Figure 1-1: ACTD Development Process
Advanced Concept Technology Demonstrations (ACTDs) exploit mature advanced technologies to solve important military problems. A declining budget, significant change in the threat, and an acceleration in the pace of technology have created challenges to our ability to address significant military needs. In addition, global proliferation of military technologies and potential adversaries with relatively easy access to these technologies have increased the need to rapidly transition technology from the developer to the user.
There have been many significant accomplishments achieved through the ACTD process since the publication of the original ACTD Master Plan last year. Three of the ten ACTDs that were initiated in fiscal year 1995 have been completed, and twelve new ACTDs were initiated in fiscal year 1996.
The Low Life Cycle Cost, Medium Lift Helicopter ACTD originally planned for fiscal year 1996 was executed from August to October 1995 with a very successful demonstration of leased commercial helicopters and crews to operate on Military Sealift Command (MSC) ships. As a result of the demonstration, the Navy has concluded that leasing helicopters may be a viable alternative to using Navy helicopters for vertical replenishment. The Navy is conducting a six month follow-on demonstration in the Indian Ocean and is considering privatization options for the rest of the MSC fleet.
The Kinetic Energy Boost Phase Intercept (BPI) ACTD to evaluate the affordability, operational utility, and mission effectiveness of BPI engagements of tactical ballistic missiles was terminated after the completion of Phase I. The ACTD demonstrated that the fighter-based Kinetic Energy BPI concept was technically feasible but was operationally unaffordable.
The Cruise Missile Defense ACTD Phase I demonstration was completed in January 1996 with four intercepts of simulated land attack cruise missiles by ship-launched air defense missiles directed by a surrogate radar located on a mountain-top. A Phase II Cruise Missile Defense ACTD (placing the radar in an airborne platform) is being considered as a fiscal year 1997 candidate.
The Medium Altitude Endurance Unmanned Aerial Vehicle (UAV), Predator, is successfully deployed in Bosnia. This ACTD was completed in June, 1996, as originally planned. The Predator UAV is planning to transition from an ACTD to an operational system with the Air Force as the designated lead operator. Additional systems (four air vehicles and ground equipment) will be procured starting in fiscal year 1996.
In addition to the twelve new ACTDs that were initiated in fiscal year 1996, an Information Warfare Red Team was created to assess the potential of information warfare against U.S. systems and to ensure adequate protective measures are taken. Specific information on this effort can be found in Appendix 5.
ACTDs are structured to address the needs of the warfighter; to provide needed capabilities, address deficiencies, and reduce costs or manpower requirements. Each ACTD is aimed at one or more warfighting objectives and is reviewed by the Services, Defense Agencies and the Joint Staff. More than one hundred ACTD candidates were proposed for initiation in fiscal year 1997. These candidates were reviewed for technical maturity, projected effectiveness, funding, and other issues before those (25) with the greatest potential were submitted to the Joint Staff/Joint Requirements Oversight Council (JROC) for prioritization.
There are several key criteria against which ACTD candidates are evaluated: response to user needs, maturity of technologies, and potential effectiveness.
User needs: ACTDs focus on addressing critical military needs. To evaluate proposed solutions to meet these needs, intense user involvement is required. ACTDs place mature technologies in the hands of the user and then conduct realistic and extensive military exercises to provide the user an opportunity to evaluate utility and gain experience with the capability. The process provides the users a basis for evaluating and refining their operational requirements, for developing a corresponding concept of operations, and ultimately for developing a sound understanding of the military utility of the proposed solution before a decision is made to enter into the formal acquisition process. Furthermore, a key objective of ACTDs is to provide a residual operational capability for the warfighter as an interim solution prior to procurement.
Exploit mature technologies: ACTDs are based on mature or nearly mature technologies. By limiting consideration to mature technology, the ACTD avoids the time and risks associated with technology development, concentrating instead on the integration, and demonstration activities. This approach permits an early user demonstration on a greatly reduced schedule at low cost.
Potential effectiveness: The potential or projected effectiveness must be sufficient to warrant consideration as an ACTD or the capability must address a need for which there is no suitable solution.
These are the criteria used by the Deputy Under Secretary of Defense for Advanced Technology (DUSD(AT)) as an initial filter in the ACTD review process. The ACTDs that pass this step are then subjected to an in-depth review by Service, Agency, and Joint Staff technical and operational personnel.
The objectives of an ACTD are to conduct meaningful demonstrations of the capability, develop and test concepts of operations to optimize military effectiveness, and prepare to transition the capability into acquisition without loss of momentum, if warranted.
Conduct meaningful demonstrations of the capability: The demonstrations are sized and structured to provide clear evaluation of military capability. The user, with support from the Operational Test Agencies, defines the measures of effectiveness and measures of performance that allow effectiveness and suitability to be characterized. Data collection is tailored accordingly. The quantity of systems in the ACTD is sufficient to provide a valid assessment of the capability, or simulations are used to expand the battlespace and forces involved in the exercise. The user provides or at least approves the planned operational exercises which typically include red as well as blue forces.
Concept of operations: Many of the ACTDs are based on advanced technologies which may permit--even demand--new concepts of operation, tactics, and doctrine in order to realize their maximum potential. The ACTD provides a means to develop, refine, and optimize these warfighting concepts to achieve maximum utility and effectiveness.
Prepare to transition into acquisition: A key goal of ACTDs is to move into the appropriate phase of formal acquisition without loss of momentum, assuming the user provides a positive evaluation of the capability. Each ACTD has a clear acquisition goal covering both the ACTD and post ACTD phases. They also have a supportability concept to include the identification of areas of contractor support and organic support with the appropriate provisions for each. In addition, there are plans for the development of formal operational requirements; documents addressing interoperability, life cycle cost, manning, and training; and logistics supportability.
As a means of demonstrating the use of mature technology to address military requirements, each ACTD must:
An additional goal of ACTDs is to provide a residual capability to further refine CONOPS and to permit continued use prior to formal acquisition, as well as to provide the ability to proceed into formal acquisition for additional capability, if required.
The ACTD process was initiated in 1994. In April, 1994, an ACTD selection and approval process was established as well as guidelines for developing the required ACTD Management Plan. This document reviews ACTD management strategies and describes current and candidate ACTD programs. The ACTD development process is illustrated in Figure 1-1.
The formal acquisition process, as directed by DoD Instructions 5000.1 and 5000.2, is the primary mechanism for the procurement of new systems and the introduction of new capabilities via new or upgraded systems. The ACTD process is a pre-acquisition stage providing an important mechanism for the warfighter to evaluate proposed solutions to urgent military needs. An ACTD provides a warfighter with a technologically mature capability and allows for an evaluation of that capability in realistic scenarios, refinement of the operational requirements, development of the concept of operations, and a sound assessment of the military utility of a proposed solution prior to a decision on formal development or acquisition. The purchase of additional capability beyond the residuals provided by the ACTD, where appropriate, is accomplished through a formal acquisition program.
Each ACTD is managed by a lead Service or Agency developer and driven by the principal user sponsor. As a general rule, but not as a requirement, the user sponsor is usually a Unified Commander. Typically, the Joint Requirements Oversight Council (JROC) will make a recommendation to the DUSD(AT) regarding the lead Service and user sponsor as part of the JROC review of candidate ACTDs. All user and development organizations are represented on an oversight group chaired by the Deputy Under Secretary of Defense (Advanced Technology) (DUSD(AT)); the purpose of this group of senior representatives is to assure effective, timely communications among the participants.
The DUSD(AT) defines ACTD guidelines and provides oversight, support, and evaluation of ongoing ACTDs. The actual initiation and approval process is flexible but typically occurs as described and depicted below. The need to best support the interests of the warfighter is met by stressing senior involvement and good judgment in lieu of written rules.
A crucial element for any ACTD is a close partnership between a sponsoring user organization and a Service or Agency development organization that will serve as the Demonstration Program Office. Any candidate for ACTD status must identify and develop this relationship, at least in principle, before consideration can be provided. In reality, this is likely to be an iterative process initiated primarily by the warfighter community seeking a solution to a pressing military need. Members of the DUSD(AT) staff assist in establishing partnership arrangements.
Another ACTD goal is to promote, where practical, fully integrated joint operations, reaching beyond individual Service interests and capabilities. This emphasis on joint operations is intended to strengthen the focus on interoperability and the development of joint warfighting capability.
Funding is typically provided by the participating technology programs with supplemental funding from the ACTD funding line as appropriate. Supplemental funding is provided for integration of multiple technology programs into a meaningful demonstration, for multiple copies of system elements (if critical in allowing the user to evaluate the concept or for providing a useful residual operational capability), and for technical support of the residual capability for two years beyond the completion of the ACTD.
Once a user/developer team devises a proposed approach to a demonstration program, a briefing can be presented to the DUSD(AT). If the DUSD(AT) concludes that the proposal is viable and complete, a briefing is provided to the "Advanced Technology Breakfast Club" (AT/BC) for their review and assessment. The AT/BC is an advisory group consisting of the DUSD(AT); Director, Defense Research and Engineering (DDR&E); Deputy Assistant Secretary of Defense for Command, Control, Communications and Intelligence (DASD/C 3 I); and representatives from the Joint Staff, Ballistic Missile Defense Organization (BMDO), Defense Advanced Research Projects Agency (DARPA), and Service Scientific and Technical (S&T) and Operations/Requirements Offices.
The briefing can result in acceptance of the proposal as an ACTD candidate, request for revision, or determination that the concept is outside the scope of the ACTD process. Once the concept is deemed appropriate, a similar briefing is made available to the appropriate Joint Warfighting Capability Assessment (JWCA) team of the Joint Staff for assessment and comment. While the JWCA's primary focus is to provide input to the JROC, they are actively involved throughout the ACTD selection and execution process. The DUSD(AT) considers the recommendations of the AT/BC and the Joint Staff before preparing the list of final candidates. This final list reflects military priorities as well as technological and programmatic considerations. The list is then presented to the Joint Requirements Oversight Council for their review and recommended prioritization. The final review/prioritization is performed by the Under Secretary of Defense (Acquisition & Technology) in concert with the Vice Chairman, Joint Chiefs of Staff.
Upon approval, two parallel activities engage to formalize the ACTD. The first activity is the preparation of an Implementation Directive, which is an executive level discussion of the objectives, the basic concept, and the programmatic structure in the form of a signed memo attached to the AT/BC briefing charts. The signatories to the Implementation Directive include the principal sponsoring users, the involved Service Acquisition Executive (SAE), Agency Director(s), and the DUSD(AT). The second activity is the preparation of the ACTD Management Plan, a brief document (25 pages or less) that serves as a Memorandum of Agreement among all the parties participating in the ACTD. Signatories will generally include representatives of the principal acquisition organizations and sponsoring users. In addition, this plan is normally endorsed by all other organizations actively involved in the ACTD.
See appendices for detailed guidelines on initiating ACTDs and preparing ACTD documentation.