> ![](media/image1.wmf){width="2.3680555555555554in"
> height="2.2958333333333334in"}
>
> **DRAFT**
>
> **VERSION 0.1**
>
> **April 10, 1998**
>
> **ATS Requirements Development and Investment Analysis**
>
> Standard Operating Procedures

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  **REVISION**     **DATE**   **DESCRIPTION**
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  Version 0.1      04/10/98   Baseline document, for internal ARS review.

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              

                              
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**PREFACE**

The ATS Requirements Development and Investment Analysis Standard
Operating Procedures (SOP) were developed to provide consistency in
executing ATS Investment Analysis. These procedures, developed from
interviews with subject matter experts throughout the FAA, represent the
foundation for the methodologies and competencies required to develop
program requirements and conduct investment analyses. Several components
of these SOPs are untried and will be improved based upon the
experiences and feedback of the ARS Requirements Development Directorate
(ARR) specialists and customers. Although these SOPs represent a
significant step forward in conducting sound Investment Analysis, they
are only the first of several iterations of the ATS Requirements
Development and Investment Analysis process. The success of the ATS
Requirements Development and Investment Analysis is dependent on the
people, processes and information resources used to accomplish its goals
and objectives.

ARR-100 (Requirements Development and Investment Analysis Division)
specialists play a critical role in executing and refining the ATS
Investment Analysis process. These specialists are accountable for
understanding the methodologies, assumptions, data sources and
conclusions of the analyses. They are expected to brief senior FAA
executive decision-makers on their conclusions about specific investment
analysis outcomes, requirements trade-offs and potential offsets in ATS
priorities. In addition, specialists are expected to provide feedback to
their management on the effectiveness of specific activities in order to
continue to improve the effectiveness and efficiency of the ATS
Requirements Development and Investment Analysis process.

Developing partnerships with the operating organizations, Air Traffic
Service (AAT) and Airway Facilities Services (AAF), is as important as
any of ARR's internal initiatives. The participation of ATS functional
organizations and their commitment to the ATS requirements management
process are essential to the Investment Analysis process. ARR
specialists and their Integrated Requirement Team (IRT) members must
develop a common understanding of both technical and programmatic issues
associated with requirements development and investment analysis. This
is necessary for the specialist to manage meaningful analysis and to be
an effective advocate for the operating organizations.

Although these SOPs comply with the FAA Acquisition Management System,
several concepts in this first version require further analysis and
clarification.

Investment Analysis will be measured and improved through employee
involvement, customer feedback and the analysis of process metrics.
These SOPs will be revised to incorporate lessons learned from those who
use, execute, and manage the ATS Requirements Development and Investment
Analysis process.

We welcome your comments.

**TABLE OF CONTENTS**

1\. ATS REQUIREMENTS MANAGEMENT DURING INVESTMENT ANALYSIS

1.1 PURPOSE
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1.2 BACKGROUND
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1.3 PROCESS
OVERVIEW**\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....**

2\. PROCESS DESCRIPTIONS
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2.1 PREPARE INITIAL RQUIREMENT DOCUMENT
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2.2 SUPPORT IDENTIFICATION OF ALTERNATIVES
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2.3 *SUPPORT ANALYSIS OF ALTERNATIVES*
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27

*2.4 OBTAIN INVESTMENT DETERMINATION*
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34

*2.5 ASSESS REQUIREMENT TRADE-OFFS*
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44

*2.6 RESOLVE ATS REQUIREMENT ISSUES*
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*2.7 TRACE ATS REQUIREMENTS*
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# ATS REQUIREMENTS MANAGEMENT DURING INVESTMENT ANALYSIS

## PURPOSE

The purpose of this document is to describe the specific processes,
activities and steps involved in accomplishing the ATS Requirements
Management function and other related ATS responsibilities during
investment analysis.

##  BACKGROUND

The Air Traffic System Requirements Service (ARS) is a consolidated
customer and user focused organization that develops comprehensive
National Airspace System (NAS) requirements and manages a disciplined
process to fulfill the operational needs of Air Traffic Services (ATS).
This process supports both the strategic and tactical needs of ATS. ARS
accomplishes its mission by collecting, validating, translating and
advocating requirements that ensure operationally effective solutions.

ARS executes the ATS Requirements Management function with the following
principles as guidelines:

-   *Focus on Customers and Users*

The external input from the operational environment is a key input to
the activities and decisions made by ARS personnel. ARS personnel act as
the advocate for customers and users. In this role, they ensure the
integrity of requirements throughout the acquisition process and work to
optimize the solution in light of budgetary and schedule constraints

-   *Foster Open Communications*

    Open and honest communications are the key to a successful
    acquisition process. ARS personnel will maintain open communications
    with team members, including union and field personnel, in order to
    develop a common understanding about technical issues and program
    status.

-   *Promote and Obtain Customer and User Input throughout the Process*

    ARS personnel will actively involve representatives from ATS
    functional organizations at critical review and decision points
    throughout the requirements and acquisition process to ensure that
    operational scenarios have been considered and to facilitate
    acceptance of deployed products. The forum for involving
    stakeholders in investment analysis is the Integrated Requirements
    Team (IRT) which includes representatives from ATS functional
    organizations.

-   *Promote Effective and Efficient Operating Procedures*

    ARS representatives will actively define and critique work processes
    as a means of improving the effectiveness and efficiency of their
    activities. Activities and accomplishments of the ARS personnel will
    be reviewed against specific process metrics in order to highlight
    process areas requiring improvement.

-   *Solicit Customer and User Feedback*

    Feedback regarding the success of ARS activities, from the
    perspective of the operational customer and user, will be actively
    solicited and used as a key input to the definition and refinement
    of work activities. The feedback mechanisms developed by ARS-l will
    include a "report card" concept so that customers and users receive
    information on the status of their comments and recommendations.

##  PROCESS OVERVIEW

The FAA Acquisition Management System (AMS) identifies three phases in
acquisition management. ATS requirements management during the first
phase, Mission Needs Analysis, is led by the Plans and Performance
Directorate (ARX). During the Investment Analysis phase, the ATS
requirements management function is led by the Requirements Development
and Investment Analysis Division (ARR-100). During Solution
Implementation, leadership of the ATS requirements management function
is provided by either ARN, ARU, or ARW.

During Investment Analysis, ARR-100:

-   Manages the development of the Requirements Document (RD) by
    "harvesting" high level requirements from the ATS functional
    organizations through members of the IRT. The RD evolves from a set
    of high level initial requirements as the basis for identifying
    candidate solutions to a final RD with a more comprehensive set of
    requirements which enable cost analysis within 10% of actual cost.

-   Assigns personnel to participate on Investment Analysis Teams (IAT).
    IATs are normally established by Office of System Architecture and
    Investment Analysis (ASD).

-   Coordinates ATS participation on the IAT by identifying ATS subject
    matter experts (SMEs) relevant to the mission need under analysis
    and coordinating SME assignments with ATS functional organizations.

-   Coordinates with ARR-200 (Financial Services Division) to complete
    affordability assessments of candidate solutions.

-   Coordinates analysis of requirement trade-offs based on technical,
    schedule and cost analyses performed during assessment of
    alternative solutions.

-   Traces the ATS requirements throughout the investment analysis
    phase.

-   Manages the resolution of ATS requirements issues which arise during
    the investment analysis phase.

-   Performs quality control over the RDs and the performance section of
    the Acquisition Program Baselines.

The objectives of the ATS Requirements Management function during the
Investment Analysis phase of the acquisition process are:

1.  To ensure ATS requirements are comprehensive and
    realistic/reasonable

2.  To support ASD in the conduct of market analysis, and identification
    and analysis of candidate solutions to meet requirements represented
    in the RD

3.  To ensure that the recommended solution will meet ATS requirements

4.  To support resolution of ATS requirements issues

The activities conducted as part of ATS requirements management during
Investment Analysis are highly interdependent. ATS Requirements
management during investment analysis involves the following
sub-processes to achieve defined objectives:

1.  Prepare initial RD

2.  Support identification of alternatives

3.  Support analysis of alternatives

4.  Obtain investment determination

5.  Assess requirement trade-offs

6.  Resolve ATS requirement issues

7.  Trace ATS requirements

![](media/image2.emf)

A summary of each of the ATS Investment Analysis sub-processes is
provided in the paragraphs below.

***1.3.1 Prepare Initial Requirements Document***

*Process Lead: ARR*

Following the JRC mission need determination, the sponsoring line of
business for the approved mission need is responsible for establishing
initial requirements. Within ATS, the requirements management
responsibility is transferred from ARX to ARR, who will develop initial
requirements with support from other ATS functional organizations,
Integrated Product Teams (IPTs), and other organizations, as required.
ARR provides the ATS expertise to support sponsor organizations in the
development of the initial RD.

The initial RD contains high level requirements and constraints which
permit the conduct of market surveys and identification of candidate
alternative solutions. It establishes the criteria for identifying
potential solutions, conducting market analyses, analyzing alternatives,
and performing affordability assessments. The initial RD addresses
operational concept, physical integration, functional integration,
in-service support, test and evaluation, implementation, quality
assurance, configuration, human factors, and in-service management
requirements. It also identifies Critical Operational Issues that
potential solutions must address and resolve to ensure the operational
capability specified in the Mission Need Statement is fully satisfied.
The initial RD must also record Congressional mandates, Executive
Orders, and federal regulations that directly influence the requirement.

In order to accelerate the investment analysis process, ARR should begin
development of the initial RD when a Mission Need Statement has been
submitted for ATS review. In preparing the initial RD, the ATS
Integrated Requirement Team (IRT) is reconvened with ARR-100 as the IRT
Lead. The ARR representative serves as the IRT Lead throughout the
Investment Analysis Phase. The IRT completes an IRT Plan, analyzes the
approved Mission Need Statement (MNS), and translates the MNS into an
initial and final requirements documents. These documents (IRD/FRD) are
the products of the IRT during the Investment Analysis Phase.

Requirements incorporated in the initial RD are maintained in an ATS
requirements database which traces each requirement to a "parent" need
statement in the MNS. (See Trace ATS Requirements sub-process). The
members of the IRT achieve consensus on the content of the IRD and
document that consensus by signing a consensus agreement. The initial RD
is reviewed throughout ATS and other program stakeholders and submitted
for approval to ARS-1. It is then provided to ASD for use by the
Investment Analysis Team (IAT) to identify candidate solutions through
market analysis. When the IRD is provided to ASD, it is also provided to
the Radio Technical Commission for Aeronautics, Inc. (RTCA), who will
coordinate industry review.

***1.3.2 Support Identification of Alternatives***

*Process Lead: ASD*

The IAT established by ASD identifies candidate solutions to meet
requirements documented in the initial RD. ARR coordinates with ASD to
assure that there is appropriate representation of ATS functional
organizations on the IAT and to coordinate assignment of SMEs to the
team. ASD prepares an Investment Analysis Plan (IAP) which defines the
team composition, roles of team members, schedule and resource
requirements for the alternatives analysis process.

The requirements contained in the initial RD are the basis for
identifying all potential material and nonmaterial solutions to the
mission need, using market surveys as well as input from industry and
FAA organizations that have potential solutions ( e.g., IPTs, System
Architecture and Investment Analysis organization, regulatory offices,
research organizations, etc.). The preference is to identify
commercial-of-the-shelf, non-developmental items (COTS/NDI), or
nonmaterial solutions that are cost-effective and operationally suitable
as a first priority for satisfying the mission need and requirements.
Developmental alternatives should be considered only if other choices
are not feasible. Operational or factory capability demonstration of
potential solutions is encouraged.

The IAT prepares life-cycle cost (LCC) rough order of magnitude (ROM)
estimates for each candidate alternative and coordinates, through
ARR-200, the identification of budget place-holders based on those
estimates. When candidate solutions have been identified, ARR-100
assesses whether solutions conform to the requirements identified in the
initial RD. If not all requirements can be met by candidate
alternatives, the Assess Requirement Trade-Offs sub-process is engaged.
When a set of alternatives that can meet the initial requirements is
identified, the analysis of alternatives begins. If a viable
non-material solution is identified, it may be implemented without
proceeding further.

***1.3.3 Support Analysis of Alternatives***

*Process Lead: ASD*

The IAT, led by ASD, is responsible for performing analysis of candidate
alternatives. ARR and the IRT provide primary support to this process by
further populating the RD template. The RD template is populated to a
level to support life-cycle cost estimation. Each solution alternative
is analyzed in relation to RD requirement domains. Cost and feasibility
assessments are performed by the IAT. If identified alternatives cannot
meet ATS specified requirements and thresholds defined in the initial
RD, ARR initiates the Assess Requirement Trade-Offs sub-process to
determine if modifications can be made to requirements while still
meeting the mission need. Considering the ATS priorities and budget
baselines, ARR-100 and ARR-200 perform ATS affordability assessments for
each alternative and determine what offsets in other ATS programs may be
required to fund the program. The results of the ATS affordability
assessment are provided to the System Engineering Operational Analysis
Team (SEOAT) for assessment of affordability in relation to agency-wide
planning horizons. If the SEOAT determines that one or more solutions
are affordable, the IAT proceeds to the Obtain Investment Determination
sub-process.

***1.3.4 Obtain Investment Determination***

*Process Lead: ASD*

From the affordable alternative solutions identified by the SEOAT, the
IAT selects an alternative to be recommended to the Joint Resource
Council (JRC). Based on this decision, the IRT prepares the final RD for
the alternative to be recommended to the JRC. When IRT members reach
consensus on the content of the final RD, they document that consensus
by signing a consensus agreement. When the final RD has been signed off
by IRT members, it is receives a quality assurance review within ARR
prior to being coordinated within ARS. When approved by ARS-1 it is
distributed to ATS Service directors (AAT-1, AAF-1, ATQ-1) and the
unions. The IAT proceeds to develop the Investment Analysis Report by
developing a Acquisition Program Baseline (APB) for each alternative.
The Investment Analysis Report (IAR) is coordinated by ASD and when
approved, is provided to the JRC for consideration. If the JRC selects
and approves investment in one of the solution options, the APB for that
option is provided to an IPT for implementation of the solution. The RD
for the selected option is used to update the ATS requirements database.

***1.3.5*** ***Assess Requirement Trade-Offs***

*Process Lead: ARR*

After issuance of the initial RD and throughout the subsequent
Investment Analysis activities, it may become apparent that available
solutions cannot meet the entirety of requirements as documented in the
RD. When such a determination is made, ARR convenes the IRT to identify
possible requirement trade-offs so that a viable solution can be
selected. When trade-offs are identified, ARR assures that the RD
template(s) are revised and that the changes are traced in the
requirements tracking database. Life-cycle cost estimates for affected
requirements elements are adjusted to reflect requirement changes.

***1.3.6*** ***Resolve ATS Requirement Issues***

*Process Lead: ARR*

At any point during mission analysis, investment analysis and solution
implementation, issues may arise regarding ATS requirements. Issues may
be internal to ATS in the form of conflicts or incompatibility of
requirements submitted by ATS functional organizations. Issues may arise
due to the cost, schedule or technical feasibility of meeting the
requirement. The IRT Lead is responsible for documenting ATS requirement
issues. Information about the issue is distributed to IRT members and a
meeting of the IRT is convened to establish the ATS position relative to
the issue.

If the issue is internal to ATS, the IRT Lead coordinates resolution
with the appropriate ATS functional organizations. If the issue requires
resolution of differences between ATS and the IAT, the IRT Lead
coordinates resolution with the IAT. If an issue cannot be resolved at
the IAT level, the IRT Lead coordinates resolution of the issue through
his/her management, documents the decisions, and verifies accomplishment
of the resolution.

***1.3.7 Trace ATS Requirements***

*Process Lead: ARR*

As requirements are identified, modified, and the RD template is
completely populated, it is the responsibility of the ARR Lead for the
Investment Analysis to "track" requirement changes. The ARR Lead assures
that ATS requirements are documented and traced to the "parent" MNS.
Deleted requirements are documented and "warehoused." Part of the Trace
ATS Requirements sub-process involves documenting ATS requirements in
accordance with ARS standards. Once provided to ASD, all ATS requirement
statements (both original, derived and/or modified), along with their
origin and rationale are added to the ATS requirements database and
related to their parent requirement(s). At the completion of the
Investment Analysis phase, the requirement database is handed off to
ARU/N/W for maintenance during the Solution Implementation phase.

# PROCESS DESCRIPTIONS

## PREPARE INITIAL RQUIREMENTS DOCUMENT

Investment analysis begins with the translation of broad statements of
mission need into initial requirements. All requirements in the initial
RD originate and are coordinated within the ATS organization. The
initial requirements undergo detailed market, investment, and
affordability analysis. Statements in the MNS concerning urgency and
criticality of the need determine when the investment analysis must be
completed.

The sub-processes involved in preparation of the initial RD:

1.  Transition from Mission Need Analysis

2.  Prepare Initial RD

3.  Coordinate Initial RD

![](media/image3.emf)

**Figure 2.1-1**

**Preparation of Initial Requirements Document**

***2.1.1 Transition from Mission Need Analysis***

+----------+------------------------------------------------+----------+
| *Desc    | This sub-process involves the start-up and     |          |
| ription* | hand-off activities required to transfer ATS   |          |
|          | Requirements Management leadership from ARX to |          |
|          | ARR.                                           |          |
|          |                                                |          |
|          | The Mission Need Analysis phase precedes       |          |
|          | Investment Analysis and culminates in a        |          |
|          | corporate Mission Need Determination by the    |          |
|          | Joint Resource Council (JRC). The ATS Lead     |          |
|          | during Mission Need Analysis is a member of    |          |
|          | the ARX organization. The product of the       |          |
|          | Mission Need Analysis phase is the Mission     |          |
|          | Need Statement (MNS).                          |          |
|          |                                                |          |
|          | When the JRC makes a Mission Need              |          |
|          | Determination, the AMS process moves to the    |          |
|          | Investment Analysis phase and ATS Requirements |          |
|          | Management leadership responsibility is        |          |
|          | transferred to ARR.                            |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Pre-transition Actions**                     |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Whenever possible, the ARR-100 specialist(s)   |          |
| Purpose* | participating in the Mission Analysis          |          |
|          | activities should prepare in advance for the   |          |
|          | ARR-100 initial requirements development       |          |
|          | activities. During the final stages of Mission |          |
|          | Analysis, ARR-100 may begin some tasks that    |          |
|          | will result in an expeditious Investment       |          |
|          | Analysis phase.                                |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on the subject MNS, the ARR-100          |          |
| #1*      | specialist reviews the RD template and         |          |
|          | determines an initial format for the IRD.      |          |
|          |                                                |          |
|          | *Review RD template and determine IRD format*  |          |
+----------+------------------------------------------------+----------+
| *Step    | Using the initial format for the IRD and       |          |
| #2*      | knowledge of functional organizations, devise  |          |
|          | a tentative plan for subject/topic area        |          |
|          | assignments.                                   |          |
|          |                                                |          |
|          | *Determine subject/topic area assignments*     |          |
+----------+------------------------------------------------+----------+
| *Step    | Prepare drafts of the Customer Contract and    |          |
| #3*      | the IRT plan. The Customer Contract documents  |          |
|          | the scope of the effort and the expected       |          |
|          | milestones. The IRT Plan defines the           |          |
|          | particulars on how the IRT intends to complete |          |
|          | the expected milestones.                       |          |
|          |                                                |          |
|          | *Prepare a draft Customer Contract and a draft |          |
|          | IRT Plan*                                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Transfer Project Case File Data from ARX to  |          |
| Activity | ARR**                                          |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | An ATS Case File, which was initiated in the   |          |
| Purpose* | Mission Analysis phase is maintained by the    |          |
|          | assigned ARS Mission Analysis lead. This       |          |
|          | activity describes the steps involved in       |          |
|          | transferring the Case File and status          |          |
|          | information from ARX to the assigned ARR       |          |
|          | Specialist.                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARX-200 representative, acting as IRT lead |          |
| #1*      | during the Mission Analysis phase, will        |          |
|          | schedule a meeting of the IRT to review the    |          |
|          | contents of the MNS file, to provide a sense   |          |
|          | of agency or program direction in terms of the |          |
|          | purpose and scope of the mission need, to      |          |
|          | describe the technical, financial, or          |          |
|          | political implications of the MNS and identify |          |
|          | and discuss key issues (schedule, etc.) for    |          |
|          | the Investment Analysis Phase.                 |          |
|          |                                                |          |
|          | *Obtain debriefing from ARX Lead for ATS       |          |
|          | Mission Need Analysis*                         |          |
+----------+------------------------------------------------+----------+
| *Step    | Part of the transfer of ATS requirements       |          |
| #2*      | management from ARX to ARR involves transfer   |          |
|          | of database management responsibility,         |          |
|          | paperwork and completion of reports.           |          |
|          |                                                |          |
|          | *Support Mission Need Analysis Close-out       |          |
|          | activities*                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The ATS Project Case File is physically        |          |
| #3*      | transferred from the ARX representative to the |          |
|          | newly assigned ARR representative.             |          |
|          |                                                |          |
|          | *Obtain ATS Project Case File*                 |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT leadership responsibility, along with  |          |
| #4*      | IRT meeting records, membership lists and      |          |
|          | scheduling information is transferred from ARX |          |
|          | representative to the assigned ARR             |          |
|          | representative.                                |          |
|          |                                                |          |
|          | *Transfer IRT Leadership to ARR Requirement    |          |
|          | Lead*                                          |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Reconvene/Convene the IRT**                  |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Provide stake holding organizations an         |          |
| Purpose* | opportunity to participate in the development  |          |
|          | of requirements to the mission need, and       |          |
|          | discuss responsibilities and commitments       |          |
|          | needed to perform activities throughout the    |          |
|          | Investment Analysis phase.                     |          |
+----------+------------------------------------------------+----------+
| *Step    | Request that all interested organizations in   |          |
| #1*      | AAF, AAT, ATQ, ARS, and ASC, including the     |          |
|          | unions, provide a point of contact and/or an   |          |
|          | active participants in the IRT.                |          |
|          |                                                |          |
|          | Although an IRT may have existed during the    |          |
|          | mission analysis phase, this step provides all |          |
|          | organizations an opportunity to participate in |          |
|          | the investment analysis phase. It will also    |          |
|          | reaffirm or substitute the current membership  |          |
|          | for the Investment Analysis Phase and provide  |          |
|          | the IRT with a point of contact in all ATS     |          |
|          | organizations for resolution of issues that    |          |
|          | may arise during the development of            |          |
|          | requirements.                                  |          |
|          |                                                |          |
|          | *Request ATS participation*                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT reviews the approved MNS and           |          |
| #2*      | determines which functional organizations      |          |
|          | within ATS are primary stakeholders for the    |          |
|          | solution to the need. If key stakeholder       |          |
|          | organizations are not currently members of the |          |
|          | IRT, the membership should be augmented.       |          |
|          | Likewise, if there are current IRT             |          |
|          | representatives from organizations with        |          |
|          | limited stake in the solution, then those      |          |
|          | members may wish to adjust their level of      |          |
|          | participation on the IRT.                      |          |
|          |                                                |          |
|          | *Identify team member adjustments required*    |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT, reviews the MNS and identifies        |          |
| #3*      | specific subject matter expertise which will   |          |
|          | be required to assist and/or provide input and |          |
|          | review to the IRD development. *Identify SME   |          |
|          | requirements*                                  |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Adjust IRT Membership**                      |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to assure that |          |
| Purpose* | appropriate representation from ATS functional |          |
|          | organizations on the IRT.                      |          |
+----------+------------------------------------------------+----------+
| *Step    | Each IRT member serves as OPI for one or more  |          |
| #1*      | of the IRD Sections and Appendices identified  |          |
|          | in the template for Requirement Documents. A   |          |
|          | specific IRT member is identified as having    |          |
|          | primary responsibility for the planning,       |          |
|          | development, and validation of the assigned    |          |
|          | Sections and Appendices .                      |          |
|          |                                                |          |
|          | *Confirm OPI assignments*                      |          |
+----------+------------------------------------------------+----------+
| *Step \# | The IRT membership during Mission Analysis may |          |
| 2*       | not have included organizational               |          |
|          | representation from all the ATS functional     |          |
|          | organizations identified as OPIs for           |          |
|          | subject/topic areas. Discrepancies in          |          |
|          | membership and OPI responsibilities are        |          |
|          | identified and the IRT Lead contacts the       |          |
|          | managers of OPI organizations not yet          |          |
|          | represented on the IRT to obtain an IRT member |          |
|          | from that organization.                        |          |
|          |                                                |          |
|          | *Obtain assignment of IRT members from OPI     |          |
|          | organization(s) not yet members of IRT*        |          |
+----------+------------------------------------------------+----------+
| *Step    | SMEs from non-ATS organizations will           |          |
| #3*      | supplement the teams, as appropriate, to       |          |
|          | provide additional insight/support.            |          |
|          | Organizations providing SMEs may include       |          |
|          | Integrated Product Teams (IPTs), the FAA       |          |
|          | Logistics Center, ATC facilities, Systems      |          |
|          | Management Offices (SMOs), Investment Analysis |          |
|          | Staff (ASD-400), or others as appropriate. The |          |
|          | IRT Lead coordinates with non-ATS functional   |          |
|          | organizations to identify and obtain           |          |
|          | assignment of personnel with the subject       |          |
|          | matter expertise the IRT has identified .      |          |
|          |                                                |          |
|          | *Obtain assignment of SMEs*                    |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Prepare/Revise Customer Contract and IRT     |          |
| Activity | Plan**                                         |          |
| #4*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The Customer Contract should clarify and       |          |
| Purpose* | document scope and objectives of the effort,   |          |
|          | the expected milestones, and the               |          |
|          | organizational responsibilities. The IRT Plan  |          |
|          | defines the particulars on how the IRT intends |          |
|          | to meet the objectives listed in the Customer  |          |
|          | Contract and develop the IRD/FRD. The plan     |          |
|          | should list the IRT membership, the activities |          |
|          | that each member is responsible for, and the   |          |
|          | expected completion dates.                     |          |
+----------+------------------------------------------------+----------+
| *Step    | Statements in the Mission Need Statement       |          |
| #1*      | concerning time-frame and urgency establish    |          |
|          | when a solution to a mission need must be in   |          |
|          | place. Using this information, and additional  |          |
|          | input from the sponsor, ARR establishes a      |          |
|          | boundary on when investment analysis must be   |          |
|          | completed.                                     |          |
|          |                                                |          |
|          | *Establish schedule boundaries*                |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT lead drafts a Customer Contract and    |          |
| #2*      | IRT plan. The IRT Plan includes a synopsis of  |          |
|          | the shortfalls/opportunities prompting the IRT |          |
|          | activities, documents the team objectives,     |          |
|          | membership, roles and responsibilities,        |          |
|          | products (RDs), resources and schedule for     |          |
|          | accomplishing IRT activities during Investment |          |
|          | Analysis.                                      |          |
|          |                                                |          |
|          | *Draft Customer Contract and IRT Team Plan*    |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead distributes the draft IRT Plan    |          |
| #3*      | and Customer Contract to IRT members for       |          |
|          | review.                                        |          |
|          |                                                |          |
|          | *Obtain IRT member review of draft IRT plan    |          |
|          | and Customer Contract*                         |          |
+----------+------------------------------------------------+----------+
| *Step    | Use the IRT feedback on the plan to finish the |          |
| #4*      | Customer Contract. Review the document with    |          |
|          | the sponsor(s) and sign.                       |          |
|          |                                                |          |
|          | *Finalize and sign Customer Contract*          |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead receives comments from IRT        |          |
| #5*      | members on the draft Team Plan, adjudicates    |          |
|          | those comments and makes appropriate revisions |          |
|          | to produce a final Team Plan.                  |          |
|          |                                                |          |
|          | *Obtain IRT sign-off on IRT Plan*              |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT schedule and OPI assignments of IRT    |          |
| #6*      | members, based on the final IRT Team Plan is   |          |
|          | shared with the managers of ATS functional     |          |
|          | organizations so that IRT member workload can  |          |
|          | be reflected within the functional             |          |
|          | organizations' planning.                       |          |
|          |                                                |          |
|          | *Distribute the team plan, under ARR-100       |          |
|          | signature, to managers of functional           |          |
|          | organizations represented on the IRT*          |          |
+----------+------------------------------------------------+----------+

***2.1.2 Prepare Initial RD***

+----------+------------------------------------------------+----------+
| *Desc    | Capability shortfalls or technological         |          |
| ription* | opportunities identified in the MNS are        |          |
|          | translated into requirements along with the    |          |
|          | functional requirements in (or derived from)   |          |
|          | the NAS Architecture (the Service Model)       |          |
|          |                                                |          |
|          | The initial RD is derived from the Mission     |          |
|          | Need Statement and contains initial            |          |
|          | requirements addressing operational concept,   |          |
|          | schedule, performance, benefits, physical      |          |
|          | integration, functional in-service support,    |          |
|          | test and evaluation, implementation, quality   |          |
|          | assurance, configuration, human factors, and   |          |
|          | in-service management. Care must be taken so   |          |
|          | that leasing, commercial, or non-developmental |          |
|          | items are not precluded as potential           |          |
|          | solutions. During investment analysis, these   |          |
|          | initial requirements are evaluated against the |          |
|          | costs, benefits, schedules, and risks of       |          |
|          | various candidate solutions, and brought into  |          |
|          | balance with an affordable solution, whenever  |          |
|          | possible.                                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Identify AMS Requirement Categories**        |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Capability shortfalls or technological         |          |
| Purpose* | opportunities identified in the MNS are        |          |
|          | translated into requirements along with the    |          |
|          | functional requirements in (or derived from)   |          |
|          | the NAS Architecture (the Service Model) to    |          |
|          | develop an initial RD defining top-level,      |          |
|          | mission-critical requirements that the         |          |
|          | acquisition community must provide to the user |          |
|          | community.                                     |          |
+----------+------------------------------------------------+----------+
| *Step    | Once the IRT is reconvened, they should review |          |
| #1*      | the document to obtain familiarity with the    |          |
|          | mission need. Each IRT member needs to review  |          |
|          | the MNS and his/her the RD Template            |          |
|          | assignments to ensure they have the            |          |
|          | information and/or coordination points         |          |
|          | identified to enable them to complete their RD |          |
|          | development assignment and on schedule.        |          |
|          |                                                |          |
|          | *Analyze MNS, RD Template and IRT plan*        |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT validates which of the requirement RD  |          |
| #2*      | template Chapters and Appendices are           |          |
|          | applicable based on analysis of the MNS. The   |          |
|          | IRT coordinates with IRT members to ensure     |          |
|          | coordination with appropriate organizations    |          |
|          | will be accomplished and by whom. Care will be |          |
|          | taken to minimize duplication of effort or     |          |
|          | coordination.                                  |          |
|          |                                                |          |
|          | *Translate MNS needs into requirements in the  |          |
|          | appropriate Chapters and Appendices defined in |          |
|          | RD template*                                   |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Obtain Requirement Inputs from Functional    |          |
| Activity | Organizations**                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The ATS functional organizations are the       |          |
| Purpose* | primary source of ATS requirements. The        |          |
|          | purpose of this activity is to solicit         |          |
|          | requirements data from them for inclusion in   |          |
|          | the initial RD.                                |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT members, based on OPI assignments          |          |
| #1*      | established in the IRT Team Plan, establish    |          |
|          | mechanisms for obtaining organizational        |          |
|          | inputs. They solicit requirements and data     |          |
|          | inputs from the functional organizations with  |          |
|          | functions related to the MNS and incorporate   |          |
|          | into the appropriate assigned RD               |          |
|          | Chapter/Appendix.                              |          |
|          |                                                |          |
|          | *Solicit inputs from functional organizations* |          |
+----------+------------------------------------------------+----------+
| *Step    | A rationale that supports the need for each    |          |
| #2*      | requirement must be prepared. Information in   |          |
|          | the rationale will be useful when developing   |          |
|          | low-level requirements later in the process.   |          |
|          | Functional organizations are key providers in  |          |
|          | developing requirements rational and to        |          |
|          | identify validation criteria for the           |          |
|          | requirement.                                   |          |
|          |                                                |          |
|          | *Obtain rationales for requirements*           |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Validate Requirements**                      |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | All requirements derived from the MNS must be  |          |
| Purpose* | verifiable and able to be validated.           |          |
|          | Information obtained during this process       |          |
|          | should then be catalogued for future           |          |
|          | reference.                                     |          |
+----------+------------------------------------------------+----------+
| *Step    | Requirement inputs gathered by IRT members are |          |
| #1*      | consolidated by the IRT Lead and distributed   |          |
|          | to the IRT membership for review. The IRT lead |          |
|          | will coordinate the consolidation of IRT       |          |
|          | members development data into an initial draft |          |
|          | RD for review.                                 |          |
|          |                                                |          |
|          | *Consolidate candidate requirements*           |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT meets to review the draft RD The IRT   |          |
| #2*      | resolves conflicts, gaps and overlaps in the   |          |
|          | draft and develops changes as necessary to     |          |
|          | successfully complete their assigned area of   |          |
|          | the RD. This is an iterative process until the |          |
|          | IRT agrees they have a document ready for      |          |
|          | organizational review. a comprehensive set of  |          |
|          | requirement statements which address the       |          |
|          | contents specified in the initial RD template. |          |
|          |                                                |          |
|          | *Prepare integrated set of initial RD          |          |
|          | requirements*                                  |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT performs quality control assessments   |          |
| #3*      | of the IRTs initial RD requirements to assure  |          |
|          | that statements are clear and concise.         |          |
|          | Resolution of the format of statements is      |          |
|          | coordinated through the IRT Lead.              |          |
|          |                                                |          |
|          | *Verify requirement statement format*          |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Consolidate Requirements in RD Template**    |          |
| Activity |                                                |          |
| #4*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The AMS provides a specific template for the   |          |
| Purpose* | RD to assure that all the necessary            |          |
|          | information to proceed to alternatives         |          |
|          | identification and analysis is documented.     |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT uses the IRT's consolidated set of     |          |
| #1*      | initial requirements and other information to  |          |
|          | populate the RD template.                      |          |
|          |                                                |          |
|          | *Prepare draft of initial RD*                  |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT performs an internal review of the     |          |
| #2*      | draft initial RD for conformance to AMS        |          |
|          | templates and division format.                 |          |
|          |                                                |          |
|          | *Conduct internal ARR review*                  |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Obtain IRT Consensus**                       |          |
| Activity |                                                |          |
| #5*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to obtain Team |          |
| Purpose* | consensus. Issues preventing consensus should  |          |
|          | documented and elevated to the appropriate     |          |
|          | level of management for resolution.            |          |
+----------+------------------------------------------------+----------+
| *Step    | When all issues have been resolved and the     |          |
| #1*      | team has indicated consensus, document team    |          |
|          | concurrence using the Consensus Agreement Form |          |
|          | (Appendix TBD).                                |          |
|          |                                                |          |
|          | *Obtain consensus agreement*                   |          |
+----------+------------------------------------------------+----------+

3.  ***Coordinate Initial RD***

  --------------- ------------------------------------------------- ----------
  *Description*   The initial RD is the basis for the               
                  identification of potential solutions and must    
                  accurately represent the ATS functional           
                  organization's high level requirements to meet    
                  theestablished mission need. The document must be 
                  reviewed by ARS and other ATS organizations to    
                  ensure the initial RD includes the requirements   
                  from all stakeholders.                            

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Obtain Internal ARS Concurrence**            |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to reach       |          |
| Purpose* | internal ARS concurrence on the initial RD.    |          |
+----------+------------------------------------------------+----------+
| *Step \# | IRT lead briefARR-100 & 200 on the initial RD  |          |
| 1*       | and provides a copy of the initial RD to       |          |
|          | ARR-100 management for final review.           |          |
|          |                                                |          |
|          | *Review by ARR-100 management and ARR-200.*    |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT lead prepares a separate Clearance Record  |          |
| #2*      | Form (1300-2) for each ARS director            |          |
|          | (ARN/U/W/X-1). A copy of the IRD and the       |          |
|          | signed consensus agreement are attached.       |          |
|          |                                                |          |
|          | *Distribute review package to obtain           |          |
|          | comments/concurrence from internal ARS*        |          |
+----------+------------------------------------------------+----------+
| *Step    | If full concurrence does not occur, resolve    |          |
| #3*      | the non-concurs. If necessary, meet with IRT   |          |
|          | to review changes.                             |          |
|          |                                                |          |
|          | *Resolve ARS non-concurs*                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Obtain ATS/Stakeholder Concurrence**         |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to reach       |          |
| Purpose* | concurrence from those FAA organizations       |          |
|          | having an interest in the program.             |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT lead prepares a separate Clearance Record  |          |
| #1*      | Form (1300-2) for each for each AAT director   |          |
|          | (ATO/X/A/Q-1); AAF director                    |          |
|          | (AOS/ANS/AOP/ASR/ANI-1); ASC-1,and ATQ-1.      |          |
|          |                                                |          |
|          | In addition, IRT lead prepares a letter        |          |
|          | requesting comments from the ATS Unions (PASS, |          |
|          | NAATS, NATCA);, and any other relevant stake   |          |
|          | holders on non-ATS organizations.              |          |
|          |                                                |          |
|          | Copies of the IRD and the signed consensus     |          |
|          | agreement are attached.                        |          |
|          |                                                |          |
|          | *Distribute review package to obtain           |          |
|          | comments/concurrence from Stakeholders*        |          |
+----------+------------------------------------------------+----------+
| *Step    | If full concurrence does not occur, resolve    |          |
| #2*      | the non-concurs. If necessary, meet with IRT   |          |
|          | to review changes.                             |          |
|          |                                                |          |
|          | *Resolve ARS non-concurs*                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Transmit IRD for ARS-1 Signature**           |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to prepare the |          |
| Purpose* | initial RD containing internal ARS and         |          |
|          | stakeholder comments/concurrence for approval. |          |
+----------+------------------------------------------------+----------+
| *Step    | A copy of the clearance records, the initial   |          |
| #1*      | RD, and a the consensus agreement are packaged |          |
|          | for ARS-1 signature. IRT lead prepares a       |          |
|          | transmittal letter from ARR-100, through       |          |
|          | ARR-1, to ARS-1.                               |          |
|          |                                                |          |
|          | *Generate and transmit ARS-1 signature         |          |
|          | package*                                       |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Transmit IRD for Industry Review**           |          |
| Activity |                                                |          |
| #4*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to obtain      |          |
| Purpose* | industry feedback on FAA requirements, to      |          |
|          | ensure that the final requirements document    |          |
|          | (FRD) incorporates industry's comments and     |          |
|          | suggestions.                                   |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT lead will prepare a letter, for ARS-1  |          |
| #1*      | signature, to the Radio Technical Commission   |          |
|          | for Aeronautics, Inc. (RTCA) and to any other  |          |
|          | relevant industry association. Attached will   |          |
|          | be a copy of the signed IRD.                   |          |
|          |                                                |          |
|          | *Transmit IRD for industry review*             |          |
|          |                                                |          |
|          | *Note: The IRT should exercise caution in that |          |
|          | it should not make public any sensitive        |          |
|          | information that may compromise future         |          |
|          | procurement activities or the security of      |          |
|          | FAA's infrastructure.*                         |          |
+----------+------------------------------------------------+----------+

4.  ***Solicit Customer Feedback***

  --------------- ------------------------------------------------- ----------
  *Description*   After the approval of the IRD, ARR-100 will       
                  solicit written feedback from the IRT membership  
                  organizations and program stakeholders.           

  --------------- ------------------------------------------------- ----------

Note: We are currently developing a customer feedback form. Specific
guidance TBD.

##  SUPPORT IDENTIFICATION OF ALTERNATIVES

In initiating the investment analysis process for a new MNS, ASD
assembles a team to support its investment analysis staff in the
investment analysis activities. It is expected that the ARR-100 IRT will
support the ASD Investment Analysis Team (IAT), andmust:

1.  Evaluate the current system capability within the problem domain and
    its role in the NAS in terms of functions and services

2.  Determine how a solution that fulfills the need will fit into the
    current operational environment

3.  Examine the operational/logistical concepts which will likely result
    and forecast their impact on NAS performance and FAA levels of
    services

4.  Break down the requirements to a level where trade-offs among them
    can be effectively considered.

![](media/image4.emf)

**Figure 2.2-1**

**Support Identification of Alternatives**

Figure 2.2-1 summarizes the activities comprising support for
identification of candidate solutions and depicts the decision processes
leading to analysis of solutions alternatives.

ARR supports identification of candidate solutions by:

1.  Coordinating participation on IAT

2.  Identifying candidate alternatives

3.  Supporting development of the Investment Analysis Plan (IAP)

***2.2.1 Coordinate Participation on IAT***

  ------------- ------------------------------------------------- ----------
  Description   An IAT consists of experts IPT(s), sponsor        
                organizations, the investment analysis staff      
                within ASD, and other organizations as necessary  
                to conduct the detailed analysis of alternatives  
                leading to the selection and recommendation of a  
                preferred acquisition solution. ARR coordinates   
                the selection and assignment of ATS personnel to  
                the IAT.                                          

  ------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Coordinate ATS Personnel Assignments**       |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | ARR supports ASD in identifying the            |          |
| Purpose* | appropriate skills from within ATS which will  |          |
|          | be required in the performance of alternatives |          |
|          | identification and analysis processes.         |          |
+----------+------------------------------------------------+----------+
| *Step    | The ATS skill requirements are assessed and a  |          |
| #1*      | determination of those skills required as full |          |
|          | time IAT members or as ad hoc SME is made.     |          |
|          |                                                |          |
|          | *Assess IAT requirements*                      |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR contacts the appropriate ATS functional    |          |
| #2*      | organization managers to identify individuals  |          |
|          | with the requisite skills and coordinates the  |          |
|          | temporary duty assignments to the IAT or ad    |          |
|          | hoc participation, as appropriate.             |          |
|          |                                                |          |
|          | *Coordinate assignment of AT/AF members and    |          |
|          | SMEs to IAT*                                   |          |
+----------+------------------------------------------------+----------+

***2.2.2 Identify Candidate Alternatives***

  --------------- ------------------------------------------------- ----------
  *Description*   The alternative solution identification and       
                  analysis activity begins with a market analysis   
                  using the initial RD and other information that   
                  will assist in developing information about       
                  potential alternatives. A market analysis will    
                  solicit information on potential capabilities     
                  that may satisfy the mission need, initial        
                  requirements, and support the identification of   
                  alternatives. The magnitude and degree of         
                  formality of the market analysis will vary, but   
                  should always seek widest possible input from     
                  industry or others with potential solutions. The  
                  IAT may determine that a market analysis is not   
                  needed because they already have a good knowledge 
                  of available technology and products.             

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Support Market Analysis**                    |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Market surveys are performed to determine the  |          |
| Purpose* | availability of industry products, as well as  |          |
|          | other government vehicles that meet some or    |          |
|          | all of the initial requirements. Concurrent    |          |
|          | with the market analysis, and throughout the   |          |
|          | Investment Analysis process, the RD is         |          |
|          | continuously refined by the ARR-100 IRT for    |          |
|          | specificity and prioritization through         |          |
|          | performance of trade-off analyses.             |          |
+----------+------------------------------------------------+----------+
| *Step    | Market analysis is initiated through a request |          |
| #1*      | from the FAA to industry, foreign sources,     |          |
|          | universities, and other agencies (as a         |          |
|          | minimum) for potential                         |          |
|          | capabilities/alternatives that may satisfy the |          |
|          | mission need. The request normally will        |          |
|          | consist of a letter, the initial RD, and other |          |
|          | data as deemed appropriate. This activity      |          |
|          | supports the identification of alternatives.   |          |
|          |                                                |          |
|          | *Support identification of market sources*     |          |
+----------+------------------------------------------------+----------+
| *Step#2* | Responses to the market survey are reviewed in |          |
|          | relation to evaluation criteria and potential  |          |
|          | candidate solutions are identified.            |          |
|          |                                                |          |
|          | *Review vendor capability statements*          |          |
+----------+------------------------------------------------+----------+
| *Step    | Products or vendor identified as potential     |          |
| #3*      | solution alternatives may be physically        |          |
|          | inspected.                                     |          |
|          |                                                |          |
|          | *Inspect potential products/vendor facilities* |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Identify and assess candidate alternatives** |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Identifying alternatives is a process by which |          |
| Purpose* | possible solutions for meeting the shortfalls  |          |
|          | stated in the MNS and satisfying the           |          |
|          | requirements in the initial RD are evaluated.  |          |
|          | Early interaction with the sponsor and IPT     |          |
|          | will help develop a thorough understanding of  |          |
|          | the problem and how closely the system and     |          |
|          | supportability characteristics can be          |          |
|          | satisfied with current technology or           |          |
|          | identified future technology. Depending on the |          |
|          | type of problem, identifying alternatives      |          |
|          | should include:                                |          |
|          |                                                |          |
|          | -   Nonmaterial solutions;                     |          |
|          |                                                |          |
|          | -   Acquisition of COTS/NDI;                   |          |
|          |                                                |          |
|          | -   Collaborative development programs/shared  |          |
|          |     funding for "custom" system development    |          |
|          |     with other countries, federal agencies or  |          |
|          |     private sector entities; and               |          |
|          |                                                |          |
|          | -   Custom development for FAA.                |          |
|          |                                                |          |
|          |     A compilation of alternatives that are     |          |
|          |     different in approach, technology, user    |          |
|          |     involvement, or other parameters will be   |          |
|          |     developed.                                 |          |
+----------+------------------------------------------------+----------+
| *Step    | A list of potential solution alternatives is   |          |
| #1*      | developed by the IAT, along with documentation |          |
|          | of the features of the potential solution      |          |
|          | which suggest its viability as a candidate     |          |
|          | solution.                                      |          |
|          |                                                |          |
|          | *Identify and document candidate solutions*    |          |
+----------+------------------------------------------------+----------+
| *Step    | The items on the list of candidate solutions   |          |
| #2*      | are each examined in relation to initial       |          |
|          | requirements contained in the initial RD.      |          |
|          |                                                |          |
|          | *Review candidates in relation to initial      |          |
|          | requirements and thresholds*                   |          |
+----------+------------------------------------------------+----------+
| *Step    | If none of the alternatives examined meet the  |          |
| #3*      | requirements on the initial RD, the sponsoring |          |
|          | organization, in coordination with ARR,        |          |
|          | initiates the Assess Requirement Trade-off     |          |
|          | process.                                       |          |
|          |                                                |          |
|          | *Requirements Trade-Off*                       |          |
+----------+------------------------------------------------+----------+
| *Step    | If a viable nonmaterial solution is identified |          |
| #4*      | that is achievable within approved budgets, it |          |
|          | may be implemented without proceeding further  |          |
|          | in the acquisition management process. The     |          |
|          | organization sponsoring the mission need must  |          |
|          | notify the JRC of the selection of the         |          |
|          | nonmaterial solution. A nonmaterial solution   |          |
|          | could remain as a potential candidate for      |          |
|          | investment analysis if it is not clearly       |          |
|          | determined at this point to be more            |          |
|          | cost-effective than the material solutions     |          |
|          | under consideration.                           |          |
|          |                                                |          |
|          | Prepare list of candidate solutions            |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | ### Assess ATS Budget Im                       |          |
| Activity | pacts {#assess-ats-budget-impacts .unnumbered} |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | For each of the candidate solutions, ARR       |          |
| Purpose* | coordinates the development of a rough order   |          |
|          | of magnitude (ROM) assessment of the           |          |
|          | life-cycle costs associated with each          |          |
|          | requirement element defined in the RD          |          |
|          | template. This assessment provides the         |          |
|          | baseline for future requirement trade-off      |          |
|          | analyses. Budget place-holders are adjusted as |          |
|          | necessary.                                     |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR-100 coordinates, with ARR-200 and ARX-200, |          |
| #1*      | the development of O&M cost estimates.         |          |
|          |                                                |          |
|          | *Prepare O&M cost estimates*                   |          |
+----------+------------------------------------------------+----------+
| *Step    | The IPT member to the IAT takes the lead in    |          |
| #2*      | developing the F&E cost estimates associated   |          |
|          | with each solution alternative. ARR-100        |          |
|          | coordinates ATS assistance, as required.       |          |
|          |                                                |          |
|          | *Prepare F&E cost estimates*                   |          |
+----------+------------------------------------------------+----------+
| *Step    | The IPT member to the IAT takes the lead in    |          |
| #3*      | developing the RE&D cost estimates associated  |          |
|          | with each solution alternative. ARR-100        |          |
|          | coordinates ATS assistance, as required.       |          |
|          |                                                |          |
|          | *Obtain RE&D cost estimates*                   |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR-100 engages ARR-200 in comparing the       |          |
| #4*      | aggregate life-cycle cost estimates (F&E,      |          |
|          | RE&D, and if possible, O&M) with current ATS   |          |
|          | budget profiles associated with the mission    |          |
|          | need. If the existing budget projections for   |          |
|          | F&E and R,E&D are breached, ARR-200            |          |
|          | coordinates adjustment of the out-year budget  |          |
|          | profiles.                                      |          |
|          |                                                |          |
|          | *Coordinate adjustment of budget               |          |
|          | place-holders*                                 |          |
+----------+------------------------------------------------+----------+

***2.2.3 Support Development of Investment Analysis Plan***

+----------+------------------------------------------------+----------+
| *Desc    | The Investment Analysis Plan (IAP) provides    |          |
| ription* | the planning information necessary for         |          |
|          | conducting the particular investment analysis  |          |
|          | in a timely and efficient manner. It must be   |          |
|          | completed early in the investment analysis     |          |
|          | phase, normally immediately after              |          |
|          | identification of the alternatives. The IAP is |          |
|          | developed by the IAT and signed and            |          |
|          | distributed by the Director, IAS (ASD-400).    |          |
|          | The IAP will provide the following:            |          |
|          |                                                |          |
|          | -   composition of the IAT (by name and        |          |
|          |     organization), and schedule for completing |          |
|          |     the various activities within the          |          |
|          |     investment analysis process, including     |          |
|          |     expected date for the investment decision  |          |
|          |     (JRC #2).                                  |          |
|          |                                                |          |
|          | -   the assignment of roles and                |          |
|          |     responsibilities for accomplishing the     |          |
|          |     activities consistent with the AMS         |          |
|          |     guidelines and the defined investment      |          |
|          |     analysis process tool(s)                   |          |
|          |                                                |          |
|          | -   all alternatives identified and the end    |          |
|          |     set chosen for further analysis as         |          |
|          |     candidate solutions.                       |          |
|          |                                                |          |
|          |     The template for developing the Investment |          |
|          |     Analysis Plan is available at              |          |
|          |     http://fast.faa.gov.                       |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Provide Input to IAP**                       |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *P       | ASD is responsible for developing a plan for   |          |
| urpo¦se* | analysis of alternatives. As a member of the   |          |
|          | IAT, ARR participates in the development of    |          |
|          | the plan.                                      |          |
+----------+------------------------------------------------+----------+
| *Step    | To facilitate the Investment Analysis process, |          |
| #1*      | roles and responsibilities of individual IAT   |          |
|          | member organizations should be identified      |          |
|          | early on. This will allow for accountability,  |          |
|          | as well as minimize the risk of tasks not      |          |
|          | being addressed.                               |          |
|          |                                                |          |
|          | A table should be provided identifying the     |          |
|          | roles and responsibilities for all activities  |          |
|          | (elements) within the investment analysis      |          |
|          | process.                                       |          |
|          |                                                |          |
|          | *Determine IAT team roles and                  |          |
|          | responsibilities*                              |          |
+----------+------------------------------------------------+----------+
| *Step    | When developing a preliminary schedule, the    |          |
| #2*      | following must be considered:                  |          |
|          |                                                |          |
|          | -   The initial schedule requirement at the    |          |
|          |     beginning of investment analysis is the    |          |
|          |     time-frame in the Mission Need Statement   |          |
|          |     when the new capability must be            |          |
|          |     operational to satisfy mission             |          |
|          |     responsibilities; and                      |          |
|          |                                                |          |
|          | -   The schedule requirement at the investment |          |
|          |     decision is the time needed to deploy the  |          |
|          |     solution selected for implementation by    |          |
|          |     the JRC, plus the schedule requirement for |          |
|          |     resolution of any deferred requirements.   |          |
|          |                                                |          |
|          | *Develop schedule*                             |          |
+----------+------------------------------------------------+----------+
| *Step    | The IAT assesses resource requirements for     |          |
| #3*      | conduct of market analysis and other           |          |
|          | activities associated with identification of   |          |
|          | solution alternatives and their analysis.      |          |
|          | (e.g., travel to vendor locations to view      |          |
|          | products with solution potential should be     |          |
|          | considered)                                    |          |
|          |                                                |          |
|          | *Determine resource requirements*              |          |
+----------+------------------------------------------------+----------+
| *Step    | Of particular interest to ATS are the          |          |
| #4*      | assumptions upon which the investment analysis |          |
|          | will be based, and the criteria for evaluating |          |
|          | the alternatives.                              |          |
|          |                                                |          |
|          | The IAT will develop evaluation criteria to    |          |
|          | enable comparison of alternatives. The         |          |
|          | evaluation criteria must be clearly defined    |          |
|          | and the relative weight for each factor must   |          |
|          | be stated in the IAP. Life-cycle cost to the   |          |
|          | FAA and airspace users must be used as         |          |
|          | evaluation factors in every investment         |          |
|          | analysis.                                      |          |
|          |                                                |          |
|          | Evaluation criteria will vary according to the |          |
|          | nature of the need and potential solutions,    |          |
|          | but typically should include such factors as   |          |
|          | time to field an operational capability,       |          |
|          | acquisition and life-cycle cost, schedule,     |          |
|          | system performance (to include human           |          |
|          | performance), benefits, risks, supportability, |          |
|          | affordability, and infrastructure.             |          |
|          |                                                |          |
|          | *Review assumptions and develop evaluation     |          |
|          | criteria*                                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Coordinate ATS review of IAP**               |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to assure that |          |
| Purpose* | the IAP appropriately reflects the             |          |
|          | participation, schedule and understanding of   |          |
|          | the scope of the investment analysis from an   |          |
|          | ATS perspective.                               |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead/ARR representative to the IAT     |          |
| #1*      | briefs ARR management on the content of the    |          |
|          | IAP and highlights potential ATS concerns.     |          |
|          |                                                |          |
|          | *Brief ARR management*                         |          |
+----------+------------------------------------------------+----------+
| *Step    | The draft IAP is circulated to the IRT for     |          |
| #2*      | their review and comment.                      |          |
|          |                                                |          |
|          | *Obtain IRT review*                            |          |
+----------+------------------------------------------------+----------+

**2.3 SUPPORT ANALYSIS OF ALTERNATIVES**

ATS participation in analysis of solution alternatives involves:

1.  Identifying solution specific requirements

2.  Supporting analysis of solution alternatives

3.  Performing ATS affordability assessment

4.  Participating in SEOAT affordability assessment

Figure 2.3-1 summarizes the Analyze Alternatives process.

![](media/image5.emf)

**Figure 2.3-1**

**Analysis of Solution Alternatives**

***2.3.1 Identify Solution Specific Requirements***

  --------------- ------------------------------------------------- ----------
  *Description*   The analysis of solution alternatives is          
                  dependent upon a full understanding of the        
                  supportability, implementation and other          
                  requirement elements which were addressed at a    
                  high level in the alternatives identification     
                  process. ATS uses the template for the RD to      
                  identify requirements derived from the high-level 
                  requirements in the initial RD.                   

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Populate RD template**                       |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | This activity begins the decomposition of      |          |
| Purpose* | high-level requirements contained in the       |          |
|          | initial RD into more detailed requirements     |          |
|          | which will enable more detailed comparison of  |          |
|          | the costs and relative suitability of          |          |
|          | candidate options.                             |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT members, based on OPI assignments          |          |
| #1*      | established in the IRT Team plan use their     |          |
|          | internally established mechanisms for          |          |
|          | obtaining organizational requirement inputs    |          |
|          | for the RD.                                    |          |
|          |                                                |          |
|          | *Obtain functional organization inputs*        |          |
+----------+------------------------------------------------+----------+
| *Step    | The requirement inputs from functional         |          |
| #2*      | organizations are provided to the IRT Lead who |          |
|          | consolidates them in the RD template format.   |          |
|          |                                                |          |
|          | *Consolidate functional organization inputs*   |          |
+----------+------------------------------------------------+----------+
| *Step    | In a meeting of the IRT, the consolidated RD   |          |
| #3*      | requirement inputs are reviewed and validated. |          |
|          | The IRT resolves conflicts, gaps and/or        |          |
|          | overlaps in the candidate requirements and     |          |
|          | develops a comprehensive set of requirement    |          |
|          | statements that fully populate the RD          |          |
|          | template.                                      |          |
|          |                                                |          |
|          | *Validate requirements*                        |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR performs an assessment of the IRT-approved |          |
| #4*      | set of RD requirement statements to assure     |          |
|          | that statements are clear and concise.         |          |
|          | Resolution of the format and content of        |          |
|          | statements is coordinated through the IRT      |          |
|          | Lead.                                          |          |
|          |                                                |          |
|          | *Verify requirement statement format*          |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Tailor the RD to solution specific           |          |
| Activity | alternatives**                                 |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Specific solution alternatives may require     |          |
| Purpose* | that some requirement elements be tailored to  |          |
|          | address the specific nature of the             |          |
|          | alternative. For example, a ground based       |          |
|          | surveillance alternative may have              |          |
|          | significantly different operation and          |          |
|          | maintenance requirements than a space-based    |          |
|          | alternative.                                   |          |
+----------+------------------------------------------------+----------+
| *Step#1* | Each solution alternative is reviewed in       |          |
|          | relation to the RD template to identify        |          |
|          | requirement categories which are unique to     |          |
|          | that alternative.                              |          |
|          |                                                |          |
|          | *Identify solution-specific requirement        |          |
|          | categories*                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT members, based on OPI assignments          |          |
| #2*      | established in the IRT Team Plan use their     |          |
|          | internally established mechanisms for          |          |
|          | obtaining organizational requirement inputs    |          |
|          | for the RD.                                    |          |
|          |                                                |          |
|          | *Obtain solution-specific requirement inputs   |          |
|          | from ATS functional organizations*             |          |
+----------+------------------------------------------------+----------+
| *Step    | Conflicts, gaps or overlaps among              |          |
| #3*      | solution-specific requirement inputs received  |          |
|          | from OPIs are resolved between the OPI and the |          |
|          | IRT Lead                                       |          |
|          |                                                |          |
|          | *Resolve requirement discrepancies*            |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead coordinates quality assurance     |          |
| #4*      | review of the solution-specific requirement    |          |
|          | statements.                                    |          |
|          |                                                |          |
|          | *Validate requirement statement format*        |          |
+----------+------------------------------------------------+----------+
| *Step    | Solution-specific RDs are prepared, as         |          |
| #5*      | necessary.                                     |          |
|          |                                                |          |
|          | *Prepare solution-specific RDs*                |          |
+----------+------------------------------------------------+----------+

2.  ***Support Analysis of Solution Alternatives***

+----------+------------------------------------------------+----------+
| *Desc    | The IAT will undertake the analysis of the     |          |
| ription* | candidate solutions based on the evaluation    |          |
|          | criteria in the IAP. The evaluation criteria   |          |
|          | must be clearly defined and the relative       |          |
|          | weight for each factor must be stated by the   |          |
|          | IAT.                                           |          |
|          |                                                |          |
|          | An evaluation matrix will be constructed by    |          |
|          | the IAT to provide a value or ranking for each |          |
|          | evaluation factor for each alternative,        |          |
|          | including life-cycle cost, benefits, schedule, |          |
|          | performance, and risk.                         |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Prepare Evaluation Matrix**                  |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The IAT will construct an evaluation matrix to |          |
| Purpose* | provide a value or ranking for each evaluation |          |
|          | factor for each alternative. The factors to be |          |
|          | analyzed may include, as appropriate:          |          |
|          | Compatibility with NAS architecture,           |          |
|          | life-cycle cost (systems, equipment,           |          |
|          | facilities, support, etc), cost and benefit    |          |
|          | analysis (period to pay back investment),      |          |
|          | technical performance/functionality, schedule, |          |
|          | human factors, environmental & health impacts, |          |
|          | radio frequency spectrum availability,         |          |
|          | supportability, regulatory/procedural impact,  |          |
|          | operational suitability, interdependencies     |          |
|          | with other programs, and risk assessment (the  |          |
|          | likelihood of meeting stated performance,      |          |
|          | schedules, benefits, and cost).                |          |
+----------+------------------------------------------------+----------+
| *Step    | The IAT will develop the evaluation matrix by  |          |
| #1*      | determining which factors to include as        |          |
|          | criteria and their relative importance. ATS    |          |
|          | members of the IAT will provide input to the   |          |
|          | construction of the evaluation matrix.         |          |
|          |                                                |          |
|          | *Provide input to development of the           |          |
|          | evaluation matrix*                             |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Populate Evaluation Matrix**                 |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The evaluation matrix will provide an          |          |
| Purpose* | objective and quantified record of the         |          |
|          | strengths and weaknesses for each of the       |          |
|          | alternatives.                                  |          |
+----------+------------------------------------------------+----------+
| *Step    | ATS SMEs will play a big role in assessing the |          |
| #1*      | attributes of each alternative. ARR-100 will   |          |
|          | participate in the process and coordinate the  |          |
|          | participation of ATS SMEs, as required.        |          |
|          |                                                |          |
|          | *Populate evaluation matrix*                   |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Assess Requirements Trade-Offs**             |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Upon completion of the evaluation matrix, a    |          |
| Purpose* | trade-off analysis must be conducted against   |          |
|          | the requirements to ensure that a balancing of |          |
|          | the criteria to the requirements can be        |          |
|          | attained effectively or that some trade-offs   |          |
|          | may be effected in order to solve any          |          |
|          | potential problem areas.                       |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR-100 will reconvene the IRT and initiate    |          |
| #1*      | the process to Assess Requirement Trade-Offs.  |          |
|          |                                                |          |
|          | *Perform a requirements trade-off*             |          |
+----------+------------------------------------------------+----------+

***2.3.3 Develop preliminary Acquisition Program Baselines***

  --------------- ------------------------------------------------- ----------
  *Description*   Preliminary APBs are required prior to perform    
                  the affordability analyses. Based on the data     
                  gathered during evaluation of alternatives, the   
                  IPT representatives to the IAT will prepare       
                  preliminary APBs. The key parameters for the      
                  subsequent affordability assessments are the cost 
                  and schedule baselines.                           

  --------------- ------------------------------------------------- ----------

  ----------- ------------------------------------------------- ----------
  *Activity   **Prepare APB templates**                         
  #1*                                                           

  *Purpose*   AMS has provided a template for the development   
              of the APB. The IAT should use this template as   
              guidance in developing the preliminary APBs for   
              each alternative.                                 
  ----------- ------------------------------------------------- ----------

  ----------- ------------------------------------------------- ----------
  *Activity   **Transfer evaluation matrix data into APBs.**    
  #2*                                                           

  *Purpose*   For each of the candidate solutions, the IAT      
              needs to populate schedule and cost profiles.     
  ----------- ------------------------------------------------- ----------

***2.3.4 Perform ATS Affordability Assessment***

  ------------- ------------------------------------------------- ----------
  Description   Affordability assessments are a determination of  
                whether there are adequate financial and other    
                resources available to funding the candidate      
                alternatives under current agency funding plans   
                (Capital Investment Plan \[CIP\] financial        
                profile, operations and research, engineering and 
                development profiles, and the LRRAP projections). 
                If adequate funding is not available, offsets     
                must be made from existing programs to provide    
                for the solution undergoing affordability         
                analysis if it is to be funded. Before proceeding 
                to the SEOAT, ATS sponsored programs will undergo 
                an internal affordability assessment. With very   
                rare exceptions, offsets required to fund an ATS  
                sponsored program will come from other ATS        
                sponsored programs. Therefore, the internal       
                assessment is performed in order to decide what   
                offset recommendations will ATS present to the    
                SEOAT.                                            

  ------------- ------------------------------------------------- ----------

  ----------- ------------------------------------------------- ----------
  *Activity   **Identify ATS priorities**                       
  #1*                                                           

  *Purpose*   ATS priorities must be reviewed to determine      
              whether the mission need under analysis can be    
              accommodated within the current priorities or if  
              ATS program offsets may be required.              

              **Note: Specific steps are TBD**                  
  ----------- ------------------------------------------------- ----------

  ----------- ------------------------------------------------- ----------
  *Activity   **Identify offsets**                              
  #2*                                                           

  *Purpose*   Depending on the relative priority of the subject 
              mission need compared to other program            
              priorities, it may be necessary to eliminate,     
              down-scope, or otherwise revise the baseline of   
              other ATS sponsored programs. The purpose of this 
              activity is to identify the proposed program      
              offsets to be made.                               

              **Note: Specific steps are TBD**                  
  ----------- ------------------------------------------------- ----------

  ----------- ------------------------------------------------- ----------
  *Activity   **Provide data for SEOAT assessment**             
  #3*                                                           

  *Purpose*   Document the recommendations of the ATS           
              affordability assessment for consideration by the 
              SEOAT. The purpose of this activity is to package 
              ATS input to the agency affordability assessment. 

              **Note: Specific steps are TBD**                  
  ----------- ------------------------------------------------- ----------

***2.3.5 Participate in SEOAT Affordability Assessment***

+----------+------------------------------------------------+----------+
| Des      | A new program is authorized only if the agency |          |
| cription | commits to full funding of it.                 |          |
|          |                                                |          |
|          | The Systems Engineering/Operational Analysis   |          |
|          | Team (SEOAT) determines the priority of the    |          |
|          | proposed new program in relationship to all    |          |
|          | other programs competing for resources in the  |          |
|          | same year(s) and recommends offsets among      |          |
|          | programs to the JRC. This information is       |          |
|          | included in the Investment Analysis Report     |          |
|          | provided to the JRC at the investment decision |          |
|          | point.                                         |          |
|          |                                                |          |
|          | The SEOAT performs an affordability assessment |          |
|          | of all candidate solutions to a mission need,  |          |
|          | and maintains a relative priority listing of   |          |
|          | all agency programs based on standard          |          |
|          | evaluation criteria approved by the. This      |          |
|          | priority list supports the affordability       |          |
|          | assessment of new programs, reprogramming due  |          |
|          | to baseline changes on existing programs, and  |          |
|          | the annual budget process. The SEOAT is        |          |
|          | composed of representatives from each line of  |          |
|          | business and other appropriate functional      |          |
|          | disciplines, and is chaired by the Director,   |          |
|          | System Architecture and Investment Analysis.   |          |
+----------+------------------------------------------------+----------+

  ----------- ------------------------------------------------- ----------
  *Activity   **Review package to be presented to SEOAT**       
  #1*                                                           

  *Purpose*   Upon completion of the analysis of the candidate  
              solution, the IAT will forward initial APBs and   
              supporting data for all candidate solutions to    
              the SEOAT. The information from the ATS           
              affordability assessment is provided to the       
              SEOAT. The IAT information that is provided       
              includes a set of well-defined candidates along   
              with a preliminary APB for each candidate, cost   
              and benefit analysis, risk assessment, and other  
              data as appropriate. Each alternative will be     
              fully documented as to all data and factors       
              considered. Key assumptions will be identified    
              for each alternative.                             

              **Note: Specific steps are TBD**                  
  ----------- ------------------------------------------------- ----------

**2.4 OBTAIN INVESTMENT DETERMINATION**

Obtaining an investment determination from the JRC involves:

1.  Determining solution(s) to be recommended

2.  Developing solution-specific RD(s)

3.  Supporting development of acquisition program baseline (APB)
    document(s)

4.  Supporting development of the Investment Analysis Report (IAR)
    document

5.  Preparing for JRC determination

6.  Transitioning to Solution Implementation

![](media/image6.emf)

**Figure 2.4-1**

**Obtain Investment Determination**

***2.4.1 Determine Solution(s) to be Recommended***

  ------------- ------------------------------------------------- ----------
  Description   The IAT is responsible to the JRC to provide an   
                analysis of all viable solution alternatives and  
                to recommend a solution for their approval. The   
                selection of the solution to be recommended is    
                determined by evaluating candidate solutions in   
                relation to the relative risks, costs, and        
                schedule considerations.                          

  ------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Evaluate relative costs vs. benefits of      |          |
| Activity | solution alternatives**                        |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to perform a   |          |
| Purpose* | structured evaluation to compare alternatives  |          |
|          | as a means of identifying the solution to be   |          |
|          | recommended to the JRC.                        |          |
+----------+------------------------------------------------+----------+
| *Step    | Apply the IAT developed evaluation matrix to   |          |
| #1*      | each candidate solution and provide input to   |          |
|          | the IAT Lead.                                  |          |
|          |                                                |          |
|          | *Evaluate each solution*                       |          |
+----------+------------------------------------------------+----------+
| *Step    | The composite of evaluations performed by IAT  |          |
| #2*      | members is reviewed by ARR.                    |          |
|          |                                                |          |
|          | *Review the IAT's composite evaluation*        |          |
+----------+------------------------------------------------+----------+
| *Step    | Participate on the IAT to determine a          |          |
| #3*      | consensus solution to be recommended.          |          |
|          |                                                |          |
|          | *Participate in selection of solution to be    |          |
|          | recommended*                                   |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Coordinate identification of optimum         |          |
| Activity | solution**                                     |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to inform ATS  |          |
| Purpose* | management of the IAT's recommendations and to |          |
|          | obtain management feedback.                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR member of the IAT briefs ARR           |          |
| #1*      | management on the selection solution           |          |
|          | recommendation.                                |          |
|          |                                                |          |
|          | *Brief ARR management*                         |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR representative to the IAT performs     |          |
| #2*      | follow-up actions as directed by ARR           |          |
|          | management.                                    |          |
|          |                                                |          |
|          | Perform follow-up as directed by management.   |          |
+----------+------------------------------------------------+----------+

2.  ***Finalize Solution-Specific RD(s)***

  ------------- ------------------------------------------------- ----------
  Description   The Investment Analysis Report includes a draft   
                Acquisition Program Baseline (APB) for each       
                alternative considered during investment          
                analysis. A fully populated RD, tailored to the   
                specific solution, is one component of the APB.   
                Provision of the RD is the responsibility of ARR. 

  ------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Update/complete RD template(s)**             |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | As is the case for the Mission Need Statement, |          |
| Purpose* | the Requirements Document may engender more    |          |
|          | than one acquisition program. In such          |          |
|          | situations, requirements in the Requirements   |          |
|          | Document are partitioned into the Acquisition  |          |
|          | Program Baselines of each proposed program, as |          |
|          | appropriate. APBs do not describe a specific   |          |
|          | solution, and should not preclude leasing,     |          |
|          | commercial, or non-developmental items as      |          |
|          | potential solutions.                           |          |
+----------+------------------------------------------------+----------+
| *Step    | The RD template is reviewed in relation to the |          |
| #1*      | current evolution of the RD and incomplete or  |          |
|          | missing information is identified.             |          |
|          |                                                |          |
|          | *Identify missing/incomplete information*      |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT members who are the OPIs for requirement   |          |
| #2*      | domains which are not yet complete coordinate  |          |
|          | provision of missing information with          |          |
|          | stakeholder functional organizations.          |          |
|          |                                                |          |
|          | *Obtain missing/incomplete information*        |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR member of the IAT consolidates IRT     |          |
| #3*      | supplied information into the RD template.     |          |
|          |                                                |          |
|          | *Update RD*                                    |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Obtain IRT Consensus**                       |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to obtain Team |          |
| Purpose* | consensus. Issues preventing consensus should  |          |
|          | documented and elevated to the appropriate     |          |
|          | level of management for resolution.            |          |
+----------+------------------------------------------------+----------+
| *Step    | When all issues have been resolved and the     |          |
| #1*      | team has indicated consensus, document team    |          |
|          | concurrence using the Consensus Agreement Form |          |
|          | (Appendix TBD).                                |          |
|          |                                                |          |
|          | *Obtain consensus agreement*                   |          |
+----------+------------------------------------------------+----------+

***2.1.3 Coordinate Final RD***

  --------------- ------------------------------------------------- ----------
  *Description*   The RDs incorporated within APBs represent the    
                  ATS position relative to requirements to be met   
                  during solution implementation. They must         
                  accurately and comprehensively reflect ATS        
                  interests. The purpose of this activity is to     
                  obtain ATS commitment to the contents of the      
                  solution specific RDs because one of them will be 
                  selected for implementation. The documents must   
                  be reviewed by appropriate ARS and other ATS      
                  organizations to ensure the RD includes the       
                  requirements from all stakeholders.               

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Obtain Internal ARS Concurrence**            |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to reach       |          |
| Purpose* | internal ARS concurrence on the final RD.      |          |
+----------+------------------------------------------------+----------+
| *Step \# | IRT lead briefs ARR-100&200 on the final RD    |          |
| 1*       | and provides a copy of the final RD to ARR-100 |          |
|          | management for final review.                   |          |
|          |                                                |          |
|          | *Review by ARR-100 management and ARR-200.*    |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT lead prepares a separate Clearance Record  |          |
| #2*      | Form (1300-2) for each ARS director            |          |
|          | (ARN/U/W/X-1). A copy of the RD and a copy of  |          |
|          | the signed consensus agreement is attached.    |          |
|          |                                                |          |
|          | *Distribute review package to obtain           |          |
|          | comments/concurrence from internal ARS*        |          |
+----------+------------------------------------------------+----------+
| *Step    | If full concurrence does not occur, resolve    |          |
| #3*      | the non-concurs. If necessary, meet with IRT   |          |
|          | to review changes.                             |          |
|          |                                                |          |
|          | *Resolve ARS non-concurs*                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Obtain ATS/Stakeholder Concurrence**         |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to reach       |          |
| Purpose* | concurrence from those FAA organizations       |          |
|          | having an interest in the program.             |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT lead prepares a separate Clearance Record  |          |
| #1*      | Form (1300-2) for each service under ATS       |          |
|          | (AAT-1, AAF-1, ASC-1, ATQ-1).                  |          |
|          |                                                |          |
|          | In addition, IRT leads prepares a letter       |          |
|          | requesting comments from the ATS Union (PASS,  |          |
|          | NAATS, NATCA); and any other relevant          |          |
|          | stakeholders organizations.                    |          |
|          |                                                |          |
|          | A copy of the RD and a copy of the signed IRT  |          |
|          | consensus agreement is attached.               |          |
|          |                                                |          |
|          | *Distribute review package to obtain           |          |
|          | comments/concurrence from Stakeholders*        |          |
+----------+------------------------------------------------+----------+
| *Step    | If full concurrence does not occur, resolve    |          |
| #2*      | the non-concurs. If necessary, meet with IRT   |          |
|          | to review changes.                             |          |
|          |                                                |          |
|          | *Resolve FAA non-concurs*                      |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Transmit RD for ATS-1 Signature**            |          |
| Activity |                                                |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to prepare the |          |
| Purpose* | final RD containing internal ARS and           |          |
|          | stakeholder comments/concurrence for approval. |          |
+----------+------------------------------------------------+----------+
| *Step    | A copy of the clearance records, the final RD, |          |
| #1*      | and a the consensus agreement are packaged for |          |
|          | ARS-1 signature. IRT lead prepares a           |          |
|          | transmittal letter from ARR-1, through ARS-1,  |          |
|          | to ATS-1.                                      |          |
|          |                                                |          |
|          | *Generate and transmit ATS-1 signature         |          |
|          | package*                                       |          |
+----------+------------------------------------------------+----------+

3.  ***Support Development of IAR***

+----------+------------------------------------------------+----------+
| Des      | The results of investment analysis are         |          |
| cription | contained in the Investment Analysis Report.   |          |
|          | The report defines each candidate solution to  |          |
|          | the mission need, and compares the relative    |          |
|          | strengths and weaknesses against the           |          |
|          | evaluation factors considered during           |          |
|          | investment analysis. It also contains the      |          |
|          | SEOAT affordability assessment. The            |          |
|          | Acquisition Program Baseline for each          |          |
|          | candidate solution is attached to the report.  |          |
|          |                                                |          |
|          | The template for developing the Investment     |          |
|          | Analysis Report is available at                |          |
|          | *http://fast.faa.gov*.                         |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Review/Populate APB Template**               |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The APB represents the contract between the    |          |
| Purpose* | providing and user organizations concerning    |          |
|          | what the acquisition program will provide, how |          |
|          | much it will cost, and when it will deliver    |          |
|          | products and services. It defines the          |          |
|          | performance, supportability, and benefit       |          |
|          | requirements the program must achieve, and     |          |
|          | sets the cost and schedule boundaries within   |          |
|          | which the program is authorized to proceed. It |          |
|          | also establishes the performance metrics for   |          |
|          | assessing program success and for advancing it |          |
|          | through the acquisition lifecycle. Development |          |
|          | of the APB is the responsibility of the IPT.   |          |
|          | As a member of the IAT, the ARR representative |          |
|          | supports the development of the APB, as        |          |
|          | required.                                      |          |
+----------+------------------------------------------------+----------+
| *Step    | As the focal point on the IAT for ATS          |          |
| #1*      | requirements, the ARR representative assures   |          |
|          | that performance parameters of the APB meet    |          |
|          | the requirements of the RD.                    |          |
|          |                                                |          |
|          | *Incorporate RD data*                          |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR representative on the IAT performs     |          |
| #2*      | data collection and writing tasks on the APB   |          |
|          | as appropriate.                                |          |
|          |                                                |          |
|          | *Draft APB content, as needed*                 |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Coordinate ATS review**                      |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The APBs to be included in the IAR are         |          |
| Purpose* | reviewed with ASD and by ARR management to     |          |
|          | assure that they reflect the content and       |          |
|          | quality necessary for inclusion in the report  |          |
|          | to the JRC.                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR representative to the IAT provides     |          |
| #1*      | draft APBs to the IRT and ARR management for   |          |
|          | review.                                        |          |
|          |                                                |          |
|          | *Obtain IRT and ARR management review*         |          |
+----------+------------------------------------------------+----------+
| *Step    | IRT and ARR management comments are            |          |
| #3*      | consolidated and provided to the IPT lead for  |          |
|          | incorporation in the final IAR.                |          |
|          |                                                |          |
|          | *Provide ATS comments to the IAT*              |          |
+----------+------------------------------------------------+----------+

***2.4.4 Prepare for JRC***

  ------------- ------------------------------------------------- ----------
  Description   The investment decision is the formal venue for   
                implementing a program. The investment decision   
                process is initiated upon completion of the       
                analysis of candidate solutions and the           
                affordability assessment and delivery of the IAR  
                to the JRC. The investment decision process is    
                concluded with the JRC determination of which     
                candidate solution, if any, the FAA will pursue   
                and what resources (capital and operating) will   
                be allocated.                                     

  ------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Conduct JRC Pre-briefs to ATS management**   |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to prepare ATS |          |
| Purpose* | management for participation in the JRC        |          |
|          | investment decision and to identify critical   |          |
|          | data which ATS recommends be tracked by the    |          |
|          | JRC during solution implementation             |          |
+----------+------------------------------------------------+----------+
| *Step    | The IAT prepares a briefing summarizing the    |          |
| #1*      | investment analysis process and the            |          |
|          | conclusions of the analysis. The briefing      |          |
|          | highlights issues, risks, and concerns         |          |
|          | relevant to the ATS functional organizations.  |          |
|          |                                                |          |
|          | *Prepare JRC pre-brief*                        |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR member of the IAT schedules and        |          |
| #2*      | participates in ASD conducted JRC pre-briefs   |          |
|          | to affected ATS functional organization        |          |
|          | management. IRT members from the functional    |          |
|          | organization being briefed participate in the  |          |
|          | briefing.                                      |          |
|          |                                                |          |
|          | *Schedule and conduct pre-brief(s)*            |          |
+----------+------------------------------------------------+----------+
| *Step    | Questions and issues raised during each JRC    |          |
| #3*      | pre-briefs are documented and provided to ARR  |          |
|          | management.                                    |          |
|          |                                                |          |
|          | *Document ATS management concerns*             |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Identify critical data for JRC tracking**    |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | When an investment decision is made by the     |          |
| Purpose* | JRC, critical data and milestones to be        |          |
|          | reviewed with the JRC during solution          |          |
|          | implementation are identified. ARS develops    |          |
|          | and recommends the list of critical data items |          |
|          | which ATS wants reviewed by the JRC.           |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on ATS management comments and           |          |
| #1*      | discussion during the JRC pre-briefs, the ARR  |          |
|          | representative drafts a list of critical data  |          |
|          | to be tracked by the JRC during solution       |          |
|          | implementation/                                |          |
|          |                                                |          |
|          | *Draft list of critical data elements for JRC  |          |
|          | tracking*                                      |          |
+----------+------------------------------------------------+----------+
| *Step    | The list of proposed critical data elements is |          |
| #2*      | submitted to ARR management for coordination   |          |
|          | with ARS-1.                                    |          |
|          |                                                |          |
|          | *Submit proposed critical data elements to ARR |          |
|          | management*                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | ARS-1 determines the critical data elements to |          |
| #3*      | be proposed to JRC for tracking.               |          |
|          |                                                |          |
|          | *Obtain ARS-1 approval for JRC                 |          |
|          | recommendations*                               |          |
+----------+------------------------------------------------+----------+

5.  ***Transition to Solution Implementation***

+----------+------------------------------------------------+----------+
| Des      | An investment decision commits the FAA to full |          |
| cription | funding of the program and/or approves         |          |
|          | required offsets. The cost and schedule        |          |
|          | baselines in the APB at the investment         |          |
|          | decision and the corresponding funding         |          |
|          | commitment by the JRC are "not to exceed"      |          |
|          | agreements.                                    |          |
|          |                                                |          |
|          | When the JRC approves a solution, the          |          |
|          | Investment Analysis Staff updates the various  |          |
|          | documents affected by the decisions, including |          |
|          | CIP, RE&D, and LRRAP. The IPT updates the APB  |          |
|          | to reflect JRC directions and the IRT updates  |          |
|          | the RD, as necessary. The JRC identifies an    |          |
|          | IPT to carry out solution implementation in    |          |
|          | accord with the approved APB.                  |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Adjust ATS budget profiles**                 |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Depending on the solution approved by the JRC, |          |
| Purpose* | ATS budget profiles may be impacted. The       |          |
|          | appropriate adjustments are coordinated and    |          |
|          | incorporated in ATS documentation.             |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR identifies any budget impacts which the    |          |
| #1*      | JRC decision has on ATS.                       |          |
|          |                                                |          |
|          | *Identify budget impacts*                      |          |
+----------+------------------------------------------------+----------+
| *Step    | Out-year budget profiles are adjusted to       |          |
| #2*      | reflect the JRC decision and the approved APB. |          |
|          |                                                |          |
|          | *Adjust ATS budget profiles*                   |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Adjust NAS architecture**                    |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Depending on the solution approved by the JRC, |          |
| Purpose* | the NAS architecture may be impacted. The      |          |
|          | appropriate adjustments are coordinated and    |          |
|          | incorporated in ATS documentation.             |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR, in coordination with ARX, identifies NAS  |          |
| #1*      | architecture impacts resulting from the JRC    |          |
|          | decision.                                      |          |
|          |                                                |          |
|          | *Identify architecture impacts*                |          |
+----------+------------------------------------------------+----------+
| *Step    | ARR coordinates adjustments to the NAS         |          |
| #2*      | architecture baseline documentation.           |          |
|          |                                                |          |
|          | *Adjust NAS architecture documentation*        |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Transfer ATS requirements management         |          |
| Activity | leadership to ARU/N/W**                        |          |
| #3*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The investment decision establishes a program  |          |
| Purpose* | and assigns it to an appropriate IPT. An       |          |
|          | ARU/N/W specialist is assigned to each IPT to  |          |
|          | support solution implementation and to serve   |          |
|          | as the focal point for ATS requirements. The   |          |
|          | purpose of this activity is to transition ATS  |          |
|          | requirement management from ARR to ARU/N/W.    |          |
+----------+------------------------------------------------+----------+
| *Step    | The newly assigned ARU/N/W representative to   |          |
| #1*      | the IPT meets with the ARR representative who  |          |
|          | represented ARS during Investment Analysis.    |          |
|          | The meeting is an opportunity for the ARR      |          |
|          | representative to describe activities,         |          |
|          | decisions, problems and provide advice to the  |          |
|          | ARU/N/W representative during Solution         |          |
|          | Implementation.                                |          |
|          |                                                |          |
|          | *Briefing the ARU/N/W specialist*              |          |
+----------+------------------------------------------------+----------+
| *Step    | Part of the transfer of ATS requirements       |          |
| #2*      | management from ARR to ARU/N/W involves        |          |
|          | transfer of database management                |          |
|          | responsibility, paperwork and completion of    |          |
|          | reports.                                       |          |
|          |                                                |          |
|          | *Transfer database control and documentation   |          |
|          | to ARU/N/W*                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The ATS Project Case File is physically        |          |
| #3*      | transferred from the ARR representative to the |          |
|          | newly assigned ARU/N/W representative.         |          |
|          |                                                |          |
|          | *Deliver ATS Project Case File*                |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT leadership responsibility, along with  |          |
| #4*      | IRT meeting records, membership lists and      |          |
|          | scheduling information is transferred from ARR |          |
|          | representative to the assigned ARU/N/W         |          |
|          | representative.                                |          |
|          |                                                |          |
|          | *Transfer IRT leadership to ARU/N/W lead*      |          |
+----------+------------------------------------------------+----------+

**2.5 ASSESS REQUIREMENT TRADE-OFFS**

The Assess Requirement Trade-Offs process may be initiated at any time
during Investment Analysis when analyses indicate that ATS requirements
may not be achievable due to technical limitations or cost and/or
schedule constraints. The current ATS requirements are reviewed to
identify possible requirement trade-offs which can be agreed to by the
ATS functional organizations in order to permit identification of an
acceptable solution alternative. As depicted in Figure 2.5-1, assessment
of requirement trade-offs involves:

> 1\. Reviewing solution trade-offs
>
> 2\. Modifying RD templates to reflect trade-offs

![](media/image7.emf)

**Figure 2.5-1**

**Assess Trade-Offs**

1.  ***Review Solution Trade-Offs***

  --------------- ------------------------------------------------- ----------
  *Description*   If a solution does not meet all requirements      
                  stated in the RD, it must be evaluated for        
                  trade-offs. Such trade-offs may be in reference   
                  to any of the requirement domains defined by the  
                  RD template.                                      

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Assess requirement element trade-offs**      |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The ARR Lead coordinates an assessment of      |          |
| Purpose* | requirement trade-offs through the IRT.        |          |
+----------+------------------------------------------------+----------+
| *Step    | In advance of an IRT meeting, the ARR staff    |          |
| #1*      | performs an assessment of potential            |          |
|          | technological, cost and/or schedule trade-offs |          |
|          | for consideration by the IRT membership.       |          |
|          |                                                |          |
|          | *Identify potential requirement trade-offs*    |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT is convened to review proposed         |          |
| #2*      | requirement trade-offs and develops an IRT     |          |
|          | consensus.                                     |          |
|          |                                                |          |
|          | *Convene IRT to determine viable requirement   |          |
|          | adjustments*                                   |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Coordinate trade-offs with affected          |          |
| Activity | functional organizations**                     |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to coordinate  |          |
| Purpose* | adjustments to ATS requirements with affected  |          |
|          | functional organizations prior to providing    |          |
|          | the information to the IAT                     |          |
+----------+------------------------------------------------+----------+
| *Step    | Members of the IRT, as OPIs for particular     |          |
| #1*      | requirement domains, obtain review of proposed |          |
|          | requirement adjustments from the affected      |          |
|          | stakeholder organizations.                     |          |
|          |                                                |          |
|          | Obtain functional organization review          |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on functional organization review, the   |          |
| #2*      | IRT members confirm or modify the preliminary  |          |
|          | position relative to requirement adjustments   |          |
|          | and approve a position to be delivered to the  |          |
|          | IAT.                                           |          |
|          |                                                |          |
|          | *Obtain IRT member commitment to trade-offs*   |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead documents the IRT trade-off       |          |
| #3*      | decisions and provides the information to the  |          |
|          | IAT Lead.                                      |          |
|          |                                                |          |
|          | *Inform IAT of requirement adjustments*        |          |
+----------+------------------------------------------------+----------+

***2.5.2 Modify RD and Life-Cycle cost estimates***

  --------------- ------------------------------------------------- ----------
  *Description*   Any requirement trade-offs are incorporated into  
                  the RD and life-cycle cost projections are        
                  adjusted and coordinated with ATS budget          
                  planners.                                         

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Adjust LCC ROM, if necessary**               |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The life-cycle cost adjustments associated     |          |
| Purpose* | with warehoused/modified requirements need to  |          |
|          | be reflected in the life-cycle cost estimate.  |          |
+----------+------------------------------------------------+----------+
| *Step    | The life-cycle cost impact of requirement      |          |
| #1*      | trade-offs are assessed.                       |          |
|          |                                                |          |
|          | *Assess changes to life-cycle costs*           |          |
+----------+------------------------------------------------+----------+
| *Step    | The life-cycle cost estimates are provided to  |          |
| #2*      | ARR-100 for incorporation in ATS budget        |          |
|          | profiles.                                      |          |
|          |                                                |          |
|          | *Coordinate ATS budget profile adjustments*    |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Document Requirement Trade-Offs**            |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | If requirement trade-offs occur, such actions  |          |
| Purpose* | must be warehoused as either an appendix or    |          |
|          | attachment to the final RD This information is |          |
|          | necessary to show that requirements have not   |          |
|          | been omitted, but set-aside as non-critical.   |          |
|          | Warehoused requirements may be addressed at a  |          |
|          | later time, when funding, schedule, or other   |          |
|          | criteria permit.                               |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR representative to the IAT summarizes   |          |
| #1*      | decisions relative to requirement trade-offs   |          |
|          | and identifies the list of warehoused          |          |
|          | requirements.                                  |          |
|          |                                                |          |
|          | *Prepare summary of warehoused requirements*   |          |
+----------+------------------------------------------------+----------+
| *Step    | Warehoused requirements are incorporated as an |          |
| #2*      | attachment to the RD.                          |          |
|          |                                                |          |
|          | *Prepare RD attachment*                        |          |
+----------+------------------------------------------------+----------+
| *Step    | The RD is revised to reflect requirement       |          |
| #3*      | trade-offs.                                    |          |
|          |                                                |          |
|          | *Revise RD template*                           |          |
+----------+------------------------------------------------+----------+

**2.6 RESOLVE ATS REQUIREMENT ISSUES**

The Resolve ATS Requirement Issues process is an ongoing from the start
of Mission Analysis and continues into In-Service Management. Some
issues may be internal to ATS due to conflicts or incompatibilities
among requirements identified by ATS functional organizations. These
issues are managed within ATS, usually through IRT deliberations. Issues
external to the ATS are usually due to either disagreement with or
misinterpretation of ATS requirements by the IAT or other organization
managed outside of the ATS Directorate. The ARR representative on the
IAT facilitates understanding and interpretation of ATS requirements so
that potential issues are solved and the Resolve ATS Requirements
process can be avoided.

Resolve ATS Requirement Issues process involves:

1.  Coordinating Issue Internally

2.  Coordinating Resolution with IAT

3.  Elevating issue (as necessary)

    Figure 2.6-1 depicts the Resolve ATS Requirement Issues process.

![](media/image8.emf)

**Figure 2.6-1**

**Resolve ATS Requirement Issues**

1.  ***Coordinate Issue Internally***

  ---------------- ------------------------------------------------- ----------
  *Description:*   When an ATS requirements issue is identified, the 
                   representative to the IAT coordinates development 
                   of a clear and succinct statement of the issue    
                   and its potential impact. Based on understanding  
                   of the issue, a determination is made as to       
                   whether the issue is one internal to ATS or one   
                   that requires involvement of the IAT.             

  ---------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Identify and Document Issue**                |          |
| Activity |                                                |          |
| #1*      |                                                |          |
|          |                                                |          |
| *\_*     |                                                |          |
+----------+------------------------------------------------+----------+
| *P       | The purpose of this activity is to assure that |          |
| urpose:* | the requirement issue is fully understood and  |          |
|          | clearly documented so that deliberations about |          |
|          | resolution can be conducted.                   |          |
+----------+------------------------------------------------+----------+
| *Step    | The ARR member of the IAT is the recipient and |          |
| #1*      | focal point for all identified ATS requirement |          |
|          | issues. Upon notification or awareness of a    |          |
|          | requirement issue the ARR representative       |          |
|          | contacts the issue identifier to obtain        |          |
|          | clarification of this issue and to determine   |          |
|          | what, if any, actions have been attempted to   |          |
|          | obtain resolution.                             |          |
|          |                                                |          |
|          | *Obtain information about the issue from issue |          |
|          | identifier*                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on information obtained in Step #1, the  |          |
| #2*      | ARR representative drafts a statement of the   |          |
|          | issue and provides a summary of potential      |          |
|          | impacts on achieving ATS requirements if the   |          |
|          | issue is not resolved.                         |          |
|          |                                                |          |
|          | *Prepare a statement of the issue and its      |          |
|          | relationship to ATS requirements*              |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Coordinate Issue with OPIs**                 |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| Purpose  | Identified issues will be related to one or    |          |
|          | more ATS requirement elements. This activity   |          |
|          | assures that the OPI(s) on the IRT who have    |          |
|          | responsibility for the associated requirement  |          |
|          | elements are informed of the issue.            |          |
+----------+------------------------------------------------+----------+
| *Step    | The issue statement prepared by ARR is         |          |
| #1*      | reviewed with the issue source and the OPIs on |          |
|          | the IRT.                                       |          |
|          |                                                |          |
|          | *Review Issue Statement with issue source and  |          |
|          | representatives of ATS functional              |          |
|          | organizations*                                 |          |
+----------+------------------------------------------------+----------+
| *Step \# | Comments and input from the issue identifier   |          |
| 2*       | and OPIs are used to revise and refine the     |          |
|          | issue statement.                               |          |
|          |                                                |          |
|          | *Finalize Issue Statement*                     |          |
+----------+------------------------------------------------+----------+
| *Step \# | The IRT Lead sends the finalized issue         |          |
| 3*       | statement to all IRT members.                  |          |
|          |                                                |          |
|          | *Distribute Issue Statement to IRT members*    |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on the input from the issue identifier   |          |
| #4*      | and discussion with the associated OPIs, the   |          |
|          | IRT Lead determines if the issues can be       |          |
|          | resolved internal to ATS.                      |          |
|          |                                                |          |
|          | *Determine if issue can be resolved at IRT     |          |
|          | level or if IAT involvement is required*       |          |
+----------+------------------------------------------------+----------+
| *Step    | Issues internal to ATS are discussed at an IRT |          |
| #5*      | meeting and an appropriate solution is         |          |
|          | identified. When a resolution involves         |          |
|          | modification of ATS requirements, the Trace    |          |
|          | Requirements process is engaged.               |          |
|          |                                                |          |
|          | *Convene IRT to resolve internal issues*       |          |
+----------+------------------------------------------------+----------+

***2.6.2 Coordinate Issue Resolution with IAT***

  ------------- ------------------------------------------------- ----------
  Description   When the ARR representative determines that an    
                issue must be resolved with IAT involvement, the  
                IRT is convened to determine an ATS corporate     
                position relative to the issue. This position is  
                coordinated with ARS management prior to          
                presentation to the IAT for their action.         

  ------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Establish ATS Position Relative to Issue**   |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Before an issue is presented to the IAT, the   |          |
| Purpose* | IRT Lead coordinates development of a          |          |
|          | corporate position relative to the issue to    |          |
|          | avoid conflicting viewpoints being             |          |
|          | communicated to the IAT by ATS functional      |          |
|          | organizations.                                 |          |
+----------+------------------------------------------------+----------+
| *Step    | *Convene IRT to review issue*                  |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT identifies options, evaluates those    |          |
| #2*      | options and selects one to recommend as the    |          |
|          | ATS position relative to the issue.            |          |
|          |                                                |          |
|          | *Identify and evaluate alternative options to  |          |
|          | resolve issues*                                |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on the outcomes of the IRT meeting, the  |          |
| #2*      | IRT Lead prepares a briefing to present the    |          |
|          | issue and the IRT's recommended ATS position.  |          |
|          |                                                |          |
|          | *Brief ARR management*                         |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead obtains ARR management            |          |
| #3*      | concurrence with a proposed position. This may |          |
|          | involve elevating the issue to ARR-1 or to the |          |
|          | ATS Management Team.                           |          |
|          |                                                |          |
|          | *Obtain management decision relative to        |          |
|          | preferred approach*                            |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Support Development of Resolution**          |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | Once the ATS position has been coordinated     |          |
| Purpose* | with ATS management, the requirements issue is |          |
|          | presented to the IAT for consideration of an   |          |
|          | appropriate resolution and the approach        |          |
|          | recommended by ATS management.                 |          |
+----------+------------------------------------------------+----------+
| *Step \# | The ARR representative notifies the IAT Lead   |          |
| 1*       | of the need to address the issue at an IAT     |          |
|          | meeting.                                       |          |
|          |                                                |          |
|          | *Schedule and brief IAT on issue and ATS       |          |
|          | position*                                      |          |
+----------+------------------------------------------------+----------+
| *Step \# | In discussion with IAT members, an action plan |          |
| 2*       | is identified to resolve the issue. The ARR    |          |
|          | member of the IAT assures that specific action |          |
|          | steps, responsible parties and schedule are    |          |
|          | developed to accomplish the resolution.        |          |
|          |                                                |          |
|          | *Develop action plan for resolution of the     |          |
|          | issue*                                         |          |
+----------+------------------------------------------------+----------+
| *Step \# | The ARR representative to the IAT provides the |          |
| 3*       | resolution action plan to the IAT and obtains  |          |
|          | commitment to its execution.                   |          |
|          |                                                |          |
|          | *Confirm IAT concurrence with resolution       |          |
|          | strategy*                                      |          |
+----------+------------------------------------------------+----------+
| *Step \# | The ARR member of the IAT monitors             |          |
| 4*       | accomplishment of action plans to resolve ATS  |          |
|          | requirements issues.                           |          |
|          |                                                |          |
|          | *Monitor progress toward resolution*           |          |
+----------+------------------------------------------------+----------+
| *Step \# | When the action plan has been completed, the   |          |
| 5*       | ARR representative confirms that the issue     |          |
|          | identifier and OPIs concur that the issue has  |          |
|          | been resolved.                                 |          |
|          |                                                |          |
|          | *Verify completion of resolution*              |          |
+----------+------------------------------------------------+----------+

3.  ***Elevate Issue***

  --------------- ------------------------------------------------- ----------
  *Description*   The Acquisition Management System (AMS) is based  
                  on an Integrated Product Development System       
                  (IPDS) approach. The IPDS provides for a          
                  hierarchy of teams within teams. Each team has    
                  defined empowerment boundaries and decisions are  
                  made at the lowest level of the teaming           
                  hierarchy. IPDS process guidelines provide        
                  mechanisms for resolution of problems and issues  
                  throughout the acquisition process. When problems 
                  cannot be resolved at the IAT level, the problem  
                  is elevated to the next higher team, the          
                  Integrated Product Leadership Team (IPLT). When   
                  problems cannot be resolved at that level, the    
                  next level is the Integrated Management Team.     

  --------------- ------------------------------------------------- ----------

+----------+------------------------------------------------+----------+
| *        | **Coordinate Briefing to IPLT/IMT**            |          |
| Activity |                                                |          |
| #1*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to plan for    |          |
| Purpose* | presentation of the issue to the IPLT/IMT.     |          |
+----------+------------------------------------------------+----------+
| *Step    | Each IPDS team has a team plan which outlines  |          |
| #1*      | its empowerment boundaries. The IRT Lead will  |          |
|          | review the team plans to determine the         |          |
|          | appropriate team level empowered to resolve    |          |
|          | the issue.                                     |          |
|          |                                                |          |
|          | *Review IPDS empowerment boundaries*           |          |
+----------+------------------------------------------------+----------+
| *Step    | In preparation for IMT/IPLT briefing, the IRT  |          |
| #2*      | Lead reviews team membership.                  |          |
|          |                                                |          |
|          | *Review core IMT/IPLT membership*              |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead prepares a briefing which         |          |
| #3*      | describes the issue and efforts at the IRT and |          |
|          | IAT level to resolve the issue. The IRT Lead   |          |
|          | coordinates the draft briefing with ATS        |          |
|          | members of the IPLT/IMT.                       |          |
|          |                                                |          |
|          | *Brief ATS members*                            |          |
+----------+------------------------------------------------+----------+

+----------+------------------------------------------------+----------+
| *        | **Support Development of Resolution**          |          |
| Activity |                                                |          |
| #2*      |                                                |          |
+----------+------------------------------------------------+----------+
| *        | The purpose of this activity is to formally    |          |
| Purpose* | present the issue to the IPLT/IMT and          |          |
|          | coordinate execution of the decision made at   |          |
|          | that level.                                    |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead presents the briefing on the      |          |
| #1*      | issue(s) which could not be resolved at the    |          |
|          | IAT level.                                     |          |
|          |                                                |          |
|          | *Brief IPLT/IMT*                               |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead responds to IPLT/IMT questions    |          |
| #2*      | and provides back up information as required.  |          |
|          |                                                |          |
|          | *Provide supporting information*               |          |
+----------+------------------------------------------------+----------+
| *Step    | Based on the decision of the IPLT/IMT, the IRT |          |
| #3*      | Lead prepares an action plan to execute the    |          |
|          | IPLT/IMT decision.                             |          |
|          |                                                |          |
|          | *Develop resolution action plan*               |          |
+----------+------------------------------------------------+----------+
| *Step    | The resolution action plan is presented to the |          |
| #4*      | IPLT/IMT for concurrence prior to its          |          |
|          | execution.                                     |          |
|          |                                                |          |
|          | *Obtain IPLT/IMT commitment to plan*           |          |
+----------+------------------------------------------------+----------+
| *Step    | The IRT Lead monitors the execution of the     |          |
| #5*      | resolution action plan and verifies that the   |          |
|          | resolution is obtained..                       |          |
|          |                                                |          |
|          | *Verify resolution of the issue*               |          |
+----------+------------------------------------------------+----------+

**2.7 TRACE ATS REQUIREMENTS**

The Trace ATS Requirements process extends from Mission Analysis through
In-Service Management of a product or service. Once an ATS requirement
is included in any AMS required document (e.g., RD, APB, Acquisition
Strategy Plan , Integrated Program Plan, and solicitation
documentation), it is entered into an ATS tracking data base. Whenever a
change occurs, all "parent" and "child" requirements related to that
change must be adjusted and entered in the ATS tracking database. ARS is
developing and will define processes for the management of requirements
tracking when selection of the needed tools is complete.

Execution of the Trace Requirements Process involves:

1.  Editing and formatting requirements statements

2.  Maintaining the ARS requirements data base

3.  Preparing and distributing ATS Requirements Status Reports

Figure 2.7-1 depicts the Trace ATS Requirements process.

![](media/image9.emf)

**Figure 2.7-1**

**Trace ATS Requirements**

***2.7.1 Edit and Format ATS Requirements Statements***

***Note: completion of this section is contingent upon the data base
tool and procedures implemented by ARS***

  ---------------- ------------------------------------------------- ----------
  *Description:*   ARS will develop and issue standards for the      
                   documentation of requirements to assure that all  
                   ATS requirement statements are concise,           
                   positively stated, validated and minimize         
                   misinterpretation. Prior to providing any ATS     
                   requirement as an input to AMS documents, ARS     
                   will review and edit statement in accord with its 
                   established standards and criteria.               

  ---------------- ------------------------------------------------- ----------

***2.7.2 Update ATS Requirements Data Base***

***Note: completion of this section is contingent upon the data base
tool and procedures implemented by ARS***

  ---------------- ------------------------------------------------- ----------
  *Description:*   ATS requirements are tracked from their origin in 
                   the Mission Need Analysis, through Investment     
                   Analysis as documented in the APB. Decomposition  
                   of these requirements occurs throughout Solution  
                   Implementation through identification of          
                   strategies, actions and procurement tasking.      
                   During Investment Analysis it is the              
                   responsibility of the ARR to assure that the data 
                   base is maintained and updated whenever ATS       
                   requirements are modified or when a decomposition 
                   occurs. The data base tracking assures that every 
                   ATS requirement statement is linked to a "parent" 
                   requirement in higher order documents or to a     
                   "child" requirement(s). Child requirements are    
                   translations/decomposition of a requirement in a  
                   higher-level planning document.                   

  ---------------- ------------------------------------------------- ----------

***2.7.3 Issue ATS Requirements Status Reports***

***Note: completion of this section is contingent upon the data base
tool and procedures implemented by ARS***

  ---------------- ------------------------------------------------- ----------
  *Description:*   The ARS Directorates inform the ATS functional    
                   organizations of the status of ATS requirements   
                   through periodic ATS Requirements Status Reports. 
                   The content, format, frequency, and process for   
                   their issuance are not yet determined.            

  ---------------- ------------------------------------------------- ----------