AFI_10-601 _Capabilities-based_Requirements_Development.pdf

BY ORDER OF THE SECRETARY

OF THE AIR FORCE

AIR FORCE INSTRUCTION 10-601

12 JULY 2010

Operations

OPERATIONAL CAPABILITY

REQUIREMENTS DEVELOPMENT

COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

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

RELEASABILITY: There are no RELEASABILITY restrictions on this publication.

OPR: AF/A5RP (Col Wayne McGee) Supersedes: AFI 10-601, 31 July 2006

Certified by: AF/A5R (Maj Gen David J. Scott)

Pages: 74

This publication implements Air Force Policy Directive (AFPD) 10-6, Capabilities-Based Planning & Requirements Development, Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 3170.01, Joint Capabilities Integration and Development System (JCIDS) and the accompanying Joint Staff (JS)/J8 JCIDS manual, and CJCSI 6212.01, Interoperability and Supportability of Information Technology and National Security Systems (IT-NSS). It establishes the guidelines, policies, and procedures for defining, developing, documenting, validating, approving, and managing Air Force operational capability requirements in support of the Defense Acquisition Management Framework. This AFI must be used with the policies in Department of Defense Directive (DoDD) 5000.01, The Defense Acquisition System, and DoD Instruction (DoDI) 5000.02, Operation of the Defense Acquisition System (collectively called the DoD 5000 series). This AFI must be used in conjunction with AFI 63-101, Acquisition and Sustainment Life Cycle Management, AFI 99-103, Capabilities-Based Test and Evaluation, AFI 10-604, Capabilities-Based Planning, and AFI 63-131, Modification Program Management.

This AFI applies to all Air Force personnel who develop, review, approve, manage, or use documents in the Air Force Operational Capability Requirements Development Process. This instruction applies to all unclassified, collateral, compartmented and special access programs.

Adherence is mandatory, except when statutory requirements, DoD, or Joint Staff directives override. Additional guidance is located through the Air Force Portal on the AF/A5RP Requirements web site at https://www.my.af.mil/gcss-af/afp40/USAF/ep/globalTab.do?command=org&channelPageId=-569424&pageId=681742 . If there is any conflicting guidance between this AFI and DoD 5000 series or CJCSI 3170.01, the DoD or CJCS guidance shall take precedence. This AFI may be supplemented at any level, but all supplements that directly implement this Instruction must be routed to AF/A5R for coordination prior to certification and approval. Refer recommended changes and questions

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about this publication to Office of Primary Responsibility (OPR) using the AF Form 847, Recommendation for Change of Publication; route AF Form 847s from the field through the appropriate functional’s chain of command Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual (AFMAN) 33-363, Management of Records, and disposed of in accordance with the Air Force Records Disposition Schedule (RDS) located at https://www.my.af.mil/afrims/afrims/afrims/rims.cfm. Additionally, if the publication generates a report(s), alert readers in a statement and cite all applicable Reports Control Numbers in accordance with AFI 33-324.

SUMMARY OF CHANGES

This document has been substantially revised and must be completely reviewed. The AFI incorporates changes necessary to align with recent updates to DoD 5000 series and CJCSI 3170 policies, and implements requirements guidance developed as a result of Air Force acquisition improvement events. Summary of major changes include: added language on requirements activities necessary to support the Materiel Development Decision (MDD); information on the expanded scope of Air Force Requirements Oversight Council (AFROC); adjustments to Urgent Operational Need (UON) language; and removal of the Joint Capabilities Document (JCD), Air Force Capabilities Document (AFCD), Air Force Combat Capability Document (CCD), and the Air Force doctrine, organization, training, materiel, leadership and education, personnel, or facilities (DOTMLPF) Change Recommendation (DCR).

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. Drivers of Air Force Operational Capability Requirements

Figure 1.1. Contributing Elements to Air Force Operational Capability Requirements

1.5. Implementation

Figure 1.2. Integration of Requirements, Acquisition, and Test and Evaluation Processes

1.6. Space-Related Operational Capability Requirements Development

1.7. Information Technology (IT) Requirements

1.8. Operational Capability Requirements Development Training

Chapter 2—OVERVIEW: AIR FORCE OPERATIONAL CAPABILITY REQUIREMENTS 11

2.1. Purpose

2.2. Operational Capability Requirements Documents

2.3. Additional Approaches to Documenting Operational Capability Requirements. .. 12

2.4. Analysis of Alternatives (AoA)

AFI 10-601 12 JULY 2010 3

2.5. Document Development, Coordination, and Approval

Table 2.1. Validation and Approval Authority

2.6. Waiver Authority

2.7. Air Force Requirements Repository

2.8. Joint Staff Requirements Document Publication and Archiving

Chapter 3—ROLES AND RESPONSIBILITIES 16

3.1. Purpose

3.2. Authority

3.3. Roles and Responsibilities

3.4. Capability Portfolio Managers (CPM)

3.5. Air Force Requirements Oversight Council (AFROC)

3.6. Functional Capabilities Boards (FCB)

3.7. Joint Capabilities Board (JCB)

3.8. Joint Requirements Oversight Council (JROC)

Chapter 4—REQUIREMENTS ACTIVITIES TO SUPPORT MATERIEL DEVELOPMENT

DECISION 27

4.1. Purpose

Figure 4.1. Activities to Support MDD

4.2. ICD

4.3. Post-ICD Activities

Chapter 5—REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE A ACQUISITION

DECISION 30

5.1. Purpose

Figure 5.1. Activities to Support Milestone A Acquisition Decision

5.2. Analysis of Alternatives (AoA)

Table 5.1. RCT Format

Chapter 6—REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE B ACQUISITION

DECISION 35

6.1. Purpose

Figure 6.1. Activities to Support Milestone B Acquisition Decision

6.2. RCT Update

6.3. Capability Development Document (CDD)

6.4. CDD Guidelines

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6.5. CDD Requirements Correlation Table (RCT)

Table 6.1. CDD KPP RCT Format

Table 6.2. CDD KSA RCT Format

Table 6.3. CDD Additional Attribute RCT Format

6.6. Changes to the CDD

Chapter 7—REQUIREMENTS ACTIVITIES TO SUPPORT MILESTONE C ACQUISITION

DECISION 40

7.1. Purpose

Figure 7.1. Activities to Support Milestone C Acquisition Decision

7.2. Capability Production Document (CPD)

7.3. CPD Guidelines

7.4. CPD Requirements Correlation Table (RCT)

Table 7.1. CPD KPP RCT Format

Table 7.2. CPD KSA RCT Format

Table 7.3. CPD Additional Attribute RCT Format

7.5. CDD in lieu of CPD

7.6. Changes to the CPD

Chapter 8—REQUIREMENTS ACTIVITIES TO SUPPORT MODIFICATIONS 44

8.1. Purpose

Figure 8.1. Activities to Support Modifications

8.2. Modifications

8.3. AF Form 1067

8.4. Net-Ready (NR) KPP

8.5. In-Production Systems

Table 8.1. Modification ($) Thresholds

8.6. Adopted Forms:

Attachment 1—GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION 47

Attachment 2—DOCUMENT REVIEW 64

Attachment 3—RESPONDING TO WARFIGHTER URGENT OPERATIONAL NEEDS 68

Attachment 4—WARFIGHTER URGENT OPERATIONAL NEEDS - RECOMMENDED

FORMAT 73

AFI 10-601 12 JULY 2010 5

Chapter 1

VISION & IMPLEMENTATION CONCEPTS

1.1. Vision. The primary intent of this instruction is to facilitate timely development and fielding of affordable and sustainable operational systems 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. These solutions must be well integrated to provide suitable, safe, and interoperable increments of capability that are affordable throughout the life cycle. The overarching strategic guidance detailed in the National Security Strategy (NSS), the National Strategy for Homeland Security, the National Defense Strategy (NDS), the National Military Strategy (NMS), the Defense Planning and Programming Guidance, the Guidance for the Employment of the Force (GEF), and the most recent Quadrennial Defense Review (QDR) lays the foundation for the Air Force’s needed capabilities. 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 development of current and future defense strategies. The Air Force must be able to integrate functions such as strategic planning, capabilities planning, early systems engineering, operational capability requirements development, acquisition, lifecycle management, and program and budget execution in order to effectively develop and field needed operational systems in a timely manner.

1.2. Joint Capabilities Integration and Development System (JCIDS). The Air Force operational capability requirements development process is closely linked and complies with its Joint overarching guidance, JCIDS, as described in CJCSI 3170.01. The JCIDS process is integrated with the acquisition process and exists to identify, develop, and validate Defense-related operational requirements. JCIDS plays a key role in identifying the capabilities required by the warfighters to support National Military Strategy and the National Strategy for Homeland Defense. JCIDS integrates with the acquisition and the planning, programming, budgeting, and execution (PPBE) processes to support improvements to existing warfighting capabilities and development of new warfighting systems. The process validates warfighting capability needs while considering the full range of materiel and non-materiel solutions. Operational 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, programming, and acquisition authorities, which requires early and continued collaboration between all communities in order for the processes to work effectively together.

1.3. Acquisition Category (ACAT) Levels. An acquisition category (potential level of investment) is assigned to all Defense Acquisition initiatives that involve the development and/or fielding of a materiel solution(s) necessary to mitigate an operational capability need. ACATs are described in DoDI 5000.02, Operation of the Defense Acquisition System. ACAT levels (ACAT I, IA, II, and III) determine the level of program oversight, aid decentralized decision making, and comply with Congressional and DoD direction. ACAT levels also provide the basis for determining the level of oversight, validation, and approval of operational capability requirements documents.

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1.4. Drivers of Air Force Operational Capability Requirements. Figure 1.1 depicts various contributing elements that identify gaps and shortfalls in operational capabilities, and influence and define Air Force operational capability requirements.

Figure 1.1. Contributing Elements to Air Force Operational Capability Requirements.

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

CRRA results inform and support independent, mission-focused capabilities-based assessments (CBA) performed by Lead Commands. Refer to AFI 10-604, Capabilities- Based Planning, for details on Air Force capabilities planning.

1.4.1.1. Capabilities-Based Assessment (CBA). The CBA forms the analytic basis for operational capability requirements development and is an integral part of the capabilities planning process. The CBA defines the capability required and any capability gaps/shortfalls identified during the conduct of the assessment. The CBA consists of the following activities: analyzing what is required for the warfighter across all functional areas to accomplish the mission (defining the capability required), comparing the capability needs to the capabilities provided by any existing or planned systems (gap analysis), and identifying associated gaps/shortfalls and/or redundancies. The final step of the CBA is to offer recommendations on whether the gaps/shortfalls can be addressed by non-materiel means, materiel means, or both. Results of the CBA are documented in one of two documents; a Joint doctrine, organization, training, materiel, leadership and education, personnel, or facilities (DOTMLPF) Change Recommendation (DCR) or an Initial Capabilities Document (ICD). The Air Force capability portfolio manager (CPM) works with the sponsor to develop, balance, and prioritize CBA results within their respective portfolios. Additional details on the CBA are provided in the JS/J8 JCIDS Manual, the JS/J8 CBA User’s Guide, and in the Air Force Materiel Command (AFMC)/Office of Aerospace Studies (OAS) CBA Handbook located at http://www.oas.kirtland.af.mil/.

1.4.2. Top-Down Direction. Higher authority may direct a sponsor to initiate the development and fielding of an operational system to a warfighter need . 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 sponsor is still responsible for conducting appropriate supporting analysis and producing the

AFI 10-601 12 JULY 2010 7

necessary operational capability requirements documents to support development and/or fielding and sustainment of an operational system.

1.4.3. Combatant Commander Needs. A combatant commander’s need may identify a capability gap/shortfall (perhaps identified in their integrated priority list (IPL)) that may be satisfied through two options: the normal acquisition process or the Rapid Response Process (RRP), as described in AFI 63-114, Rapid Response Process, and Attachment 3. Normal acquisition of combatant commander’s needs will require a Service Component sponsor who is responsible for conducting appropriate supporting analysis and producing the necessary operational capability requirements documents.

1.4.4. Technology Transition Activities. Technology transition plays a crucial role in providing warfighters with superior operational systems, built on mature and affordable technologies. Current sources for capitalizing on technology transition are advanced technology demonstrations (ATD), Joint capability technology demonstrations (JCTD), experiments, operational exercises, wargames, DoD and Air Force laboratory 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 operational capability requirements document to facilitate technology transition.

1.4.5. Lessons Learned. A key method to achieve transformation of the Joint force is by producing compelling recommendations based on direct observations and sound analysis of current Joint operations, exercises and experiments. These recommendations (lessons) are derived from the full range of Joint activities and operations collected at the strategic, operational, and tactical level. Lessons assist senior leaders in making changes to DOTMLPF capabilities and guide associated programming, budgeting, and resourcing activities. To improve Joint capabilities and readiness, commanders may submit analytical observations directly to the Joint Lessons Learned Program (JLLP), as described in CJCSI 3150.25, Joint Lessons Learned Program, and/or to the Air Force Lessons Learned Program (AFL2P), as described in AFI 90-1601, Air Force Lessons Learned Program.

1.5. Implementation. 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 maintained. For a materiel solution, fielding an operational system starts with sound strategies for concept refinement, requirements development, acquisition and sustainment life cycle management, and test and evaluation (T&E). To be viable, these strategies must be developed in concert and require early and ongoing collaboration among operators, developers, programmers, systems engineers, acquirers, testers, sustainers, and intelligence 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. Expanding upon the collaborative effort, there are three mutually supporting Air Force processes that facilitate the development and sustainment of operational systems: operational capability requirements development as described in this instruction; operational capability acquisition and sustainment as described in AFI 63-101, Acquisition and Sustainment Life Cycle Management; and integrated operational testing as described in AFI 99-103, Capabilities-Based Test and Evaluation. These processes are interdependent and require collaboration to rapidly deliver new operational systems to the warfighter. 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

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processes in relation to the overarching DoDI 5000.02 acquisition framework. Initiative specifics (i.e., potential ACAT level, joint potential designator (JPD), etc.) will determine which steps are executed within each process.

Figure 1.2. Integration of Requirements, Acquisition, and Test and Evaluation Processes.

1.5.1. Acquisition and Sustainment Life Cycle Management. The primary goal of the acquisition system is to rapidly deliver affordable and sustainable operational systems that meet the warfighter’s needs. To achieve this goal, all stakeholders must collaborate in planning and execution activities that lead to developing, fielding, and sustaining new operational systems. After required capabilities and performance attributes are defined and approved, they are used to guide development, test and evaluation, production, procurement, deployment, sustainment, and disposal of the new operational system. Working with the operator, the acquirer builds an acquisition strategy that balances cost, schedule, and performance (operations and sustainment) in response to approved operational capability requirements documents. The acquisition strategy and the requirements strategy must align.

Typical strategies take one of two forms (evolutionary acquisition (EA) or single step) and should be integrated with the requirements strategy through early collaborative development planning. Refer to AFI 63-101, Acquisition and Sustainment Life Cycle, for additional details.

1.5.1.1. Evolutionary Acquisition (EA). EA is the DoD and AF preferred acquisition strategy for rapidly delivering needed capabilities to the warfighter based on the maturation of technologies. The success of the EA strategy depends on consistent and repeated validation of operational capability requirements, stated in increments of

AFI 10-601 12 JULY 2010 9

increasing capability. The objective is to balance needs and potential capabilities with resources and to quickly put supportable operational systems into the hands of the operator. During all phases of EA, sustainment elements must be considered and included in acquisition planning in order to sustain the system cost effectively. Each capability increment may require a separate set of operational capability requirements documents.

1.5.1.2. Single Step to Full Capability. When an acquisition program can achieve operator capability requirements within a single increment, such as with highly mature technology and/or off-the-shelf solutions, the acquirer may opt for a single-step strategy.

1.5.2. Integrated Test and Evaluation (T&E). The overarching functions of T&E are to determine the operational capabilities and limitations of systems, to reduce risks, and to identify and help resolve deficiencies 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. Refer to AFI 99-103, Capabilities-Based Test and Evaluation, for additional details.

1.6. Space-Related Operational Capability Requirements Development.

1.6.1. Space-Related Operational Capability Requirements Development Policy. Space systems acquisitions are governed by DoDI 5000.02, and development of space-related operational capability requirements will follow guidance in CJCSI 3170.01. However, subtle differences in how space systems are developed and acquired necessitate some unique activities in operational capability requirements development. Space systems (e.g., satellites and boosters) are normally high-cost, small-quantity acquisitions purchased without the benefit of full-scale prototyping. Further, once launched, space assets do not lend themselves to major modification and upgrade. As such, developing the requisite operational requirements documentation requires additional rigor to ensure the system that is produced and launched provides the desired capability for the current increment.

1.6.2. Operational Capability Requirements Documents and Acquisition Milestones.

Operational capability requirements documents for space-related programs are the same as any other program, but may undergo additional iterations. As with all programs, a Capability Development Document (CDD) is required prior to a MS B decision. However, additional refinement of system requirements during preliminary design and the subsequent engineering and manufacturing development phase may result in a second iteration of the CDD for Air Force Requirements Oversight Council (AFROC) validation and/or Joint Requirements Oversight Council (JROC) approval prior to MS C. This will precede development of the Capability Production Document (CPD), which will be the final requirements document prior to a build approval decision (analogous to the low-rate initial production (LRIP) decision for non-space production efforts).

1.7. Information Technology (IT) Requirements. The JROC recognizes IT initiatives are dynamic in nature, often supported by quickly emerging technologies. In recognition of this, CJCSI 3170.01 implements several approaches to developing IT requirements, each allowing for flexibility and providing the planning necessary to incorporate evolving technologies throughout the life cycle of the program. For additional information on IT operational capability requirements development, see CJCSI 3170.01 and the AF/A5RP requirements web site.

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1.8. Operational Capability Requirements Development Training. There are two levels of operational requirements training: Office of the Secretary of Defense (OSD)/Joint Staff and Air Force.

1.8.1. OSD/Joint Training. The OSD/Joint-level Requirements Management Certification Training (RMCT) provides key operational requirements personnel an end-to-end perspective of operational capability requirements development, highlighting the intersection between acquisition, resources, and operational requirements. Training is provided by the Defense Acquisition University (DAU) and is congressionally mandated for all DoD personnel involved in operational capability requirements development, staffing, validation, and approval. Additional information on policy, classes, and certification responsibilities is located on the AF/A5RP Requirements web site.

1.8.2. Air Force Training. Air Force operational capability requirements training is designed for Major Command (MAJCOM), Field Operating Agency (FOA), Direct Reporting Unit (DRU), and Headquarters Air Force (HAF) action officers responsible for developing and/or reviewing operational capability requirements documents. Training focuses on Air Force implementation of the operational capability requirements development process and is hands-on, experienced-based classroom and one-on-one instruction taught around the country. The Air Force Institute of Technology (AFIT) and AF/A5R conduct Air Force training. Additional information on classes, schedules, and registration is located on the AF/A5RP Requirements web site.

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Chapter 2

OVERVIEW: AIR FORCE OPERATIONAL CAPABILITY REQUIREMENTS

2.1. Purpose. This chapter details the Air Force operational capability requirements development process and provides guidance for Air Force requirements strategy, document preparation, validation, approval, and archiving. With the exception of the Joint DCR, operational capability requirements documents are developed to support acquisition activity for operational materiel solutions as depicted in Figure 1.2 Within the Air Force, the Lead Command responsible for a capability or mission (referred to as the sponsor) normally develops requirements documents. In most cases, the sponsor, in coordination with the respective CPM, determines when a specific requirements document is needed. However, the Office of the Secretary of Defense (OSD), the Joint Staff, or the AFROC may also direct development of an operational capability requirements document. This tasking will be directed to the appropriate Air Force sponsor.

2.2. Operational Capability Requirements Documents. CJCSI 3170.01 directs the use of four types of documents for operational capability requirements: the Joint DOTMLPF Change Recommendation (DCR), the Initial Capabilities Document (ICD), the Capability Development Document (CDD), and the Capability Production Document (CPD). Refer to CJCSI 3170.01 for specific details on the use, content, and format of operational capability requirements documents.

2.2.1. Joint DOTMLPF Change Recommendation (DCR). In cases where a Joint non-materiel solution(s) is recommended, or a Joint non-materiel solution can be implemented independent of proposed materiel needs, a joint doctrine, training, materiel, leadership and education, personnel, or facilities change recommendation (Joint DCR) is produced. A Joint DCR may be developed based on analysis provided in a CBA, an ICD, or other sources, such as results of an experiment, lessons learned, etc. All Air Force-led Joint DCRs are validated by the AFROC prior to Functional Capabilities Board (FCB) submittal. The JROC is final approval authority for all Joint DCRs. Refer to CJCSI 3170.01 for specific guidance on Joint DCRs.

2.2.2. Initial Capabilities Document (ICD). In cases where an operational materiel solution is necessary, the operational capability requirements development process begins with the development of the ICD. An ICD articulates the requirement for a materiel solution (or in some cases, a materiel and non-materiel combination) to resolve a specific capability gap/shortfall or a set of capability gaps/shortfalls for a given timeframe identified as the result of a capabilities-based assessment (CBA). The follow-on to an ICD could be one or more CDDs. Refer to CJCSI 3170.01 for specific information on CBAs and ICDs.

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(s) of militarily useful, logistically supportable, and technically mature capability. Refer to CJCSI 3170.01 for specific information on CDDs.

2.2.4. Capability Production Document (CPD). The CPD captures the information necessary to support production, testing, and deployment of an affordable and supportable increment within an acquisition strategy. Refer to CJCSI 3170.01 for specific information on CPDs.

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2.3. Additional Approaches to Documenting Operational Capability Requirements. The Air Force has established two additional means to document operational capability requirements in support of specific operational acquisition activities. They are the initial requirements correlation table (RCT) contained in the analysis of alternatives (AoA) final report and the Air Force Form 1067.

2.3.1. Requirements Correlation Table (RCT). The RCT is a formatted summary of required operational characteristics, including threshold values for minimum performance characteristics, and if absolutely necessary, objective values, within the AoA final report, and CDD/CPD text. It assists operational and system requirements traceability and supports the development of follow-on requirements and acquisition documents. An initial RCT is created to summarize key capabilities that require further development during the Technology Development phase and is inserted into the AoA final report (see paragraph 5.2.5).

2.3.2. AF Form 1067 Modification Proposal. An AF Form 1067 documents the submission, review, and approval of requirements for modifications to fielded Air Force systems. Refer to Chapter 8 for instruction and criteria on the development, coordination, and approval of an Air Force Form 1067. Refer to AFI 63-131, Modification Program Management, for additional guidance on the Air Force modification process.

2.4. Analysis of Alternatives (AoA). An AoA is an analytical comparison of proposed materiel solutions to gaps/shortfalls in operational capability, which helps in identifying the solution that best balances cost, effectiveness, and risk. AoAs provide comparative cost, effectiveness, and risk assessments of proposed alternatives against a baseline, typically the current operating system. Information regarding formats, timelines, and support is available in the Road to Materiel Development Decision (MDD) and AoA Handbooks on the AFMC/OAS web site located at http://www.oas.kirtland.af.mil.

2.5. Document Development, Coordination, and Approval. The following paragraphs describe the Air Force process for developing, coordinating, and approving operational capability requirements documents. This process complements, but does not replace, the JCIDS process established in CJCSI 3170.01.

2.5.1. Requirements Strategy Development. Effective and timely delivery of required capability is predicated on the Air Force operational capability requirements development process and based on the formulation and execution of a viable requirements strategy. The requirements strategy establishes the path necessary to develop a quality operational requirements document that is capable of guiding future capability development activities.

Each strategy is tailored to the acquisition phase, and addresses strategy elements such as:

Joint interoperability/Joint implications, evolutionary acquisition, funding, schedule, testing, sustainment, training, analysis, intelligence support, potential challenges and constraints, etc.

The sponsor develops the requirements strategy in collaboration with Air Force operator, systems engineer, acquisition, test, intelligence, and logistics communities, as well as other appropriate stakeholders (e.g., CPM, combatant commanders, FCB Working Group, Partner Nations, other Services and Agencies).

2.5.2. Air Force Requirements Strategy Review (RSR). AF/A5R convenes an RSR to provide guidance and approval for a sponsor’s requirements strategy prior to convening a high performance team (HPT). The RSR is mandatory for all Air Force-sponsored ICDs, AFI 10-601 12 JULY 2010 13

CDDs, CPDs, and Joint DCRs. During the RSR, AF/A5R reviews the requirements strategy;

evaluates operator needs and required capabilities; examines all key performance parameters (KPPs) and, if necessary, select key system attributes (KSAs); ensures necessary involvement from Air Force organizations, agencies, OSD, Joint Staff and other Services;

approves the HPT core team; and provides any necessary guidance to support the most effective acquisition approach. The RSR should occur at least 30 days before the HPT convenes, to allow for AF/A5R-directed requirements strategy changes. The RSR briefing is coordinated with an assigned AF/A5RP HPT facilitator and HAF subject matter expert (SME). After AF/A5R approval, AF/A5RP archives a copy of the RSR briefing and RSR minutes in the Information & Resource Support System (IRSS). RSR scheduling, membership, procedures, and briefing templates are located on the AF/A5RP Requirements web site.

2.5.3. Air Force Requirements Development High Performance Team (HPT). The sponsor-led, AF/A5R-facilitated HPT captures, articulates, and documents the operator’s requirements in minimum time, while achieving stakeholder buy-in. Ideally, the HPT will consist of 7-11 core participants, which includes a lead (the sponsor, during a requirements development HPT), a facilitator, Air Force SMEs (i.e., operators, systems engineers, acquirers, testers, logisticians, intelligence support managers, etc.), government agencies and other Services (as required), and support team members (not physically present but available via phone or e-mail for reach back). The HPT accelerates the documentation process;

improves the quality of the requirements document; and can provide an enduring forum for developing, fielding, and sustaining operational systems. The HPT lead maintains responsibility for the document throughout the review and approval process. An AF/A5RP-facilitated HPT must be used to develop an operational capability requirements document unless waived by AF/A5R at the RSR. HPT membership and staffing process information is located on the AF/A5RP web site.

2.5.4. Document Review. Following the HPT, the sponsor submits the document via IRSS for simultaneous O-6 level Air Force and Joint staffing, in accordance with Attachment 2 of this instruction. Additional information can be found on the AF/A5RP Requirements web site.

2.5.5. Lead Command Submittal of Air Force Requirements Documents. Following document review, the sponsor submits the document for AFROC validation, accompanied by a transmittal letter signed by the MAJCOM/DRU/FOA Commander (CC) for potential ACAT I documents, Vice Commander (CV) for potential ACAT II documents, or Director of Requirements for potential ACAT III documents, signifying their approval, as illustrated in Table 2.1 Additional information can be found on the AF/A5RP Requirements web site.

2.5.6. Document Validation. The validation phase is the formal review process of an operational capability requirements document to confirm capability needs and operational requirements. The validation authority for an Air Force operational capability requirements document is based on its JPD (JROC Interest, Joint Capabilities Board (JCB) Interest, Joint Integration, Joint Information or Independent), as illustrated in Table 2.1 The JS/J8 Gatekeeper assigns the JPD for all ICDs, CDDs, CPDs, and Joint DCRs when the documents are entered into formal Joint Staff coordination. For specific information on JPD designations, see CJCSI 3170.01.

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2.5.6.1. Air Force Validation. The AFROC reviews and provides Air Force validation for all Air Force-sponsored ICDs, CDDs, CPDs, and Joint DCRs. AFROC decisions and recommendations are documented in an AFROC Memorandum (AFROCM), approved and signed by the VCSAF (or designated representative). Additional information can be found on the AF/A5RP Requirements web site.

2.5.6.2. Joint Validation.

2.5.6.2.1. JCB Validation. The JCB validates all operational capability documents with a JPD of JCB Interest. JCB decisions and recommendations are documented on a JROC Memorandum (JROCM) signed by the JCB Chairman.

2.5.6.2.2. JROC Validation. The JROC validates all operational capability documents with a JPD of JROC Interest. The JROC may request any document, regardless of the assigned JPD, be briefed to the JROC when significant unresolved issues exist. JROC decisions and recommendations are documented on a JROCM signed by the JROC Chairman.

Table 2.1. Validation and Approval Authority.

JROC Interest JCB Interest Joint Integration, Joint

Information, & Independent

ACAT

I

ACAT

II

ACAT

III

ACAT

II

ACAT

III

ACAT

II

ACAT

III

Lead Command Approval CC CV Director of

Requirements CV Director of Requirements CV Director of

Requirements Air Force Validation AFROC AFROC AFROC AFROC AFROC AFROC AFROC

Joint Validation JROC JROC JROC JCB JCB — —

Final Approval JROC JROC JROC JCB JCB VCSAF VCSAF

AF Document Signature CSAF VCSAF VCSAF VCSAF VCSAF VCSAF VCSAF

2.5.7. Document Approval. Approval confirms the validation process is complete and provides the official Joint or Air Force senior leadership sanction of the identified capability described in the document. The approval level and signature level is dependent upon the potential ACAT level and JPD, as illustrated in Table 2.1

2.5.7.1. JROC Interest Documents. Following AFROC validation (documented in a signed AFROCM), Air Force-sponsored JROC Interest documents will be staffed for FCB review. The JROC is the final validation and approval authority for all JROC Interest operational capability requirements documents. JROC approval is documented in a JROCM signed by the JROC Chairman. Once the document receives JROC approval, the document will be staffed by the assigned Headquarters, Air Force (HAF) SME to the appropriate Air Force authority for signature.

2.5.7.2. JCB Interest (ACAT II/III). Following AFROC validation (documented in a signed AFROCM), Air Force-sponsored JCB Interest documents will be staffed for FCB review. The JCB is the final validation and approval authority for all JCB Interest operational capability requirements documents. The assigned HAF SME will staff the

AFI 10-601 12 JULY 2010 15

document to VCSAF (or designated representative) for signature following JCB approval.

2.5.7.3. Joint Integration, Joint Information or Independent (ACAT II/III). VCSAF (or designated representative) is the final approval authority. The assigned HAF SME will staff the document to VCSAF (or designated representative) for signature following AFROC validation.

2.6. Waiver Authority. AF/A5R is the waiver authority for the provisions in this instruction.

Waiver requests shall contain compelling justification and must be submitted formally through

AF/A5RP.

2.7. Air Force Requirements Repository. All Air Force-sponsored operational capability requirements documents and AoA/analysis results (up to Secret), regardless of ACAT or JPD, are posted in IRSS, an electronic staffing and repository tool for Air Force operational capability requirements. Additional information on IRSS is available on the AF/A5RP Requirements web site.

2.8. Joint Staff Requirements Document Publication and Archiving. All approved operational capability requirements documents (up to Secret), regardless of ACAT, JPD, or Service, are posted to the Knowledge Management/Decision Support (KM/DS) tool, a Joint electronic staffing and repository tool for operational capability requirements. To ensure accuracy between IRSS and KM/DS, AF/A5RP ensures copies of approved documents are archived in both repositories. KM/DS is on the Secret-level classified network at https://jrockmds1.js.smil.mil/guestjrcz/gBase.homepage

16 AFI 10-601 12 JULY 2010

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 operational capability 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 JROC Interest programs. This responsibility has been delegated to the Vice Chairman of the Joint Chiefs of Staff (VCJCS). The Air Force Deputy Chief of Staff for Operations, Plans and Requirements (AF/A3/5) is responsible for Air Force operational capability requirements development. The oversight for the Air Force operational capability 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 operational capability 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 situations to assist in the production of Air Force operational capability requirements documents.

3.3.1. Deputy Chief of Staff for Operations, Plans and Requirements (AF/A3/5):

3.3.1.1. Provides oversight for Air Force operational capability planning and requirements development processes and procedures. Delegates process authority to AF/A5X and AF/A5R, respectively.

3.3.1.2. Ensures Air Force doctrine guides operational capability requirements, policies, plans, programs, and strategies.

3.3.1.3. Provides core/support HPT members as appropriate for operational capability requirements document development.

3.3.2. Directorate of Operational Capability Requirements (AF/A5R):

3.3.2.1. Lead for AF/A3/5 on all Air Force operational capability requirements. Provides HAF subject matter expertise for validated/approved operational capability requirements resulting from capability gaps/shortfalls as identified by the capabilities planning process.

Responsible for the standardization and quality of Air Force operational capability requirements processes and products.

3.3.2.2. Chairs the AFROC.

3.3.2.3. Prepares Vice Chief of Staff of the United States Air Force (VCSAF) for JROC meetings.

3.3.2.4. Provides Air Force JCB Chair, and normally Air Force Chairs for FCBs and action officers for FCB working groups in support of the JROC mission.

3.3.2.5. Facilitates and coordinates all Air Force ACAT I, JROC Interest, and JCB Interest programs through the JCIDS process once AFROCM is signed.

AFI 10-601 12 JULY 2010 17

3.3.2.6. Tracks all associated Air Force JROCM action items.

3.3.2.7. Coordinates Air Force position for all JROCMs, regardless of Service or ACAT level, and prepares and staffs JROCM packages to the VCSAF for signature.

3.3.2.8. Coordinates with other HAF directorates to resolve requirements, acquisition, and programmatic issues for all programs, including special access programs (SAP).

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

3.3.2.10. Coordinates with document sponsor in requirements strategy development.

3.3.2.11. Chairs RSR and approves all requirements strategies.

3.3.2.12. Exercises VCSAF tasking authority to instruct responsible organizations within the HAF, MAJCOMs, and Agencies to review and staff operational capability requirements documents and comment resolution matrices (CRM).

3.3.2.13. Facilitates the HPT process, approves HPT membership, and provides HPT lead and participant HPT orientation.

3.3.2.14. Reviews and facilitates staffing and coordination for all operational capability requirements documents.

3.3.2.15. Reviews capabilities analysis to ensure studies are operationally relevant.

3.3.3. Directorate of Operational Planning, Policy, and Strategy (AF/A5X):

3.3.3.1. Conducts Air Force operational capabilities planning activities, via the Capabilities Review and Risk Assessment (CRRA), to identify AF capability gaps/shortfalls and overlap, in accordance with AFI 10-604.

3.3.3.2. Presents CRRA findings to AFROC, recommends Lead Command sponsorship of individual findings, and tracks subsequent sponsor responses.

3.3.3.3. Develops and maintains Air Force Operational Concepts, aligned with the Joint Operations Concepts (JOpsC), describing capabilities required to support joint warfighting effects.

3.3.3.4. Supports future Air Force capabilities development through exploration of concepts and capabilities in wargames.

3.3.3.5. Provides support HPT members, as appropriate, for operational capability requirements document development.

3.3.3.6. Ensures Air Force Counter- chemical, biological, radiological, and nuclear (CBRN) concerns are appropriate and accurate in all Air Force and Joint operational capability documents.

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

3.3.4.1. When delegated, serves as the Air Force Service Acquisition Executive (SAE) for space programs.

3.3.4.2. Integrates the needs and requirements of the DoD Components into space plans and major space program requirements documents. Resolves issues with the DoD

18 AFI 10-601 12 JULY 2010

components, then submits architectures and requirements to the JROC for validation.

Adjudicates unresolved requirements and interoperability issues through the JROC.

Provides space plans to the JROC for information.

3.3.4.3. Provides core/support HPT members as appropriate to ensure operational capability requirements documents reflect technical feasibility and conform with acquisition policies.

3.3.4.4. When delegated as the SAE for Space acquisition, certifies (with the implementing command) to SECAF space system requirements as described in the ACAT I and non-delegated ACAT II CDDs: 1) can be translated for evaluation in a source selection in a clear and unambiguous way; 2) are prioritized (if appropriate); and

3) are organized into feasible increments of capability. Certification occurs concurrent with presentation to the AFROC.

3.3.4.5. Prepares 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).

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

3.3.5.1. Serves as the Air Force SAE for non-space programs and as the Air Force Senior Procurement Executive.

3.3.5.2. 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.

3.3.5.3. Provides core/support HPT members as appropriate to ensure operational capability requirements documents conform to acquisition policies.

3.3.5.4. When delegated as the SAE for non-Space acquisition, certifies (with the implementing command) to SECAF non-Space system requirements as described in the ACAT I and non-delegated ACAT II CDDs: 1) can be translated for evaluation in a source selection in a clear and unambiguous way; 2) are prioritized (if appropriate); and

3) are organized into feasible increments of capability. Certification occurs concurrent with presentation to the AFROC.

3.3.5.5. Establishes a rapid response process to satisfy urgent and compelling operator needs, as described in AFI 63-114.

3.3.5.6. Oversees the Air Force modification process (see Chapter 8 and AFI 63-131).

3.3.5.7. Ensures the acquisition community works collaboratively with the requirements community beginning with the CBA and continuing through development and review of materiel concepts, AoAs, courses of action (COA), ICDs, CDDs, CPDs, and Joint DCRs.

See AFI 63-101, Acquisition and Sustainment Life Cycle Management.

3.3.5.8. Ensures all operational capability requirements documents are reviewed for technical sufficiency with respect to the systems engineering elements (e.g., operational safety, suitability, and effectiveness; environment, safety, and occupational health;

human systems integration; maintenance/sustaining engineering; product and system integrity; and software engineering).

AFI 10-601 12 JULY 2010 19

3.3.6. Office of the Secretary of the Air Force, Warfighting Integration and Chief Information Officer (SAF/CIO A6):

3.3.6.1. Advocates for and ensures all elements of the Net Ready-KPP (IAW CJCSI 6212.01) are properly addressed in operational capability requirements documents.

3.3.6.2. Responsible for developing policy and advocating for warfighter integration, in activities such as: ATDs, modeling and simulation efforts, experimentations, and exercises.

3.3.6.3. Ensures effective and efficient IT management as required by Congressional statutory and DoD regulatory requirements (e.g., the Clinger-Cohen Act and DoD 5000 series).

3.3.6.4. Serves as Air Force lead for cyber-space operations policies, program oversight and resource allocation recommendations.

3.3.6.5. Provides core/support HPT members, as appropriate, for operational capability requirements document development.

3.3.7. Deputy Chief of Staff for Intelligence, Surveillance and Reconnaissance (AF/A2):

3.3.7.1. Provides Air Force policy guidance on intelligence issues associated with force modernization-associated programs, activities, or initiatives in accordance with AFI 14- 111, Intelligence in Force Modernization.

3.3.7.2. Ensures all operational capability requirements documents are reviewed for accurate assessment of threat and documentation of intelligence supportability and infrastructure requirements; includes responsibility to ensure asymmetric threat environment pertinent to mandatory survivability and force protection KPPs is properly defined.

3.3.7.3. Manages Air Force Intelligence Requirements Certification process IAW CJCSI 3170.01, CJCSI 3312.01 and CJCSI 6212.01. Reviews, validates, and forwards requests for Joint Military Intelligence Requirements Certification to the JS/J2.

3.3.7.4. Provides core/support HPT members as appropriate for operational capability requirements document development.

3.3.7.5. Identifies Intelligence, Surveillance, and Reconnaissance (ISR) needs and gaps across air, space, and cyberspace mission areas and supports development of proposed operational solutions.

3.3.7.6. Guides Air Force mid and long-range ISR operational capability and requirements development and leads end-to-end capability…