Middle Tier of Acquisition (MTA)

MTA Program Initiation

Reference Source: ASA(ALT) Middle Tier of Acquisition Policy, 20 March 2020, Enclosure 1
[Note: CAC required for access]

 

1. Operational Needs. The MTA program initiation process will result in an approved requirement and an Army Acquisition Executive (AAE)-signed Acquisition Decision Memorandum (ADM) that validates the rationale for using the MTA pathway and identifies the full funding required.

 

2. The responsible Program Executive Officer (PEO)/ Program Manager (PM) will submit for approval requests to use MTA authority through the Deputy for Acquisition and Systems Management (DASM) to the AAE. When appropriate, PEOs/PMs should also request that they be designated the Decision Authority (DA). Requests to use MTA authority will reflect coordination with appropriate requirements, test, and budget officials and, where applicable, the responsible cross-functional team lead.

 

a.  The responsible PEO/PM will prepare a proposed MTA documentation package. The package will include:

 

1. A proposed ADM (TAB A, Enclosure 1 [Note: CAC required for access]) that will provide authority to proceed with the program and designate the DA.

 

2. An approved requirements document such as Abbreviated Capability Development Document or Initial Capability Refinement Document is required.

 

3. A program acquisition strategy (TAB B, Enclosure 2 [Note: CAC required for access]). The PM will develop an acquisition strategy for the program. The PM will “tailor-in” reviews, assessments and relevant documentation that results in an acquisition strategy customized to the unique characteristics and risks of their program for presentation to the DA for approval.

 

(a) Security, schedule and technical/ production risks and risk mitigation approaches.

 

(b) A cost estimate identifying the full funding required. Program cost and funding plan, including cost, schedule and performance metrics.

 

(c) The PM will develop a process for demonstrating performance and evaluating for current operational purposes of the proposed products and technologies. This process will result in a test strategy or an assessment of test results, included in the acquisition strategy, documenting the evaluation of the demonstrated operational performance, to include validation of required cybersecurity and interoperability as applicable. An independent assessment from the U.S. Army Test and Evaluation Command is recommended. Programs on the Director, Operational Test and Evaluation oversight list will follow applicable procedures.

 

(d) Rights in Technical Data and Software. PMs must address Intellectual Property (IP) in their acquisition strategy, consistent with ASA(ALT) policy on IP, including: any IP developed by the contractor independent of the MTA program; the cost to purchase or license the IP; the IP that will be developed during the MTA; and what rights to the data the government will have and need.

 

(f) The PM will develop a transition plan included in the acquisition strategy, which provides a timeline for completion of all necessary documentation required for transition, as determined by the DA. Estimated dates for completion of transition documentation should be within two years of MTA program start.

 

(g) Rapid Prototyping Programs will develop a process for transitioning successful prototypes to new or existing acquisition programs for production, fielding, and operations and sustainment under the rapid fielding pathway or other acquisition pathway.

 

b.  No later than 30 days prior to the desired AAE approval date, the PEO/PM will provide the proposed MTA program documentation package through the supporting Department of the Army Systems Coordinator (DASC) to the DASM for review and concurrence, prior to submittal to the AAE.

 

1. Upon receipt, the DASC will provide the Director, Acquisition Reporting and Assessments, OASA(ALT) a copy of these documents to determine whether the DASM wishes to schedule a shaping briefing. The intent of the shaping briefing is to obtain DASM guidance and concurrence and ensure the MTA program plan will achieve the AAE’s approval.

 

2. Upon concurrence by the DASM, the PEO/PM will submit the proposed ADM and all other required documents to the AAE for decision to proceed.

 

3. The AAE will approve use of the MTA pathway, or direction to use an alternative strategy.

 

3. Undersecretary of Defense for Acquisition and Sustainment (USD(A&S)) MTA Entrance Criteria Documentation Deliverables.

 

a. Table 1 describes the documentation required in Defense Acquisition Visibility Environment (DAVE).

 

1. Non-major systems are any MTA program expected to require an eventual total expenditure equal to or below threshold as defined pursuant to Title 10, United States Code (U.S.C.), Section 2302d documentation shown in Table 1 for non-major systems will be available via DAVE interfaces at least 10 workdays before the desired obligation of funds to a performing activity.

 

Table 1. USD(A&S) MTA Entrance Documentation Deliverables

Major System1	Non-Major System2
Rapid Prototyping	• ADM signed by the DA • Approved Requirement3 • Acquisition Strategy4 • Cost Estimate	• ADM signed by the DA
Rapid Fielding	• ADM signed by the DA • Approved Requirement3 • Acquisition Strategy5 • Cost Estimate • Lifecycle sustainment plan	• ADM signed by the DA
Above threshold as defined pursuant to Title 10, U.S.C., Section 2302d. Equal to or below threshold as defined pursuant to Title 10, U.S.C., Section 2302d. The approved requirement document is available in the Knowledge Management and Decision Support (KMDS) system. Rapid prototyping acquisition strategies will include security, schedule and technical risks; a test strategy or an assessment of test results; and a transition plan that includes a timeline for completion within 2 years of all necessary documentation required for transition, as determined by the DA, after MTA program start. Rapid fielding acquisition strategies will include security, schedule, and production risks; either a test strategy or an assessment of test results; and a transition plan that includes a timeline for completion within 2 years of all necessary documentation required for transition, as determined by the DA, after MTA program start.

 

b. In addition to the documentation listed in Table 1, the Program Identification Data (PID) is required in DAVE.

 

1. For a description of PID requirements and connection to the submission portal, see the MTA pathway at the Adaptive Acquisition Framework page on the Defense Acquisition University Website at: https://aaf.dau.edu/.

 

2. PID requirements are tiered between major and non-major systems.

 

3. PID update frequency via DAVE interfaces are twice annually with the PB and Program Objective Memorandum submissions to the OSD and must comply with the online PID requirements, consistent with the policy specified in this issuance.

 

4. The PM will upload all USD(A&S) MTA entrance criteria documentation in Table 1. For each major system the DA will coordinate with the Deputy Chief of Staff, G-8 to load the requirements document to KMDS.

 

5. Any MTA program expected to require an eventual total expenditures that exceeds the MDAP threshold defined pursuant to Title 10, U.S.C., Section 2430 will obtain a written decision from USD(A&S) approving use of the MTA pathway.

 

6. MTA program start date is the date an ADM is signed by the AAE initiating the effort as an MTA rapid prototyping or MTA rapid fielding program. MTA programs designated prior to 30 December 2019 will maintain their MTA program start date of funds first obligated.

 

7. The AAE will ensure that MTA program names and budget reporting clearly and discretely indicate the scope of the effort being conducted under the MTA pathway, especially when the MTA program is a subprogram of a larger program or is a program spiral, increment, or block upgrade. USD(A&S) will maintain the authoritative list of MTA programs for the Department.

Example ADM

Reference Source: ASA(ALT) Middle Tier of Acquisition Policy, 20 March 2020, Enclosure 1, TAB A
[Note: CAC required for access]

 

SAAL-ZS

(DATE)

MEMORANDUM FOR PROGRAM EXECUTIVE OFFICER, (PEO Name)

 

SUBJECT: (MTA Name) Middle Tier Acquisition Decision Memorandum

 

1. References:

 

a. Department of Defense Instruction (DoDI) 5000.02, “Operation of the Adaptive Acquisition Framework,” January 23, 2020.

 

b. DoDI 5000.80, “Operation of the Middle Tier of Acquisition (MTA),” December 30, 2019.

 

c. Memorandum, Office of the Assistant Secretary of the Army (Acquisition, Logistics and Technology) (OASA(ALT)), [Date], subject: OASA(ALT) MTA Policy.

 

d. [Other references, as desired].

 

2. Purpose: To approve request from Program Executive Officer (PEO name) to designate (MTA name) (rapid prototype or rapid fielding) effort as an MTA activity under Section 804, National Defense Authorization Act for Fiscal Year 2016, as amended, and delegate the (MTA name) (rapid prototype or rapid fielding) Decision Authority (DA) to PEO (PEO name).

 

3. Decisions:

 

a. I approve use of MTA authorities to execute the (MTA name) (rapid prototyping or rapid fielding) effort and designate (PEO name) as the DA.

 

b. I direct PEO (name) to ensure no funds are obligated under this effort until after the Army Acquisition Executive (AAE) formally identifies (MTA name) as an MTA program by providing both the required MTA program documentation Defense Acquisition Visibility Environment interfaces; and, a written decision from Undersecretary of Defense for Acquisition and Sustainment approving the use of the MTA pathway for any program expected to require an eventual total expenditure that exceeds the Major Defense Acquisition Program threshold defined pursuant to Title 10, United States Code, Section 2430.

 

4. Discussion.

 

a. The (MTA name) (requirements document) was approved by (organization) on (date).

 

b. Program start date is the date this ADM is signed by the AAE.

 

c. The DA will establish knowledge points to evaluate efforts and report the status of these efforts through the Deputy for Acquisition and Systems Management to the AAE. (** Governance).

 

d. (address the contract vehicle that will likely be used in this effort).

 

e. I direct PEO (PEO name) to provide an annual MTA executive summary documenting the status of this effort annually and submit updated Program Identification Data via DAVE interfaces twice annually with the President’s Budget and Program Objective Memorandum submissions.

 

5. The point of contact is _____________________.

 

 

 

Bruce D. Jette
Army Acquisition Executive

MTA Program Initiation

Reference Source: ASN(RDA) Middle Tier Acquisition Interim Guidance, 24 April 2018

Section 3.1.a.  In order to initiate Rapid Prototyping projects under the Middle Tier Acquisition, each project shall be selected under a Merit Based Selection framework. Each pathway requires a distinct merit based assessment to ensure the transparency, accountability, and alignment within the Navy and Marine Corps acquisition, requirements, and resourcing communities. The DON will initiate Rapid Prototyping projects when the prototyping effort has:

(1) Alignment with a high priority military capability need;

(2) A defined and manageable capability, cost, schedule, feasibility of success, and technical risk;

(3) Available and stable funding through the normal Planning, Programming, Budgeting and Execution (PPBE) process, Above and Below Threshold Reprogramming, and/or through the use of the Rapid Acquisition Special Transfer Authorities;

(4) Opportunity to reduce total ownership costs to include reduction in development, production, and sustainment costs as compared to development through the Defense Acquisition System (DAS);

Table 3.1. Initiation Decision.