT consists of a lead (normally the sponsor), core and support team members. During the RSR, AF/A5R approves the core team (ideally 7 - 11 members, consisting of SMEs from the Air Force, government agencies, and other Services as required). Support team membership provides “reach-back” expertise in areas not represented by the core team. The HPT accelerates the documentation process and increases the potential for a quality document. Its overarching objective is to capture, articulate, and document the operator’s requirements in minimum time, while achieving stakeholder buy-in. The HPT leverages the expertise of all stakeholders by inviting them to participate in the development of the document. The HPT lead maintains responsibility for the document throughout the review and approval process. Documents generated by an AF/A5RD-facilitated HPT are allowed to conduct simultaneous Air Force, Joint Staff, Service, and Agency coordination, whereas, non-HPT documents are staffed sequentially. HPT membership and staffing process information is located on the AF/ A5RD web site at: https://www.xo.hq.af.mil/xor/xord/.

2.3.4. Document Review. Initiation of document review is dependent on the sponsor’s requirements strategy. Once a document enters review, it follows established procedures and timelines outlined in Attachment 2 of this instruction and on the AF/A5RD web site at: https://www.xo.hq.af.mil/xor/ xord/. Note: AF/A5R has delegated Air Force Flag level review tasking authority to AF/A5RD for all JCDs, AFCDs, DCRs, ICDs, CDDs, and CPDs. To accomplish this task, AF/A5RD sub-tasks other HQ USAF organizations and directs them to execute the staffing process to obtain the HQ USAF and Secretariat positions.

2.3.5. Document Validation. The validation phase is the formal review process of a capabili-ties-based requirements document by the AFROCC or Joint Requirements Oversight Council (JROC) to confirm the capability need and operational requirement. The validation authority for an Air Force capabilities-based requirements document is based on its JPD (JROC Interest, Joint Integration, Joint Information or Independent), as illustrated in Table 2.1. The JCIDS gatekeeper assigns the JPD for all ICDs, CDDs and CPDs. All JCDs and Joint DCRs are designated JROC Interest. For additional information on JPD designations, see CJCSI 3170.01 and CJCSM 3170.01.

2.3.5.1. AFROCC Validation. The AFROCC reviews and provides Air Force validation for all Air Force sponsored DCRs, JCDs, AFCDs, ICDs, CDDs, and CPDs. AFROCC decisions and rec-ommendations are documented in an AFROCC Memorandum (AFROCCM) signed by the AFROCC Chairman or AF/A3/5. The following list depicts the Air Force capabilities-based requirements that are not validated by the AFROCC:

2.3.5.1.1. AF Form 1067, Modification Proposal.

2.3.5.1.2. Information Technology/National Security Systems (IT/NSS) Requirements Docu-ments defining Communications and Information capabilities processed IAW AFI 33-103, Requirements Development and Processing.

https://www.xo.hq.af.mil/xor/xord/ https://www.xo.hq.af.mil/xor/xord/ https://www.xo.hq.af.mil/xor/xord/

AFI10-601 31 JULY 2006 15

2.3.5.1.3. Combat Capability Documents.

2.3.5.2. JROC Validation. The JROC reviews and provides JCIDS validation for all ACAT doc-uments with a JPD of JROC Interest. JROC decisions and recommendations are documented on a JROC Memorandum (JROCM) signed by the JROC Chairman.

Table 2.1. Validation and Approval Authority.

2.3.6. Document Approval. Approval confirms the validation process is complete and provides the official sanction of the identified capability described in the document. The approval level is depen-dent upon ACAT level and JPD (Table 2.1.). Following AFROCC validation, document coversheets will be signed by the appropriate authority to designate Air Force approval.

2.3.6.1. JROC Interest Documents. Following AFROCC validation, Air Force sponsored JROC Interest documents will be simultaneously staffed for FCB review and to the appropriate Air Force authority for signature. The JROC is the final approval authority for all JROC Interest capabili-ties-based requirements documents. JROC approval is documented in a JROCM signed by the JROC Chairman.

2.3.6.2. Joint Integration, Joint Information or Independent (ACAT I). CSAF is the approval authority. AF/A5RD will staff the document to CSAF following AFROCC validation.

2.3.6.3. Joint Integration, Joint Information or Independent (ACAT II). AF/A3/5 is the approval authority. AF/A5RD will staff the document to AF/A3/5 following AFROCC validation.

2.3.6.4. Joint Integration, Joint Information or Independent (ACAT III). AF/A5R is approval authority. AF/A5RD will staff the document to AF/A5R following AFROCC validation.

2.4. Waiver Authority. AF/A5R is the waiver authority for the provisions in this instruction and will consider requests on a case-by-case basis. Waiver requests shall contain compelling justification and must be submitted through AF/A5RD.

2.5. Air Force Requirements Document Library. AF/A5RD maintains the Air Force’s Requirements Document Library. The library consists of an electronic repository for approved Air Force capabili-ties-based requirements documents and their supporting staffing documentation. After document pro-cessing is complete, AF/A5RD archives the approved document into the Air Force Requirements

JROC Interest Joint Integration Joint Information Independent

ACAT

I

ACAT

II

ACAT

III

ACAT

I

ACAT

II

ACAT

III

ACAT

I

ACAT

II

ACAT

III

Air Force Validation AFROCC AFROCC AFROCC AFROCC AFROCC AFROCC AFROCC AFROCC AFROCC

Joint Staff

Validation

JROC JROC JROC

Joint Staff

Approval

JROC JROC JROC

AF

Approval CSAF A3/5 AF/A5R CSAF A3/5 AF/A5R

16 AFI10-601 31 JULY 2006

Document Library. More information on the Air Force Requirements Library and its supporting database program is located on the AF/A5RD web site at: https://www.xo.hq.af.mil/xor/xord/.

2.6. Joint Staff JCIDS Document Publication and Archiving. All approved JCIDS documents (up to Secret), regardless of ACAT or JPD, are posted to the Knowledge Management/ Decision Support (KM/ DS) tool; an electronic staffing and repository tool for JCIDS documents. To ensure accuracy between the Air Force Requirements Document Library and KM/DS, the Air Force Document Librarian ensures documents are archived in both libraries. KM/DS is on the classified network at https:// jrockmds1.js.smil.mil/guestjrcz/gBase.homepage.

https://www.xo.hq.af.mil/xor/xord/ https://jrockmds1.js.smil.mil/guestjrcz/gBase.homepage https://jrockmds1.js.smil.mil/guestjrcz/gBase.homepage

AFI10-601 31 JULY 2006 17

Chapter 3

ROLES AND RESPONSIBILITIES

3.1. Purpose. This chapter defines the authority, roles, and responsibilities for organizations involved with defining, developing, documenting, validating, approving, and managing Air Force capabili-ties-based requirements.

3.2. Authority. The Chairman of the Joint Chiefs of Staff (CJCS) is the chairman of the JROC, and as such, is the requirements validation and approval authority for all ACAT I and JROC Interest programs.

This responsibility has been delegated to the Vice Chairman of the Joint Chiefs of Staff (VCJCS). The Deputy Chief of Staff for Air, Space and Information Operations, Plans and Requirements (AF/A3/5) is responsible for Air Force capabilities-based requirements development. The oversight for the Air Force capabilities-based requirements development process and procedures has been delegated to the Director of Operational Capability Requirements (AF/A5R).

3.3. Roles and Responsibilities. The roles and responsibilities for organizations affecting the Air Force capabilities-based requirements development process are defined in subsequent paragraphs. This list is not exhaustive. Other organizations not specified in this document may provide expertise in certain situ-ations to assist in the production of Air Force capabilities-based requirements documents.

3.3.1. Under Secretary of the Air Force (SAF/US)

3.3.1.1. Serves as the Air Force Service Acquisition Executive for space programs.

3.3.1.2. Integrate the needs and requirements of the DoD Components into space plans and major space program requirements documents. Resolve issues with the DoD Components and then sub-mit architectures and requirements to the JROC for validation. Adjudicate unresolved require-ments and interoperability issues through the JROC. Provide space plans to the JROC for information.

3.3.1.3. As appropriate, participates in HPTs to ensure capabilities-based requirements docu-ments reflect technical feasibility and conform with acquisition policies.

3.3.1.4. Prepare the annual National Security Space Plan in consultation with the Heads of DoD Components and the Deputy Director of National Intelligence for Management (DDNI/M).

3.3.2. Assistant Secretary of the Air Force, Acquisition (SAF/AQ)

3.3.2.1. Serves as the Air Force Senior Acquisition Executive for non-space programs and as the Air Force Senior Procurement Executive.

3.3.2.2. Leads, integrates and sets Acquisition policy, processes and programs across the Air Force to facilitate rapid delivery of intended capability, support and/or services to the operator.

3.3.2.3. Participates in HPTs to ensure capabilities-based requirements documents conform to acquisition policies.

3.3.2.4. Establishes a rapid response process to satisfy urgent and compelling operator needs (See AFI 63-114, Rapid Response Process).

3.3.2.5. Oversees the Air Force modification process.

18 AFI10-601 31 JULY 2006

3.3.2.6. Ensures acquisition community works collaboratively with the capabilities development community during the development of Analysis of Materiel Approaches (AMA), Analysis of Alternatives (AoA), development of Course of Action (COA), and development of all ICDs, CDDs, and CPDs. See AFI 63-101, Operations of Capabilities-Based Acquisition System.

3.3.3. Deputy Chief of Staff, Logistics, Installations & Mission Support (HQ USAF/A4/7)

3.3.3.1. Ensures capabilities-based requirements documents contain executable supportability and sustainment strategies and requirements for effective fielding.

3.3.3.2. Supports requirements strategy development and participates in HPTs to ensure logistics and sustainment issues are addressed to provide long-term viability of the capability.

3.3.3.3. Ensures Air Force Chemical, Biological, Radiological, Nuclear and high yield Explosives (CBRNE) Defense Systems concerns are addressed in all Joint Requirements Office (JRO) capa-bilities-based requirements documents and provides a copy of approved JRO capabilities-based requirements documents to HQ USAF/A5R.

3.3.3.4. Provide supportability and sustainment guidance and requirements in AFI 10-602, Deter-mining Mission Capability and Supportability Requirements.

3.3.4. Directorate of Test & Evaluation (HQ USAF/TE)

3.3.4.1. Functions as chief T&E advisor to Air Force leadership.

3.3.4.2. Supports requirements strategy development and ensures appropriate (direct and/or des-ignated) participation in HPTs to ensure capabilities-based requirements are measurable and test-able.

3.3.4.3. Supports the operational, acquisition, and sustainment communities' efforts to acquire and maintain operationally effective, suitable, and survivable systems.

3.3.4.4. Provides operational users with information needed to develop new doctrine and require-ments, and refine tactics, techniques, and procedures.

3.3.4.5. Provides feedback on test results of developmental programs to SAF/AQ/US and AF/A3/ 5 staff.

3.3.5. Office of the Secretary of the Air Force, Warfighting Integration and Chief Information Officer

(SAF/XC) (HQ USAF/A6)

3.3.5.1. Reviews and ensures enterprise and system architectures are properly addressed in capa-bilities-based requirements documents and champions architecture-based approaches to capabili-ties-based planning activities (See AFI 33-124, Enterprise Information Technology Architectures).

3.3.5.2. Responsible for Air Force Spectrum Certification Compliance for all applicable systems that require spectrum access and allocation.

3.3.5.3. Responsible for developing policy and integrating the process for Air Force Innovation activities, such as Battlelabs, ACTDs and experimentations.

3.3.5.4. Establishes policy for modeling and simulation (M&S) efforts to include those performed in support of capabilities-based requirements development and simulation-based acquisition.

AFI10-601 31 JULY 2006 19

3.3.5.5. Ensures effective and efficient information technology management as required by Con-gressional statutory and DoD regulatory requirements, e.g., the Clinger-Cohen Act and DoD 5000-series. Provides Air Force policy and guidance on ensuring approved Information Assur-ance Strategies are addressed in capabilities-based requirements documents.

3.3.5.6. Provides Air Force policy and guidance on ensuring approved Information Assurance Strategies are addressed in capabilities-based requirements development.

3.3.5.7. Serves as Air Force lead for net-centric operations implementation through policies, pro-gram oversight and resource allocation recommendations.

3.3.5.8. Supports requirements strategy development and ensures appropriate (core or support) participation in HPTs to ensure C4ISR and operational support capabilities-based requirements are architecture-based; net-centric compliant; and horizontally integrated; and provides IT life-cycle management expertise.

3.3.5.9. Responsible for developing policy and guidance for the IT Lean Reengineering process that provides an alternative method for acquiring small Information Technology programs (COTS/GOTS and enhancements). Maintains the IT Lean Community of Practice located at:

https://wwwd.my.af.mil/afknprod/ASPs/CoP/OpenCoP.asp?Filter=OO-SC-AF-47.

3.3.6. Deputy Chief of Staff for Air, Space and Information Operations, Plans and Requirements (HQ

USAF/A3/5)

3.3.6.1. Provides oversight for Air Force capabilities-based planning and requirements develop-ment processes and procedures. Delegates process authority to AF/A5X and AF/A5R, respec-tively.

3.3.6.2. Ensures Air Force doctrine guides capabilities-based requirements, policies, plans, pro-grams, and strategies.

3.3.6.3. Participates in HPTs to provide HQ USAF subject matter expertise. Can participate as HPT lead, core, or support member.

3.3.7. Assistant Chief of Staff for Intelligence (HQ USAF/A2)

3.3.7.1. Provides Air Force policy guidance on intelligence issues associated with force modern-ization-associated programs, activities, or initiatives IAW AFI 14-111, Intelligence in Force Mod-ernization.

3.3.7.2. Ensures all capabilities-based requirements documents are reviewed for accurate assess-ment of threat and documentation of intelligence supportability and infrastructure requirements.

3.3.7.3. Manages Air Force Intelligence Requirements Certification process IAW CJCSI 3170.01, CJCSM 3170.01, CJCSI 3312.01 and CJCSI 6212.01. Reviews, validates and forwards requests for Joint Military Intelligence Requirements Certification to the Director of Central Intelligence Mission Requirements Board (MRB) for approval.

3.3.8. Directorate of Operational Capability Requirements (HQ USAF/A5R)

3.3.8.1. Lead for AF/A3/5 on all Air Force capabilities-based requirements that may result in RDT&E and procurement appropriations. Provides Air Staff subject matter expertise for approved/validated capability needs resulting from capability gaps/shortfalls identified by the capabilities-based planning process.

https://wwwd.my.af.mil/afknprod/ASPs/CoP/OpenCoP.asp?Filter=OO-SC-AF-47

20 AFI10-601 31 JULY 2006

3.3.8.2. Chairs the AFROCC.

3.3.8.3. Manages the HQ USAF capabilities-based requirements processes governed by CJCSI

3170.01 and CJCSM 3170.01, which support acquisition policies described in NSS 03-01 and the DoD 5000-Series documents. Responsible for the standardization and quality of Air Force capa-bilities-based requirements processes and products.

3.3.8.4. Prepares Vice Chief of Staff of the United States Air Force (VCSAF) for JROC decision meetings. Supports JCB decision meetings and serves as the primary Air Force representative on the Joint FCBs in support of the JROC mission.

3.3.8.5. Sponsors and coordinates all Air Force ACAT I/IA and JROC Interest programs through the JROC process once the document is validated by the AFROCC.

3.3.8.6. Coordinates Air Force position for all JROCMs that are associated with capability docu-ments, regardless of Service or ACAT level.

3.3.8.7. Assists in the formal transfer of capability responsibility to SAF/AQ, SAF/US, or an HQ USAF directorate for program development and procurement.

3.3.8.8. Coordinates with other HQ USAF directorates to resolve requirements and programmatic issues for all programs, including special access programs (SAPs).

3.3.8.9. Ensures other Services’ requirements receive applicable Air Force functional review.

3.3.8.10. Coordinates all Air Force capabilities-based requirements documents with the other Ser-vices/Agencies and Joint Staff organizations.

3.3.8.11. Provides RSR oversight and approves all requirements strategies.

3.3.8.12. Maintains tasking authority to…