Acquisition Management System Guidance

Table of Acquisition Categories

October 2012

AMS Table of Acquisition Categories October 2012

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Table of Acquisition Categories

AMS Policy 1.2.5.1: Acquisition Categories for Investment

Purpose and Applicability:

ecision!Ma"ing an# $overnance

Acquisition categories (ACATs) ensure the appropriate level of oversight and artifact requirements are applied to each FAA investment program. ACATs apply to all investment programs appropriations and FAA organi!ations. This includes all capital investments in the "ational Airspace #ystem and FAA administrative and mission support systems and services. $etermination of an ACAT: ACATs are determined by a t%o&step process. First a proposed FAA investment program %ill be classified into an 'nvestment Type ("e% 'nvestment Technology (efreshment Facility )ariable *uantity or #upport Contract) based on the definitions provided in Table +.,.-.+&+. #econd the investment program %ill be classified into an ACAT for that 'nvestment Type based on the designation criteria. Programs %ill be assigned to the highest level ACAT (e.g. starting %ith ACAT +) in %hich they meet one or more of the designation criteria. $esignation criteria includes factors such as total F./ costs single year F./ costs 0.1 costs and factors such as comple2ity ris3 political sensitivity safety and security. Final ACAT Approval: $uring concept and requirements definition (C($) the sponsoring service organi!ation recommends an ACAT to the Acquisition /2ecutive 4oard %hich ma3es the categori!ation decision and notifies the 5oint (esources Council (5(C). The ACAT is finali!ed before the investment analysis readiness decision ('A($). Table +.,.-.+&+ belo% defines each 'nvestment Type. $etailed designation criteria by 'nvestment Type follo%. Table 1.2.5.1!1: Investment Ty%es

Investment Ty%e
&e' Investment (/2isting ACATs)

efinition
A program associated %ith the research design development and implementation of a ne% FAA product system or service. The program typically introduces ne% capabilities or provides ne% or improved functionality to an e2isting program 6e.g. Pre&Planned Product 'mprovement (P7')8.

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Table of Acquisition Categories Investment Ty%e

Tec(nology )efres(ment (/2isting ACAT 9:- Technology (efreshment)

efinition
A program associated %ith 3eeping fielded products systems and services maintained and operational. 't may result in ne% safety or security implications. The program is not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. The program has an enterprise&%ide impact %hereby a change to the product or system %ill sustain its continued use for a specified period of time. ;ithin A1# other similar types of investments are incorporated into the Technology (efreshment category including the follo%ing: #ervice <ife /2tension (#</P) and (eplacement&in&=ind.

*acility Initiative +ariable ,uantity

A program associated %ith the ne% construction replacement moderni!ation repair remediation lease or disposal of FAA>s manned and unmanned facility infrastructure(s). #uch an initiative may result in ne% safety or security implications. A program that includes insertions moderni!ations or additions to quantities of systems or subcomponents previously fielded and in operation %ithin the FAA. The program is associated %ith 3eeping fielded products systems and services maintained and operational and may result in ne% safety or security implications. The program is not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. 'n addition the program does not typically have a defined duration (%ith a set start and end date) and must meet the follo%ing criteria: o The program impacts one service delivery point (#$P) or multiple #$Ps based on the level of funding available o The amount of equipment:systems:services procured or replaced is based on a trade&off bet%een need and funding available o 'ndividual components are typically commercial&off&the&shelf and involve limited technical ris3? the costs are highly predictable and can typically be moneti!ed on a unit cost basis A program that includes contracts associated %ith procuring technical engineering scientific professional management and administrative e2pertise advice analysis studies or reports. #upport services contracts follo% the e2isting contracting guidance in A1# policy. A #upport #ervices Contract program is associated %ith providing support services for one of the follo%ing: o Technical engineering and scientific e2pertise advice analysis studies or reports o Professional management and administrative e2pertise advice analysis studies or reports

Su%%ort Services Contract

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Table of Acquisition Categories &e' Investment

efinition: A "e% 'nvestment program is associated %ith the research design development and implementation of a ne% FAA product system or service. The program typically introduces ne% capabilities or provides ne% or improved functionality to an e2isting program 6e.g. Pre&Planned Product 'mprovement (P 7')8. A "e% 'nvestment program must revie% the designation criteria listed in Table +.,.-.+&, to determine the appropriate acquisition category (ACAT). These programs may fall into one of five ACATs %hich determine the appropriate level of oversight and artifact requirements. Table +.,.-.+&, outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during Concept and (equirements $efinition (C($) 'nitial 'nvestment Analysis (''A) and Final 'nvestment Analysis (F'A) for "e% 'nvestment programs. Table 1.2.5.1!2: &e' Investment ACAT Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -.//M ,. Program has a single year of F./ funding greater t(an -2//M 7. Program has 0.1 costs greater t(an -5//M 9. For "on&"A# 'T Programs: a. FAA /nterprise&%ide impact 0( b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis CRD +. #hortfall Analysis: *uantification ,. #olution Con0ps 7. Functional Analysis 9. /A Products:)ie%s -. #afety Assessment+ A. Preliminary Program (equirements B. #pecialty /ngineering Assessments (e.g. #pectrum Cuman Factors) D. (ange of Alternatives, E. (01 Costs +F. ACAT $etermination ++. 'nvestment Analysis Plan =ey Artifacts IIA +. 'nitial Program (equirements ,. 'nitial 4usiness Case 7. 'nitial 'mplementation #trategy and Planning $ocument 9. Final 'nvestment Analysis Plan

+. ,. 7.

"e% 'nvestment + (+"')

9. -.

FIA Final Program (equirements Final 4usiness Case Final 'mplementation #trategy and Planning $ocument Acquisition Program 4aseline 'n&#ervice (evie% Chec3list

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Table of Acquisition Categories

Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -0//M but less t(an -.//M ,. Program has a single year of F./ funding greater t(an -1//M but less t(an -2//M 7. Program has 0.1 costs greater t(an -25/M but less t(an -5//M 9. For "on&"A# 'T Programs: a. FAA /nterprise&%ide impact 0( b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is me#ium to (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity +. Program has total F./ costs greater t(an -1//M but less t(an -0//M ,. Program has a single year of F./ funding greater t(an -5/M an# less t(an -1//M 7. Program has 0.1 costs greater t(an -1//M but less t(an -25/M 9. For "on&"A# 'T Programs: a. #ignificant impact on a single or several FAA <04s 0( b. 'mpact the 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is me#ium: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis CRD +. #hortfall Analysis: *uantification ,. #olution Con0ps 7. Functional Analysis 9. /A Products:)ie%s -. #afety Assessment+ A. Preliminary Program (equirements B. #pecialty /ngineering Assessments (e.g. #pectrum Cuman Factors) D. (ange of Alternatives, E. (01 Costs +F. ACAT $etermination ++. 'nvestment Analysis Plan +. #hortfall Analysis: *uantification ,. #olution Con0ps 7. Functional Analysis 9. /A Products:)ie%s -. #afety Assessment+ A. Preliminary Program (equirements B. #pecialty /ngineering Assessments (e.g. #pectrum Cuman Factors) D. (ange of Alternatives, E. (01 Costs +F. ACAT $etermination ++. 'nvestment Analysis Plan =ey Artifacts IIA +. 'nitial Program (equirements ,. 'nitial 4usiness Case 7. 'nitial 'mplementation #trategy and Planning $ocument 9. Final 'nvestment Analysis Plan FIA +. Final Program (equirements ,. Final 4usiness Case 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list

"e% 'nvestment , (,"')

5(C

5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis

"e% 'nvestment 7 (7"')

+. 'nitial Program (equirements ,. 'nitial 4usiness Case 7. 'nitial 'mplementation #trategy and Planning $ocument 9. Final 'nvestment Analysis Plan

+. Final Program (equirements ,. Final 4usiness Case 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list

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Table of Acquisition Categories

Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -2/M but less t(an -1//M ,. Program has a single year of F./ funding greater t(an -2/M but less t(an -5/M 7. Program has 0.1 costs greater t(an -2/M but less t(an -1//M 9. The aggregate rating of the follo%ing factors is me#ium to lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis 5(C 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis
+ ,

"e% 'nvestment 9 (9"')

"e% 'nvestment (-"')

+. Program has total F./ costs less t(an -2/M ,. Program has a single year of F./ funding less t(an -2/M 7. Program has 0.1 costs less t(an -2/M 9. The aggregate rating of the follo%ing factors is lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity

CRD +. #hortfall Analysis: *uantification ,. #olution Con0ps 7. Functional Analysis 9. /A Products:)ie%s -. #afety Assessment+ A. Preliminary Program (equirements B. #pecialty /ngineering Assessments (e.g. #pectrum Cuman Factors) D. (ange of Alternatives, E. (01 Costs +F. ACAT $etermination ++. 'nvestment Analysis Plan +. #hortfall Analysis: *uantification ,. #olution Con0ps 7. Functional Analysis 9. /A Products:)ie%s -. #afety Assessment+ A. Preliminary Program (equirements B. #pecialty /ngineering Assessments (e.g. #pectrum Cuman Factors) D. (ange of Alternatives, E. (01 Costs +F. ACAT $etermination ++. 'nvestment Analysis Plan

=ey Artifacts IIA +. 'nitial Program (equirements ,. 'nitial 4usiness Case 7. 'nitial 'mplementation #trategy and Planning $ocument 9. Final 'nvestment Analysis Plan

FIA +. Final Program (equirements ,. Final 4usiness Case 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list

+. 'nitial Program (equirements ,. 'nitial 4usiness Case 7. 'nitial 'mplementation #trategy and Planning $ocument 9. Final 'nvestment Analysis Plan

+. Final Program (equirements ,. Final 4usiness Case 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list

Follo% #(1@#A @uidelines (ange of Alternatives are approved by '$A

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Table of Acquisition Categories Tec(nology )efres(ment

efinition: A Technology (efreshment program is associated %ith 3eeping fielded products systems and services maintained and operational. 't may result in ne% safety or security implications. The program is not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. The program has an enterprise&%ide impact %hereby a change to the product or system %ill sustain its continued use for a specified period of time. ;ithin A1# other similar types of investments are incorporated into the Technology (efreshment category including the follo%ing: A Technology (efreshment program must revie% the designation criteria listed in Table +.,.-.+&7 to determine the appropriate acquisition category (ACAT). These programs may fall into one of t%o ACATs %hich determine the appropriate level of oversight and artifact requirements. Table +.,.-.+&7 outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during Concept and (equirements $efinition (C($) 'nitial 'nvestment Analysis (''A) and Final 'nvestment Analysis (F'A) for Technology (efreshment #</P and (eplacement&in&=ind programs. 'f different technical alternatives are to be investigated or %hen ne% functionality is e2plored the investment initiative is a "e% 'nvestment. "ote +: #ervice&@ap Analysis and a C($ (eadiness $ecision is not required for this 'nvestment Type unless other%ise directed by the 5(C. "ote ,: #afety (is3 1anagement must be applied to determine if the legacy ha!ards and associated mitigations are affected or if any additional safety ris3 is introduced into the "A#. #ervice <ife /2tension (#</P): 'nsertion of ne% components upgrades modifications or moderni!ations to an e2isting system meant to sustain the current level of service beyond the original service life. Changes may improve system performance but must not add functions or require system redesign. (eplacement&in&=ind: An as&needed e2change or introduction of a similar or equivalent component or part of a system %hich satisfies the original design&specification and results in absolutely no change to form fit function specification performance or procedures in order to sustain the original service life of the planned system.

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Table of Acquisition Categories

Table 1.2.5.1!0: Tec( )efres( ACAT Acquisition Category $esignation Criteria +. Technology (efreshment Program has total F./ costs greater t(an -2/M ,. Program is associated %ith 3eeping fielded products systems and services maintained and operational. The program: a. 's not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. b. Cas an enterprise&%ide impact %hereby a change to the product or system %ill sustain its continued use for a specified period of time. @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis +. Technology (efreshment Program has total F./ costs less t(an -2/M ,. Program is associated %ith 3eeping fielded products systems and services maintained and operational. The program: a. 's not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. b. Cas an enterprise&%ide impact %hereby a change to the product or system %ill sustain its continued use for a specified period of time. 5(C 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis +. ,. 7. 9. -. CRD #hortfall Analysis: *uantification )erify 0riginal #olution Con0ps )erify /A Products:)ie%s #afety Assessment+ )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification (01 Costs ACAT $etermination 'nvestment Analysis Plan #hortfall Analysis: *uantification )erify 0riginal #olution Con0ps )erify /A Products:)ie%s #afety Assessment+ )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification (01 Costs ACAT $etermination 'nvestment Analysis Plan =ey Artifacts IIA "o ''A (equired

Technology (efreshment 9 (9T()

A. B. D. +. ,. 7. 9. -.

FIA +. Final Program (equirements ,. Final 4usiness Case, 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list +. Final Program (equirements ,. Final 4usiness Case, 7. Final 'mplementation #trategy and Planning $ocument 9. Acquisition Program 4aseline -. 'n&#ervice (evie% Chec3list

"o ''A (equired

Technology (efreshment (-T()

A. B. D.

+ ,

Follo% #(1@#A @uidelines Focus is on cost effectiveness analysis? benefit analysis is not required

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Table of Acquisition Categories

*acility
Program 1evel efinition: A Facility 'nitiative program is associated %ith the ne% construction replacement moderni!ation repair remediation lease or disposal of FAA>s manned and unmanned facility infrastructure(s). 't may result in ne% safety or security implications. A Facility program must revie% the designation criteria listed in Table +.,.-.+&9 to determine the appropriate acquisition category (ACAT). These programs may fall into one of five ACATs %hich determine the appropriate level of oversight and artifact requirements. /stimated F./ costs %ill be determined by the program type: (ecurring Programs (e.g. programs that do not have an anticipated end date) use a five&year F./ funding request for ACAT determination. $iscrete Programs (e.g. pre&defined programs %ith an anticipated end date) use the F./ funding request for the entire program lifecycle for ACAT determination.

The Facility program ACAT is used for completing the Concept and (equirements $efinition phase only. 'nvestment Analysis is completed at the proGect level. #ee Table +.,.-.+&9.+ for information on categori!ing individual facility proGects. Table +.,.-.+&9 outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during Concept and (equirements $efinition (C($) for Facility programs. "ote +: #ervice&@ap Analysis and a C($ (eadiness $ecision is not required for this 'nvestment Type unless other%ise directed by the 5(C.

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Table of Acquisition Categories

Table 1.2.5.1!2: *acility ACAT Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -.//M a. 4ased on -&year estimated costs for recurring programs b. 4ased on entire program lifecycle costs for discrete programs ,. Program has a single year of F./ funding greater t(an -2//M 7. Program has 0.1 costs greater t(an -5//M 9. For "on&"A# 'T Programs a. FAA /nterprise&%ide impact b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) 'nvestment Planning . Analysis +. ,. 7. 9. -. CRD Facility #hortfall Analysis: *uantification #afety Assessment+ 1odified Preliminary Program (equirements (01 Costs Facility /2ecution Plan & Program <evel (recurring programs only) ACAT $etermination =ey Artifacts IIA "o ''A (equired

FIA Completed at ProGect <evel

A.

Facility + (+F)

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Table of Acquisition Categories

Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -0//M but less t(an -.//M a. 4ased on -&year estimated costs for recurring programs b. 4ased on entire program lifecycle costs for discrete programs ,. Program has a single year of F./ funding greater t(an -1//M but less t(an -2//M 7. Program has 0.1 costs greater than -25/M but less t(an -5//M 9. For "on&"A# 'T Programs a. FAA /nterprise&%ide impact 0( b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is me#ium to (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) 'nvestment Planning . Analysis CRD +. Facility #hortfall Analysis: *uantification ,. #afety Assessment+ 7. 1odified Preliminary Program (equirements 9. (01 Costs -. Facility /2ecution Plan & Program <evel (recurring programs only) A. ACAT $etermination =ey Artifacts IIA "o ''A (equired FIA Completed at ProGect <evel

Facility , (,F)

Facility

+. Program has total F./ costs greater t(an

5(C

5(C /2ecutive

+. Facility #hortfall

"o ''A (equired

Completed at ProGect
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Table of Acquisition Categories

Acquisition Category $esignation Criteria -1//M but less t(an -0//M a. 4ased on -&year estimated costs for recurring programs b. 4ased on entire program lifecycle costs for discrete programs Program has a single year of F./ funding greater t(an -5/M an# less t(an -1//M Program has 0.1 costs greater t(an -1//M but less t(an -25/M For "on&"A# 'T Programs: a. #ignificant impact on a single or several FAA <04s 0( b. 'mpact the 1ission #upport functions of the FAA The aggregate rating of the follo%ing factors is me#ium: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A (evie%ed 4y #ecretariat /ngineering #ervices ("A# Programs) 'nvestment Planning . Analysis A. CRD Analysis: *uantification #afety Assessment+ 1odified Preliminary Program (equirements (01 Costs Facility /2ecution Plan & Program <evel (recurring programs only) ACAT $etermination =ey Artifacts IIA <evel FIA

,. 7. 9. -.

,. 7. 9. 7 (7F) -.

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Table of Acquisition Categories

Acquisition Category $esignation Criteria +. Program has total F./ costs greater t(an -2/M but less t(an -1//M a. 4ased on -&year estimated costs for recurring programs b. 4ased on entire program lifecycle costs for discrete programs ,. Program has a single year of F./ funding greater t(an -2/M but less t(an -5/M 7. Program has 0.1 costs greater t(an -2/M but less t(an -1//M 9. The aggregate rating of the follo%ing factors is me#ium to lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity +. Program has total F./ costs less t(an -2/M a. 4ased on -&year estimated costs for recurring programs b. 4ased on entire program lifecycle costs for discrete programs ,. Program has a single year of F./ funding less t(an -2/M 7. Program has 0.1 costs less t(an -2/M 9. The aggregate rating of the follo%ing factors is lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) 'nvestment Planning . Analysis CRD +. Facility #hortfall Analysis: *uantification ,. #afety Assessment+ 7. 1odified Preliminary Program (equirements 9. (01 Costs -. Facility /2ecution Plan & Program <evel (recurring programs only) A. ACAT $etermination =ey Artifacts IIA "o ''A (equired FIA Completed at ProGect <evel

Facility 9 (9F)

5(C

5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) 'nvestment Planning . Analysis

Facility (-F)

+. Facility #hortfall Analysis: *uantification ,. #afety Assessment+ 7. 1odified Preliminary Program (equirements 9. (01 Costs -. Facility /2ecution Plan & Program <evel (recurring programs only) A. ACAT $etermination

"o ''A (equired

Completed at ProGect <evel

Follo% #(1@#A @uidelines

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Table of Acquisition Categories

Pro3ect 1evel Facility proGects are those individual investments made at a site&level. A Facility proGect must revie% the designation criteria listed in Table +.,.-.+&9.+ to determine the appropriate sub& ACAT. Facility proGects may fall into one of three sub&ACATs (F+ F, and F7). Facility proGects may result in ne% safety or security implications. Cigher&dollar value proGects involving ne% construction or comple2:politically sensitive aspects %ill be categori!ed as F+ proGects. For the purposes of A1# ne% construction refers to the establishment of a brand ne% facility and does not include the replacement or moderni!ation of an e2isting facility. <o%er&dollar value and:or less comple2 proGects including replacements or moderni!ations %ill be categori!ed as F, and F7 proGects. F+ proGects %ill go through a modified 'nvestment Analysis process and F, and F7 proGects %ill follo% <04& specific governance and documentation requirements. Table +.,.-.+&9.+ outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during Final 'nvestment Analysis (F'A) for Facility proGects. Table 1.2.5.1!2.1: *acility Pro3ect Sub!ACAT Acquisition Category $esignation Criteria +. ProGect has total F./ costs greater t(an -15M A& ,. ProGect includes ne' construction or has an aggregate rating of (ig( for the follo%ing factors: a. Comple2ity b. (is3 c. Political #ensitivity +. ProGect has total F./ costs bet'een -1.5M an# -15M 4) ,. ProGect has F./ costs greater t(an -15M but #oes not inclu#e any ne' construction an# (as an aggregate rating of me#ium or lo' for the follo%ing factors: a. Comple2ity b. (is3 c. Political #ensitivity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat 'nvestment Planning . Analysis CRD Completed at Program <evel #afety assessment if required + =ey Artifacts IIA FIA "o ''A +. 1odified Final Program (equired (equirements ,. 1odified Final 4usiness Case 7. 1odified Final 'mplementation #trategy and Planning $ocument 9. Facility /2ecution Plan & ProGect <evel "o ''A Follo% <04 revie% processes (equired and documentation requirements

Facility ProGect #ub& ACAT F+

AT0: )P, "on&AT0: $irector,

<04

Completed at Program <evel #afety assessment if required +

Facility ProGect #ub& ACAT F,

Follo% #(1@#A @uidelines

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Table of Acquisition Categories

Acquisition Category $esignation Criteria +. ProGect has total F./ cost less t(an -1.5M @overnance '$A AT0: $irector, (evie%ed 4y <04 CRD Completed at Program <evel #afety assessment if required + =ey Artifacts IIA FIA "o ''A Follo% <04 revie% processes (equired and documentation requirements

Facility ProGect #ub& ACAT F7

"on&AT0: $irector,

1ay be delegated to subordinate e2ecutive

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Table of Acquisition Categories +ariable ,uantity

efinition: A )ariable *uantity program includes insertions moderni!ations or additions to quantities of systems or subcomponents previously fielded and in operation %ithin the FAA. The program is associated %ith 3eeping fielded products systems and services maintained and operational and may result in ne% safety or security implications. The program is not intended to result in ne% or improved functionality and any ne% technology introduced is strictly incidental. 'n addition the program does not typically have a defined duration (%ith a set start and end date) and must meet the follo%ing criteria: The program impacts one service delivery point (#$P) or multiple #$Ps based on the level of funding available The amount of equipment:systems:services procured or replaced is based on a trade&off bet%een need and funding available 'ndividual components are typically commercial&off&the&shelf and involve limited technical ris3? the costs are highly predictable and can typically be moneti!ed on a unit cost basis

A )ariable *uantity program must revie% the designation criteria listed in Table +.,.-.+&- to determine the appropriate acquisition category (ACAT). These programs may fall into one of five ACATs %hich determine the appropriate level of oversight and artifact requirements. Table +.,.-.+&- outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during Concept and (equirements $efinition (C($) 'nitial 'nvestment Analysis (''A) and Final 'nvestment Analysis (F'A) for )ariable *uantity programs. "ote +: #ervice&@ap Analysis and a C($ (eadiness $ecision is not required for this 'nvestment Type unless other%ise directed by the 5(C. "ote ,: 'f C($ artifacts %ere not previously developed the program %ill have to confirm artifact requirements %ith the C($ revie% authorities.

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Table of Acquisition Categories

Table 1.2.5.1!5: +ariable ,uantity ACAT Acquisition Category $esignation Criteria +. Program has -&year estimated F./ costs greater t(an -.//M ,. Program has a single year of F./ funding greater t(an -2//M 7. Program has 0.1 costs greater t(an -5//M 9. For "on&"A# 'T Programs a. FAA /nterprise&%ide impact b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity +. Program has -&year estimated total F./ costs greater t(an -0//M but less t(an -.//M ,. Program has a single year of F./ funding greater t(an -1//M but less t(an -2//M 7. Program has 0.1 costs greater than -25/M but less t(an -5//M 9. For "on&"A# 'T Programs a. FAA /nterprise&%ide impact 0( b. Critical to 1ission #upport functions of the FAA -. The aggregate rating of the follo%ing factors is me#ium to (ig(: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis 5(C 5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis +. ,. 7. 9. CRD )* #hortfall Analysis: *uantification )erify /A Products:)ie%s #afety Assessment+ )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification (01 Costs (on unit cost basis) ACAT $etermination Plan for Final 'nvestment Analysis =ey Artifacts IIA "o ''A (equired

)ariable *uantity + (+)*)

-. A. B.

FIA +. Final Program (equirements ,. Final 4usiness Case, 7. Funding 0ptions . 0perational (is3 Analysis 9. Final 'mplementation #trategy and Planning $ocument -. )ariable *uantity /2ecution Plan A. 'n&#ervice (evie% Chec3list +. Final Program (equirements ,. Final 4usiness Case, 7. Funding 0ptions . 0perational (is3 Analysis 9. Final 'mplementation #trategy and Planning $ocument -. )ariable *uantity /2ecution Plan A. 'n&#ervice (evie% Chec3list

)ariable *uantity , (,)*)

+. )* #hortfall Analysis: *uantification ,. )erify /A Products:)ie%s 7. #afety Assessment+ 9. )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification -. (01 Costs (on unit cost basis) A. ACAT $etermination B. Plan for Final 'nvestment Analysis

"o ''A (equired

)ariable

+. Program has -&year estimated total F./ costs

5(C

5(C /2ecutive

+. )* #hortfall Analysis:

"o ''A (equired

+. Final Program
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AMS Table of Acquisition Categories October 2012

Table of Acquisition Categories

Acquisition Category ,. 7. 9. *uantity 7 (7)*) $esignation Criteria greater t(an -1//M but less t(an -0//M Program has a single year of F./ funding greater t(an -5/M an# less t(an -1//M Program has 0.1 costs greater t(an -1//M but less t(an -25/M For "on&"A# 'T Programs: a. #ignificant impact on a single or several FAA <04s 0( b. 'mpact the 1ission #upport functions of the FAA The aggregate rating of the follo%ing factors is me#ium: a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity 5(C @overnance '$A (evie%ed 4y #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis CRD *uantification )erify /A Products:)ie%s #afety Assessment+ )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification (01 Costs (on unit cost basis) ACAT $etermination Plan for Final 'nvestment Analysis =ey Artifacts IIA ,. 7. 9. FIA (equirements Final 4usiness Case, Funding 0ptions . 0perational (is3 Analysis Final 'mplementation #trategy and Planning $ocument )ariable *uantity /2ecution Plan 'n&#ervice (evie% Chec3list

,. 7. 9.

-. A. B.

-.

-. A.

)ariable *uantity 9 (9)*)

+. Program has -&year estimated total F./ costs greater t(an -2/M but less t(an -1//M ,. Program has a single year of F./ funding greater t(an -2/M but less t(an -5/M 7. Program has 0.1 costs greater t(an -2/M but less t(an -1//M 9. The aggregate rating of the follo%ing factors is me#ium to lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity

5(C /2ecutive #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis

+. )* #hortfall Analysis: *uantification ,. )erify /A Products:)ie%s 7. #afety Assessment+ 9. )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification -. (01 Costs (on unit cost basis) A. ACAT $etermination B. Plan for Final 'nvestment Analysis

"o ''A (equired

+. Final Program (equirements ,. Final 4usiness Case, 7. Funding 0ptions . 0perational (is3 Analysis 9. Final 'mplementation #trategy and Planning $ocument -. )ariable *uantity /2ecution Plan A. 'n&#ervice (evie% Chec3list

)ariable

+. Program has -&year estimated total F./ costs

5(C

5(C /2ecutive

+. )* #hortfall Analysis:

"o ''A (equired

+. Final Program
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Table of Acquisition Categories

Acquisition Category $esignation Criteria less t(an -2/M ,. Program has a single year of F./ funding less t(an -2/M 7. Program has 0.1 costs less t(an -2/M 9. The aggregate rating of the follo%ing factors is lo': a. Comple2ity b. (is3 c. Political #ensitivity d. #afety e. #ecurity @overnance '$A (evie%ed 4y #ecretariat /ngineering #ervices ("A# Programs) Chief Technology 0fficer ("A# (egulatory: "on&"A# Programs) 'nvestment Planning . Analysis CRD *uantification )erify /A Products:)ie%s #afety Assessment+ )erify 0riginal Final Program (equirements 0( Provide 4aselined #pecification (01 Costs (on unit cost basis) ACAT $etermination Plan for Final 'nvestment Analysis =ey Artifacts IIA ,. 7. 9. FIA (equirements Final 4usiness Case, Funding 0ptions . 0perational (is3 Analysis Final 'mplementation #trategy and Planning $ocument )ariable *uantity /2ecution Plan 'n&#ervice (evie% Chec3list

,. 7. 9.

*uantity (-)*)

-. A. B.

-. A.

+ ,

Follo% #(1@#A @uidelines Focus is on cost effectiveness analysis? benefit analysis is not required

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Table of Acquisition Categories Su%%ort Services Contract

efinition: A program that includes contracts associated %ith procuring technical engineering scientific professional management and administrative e2pertise advice analysis studies or reports. #upport services contracts programs follo% the e2isting contracting guidance in A1# policy. A #upport #ervices Contract program is associated %ith providing support services for one of the follo%ing: Technical engineering and scientific e2pertise advice analysis studies or reports Professional management and administrative e2pertise advice analysis studies or reports

A #upport #ervices Contract must revie% the designation criteria listed in Table +.,.-.+&A to determine the appropriate acquisition category (ACAT). These programs may fall into one of three ACATs %hich determine the appropriate level of oversight and artifact requirements. #upport #ervices Contracts %ill not be required to complete a phased A1# revie% process and %ill not be required to complete Concept and (equirements $efinition (C($) 'nitial 'nvestment Analysis (''A) and Final 'nvestment Analysis (F'A). #upport #ervices Contracts over H+F million (#C ACATs + and ,) %ill be required to complete the #upport Contracts (evie% 4oard (#C(4) revie% process. #upport #ervices Contracts belo% H+F million (#C ACAT 7) %ill be required to complete a <ine of 4usiness (<04) revie% and receive approval from the Contracting 0fficer. Table +.,.-.+&A outlines the designation criteria @overnance 'nvestment $ecision Authority ('$A) revie%ing organi!ations and 3ey artifacts required during the revie% process for #upport #ervices Contracts. "ote +: #ervice&@ap Analysis and a C($ (eadiness $ecision is not required for this 'nvestment Type unless other%ise directed by the 5(C. "ote ,: An assessment should be made to determine if safety %ill be impacted by the #upport #ervices Contract. 'f there is no impact state it is not required. 'f there is an impact conduct a safety assessment follo%ing the #(1@#A @uidelines. "ote 7: Services for NAS operations, such as flight services, telecommunication, satellite, air traffic control, weather, etc., will typically be characterized as a New Investment rather than a Support Services Contract. Contact the Concept and e!uirements "efinition Services #ranch $AN%&"'() for help to properly characterize services that provide or affect NAS operations. Table 1.2.5.1!5: Su%%ort Services Contract ACATs Acquisition Category #upport #ervices Contract + (+#C) $esignation Criteria +. #upport services contracts %ith total costs greater t(an -1//M that %ould result in a ne% contract agreement basic ordering agreement (40A):blan3et purchase agreement (4PA) or other procurement action (lease) ,. 1odification actions to e2isting contracts orders or agreements %here the individual or combination of modifications: a. 'ncreases the total value of a contract that has been previously revie%ed to -1//M or @overnance '$A 5(C (evie%ed 4y 5(C /2ecutive #ecretariat #upport Contract (evie% 4oard (#C(4) +. ,. 7. 9. -. =ey Artifacts #C(4 Phase ' Form #C(4 Phase '' Form Contract 4usiness Case #tatement of ;or3 'ndependent @overnment Cost /stimate ('@C/)

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Table of Acquisition Categories

Acquisition Category $esignation Criteria more b. (esults in a significant change to the statement of %or3 for contracts greater t(an -1//M +. #upport services contracts %ith total costs bet%een -1/M an# -1//M that result in a ne% contract agreement basic ordering agreement (40A):blan3et purchase agreement (4PA) or other procurement action (lease) ,. 1odification actions to e2isting contracts orders or agreements %here the individual or combination of modifications: a. 'ncreases the total value of a contract that %as not previously revie%ed to bet%een -1/M an# -1//M b. (esults in a significant change to the statement of %or3 for contracts bet%een -1/M an# -1//M #upport services contracts %ith total costs less t(an -1/M that result in a ne% or modified contract agreement basic ordering agreement (40A):blan3et purchase agreement (4PA) or other procurement action (lease) AT0: )P+ "on&AT0: $irector+ #upport Contract (evie% 4oard (#C(4) +. ,. 7. 9. -. #C(4 Phase ' Form #C(4 Phase '' Form Contract 4usiness Case #tatement of ;or3 'ndependent @overnment Cost /stimate ('@C/) @overnance '$A (evie%ed 4y =ey Artifacts

#upport #ervices Contract , (,#C)

#upport #ervices Contract 7 (7#C)

AT0: $irector+ "on&AT0: $irector+

Contracting 0fficer

+. Contract 4usiness Case ,. #tatement of ;or3 7. 'ndependent @overnment Cost /stimate ('@C/)

1ay be delegated to subordinate e2ecutive

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