10.12. Defense Acquisition Executive Summary (DAES) Process
The purpose of the DAES is to provide a venue to identify and address, as early as possible, potential and actual program issues which may impact the Department of Defense’s (DoD’s) on-time and on-schedule delivery of promised capabilities to the warfighter. The DAES is not just a report; it is a process that includes;
- Submission of program status and assessment information by the Program Manager of each Major Defense Acquisition Program (MDAP) and Major Automated Information System (MAIS) for which the Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)) is the Milestone Decision Authority;
- Independent assessments of each program by Office of the Secretary of Defense (OSD) and Joint Staff stakeholders; and
- A monthly DAES meeting.
The goal of the DAES process is to facilitate communication between, and provide feedback to, key stakeholders in OSD, the Joint Staff, the Components, and Program Offices. It is important to note that the DAES is an internal management system meant to fulfill the needs of senior Department of Defense executives and is NOT for general public consumption. Unlike the Selected Acquisition Report information, DAES information is considered to be “For Official Use Only” and is not releasable outside the department without prior approval from the Director, Acquisition and Resource Analyses.
The DAES process enables the USD(AT&L) to fulfill statutory requirements to manage and oversee MDAPs and MAIS programs. Additionally, it establishes a mechanism for the Department to meet the Unit Cost Reporting requirement of section 2433, Chapter 144 of title 10, United States Code. Access to the data reported through the DAES also enables the Director of Performance Assessments and Root Cause Analyses to fulfill statutory requirements to perform program assessments as directed by the Weapon Systems Acquisition Reform Act of 2009 (Section 103 Public Law 111-23).
10.12.1. Defense Acquisition Executive Summary (DAES) Reporting Requirements
The DAES process for a program begins when the Under Secretary of Defense (Acquisition, Technology, and Logistics) (USD(AT&L)) designates the program as a DAES reporting program and the Office of the USD(AT&L), specifically the Office of the Director, Acquisition Resources and Analyses (ARA), assigns it to a quarterly reporting group (A, B, or C). Most DAES reporting programs are ACAT ID or IC programs and full DAES reporting usually begins at program initiation (typically Milestone B) and after the program has submitted its initial Selected Acquisition Report (SAR).
With the exception of contract/earned value information, DAES information is only required to be submitted on a quarterly basis. Contract/earned value information is required to be submitted on a monthly basis. Whether or not it has changed from the previous submission, all required information must be submitted at a minimum each quarter (or month for contract/earned value information). The month in which a program is required to submit is determined by its DAES Group. Table 10.12.1.T1 below shows the yearly calendar for all three groups. It is important to note that the DAES process overlaps; each DAES Group is at a different stage of the process during any given month. For example, the Group A DAES submitted by the PM at the end of January is assessed by OSD in February and the corresponding DAES meeting is held in March.
Table 10.12.1.T1. DAES Group Schedules
|
Month
|
PM Prepares and Submits DAES
(NLT Last Working Day of Month)
|
Submissions Available to OSD
(First Working Day of Month)
|
OSD Assessments Due
(8th Working Day of Month)
|
DAES Meeting
(3rd Week of Month)
|
|
Jan
|
Group A
|
Group C
|
Group C
|
Group B
|
|
Feb
|
Group B
|
Group A
|
Group A
|
Group C
|
|
Mar
|
Group C
|
Group B
|
Group B
|
Group A
|
|
Apr
|
Group A
|
Group C
|
Group C
|
Group B
|
|
May
|
Group B
|
Group A
|
Group A
|
Group C
|
|
Jun
|
Group C
|
Group B
|
Group B
|
Group A
|
|
Jul
|
Group A
|
Group C
|
Group C
|
Group B
|
|
Aug
|
Group B
|
Group A
|
Group A
|
Group C
|
|
Sep
|
Group C
|
Group B
|
Group B
|
Group A
|
|
Oct
|
Group A
|
Group C
|
Group C
|
Group B
|
|
Nov
|
Group B
|
Group A
|
Group A
|
Group C
|
|
Dec
|
Group C
|
Group B
|
Group B
|
Group A
|
10.12.1.1. Duration of Defense Acquisition Executive Summary (DAES) Reporting
Once DAES reporting is initiated, it continues until the program is 90% or more delivered through the production phase (or 90% expended, if RDT&E only), at which time a program will begin submitting only a Unit Cost Report (UCR) DAES pursuant to section 2433 of title 10, United States Code that is supplemented by Sustainment information.
DAES reporting may be terminated for a program when it is 90% delivered or expended and the final SAR has been submitted. The official list of active DAES reporting programs is maintained by the Office of the Director, ARA and is available via the Defense Acquisition Management Information Retrieval (DAMIR) system.
10.12.1.2. Defense Acquisition Executive Summary (DAES) Submission Process
The DoD Components submit the DAES information to DAMIR in accordance with the prescribed monthly or quarterly submission cycle. DAES submissions are due to OSD on the last working day of the month. The required information consists of both the electronic DAES information and supplemental Microsoft Office Power Point charts.
DAES information must be submitted to the Defense Acquisition Management Information Retrieval (DAMIR) system in the prescribed format. Most program offices will enter the DAES information into one of the Service acquisition information management systems (i.e., Army AIM, Air Force SMART, or Navy Dashboard) and the Services will electronically submit the information to the DAMIR system via web services. Alternatively, programs without the capability to submit electronically via web services may obtain permission from the Office of the Director, Acquisition Resources and Analyses and their Component leadership to enter the data directly into the DAMIR system.
The supplemental Power Point charts are sent to the Component who then e-mails them to DAMIR@osd.mil. The DAMIR team loads the charts into the DAMIR Acquisition Documents where they are visible to any DAMIR user with DAES access to the program. As the DAMIR system is the mechanism that OSD uses to view and assess the programs, it is highly recommended that each program office access DAMIR and validate that all information and supplemental charts were correctly submitted.
10.12.1.3. Defense Acquisition Executive Summary (DAES) Content
The content of a DAES submission is dependent on where a program is in the Acquisition lifecycle. See Table 10.12.1.3.T1 below for a summary of the required information. Detailed instructions on what is required in each section can be found in the Defense Acquisition Management Information Retrieval system.
Table 10.12.1.3.T1. DAES/Web Services Information Requirements
|
Information
|
Program Initiation-75%
|
> 75%
|
Minimum Update Frequency
|
|
Program Information
|
◊
|
◊
|
Quarterly
|
|
Points of Contact
|
◊
|
◊
|
Quarterly
|
|
APB Dates
|
Calculated
|
|
Quarterly
|
|
Mission & Description
|
◊
|
◊
|
Quarterly
|
|
Executive Summary
|
◊
|
|
Quarterly
|
|
Threshold Breaches
|
Calculated
|
|
Quarterly
|
|
PM Assessments
|
◊
|
|
Quarterly
|
|
Schedule
|
◊
|
|
Quarterly
|
|
Performance
|
◊
|
|
Quarterly
|
|
Track to Budget
|
◊
|
|
Quarterly
|
|
Cost & Funding
|
◊
|
◊
|
Quarterly
|
|
Low Rate Initial Production
|
◊
|
|
Quarterly
|
|
Foreign Military Sales
|
◊
|
|
Quarterly
|
|
Nuclear Costs
|
◊
|
|
Quarterly
|
|
Unit Cost
|
Calculated
|
|
Quarterly
|
|
Contracts/Earned Value
|
◊
|
|
Monthly
|
|
Deliveries & Expenditures
|
◊
|
|
Quarterly
|
|
Operating & Support Costs
|
◊
|
◊
|
Quarterly
|
|
Sustainment
|
◊
|
◊
|
Quarterly
|
|
Risk Summary Chart (Power Point)
|
◊
|
|
Quarterly
|
|
Issue Summary Chart (Power Point)
|
◊
|
|
Quarterly
|
10.12.1.4. Consistency of Defense Acquisition Executive Summary (DAES) Data
The DAES information submitted should be the Program Manager’s assessment of the program and be consistent with the Acquisition Program Baseline (APB), President’s Budget (PB), Acquisition Decision Memorandums (ADMs) and other official program guidance. The Program Manager is responsible for both ensuring the accuracy, completeness and consistency of the information, and for elevating risks and other issues that may require managerial attention.
10.12.1.5. Office of the Secretary of Defense (OSD) Defense Acquisition Executive Summary (DAES) Assessment Process
Once the DAES information is submitted to the Defense Acquisition Management Information Retrieval (DAMIR) system by the Department of Defense Components, OSD and Joint Staff stakeholders have 8 working days to perform an assessment of the status of each program in the current DAES group that is less than 75% complete. The purpose of the OSD assessment process is to ensure routine surveillance of Major Defense Acquisition Programs by the OSD and Joint Staff stakeholders and to identify risks and issues that require managerial attention.
The OSD and Joint Staff stakeholders collectively evaluate each program in 10 different categories. A green/yellow/red rating and an associated narrative is provided for each category rated by an individual stakeholder. The categories evaluated by OSD are identical to the categories evaluated by the Program Offices. The OSD assessments provide an independent assessment of program execution status and are used when selecting programs to be briefed at the DAES meeting. Detailed instructions on completing a DAES assessment can be found in the DAMIR Acquisition Documents.
Table 10.12.1.5.T1 below shows which OSD and Joint Staff stakeholders have primary responsibility for each indicator; however, any stakeholder may evaluate any category.
Table 10.12.1.5.T1 – List of Assessment Indicators
|
Assessment Indicator
|
Rating Organization(s)
|
|
Cost
|
ARA/AM, CAPE, DCMA, OIPT Lead
|
|
Schedule
|
OIPT Lead
|
|
Performance
|
OIPT Lead, ASD(R&E)/SE, Joint Staff
|
|
Funding
|
ARA/RA, USD(C)
|
|
Test
|
OT&E, ASD(R&E)/DT&E
|
|
Sustainment
|
L&MR, P&R
|
|
Management
|
OIPT Lead
|
|
Contracts
|
DPAP, IC
|
|
Interoperability
|
OIPT Lead
|
|
Production
|
MIBP
|
|
International
|
International Cooperation
|
10.12.1.6. Defense Acquisition Executive Summary (DAES) Data Quality Assessment
In addition to the program assessment process performed by the Office of the Secretary of Defense (OSD) and Joint Staff stakeholders, the Office of the Director, ARA/Acquisition Visibility (AV) concurrently performs a data quality assessment of the submitted information. All information is reviewed for availability, currency, and consistency. Non-compliance with reporting requirements is reported to the Components and requires the immediate correction and re-submittal of information.
10.12.1.7. Defense Acquisition Executive Summary (DAES) Senior Meeting Forum
The Principal Deputy Under Secretary of Defense (Acquisition, Technology, and Logistics) (PDUSD(AT&L)) conducts a monthly DAES meeting. The purpose of the meeting is to provide a senior forum in which to surface problems requiring managerial attention with the intent of achieving early and effective resolution.
It is typically a two-hour meeting scheduled for the third week of the month. Attendance is tightly controlled.
10.12.1.7.1 Defense Acquisition Executive Summary (DAES) Agenda Selection
Once the Office of the Secretary of Defense (OSD) assessments have been submitted, the DAES meeting agenda selection process begins. The Director, Acquisition Resources and Analyses (ARA) chairs a DAES Program Selection meeting on approximately the 15th working day of the month at which the Overarching Integrated Product Team Leaders and the Director, Program Assessment and Root Cause Analysis are responsible for recommending programs and/or issues for review at the monthly DAES meetings.
The criteria for nomination vary from month to month, but nominations normally fall within one of the following categories:
- Program Briefs. This is the most typical agenda item. Programs may be selected due to specific issues that requires management attention or as a good news story. Program assessments are just one factor used to determine if a program should be recommended, as all knowledge of the program is considered when making the selection. Program Briefs are typically presented by the Program Manager.
- Single Issue Program Updates. These are condensed briefings that normally focus on a previously identified issue where a short status update is required. Single Issue Program Updates are typically given by the OSD staff.
- Program Executive Officer (PEO) Portfolio Briefs. A PEO portfolio brief may be recommended in conjunction with a specific Program Brief or independent of a specific Program Brief. Briefings requested independent of a specific program brief are typically due to a systemic issue affecting multiple programs within the portfolio. PEO Portfolio Briefs are typically presented by the PEO.
Typically, 3 or 4 programs or issues are selected for the agenda each month. Normally, programs that are within 90 days (before or after) of a Defense Acquisition Board review are excluded from consideration. Once the agenda selection is finalized, the Office of the Director, ARA publishes the agenda and schedule.
10.12.1.7.2. Defense Acquisition Executive Summary (DAES) Briefings, Minutes, and Action Items
Templates for the Program Briefings can be found in the Acquisition Documents section of the Defense Acquisition Management Information Retrieval system. Primary focus areas of the briefings should be: contract and Acquisition Program Baseline compliance status, closure plans for known issues, risk management/mitigation of potential issues, and “Better Buying Power” initiatives (to include should cost).
The Program Briefing charts are due to the Office of the Director, Acquisition Resources and Analyses (ARA) no later than 6 working days prior to the scheduled date of the DAES meeting.
In addition to the selected program or issue briefings, the Office of the Director, ARA provides summaries of the Program Manager assessments and the OSD and Joint Staff assessments for each selected program as well as an update on any outstanding actions from previous DAES meetings. A data quality assessment update is also provided by the Office of the Director, ARA/Acquisition Visibility. Other systemic issues are briefed as required or directed by the Principal Deputy Under Secretary of Defense (Acquisition, Technology, and Logistics) (PDUSD(AT&L)).
Within 5 working days of the DAES meeting, the Office of the Director, ARA submits the DAES meeting minutes, including any action items, to the PDUSD(AT&L) for approval. Once approved, the meeting minutes are posted in the DAMIR Acquisition Documents. The Office of the Director, ARA is responsible for tracking DAES action items to completion.
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