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Defense Acquisition University
International Acquisition Management
The DoDI 5000.02 and International Acquisition & Exportability – A Brief History
Written by: Frank Kenlon (Prof of Int'l Acq, DAU/DSMC-Int'l)
December 31, 2018
USD(A&S) Ellen Lord recently announced that revising DoD Instruction 5000.02 (Operation of the Defense Acquisition System) will one of her key objectives in 2019.
“We are going to … take a clean sheet of paper and write the absolute bare minimum to be compliant in 5000.02, and encourage program managers and contracting officers to add to that as they need for specific programs.”
Long time DoD acquisition professionals – I put myself in this category since I started as a Navy Civilian Logistics Intern in April 1980 – have experienced the impact of numerous DoD 5000 series policy revisions during their careers. This blog will initially focus on the evolution of International Acquisition & Exportability (IA&E) policy over the years, then wrap up by offering a few suggestions for consideration in the upcoming DoDI 5000.02 rewrite.
Beyond the end of disco (probably a good thing) and the advent of many unusual hair styles (including the mullet) the 5000 series introduced new policy requiring the consideration of International Cooperative Programs (ICPs) for all DoD major program new starts as a result of new Title 10 and Title 22 legislation authorizing and promoting ICPs.
Better hair styles and an explosion of music genres (including grunge rock and hip-hop) plus further evolution of ICP policy in the 5000 series as a result of DoD senior leader and Congressional interest in this area during this decade.
The New Millennium
Everyone survived the Y2K scare (it wasn’t that bad, really!) and the 5000 series didn’t change much from an IA&E perspective either. However, several additional U.S. Government/DoD Technology Security and Foreign Disclosure (TSFD) release policies -- including newly formed Low Observable/Counter Low Observable, Anti-Tamper, GPS Precise Positioning, Night Vision Device governance processes – began exerting greater control over proposed ICP, Foreign Military Sales (FMS) and Direct Commercial Sales (DCS) transactions with allies and friends. This eventually led to submission of a DoD Defense Exportability Features (DEF) legislative proposal in 2010, followed by Congressional action in 2011 that provided DoD with new Title 10 authority to implement a DEF Pilot Program to design and develop DEF features in both existing and new start DoD programs.
IA&E in the Current 5000.02
DoD senior leaders decided in 2013 that the 2008 version of DoDI 5000.02 required a substantial revision for several reasons, including the need to formalize various elements of the DoD Better Buying Power initiative. Three major IA&E-related changes incorporated into the revised DoDI 5000.02* originally issued in January 2015 are:
A new “International Acquisition and Exportability Considerations” section that makes Program Executive Officers (PEOs) and Program Managers (PMs) responsible for “integrating international acquisition and exportability considerations into the program’s Acquisition Strategy at each major milestone or decision point.”
PEOs/PMs are now required to consider the potential demand and likelihood of FMS and DCS -- as well as the longstanding requirement for consideration of ICP opportunities -- early in the acquisition planning process.
PEOs/PMs are also currently required to consider U.S. export control laws, regulations, and DoD policy for international transfers when formulating and implementing program acquisition strategies.
*See paragraphs E2: 6.a.(1) and E2: 7.a for details.
DoDI 5000.02 Implementation -- IA&E Guidance and Training
While the 2015 version of DoDI 5000.02 issued policy to ensure consideration of all of these IA&E aspects in acquisition strategy development and implementation, it didn’t include any “how to” IA&E guidance due to valid concerns over excessive document length. Anticipating that guidance would be needed in this complex area unfamiliar to many acquisition workforce personnel, DAU began working with the OUSD(AT&L) staff beginning in 2013 to develop new IA&E guidance and learning content.
A new guidance paragraph on IA&E, plus an “IA&E Supplement” (~20 pages in length), was developed and included in a comprehensive revision of the Defense Acquisition Guidebook, Chapter 1, Program Management e-published by DAU on behalf of OUSD(AT&L) in March 2017.
Four new DAU International Acquisition Career Path (IACP) courses (Level I through III) on how to plan and implement IA&E efforts were developed and deployed between 2013 and 2017.
Six new DAU Job Support Tools -- covering the IA&E spectrum of activities from initial IA&E planning and analysis through International Business Planning for mature programs -- were also developed and deployed between 2016 and 2018.
DAU’s IA&E-related websites and webpages were revised and expanded to provide the entire acquisition workforce with a comprehensive set of workflow learning resources in all IA&E functional areas.
DAU is also developing ACQ 101, ACQ 202, and PMT 356 modifications – which should be completed in 2019 -- to ensure all DoD acquisition workforce members receive foundational training on DoD Security Cooperation and IA&E principles, policies and practices.
The scope of these IA&E implementation efforts – and the length of time it has taken to complete them -- illustrate how a relative small amount of new 5000.02 guidance (the two new IA&E policy paragraphs added in 2015) led to development and deployment of a substantial amount of new “how to” guidance and learning content since then to support ongoing and future IA&E workforce efforts throughout the acquisition life-cycle.
The current Administration’s April 2018
Conventional Arms Transfer (CAT) Policy
revision emphasized the importance of DoD’s Security Cooperation efforts in meeting National Security and Defense strategic goals and objectives. Acquisition workforce personnel involved in IA&E efforts in the Defense Exportability and Defense Sales and Transfers areas are integrally involved in many of the CAT Policy’s ongoing “Lines of Effort.” DoD senior leaders are interested and involved in CAT Policy implementation. USD(A&S) Lord signed a memorandum on
Defense Exportability Planning
in September 2018. Acting Secretary of Defense Patrick Shanahan (in his former role as DepSecDef) began convening periodic meetings with DoD senior leaders in late 2017 on improving DoD’s Foreign Military Sales performance.
IA&E in the Upcoming 5000.02 Rewrite
George Santayana famously observed that, "Those who cannot remember the past are condemned to repeat it." It’s unlikely that he had IA&E in mind, but his point is well taken. Now that we’ve completed our brief historical review of DoD IA&E policy over the past 35 years, what are the lessons to be learned? Here’s an initial ‘Rule of Three’ set of options intended to start a dialog on how IA&E should be addressed in the upcoming DoDI 5000.02 revision.
Alternative 1: Say Nothing (Laissez Faire)
This approach – while it would help keep the revised 5000.02 shorter -- would appear to run counter to the 21
century trend of providing more (rather than less) guidance to the workforce on the importance of conducting IA&E activities with allied/friendly nations in support of USG and DoD strategic objectives. However, even if the rewritten DoDI 5000.02 is silent on the subject of IA&E, DoD Component Milestone Decision Authorities (MDAs) would still be legally required to comply with Title 10 guidance regarding
of IA&E in program acquisition efforts (unless Title 10 is changed as well, of course).
Alternative 2: Status Quo (Consider)
Keep the current IA&E paragraphs (about ½ page) to ensure that DoD Component PEOs and PMs
IA&E in DoD acquisition program planning and implementation consistent with Title 10 requirements. Actual program-level progress in improving the IA&E performance in high interest CAT Policy areas such as Defense Exportability and Improving FMS, however, would be left up to DoD Component MDAs as a result of the delegation of most acquisition decision authority to this level across the Department including (but not limited to) Rapid and Middle Tier acquisition initiatives.
Alternative 3: Enhance (Require)
Keep the current IA&E paragraphs (about ½ page) but change the IA&E focus from
in key areas such as Defense Exportability and FMS Performance planning and implementation for all new programs. DoD Component MDAs would be obligated take action (and provide progress metrics) in these key areas to USD(A&S), USD(R&E) and USD(Policy) to ensure achievement of the Administration’s CAT Policy objectives in support of the National Security and Defense strategic goals to strengthen alliances and attract new partners.
At this point it’s hard to predict how USD(A&S) Lord’s DoDI 5000.02 rewrite will play out. Too many variables, not enough data … Moreover, IA&E is only one small topic in a plethora of subjects that her DoDI 5000.02 revision team will have to address.
Hopefully those involved will take note of the history of IA&E policy -- and the Administration’s current CAT Policy Lines of Effort – and develop a revised DoDI 5000.02 in 2019 that leads to substantial improvement of both domestic and international acquisition outcomes in the future.
Until next time, Prof K
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