Acquisition Management Policy   (Revised 11/2009)

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Appendix A: Roles and Responsibilities (Revised 11/2009)    

JOINT RESOURCES COUNCIL

  • Approves the FAA investment portfolio each year as part of the budget submission process;
  • Approves the FAA enterprise architecture; 
  • Makes the decision to approve an ACAT 1 or ACAT 2 investment program for inclusion in a service portfolio at the conclusion of investment analysis;
  • Establishes ACAT 1 and 2 investment programs and assigns execution to a service organization;
  • Baselines program requirements for ACAT 1 and ACAT 2 investment programs in the final program requirements document;
  • Approves the acquisition program baseline for ACAT 1 and ACAT 2 investment programs;
  • Commits the FAA to full funding of the approved investment program segment for ACAT 1 and ACAT 2 investment programs;
  • Identifies any future corporate decisions and levels of empowerment for the service organization during solution implementation and in-service management for ACAT 1 and ACAT 2 investment programs;
  • Makes acquisition program baseline change decisions that alter program performance, cost, and schedule baselines during solution implementation for ACAT 1 and ACAT 2 investment programs;
  • Approves FAA budget submissions for the RE&D, and F&E appropriations, and reviews the O&M appropriation.  The Administrator approves the O&M budget before submission to the Office of the Secretary for Transportation; 
  • Makes production and in-service decisions or assigns approval authority to another organization for ACAT 1 and ACAT 2 investment programs; and
  • Conducts service-level reviews to manage ongoing investment programs, including operational assets.

The Joint Resources Council has the following core members:

  • Acquisition Executive;
  • Chief Operating Officer;
  • Associate Administrator for Aviation Safety;
  • Chief Information Officer;
  • General Counsel;
  • Chief Financial Officer;
  • Associate Administrator for Region and Center Operations;
  • Associate Administrator for Airports; and
  • ATO Financial Officer.

The following members attend JRC meetings when the decision concerns their organizational responsibilities:

  • Associate Administrator for Commercial Space Transportation;
  • Assistant Administrator for Aviation Policy, Planning, and Environment; and
  • Director for Joint Planning and Development Office.

ATO EXECUTIVE COUNCIL

  • Serves with the acquisition executive as the investment decision authority for ATO ACAT 3 and ACAT 4 investment programs (e.g., air traffic control services and the National Airspace System);
  • Coordinates and integrates activity across ATO service units to ensure resources are directed at priority FAA strategic and performance goals and to ensure there is no overlap or redundancy; and
  • Oversees execution of ACAT 3 - ACAT 5 investment programs within the ATO and as assigned by the Joint Resources Council.

INFORMATION TECHNOLOGY EXECUTIVE BOARD

  • Reviews and approves OMB Exhibit 300s for designated information technology capital investments during the annual budget cycle before submission to the Department of Transportation and OMB;
  • Serves as the investment decision authority for ACAT 3 - ACAT 5 non-NAS information technology investment programs (e.g., administrative systems, some mission support services, certain NAS investments);
  • Coordinates and integrates activity across service organizations for assigned elements of the enterprise architecture to ensure resources are directed at priority FAA strategic and performance goals and to ensure there is no overlap or redundancy;
  • Oversees execution of information technology investments assigned by the JRC and AMS ACAT policy; and
  • Makes investment decisions in areas specified by the Joint Resources Council and AMS ACAT policy.

ASSOCIATE AND ASSISTANT ADMINISTRATORS AND THE CHIEF OPERATING OFFICER

  • Require service analysis for designated services (e.g., en-route service, terminal service, regulatory service, certification service) within the line of business;
  • Approve entry into initial investment analysis for ACAT 3 – ACAT 5 investment programs;
  • Serve with the acquisition executive and Chief Financial Officer as the investment decision authority for non-ATO, non information technology investment programs within the line of business per AMS ACAT policy;
  • Provide staff support to concept and requirements analysis and investment analysis activity for service needs within the line of business;
  • Implement non-material solutions to a service need that emerge any time during mission analysis or investment analysis; and
  • Oversee investment program execution by service organizations within the line of business.

ACQUISITION EXECUTIVE

  • Manages AMS policy;
  • Member of the Joint Resources Council and all other investment decision authorities except ACAT 3 – ACAT 5 non-NAS information technology investment programs;
  • Jointly approves the acquisition program baseline with other designated members of the investment decision authority for all ACATs except ACAT 3 – ACAT 5 non-NAS information technology investment programs;
  • Chairs the Joint Resources Council at ACAT 1 and ACAT 2 investment decisions and at all acquisition program baseline change decisions except ACAT 3 – ACAT 5 non-NAS information technology investment programs;
  • Chairs service-level reviews; and
  • Approves OMB Exhibit 300s for designated capital investments before submission to the Department of Transportation and OMB.

VICE PRESIDENTS (ATO) AND SERVICE DIRECTORS (non-ATO)

  • Responsible and accountable for the delivery of services by service organizations under their management;
  • Deliver status briefings for their service portfolio to the Joint Resources Council at semi-annual service-level reviews;
  • Approve plans for concept and requirements definition and assign necessary human resources;
  • Make the decision to enter concept and requirements definition after all entrance criteria are satisfied;
  • Assess operational assets annually at a minimum to determine whether they should continue in service or be modified, upgraded, or removed from service;
  • Approve plans for investment analysis and assign necessary human resources;
  • Approve the program requirements document and the implementation strategy and planning document; and
  • Oversee the annual update and submission of the OMB 300 Exhibit for designated investment programs.

INVESTMENT DECISION AUTHORITY EXECUTIVE SECRETARIAT

The IDA executive secretariat manages the investment decision-making process for all investment decision authorities except the ITEB. The JRC secretariat as the IDA executive secretariat does the following:

  • Facilitates the efforts of service organizations to ensure timely and effective investment decision-making;
  • Uses AMS-based criteria to evaluate the status of investment initiatives seeking an investment decision before scheduling an IDA decision;
  • Coordinates JRC and ATO Executive Council meeting dates and arranges logistics;
  • Manages the paper IDA process;
  • Prepares records of decision from IDA meetings, minutes from JRC service-level reviews, and notes from meetings of subordinate review boards (with exception of the ITEB) related to investment decisions;
  • Maintains the official repository of investment decision documentation, records of decision, meeting minutes and assigned action items; and
  • Develops and maintains IDA guidance documents and processes.

CAPITAL INVESTMENT TEAM

The capital investment team (CIT) is composed of senior-level staff and managers from ATO-Finance, ATO-Operations Planning, Office of Financial Services, and management representatives of non-ATO offices when their programs are being reviewed; responsible for supporting the ATO Chief Financial Officer, the ATO Executive Committee and the Joint Resources Council in establishing and maintaining year-round prioritization of all ongoing and proposed investment programs, performing budget impact assessments for new proposed investment programs, preparing annual budget submissions, and preparing reprogramming of funds recommendations. Functional disciplines on the team include operational air traffic control expertise, system engineering, investment analysis, and capital and operations budgeting.  The CIT:

  • Reviews ATO investment programs and provides recommendations to the ATO Vice President of Finance prior to IDA presentation and approval to assess business justification, budget affordability, and program priority;
  • Formulates ATO Capital R&D funding requirements;
  • Reviews non-ATO investments proceeding to the IDA and provides business-based, objective recommendations to the ATO Vice President of Finance for use on the JRC;
  • Performs corporate budget formulation and execution, including budget impact assessments, and recommendations of funding offsets and reprogramming due to program baseline changes, marks/pass-backs from OST, OMB, and Congress; and
  • Establishes and maintains an up-to-date prioritization of all on-going and proposed investment programs for use in budget impact assessments and determination of offsets.

DIRECTOR, OFFICE OF SAFETY MANAGEMENT

  • Conducts independent operational test and evaluation for programs as directed by the Joint Resources Council; and
  • Co-approves the test section of the implementation strategy and planning document for programs designated for IOT&E.

PRODUCT OR SERVICE TEAM

  • Develops, procures, and delivers products or services for users or customers;
  • Manages the acquisition program baseline of investment programs it is implementing and reports breaches to management;
  • Updates the OMB Exhibit 300 annually for designated programs;
  • Assists in development of the program requirements recorded in the program requirements document;
  • Develops cost and schedule baselines during final investment analysis for the solution selected for implementation;
  • Acquires new or improved capability for services and products throughout their lifecycle;
  • Keeps planning current during solution implementation in the implementation strategy and planning document;
  • Supports the conduct of post-implementation reviews;
  • Ensures coordination and obtains input from subject-matter experts in critical functional disciplines. These disciplines vary by the type of program, but typically include: management of requirements; test and evaluation; deployment planning; logistics support; procurement planning; real property; acquisition, management, and disposal; configuration management; earned value management; human factors; environmental, occupational safety and health, and energy considerations; information technology; system engineering; security; system safety management; spectrum management; risk management; regulation and certification; telecommunications. The service organization is responsible to ensure that all relevant disciplines have been contacted whether or not they appear in the above list.

PRODUCT OR SERVICE TEAM LEADER

  • Serves as the source selection official for procurements subject to the IDA process unless otherwise designated by the IDA;
  • Serves as spokesperson for the team;
  • Guides, encourages, and coaches team members;
  • Leads and facilitates team efforts without dominating the process;
  • Keeps the team focused on consensus decision-making and ensures individual team members do not dominate team deliberations;
  • Ensures all stakeholders are members of the team and that they participate in team decision-making;
  • Leads development of cost, schedule, and performance baselines during final investment analysis;
  • Determines the management approach for an investment program and applicable contracts based on program size, complexity, risk, and FAA earned value management policy;
  • Manages the acquisition program baseline and reports performance information to management, including anticipated or actual breaches with corrective actions or a request for a revised program baseline;
  • In consultation with the contracting officer, determines the acquisition strategy for obtaining the selected solution and establishes the appropriate earned value management and reporting applications for each contract;
  • Assures FAA program needs are acquired through the appropriate source selection process and assures SIRs include adequate definition of requirements;
  • Assures qualified technical evaluators, if required, assist the source evaluation team in the evaluation; and
  • In consultation with the contracting officer, conducts the integrated baseline review, assisted by the contracting officer’s technical representative;

CONTRACTING OFFICER

  • Serves as the source selection official for procurements not subject to the IDA decision process;
  • Ensures, when applicable, conflict of interest documentation is obtained from the source selection official and all source evaluation team members; with legal counsel, determines if any actual or apparent conflict of interest exists and if so resolves or mitigates the conflict;
  • Ensures source evaluation team members are briefed on sensitivities of the source selection process, prohibition against unauthorized disclosure of information (including their responsibility to safeguard proposals and any documentation related to the source selection team proceedings), and requirements concerning conflict of interest; ensures source selection official and source evaluation team members provide nondisclosure of information statements;
  • Coordinates communications with industry, controls all written documentation issued to industry, and conducts all debriefings;
  • Participates during screening, selection, and debriefing phases of source selection to ensure fair treatment of all offerors;
  • Issues letters, public announcements, screening information requests and amendments, and other procurement documents;
  • Ensures the contract is signed by a contractor's representative with the authority to bind the contractor; with legal counsel, ensures all contractual documents comply with applicable laws, regulations, and policies; and
  • Executes, administers, and terminates contracts and makes related determinations and decisions that are contractually binding.

SOURCE SELECTION OFFICIAL

  • Assures source evaluation team competence, cohesiveness, and effectiveness;
  • Assigns responsibility to a source evaluation team member to mark all source selection sensitive information with the designation "source selection sensitive information."
  • Approves source evaluation plans and assures the evaluation conforms to the stated evaluation criteria; and
  • Makes down-select decisions and assumes full authority to select the source for award.

SOURCE EVALUATION TEAM

  • Drafts all SIRs; 
  • Formulates the source evaluation plan;
  • Reviews existing lessons-learned reports that provide meaningful insight into the procurement;
  • Ensures an in-depth review and evaluation of each submitted screening document against FAA requirements and evaluation criteria;
  • Prepares the source evaluation report (including recommendations, if requested) so the SSO may make down selection and/or award decisions, and if requested by the SSO, prepares documentation for the SSO decision rationale;
  • Oversees all procedural and administrative aspects of the procurement;
  • Selects advisors to assist the team in its evaluation, if required;
  • Participates in all debriefings; and
  • Prepares a lessons learned memorandum after completing the source selection.

OFFICE OF THE CHIEF COUNSEL

  • Represents FAA legal interests on product or service teams engaged in the acquisition of goods and services;
  • Exercises independent professional judgment, advises teams on relevant legal, governmental, and business issues, and promotes the legality and integrity of acquisition actions;
  • Represents the FAA in connection with procurement-related litigation, alternative dispute resolution, and other matters; and
  • Serves as core member of the Joint Resources Council.

OFFICE OF DISPUTE RESOLUTION FOR ACQUISITION

  • FAA Administrator's impartial administrative forum for adjudication of bid protests and contract disputes arising under the AMS;
  • Provides dispute resolution services to the FAA and it's private business partners, implementing FAA policy to utilize Alternative Dispute Resolution (ADR) to the maximum extent practicable;
  • Conducts a streamlined adjudication process for matters un-resolvable through ADR;
  • Provides "Findings and Recommendations", and issues orders and decisions supported by the case record and law, on behalf of the FAA Administrator;
  • Promulgates and operates in accordance with rules of procedure; and
  • Recommends changes to the Acquisition Management System.

SERVICE ORGANIZATIONS

  • Plan and manage resources as assigned by an IDA to deliver services within their service area of responsibility;
  • Conduct service analysis for assigned services and plan service delivery;
  • Maintain consistency between service planning and FAA strategic and performance goals;
  • Work with the appropriate systems engineering organization to develop concepts of use and requirements, as required;
  • Work with the appropriate systems engineering and operating organizations to determine realistic alternative solutions to service needs; and
  • Identify, justify, obtain, and manage research, study, and analysis within their service area of responsibility.

ATO OPERATIONS PLANNING ORGANIZATION

  • Manages the corporate research budgeting process;
  • Coordinates annual development of the National Aviation Research Plan;
  • Interfaces with OST, OMB, Congress, trade organizations, industry, international organizations, and other government organizations for FAA-level research issues; and
  • Oversees and coordinates the ATO strategic management process; and
  • Provides test and evaluation services.

SYSTEMS ENGINEERING ORGANIZATIONS

  • Work with both corporate mission analysis and service organizations to ensure consistency between service planning and the long-range strategic direction of the FAA;
  • Work with service organizations to translate user needs into a sequenced and traceable architecture that defines the functions and sub-functions necessary to achieve intended services or operational capability;
  • Work with service organizations to determine realistic alternative solutions to service need and assess their impact on the enterprise architecture;
  • Work with service organizations to conduct service analysis and incorporate associated recommendations into the enterprise architecture; and
  • Work with service organizations to develop the program requirements document.

ATO SYSTEMS ENGINEERING ORGANIZATION

  • Performs corporate-level mission analysis;
  • Oversees the NAS segment of the enterprise architecture;
  • Coordinates service analysis activity across service organizations to ensure alignment with FAA strategic and performance goals and to eliminate redundant activity, duplicate benefits, service gaps, and service overlap;
  • Develops and maintains standards and tools for conducting service analysis;
  • Assists service organizations in establishing a service analysis capability and conducting service analysis; and
  • Leads planning and activities for concept and requirements definition

CHIEF FINANCIAL OFFICER

  • Jointly approves the acquisition program baseline with other IDA members except ACAT 3 – ACAT 5 non-NAS information technology investment programs;
  • Serves as a core member of the Joint Resources Council; and
  • Approves OMB Exhibit 300s for designated capital investments before submission to the Department of Transportation and OMB.

CHIEF INFORMATION OFFICER

  • Serves as a core member of the Joint Resources Council;
  • Chairs the Information Technology Executive Board;
  • Approves OMB Exhibit 300s for designated capital investments before submission to the Department of Transportation and OMB;
  • Jointly approves the acquisition program baseline with other IDA members for ACAT 1 – ACAT 2 investment programs and for ACAT 3 – ACAT 5 non-NAS information technology investment programs; and
  • Oversees the enterprise architecture.

AIO VALUE MANAGEMENT OFFICE

  • Provides process, guidance, training, and consultation to service organizations in the preparation of OMB Exhibit 300s;
  • Independently scores OMB Exhibit 300s and provides feedback to service organizations and the IDA Secretariat for designated investment programs;
  • Consolidates and reports major program schedule and cost performance data, variance analysis, and corrective action plans to the Information Technology Executive Board, Department of Transportation, and Office of Management and Budget; and
  • Conducts EVM assessments for programs requiring submission of an Exhibit 300 to OMB and ensures EVM transition plans for those programs are implemented effectively.

EARNED VALUE MANAGEMENT FOCAL POINT

  • Serves as the FAA EVM executive agent;
  • Assists program managers and business managers to apply EVM requirements to capital investment programs and contracts;
  • Coordinates EVM activities for FAA with other government agencies and with industry and professional associations; and
  • Collects monthly schedule and cost performance data, variance analysis and corrective action plans for major programs. 

IN-SERVICE DECISION SECRETARIAT

The in-service decision secretariat manages the deployment planning process for the JRC and the ATO Executive Council. The secretariat:

  • Coordinates with the IDA executive secretariat to verify that IDA readiness criteria for a final investment decision have been satisfied;
  • Facilitates the efforts of service organizations to ensure timely and effective in-service decision-making;
  • Uses AMS-based criteria to evaluate the status of each program seeking an in-service decision before scheduling the program for a stakeholder and in-service decision meeting;
  • Prepares records of decision; and
  • Tracks ISD action plans until closure.

ACQUISITION EXECUTIVE BOARD

A corporate body that assists and supports the acquisition executive and Joint Resources Council establish, change, communicate, and implement acquisition management policy, practices, procedures, tools, and training. The AEB:

  • Reviews, authorizes, and oversees development and implementation of acquisition management policy, process, practices, procedures, tools, and training at all organizational levels;
  • For authorized change proposals, charters and provides resources for cross-functional work groups to conduct feasibility and cost/benefit analyses for proposed policy, guidance, practice, and procedure changes;
  • Directs, controls, and approves all compliance processes associated with execution of any aspect of AMS; and
  • Directs and oversees the Acquisition System Advisory Group.