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Dfense nationale
A-LP-005-000/AG-008
Issued on Authority of the Chief of the Defence Staff OPI: DMASP 5 2004-11-24
Canada
A-LP-005-000/AG-008
LIST OF EFFECTIVE PAGES Insert latest changed pages and dispose of superseded pages in accordance with applicable orders. NOTE The portion of the text affected by the latest change is indicated by a black vertical line in the margin of the page. Changes to illustrations are indicated by miniature pointing hands or black vertical lines. Dates of issue for original and changed pages are: Original ............................ 0 ................. 2004-11-24 Ch.................................... 1 .................................... Ch.................................... 2 .................................... Ch .................................... 3 ................................... Ch .................................... 4 ................................... Ch .................................... 5 ...................................
Zero in Change No. column indicates an original page. Total number of pages in this publication is 260 consisting of the following: Page No. Change No. Page No. Change No.
Title ........................................................................... 0 A ................................................................................ 0 i/ii to xiii/xiv ................................................................ 0 1-1 to 1-30................................................................. 0 2-1 to 2-33/2-34......................................................... 0 3-1 to 3-15/3-16......................................................... 0 4-1 to 4-22................................................................. 0 5-1 to 5-14................................................................. 0 6-1 to 6-10................................................................. 0
7-1 to 7-22 .................................................................0 8-1 to 8-14 .................................................................0 9-1 to 9-4 ...................................................................0 10-1 to 10-17/10-18 ...................................................0 11-1 to 11-18 .............................................................0 12-1 to 12-10 .............................................................0 13-1 to 13-16 .............................................................0 14-1 to 14-8 ...............................................................0 LA-1 to LA-8 ..............................................................0
A-LP-005-000/AG-008
FOREWORD 1. A-LP-005-000/AG-008, Equipment Management Team (EMT) Handbook is issued on the authority of the Chief of the Defence Staff (CDS). This publication is effective on receipt. 2. Distribution is limited by NDHQ.
3. For this type of document to be effective, it must reflect current practices. Therefore, everyone who makes use of this handbook is encouraged to comment on its content and format, and to recommend additional descriptions/topics that could be of use to the EMT community at large. All comments and suggestions should be directed to the publication OPI.
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TABLE OF CONTENTS PAGE PART 1 INTRODUCTION................................................................................................................................... 1-1 EQUIPMENT MANAGEMENT TEAM (EMT) HANDBOOK ................................................................................... 1-1 Background ............................................................................................................................................................ 1-1 Aim ......................................................................................................................................................................... 1-1 Outline .................................................................................................................................................................... 1-1 General................................................................................................................................................................... 1-2 NATIONAL DEFENCE ORGANIZATIONAL STRUCTURE................................................................................... 1-2 National Defence Headquarters............................................................................................................................. 1-2 Materiel Group ....................................................................................................................................................... 1-3 Divisional Organisations Equipment Program Management (EPM)................................................................... 1-4 LIFE CYCLE MANAGEMENT (LCM)..................................................................................................................... 1-6 Optimized Weapons System Management (OWSM) Concept .............................................................................. 1-7 MATERIEL ACQUISITION AND SUPPORT (MA&S)............................................................................................ 1-8 Background ............................................................................................................................................................ 1-8 MA&S Mission Statement ...................................................................................................................................... 1-9 MA&S Concepts..................................................................................................................................................... 1-9 MA&S Resources................................................................................................................................................. 1-12 EQUIPMENT MANAGEMENT TEAM.................................................................................................................. 1-12 Matrix Management ............................................................................................................................................. 1-12 Concept of Total EMTs ........................................................................................................................................ 1-12 Integral EMT......................................................................................................................................................... 1-13 Virtual EMT........................................................................................................................................................... 1-15 EMT Activities ...................................................................................................................................................... 1-16 EMT Leader ......................................................................................................................................................... 1-24 DEFENCE MANAGEMENT SYSTEM (DMS) OVERVIEW ................................................................................. 1-25 General................................................................................................................................................................. 1-25 Defence Planning Guidance (DPG) ..................................................................................................................... 1-26 Business Planning................................................................................................................................................ 1-26 Defence Services Program (DSP) ....................................................................................................................... 1-27 Performance Measurement.................................................................................................................................. 1-30 PART 2 PROJECT AND RESOURCE MANAGEMENT.................................................................................... 2-1 INTRODUCTION.................................................................................................................................................... 2-1 General................................................................................................................................................................... 2-1 Purpose .................................................................................................................................................................. 2-1 Definitions............................................................................................................................................................... 2-1 Application of Project Management ....................................................................................................................... 2-2 Responsibilities of the EMT Leader ....................................................................................................................... 2-3 PROJECT AND RESOURCE MANAGEMENT PRINCIPLES............................................................................... 2-4 Introduction ............................................................................................................................................................ 2-4 Project Life Cycle ................................................................................................................................................... 2-4 Project Management Knowledge Areas................................................................................................................. 2-6 iii
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TABLE OF CONTENTS (Cont) PAGE Project Management Organization ........................................................................................................................ 2-7 Project Guidance Documentation .......................................................................................................................... 2-8 APPLICATION TO CAPITAL PROJECTS ............................................................................................................. 2-9 Introduction............................................................................................................................................................. 2-9 Roles and Relationships ...................................................................................................................................... 2-10 Preparation of Project Documentation ................................................................................................................. 2-11 Capital Projects Approval..................................................................................................................................... 2-12 Development of Defence Management System (DMS) Decision Documentation............................................... 2-14 Project Transition (PM to In-service Support) ...................................................................................................... 2-19 Summary .............................................................................................................................................................. 2-20 APPLICATION TO IN-SERVICE PROJECTS ..................................................................................................... 2-21 Introduction........................................................................................................................................................... 2-21 Business Planning Process.................................................................................................................................. 2-21 Equipment Support Plan (ESP)............................................................................................................................ 2-22 Equipment Program Plan (EPP) .......................................................................................................................... 2-23 Using the Planning and Control Framework to Create and Execute an Integrated EMT Program ..................... 2-24 Initiating a New/Updated EMT Program .............................................................................................................. 2-24 Planning the EMT Program.................................................................................................................................. 2-24 Executing the EMT Program ................................................................................................................................ 2-25 Controlling the EMT Program............................................................................................................................... 2-26 Completing an EMT Program Phase/Cycle ......................................................................................................... 2-26 BUDGET FORECASTING AND ESTIMATION ................................................................................................... 2-26 Introduction........................................................................................................................................................... 2-26 Capital/MR versus NP.......................................................................................................................................... 2-27 Preparing Submissions of National Procurement Estimates ............................................................................... 2-29 Financial Management Accounting System (FMAS) ................................................................................... 2-33/2-34 PART 3 QUALITY MANAGEMENT ................................................................................................................... 3-1 INTRODUCTION.................................................................................................................................................... 3-1 DND Quality Program ............................................................................................................................................ 3-1 Definitions............................................................................................................................................................... 3-1 DND Quality Management System (QMS) ............................................................................................................ 3-2 Quality Organization............................................................................................................................................... 3-3 ESTABLISHING AND MONITORING QUALITY REQUIREMENTS ..................................................................... 3-4 Introduction............................................................................................................................................................. 3-4 Quality and Management Systems Leadership ..................................................................................................... 3-4 Quality Contracting................................................................................................................................................. 3-5 Management System Evaluation (MSE) ................................................................................................................ 3-5 Quality Surveillance ............................................................................................................................................... 3-6 Quality Performance .............................................................................................................................................. 3-6 Interface with DND QA Staff .................................................................................................................................. 3-7 ESTABLISHING AND MONITORING PRODUCT QUALIFICATION .................................................................... 3-8 Introduction............................................................................................................................................................. 3-8 Product Qualification .............................................................................................................................................. 3-9 Reviewing and Updating Qualified Products Lists (QPLs) and Qualified Manufacturers Lists (QMLs)................ 3-9 iv
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TABLE OF CONTENTS (Cont) PAGE PERFORMANCE MEASUREMENT .................................................................................................................... 3-10 Introduction .......................................................................................................................................................... 3-10 Background .......................................................................................................................................................... 3-10 Definition .............................................................................................................................................................. 3-10 Performance Measures........................................................................................................................................ 3-11 Performance Measurement Activities .................................................................................................................. 3-11 Effects of Performance Measurement ................................................................................................................. 3-12 Selecting Appropriate Performance Indicators .................................................................................................... 3-12 Balanced Scorecard Approach to Performance Measurement ........................................................................... 3-13 Performance Management Operating Guidelines ............................................................................................... 3-14 Planning and Budgeting ............................................................................................................................... 3-15/3-16 Measurement and Reporting ....................................................................................................................... 3-15/3-16 Performance Measurement in Action........................................................................................................... 3-15/3-16 PART 4 SYSTEMS ENGINEERING................................................................................................................... 4-1 OVERVIEW ............................................................................................................................................................ 4-1 ENGINEERING MANAGEMENT ........................................................................................................................... 4-1 Introduction ............................................................................................................................................................ 4-1 Scope of Engineering Management....................................................................................................................... 4-2 Engineering Activities............................................................................................................................................. 4-2 Engineering and Support Management Plans (E&SMPs) ..................................................................................... 4-4 Research and Development (R&D) ....................................................................................................................... 4-4 Engineering Standards and Specifications ............................................................................................................ 4-4 Engineering Design................................................................................................................................................ 4-8 Engineering Analysis............................................................................................................................................ 4-11 Engineering Evaluations and Tests ..................................................................................................................... 4-13 Engineering Production........................................................................................................................................ 4-13 MANAGING ENGINEERING CHANGES (MECs) ............................................................................................... 4-15 SYNTHETIC ENVIRONMENT BASED ACQUISITION (SEBA) .......................................................................... 4-18 Background .......................................................................................................................................................... 4-18 Definitions............................................................................................................................................................. 4-18 Characteristics of SEBA....................................................................................................................................... 4-18 SEBA Support Organization................................................................................................................................. 4-20 SEBAs Impact on the EMT.................................................................................................................................. 4-20 PART 5 MAINTENANCE MANAGEMENT ........................................................................................................ 5-1 INTRODUCTION TO MAINTENANCE MANAGEMENT ....................................................................................... 5-1 Maintenance Program............................................................................................................................................ 5-1 Maintenance Planning............................................................................................................................................ 5-2 Maintenance Implementation ................................................................................................................................. 5-4 Maintenance Monitoring......................................................................................................................................... 5-4 Maintenance Improvement..................................................................................................................................... 5-6
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TABLE OF CONTENTS (Cont) PAGE MAINTENANCE POLICY AND PROCEDURES.................................................................................................... 5-9 Introduction............................................................................................................................................................. 5-9 Requirement for Policies and Procedures ............................................................................................................. 5-9 Reviewing and Updating Policies and Procedures .............................................................................................. 5-10 TECHNICAL ASSISTANCE ................................................................................................................................. 5-11 General................................................................................................................................................................. 5-11 Maintenance Contract Coordination .................................................................................................................... 5-12 PART 6 ENVIRONMENTAL MANAGEMENT.................................................................................................... 6-1 OVERVIEW ............................................................................................................................................................ 6-1 DND Environmental Policy..................................................................................................................................... 6-1 Concept of Due Diligence ...................................................................................................................................... 6-1 Environmental Management .................................................................................................................................. 6-1 ENVIRONMENTAL IMPACT ANALYSIS............................................................................................................... 6-2 HAZARDOUS MATERIAL (HAZMAT) MANAGEMENT ........................................................................................ 6-3 Definition ................................................................................................................................................................ 6-3 Identification of Hazardous Material....................................................................................................................... 6-3 EMT Life Cycle Responsibilities............................................................................................................................. 6-4 NUCLEAR/RADIOACTIVE MATERIAL MANAGEMENT....................................................................................... 6-5 Conception and Acquisition.................................................................................................................................... 6-5 In-service................................................................................................................................................................ 6-7 Disposal.................................................................................................................................................................. 6-7 ELECTROMAGNETIC (ENVIRONMENT) MANAGEMENT .................................................................................. 6-7 Electromagnetic Effect Management ..................................................................................................................... 6-8 Acquisition of EM Equipment ................................................................................................................................. 6-8 EM Radiation Safety .............................................................................................................................................. 6-9 Laser Safety ........................................................................................................................................................... 6-9 PART 7 CONFIGURATION MANAGEMENT (CM)............................................................................................ 7-1 INTRODUCTION.................................................................................................................................................... 7-1 General................................................................................................................................................................... 7-1 CM Organization .................................................................................................................................................... 7-2 CM During the In-service Stage ............................................................................................................................. 7-3 CM Sub-processes................................................................................................................................................. 7-4 CONFIGURATION IDENTIFICATION ................................................................................................................... 7-5 Introduction............................................................................................................................................................. 7-5 CI Selection ............................................................................................................................................................ 7-6 Configuration Documentation................................................................................................................................. 7-9 Baseline Management in Configuration Identification.......................................................................................... 7-11 Numbering............................................................................................................................................................ 7-12
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TABLE OF CONTENTS (Cont) PAGE CONFIGURATION CONTROL ............................................................................................................................ 7-13 General................................................................................................................................................................. 7-13 Change Control Process ...................................................................................................................................... 7-14 Engineering Change Factors ............................................................................................................................... 7-14 Initiating/Reviewing Change Requests ................................................................................................................ 7-16 CONFIGURATION STATUS ACCOUNTING ...................................................................................................... 7-18 CONFIGURATION AUDITS................................................................................................................................. 7-20 Introduction .......................................................................................................................................................... 7-20 Overseeing the Contractors Configuration Audit Program.................................................................................. 7-20 PART 8 INTEGRATED LOGISTICS SUPPORT (ILS)....................................................................................... 8-1 GENERAL .............................................................................................................................................................. 8-1 Introduction to ILS .................................................................................................................................................. 8-1 EMT Leadership Responsibilities........................................................................................................................... 8-4 LOGISTICS SUPPORT ANALYSIS (LSA)............................................................................................................. 8-5 Introduction ............................................................................................................................................................ 8-5 Tasks...................................................................................................................................................................... 8-6 LSA Techniques..................................................................................................................................................... 8-6 Maintenance Planning............................................................................................................................................ 8-8 Monitoring and Updating Support Requirements................................................................................................... 8-9 INITIAL PROVISIONING (IP)............................................................................................................................... 8-10 Introduction .......................................................................................................................................................... 8-10 EMT Activities During the IP Process .................................................................................................................. 8-11 Equipment Support List (ESL).............................................................................................................................. 8-12 Provision of New Item Advice During the IP Process .......................................................................................... 8-13 Materiel Change Notices (MCNs) ........................................................................................................................ 8-13 Product Warranty Requirements.......................................................................................................................... 8-13 PART 9 RELIABILITY AND MAINTAINABILITY (R&M)................................................................................... 9-1 INTRODUCTION.................................................................................................................................................... 9-1 Definition ................................................................................................................................................................ 9-1 Application.............................................................................................................................................................. 9-1 R&M IN THE EMT.................................................................................................................................................. 9-3 Maintenance Planning............................................................................................................................................ 9-3 ILS Planning........................................................................................................................................................... 9-3 R&M SUPPORT..................................................................................................................................................... 9-4 PART 10 TECHNICAL DATA MANAGEMENT ............................................................................................... 10-1 OVERVIEW .......................................................................................................................................................... 10-1 Technical Data ..................................................................................................................................................... 10-1 Technical Data Management (TDM).................................................................................................................... 10-1 vii
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TABLE OF CONTENTS (Cont) PAGE TDM Responsibilities ........................................................................................................................................... 10-2 Development of Technical Data Requirements ................................................................................................... 10-3 Periodic Review and Updating ............................................................................................................................. 10-4 MATERIEL MASTER RECORD (MMR) .............................................................................................................. 10-6 Introduction........................................................................................................................................................... 10-6 Materiel Master Record (MMR)............................................................................................................................ 10-6 Consolidated Area Repository (CAR) .................................................................................................................. 10-6 Overarching MMR Concept and Operating Principles......................................................................................... 10-7 Equipment Management Team (EMT)................................................................................................................. 10-7 Supply Manager (SM) .......................................................................................................................................... 10-7 Technical Authority (TA)....................................................................................................................................... 10-7 TECHNICAL PUBLICATIONS ............................................................................................................................. 10-8 Introduction........................................................................................................................................................... 10-8 Primary Acquisition Method ................................................................................................................................. 10-8 Publication Authorship Service (PAS) Contract ................................................................................................... 10-8 Publication Management Service (PMS) ............................................................................................................. 10-8 Developing Technical Publications through Departmental Standing Offer .......................................................... 10-8 Commercial and Foreign Government Publications ............................................................................................ 10-9 Changes and Revisions to Technical Publications .............................................................................................. 10-9 National Defence Index of Documentation (NDID) / Equipment Identification and Documentation Database (EID)....................................................................................................................... 10-10 DISTRIBUTION, CONTROL AND STORAGE OF TECHNICAL DATA............................................................. 10-10 Introduction......................................................................................................................................................... 10-10 Litigation ............................................................................................................................................................. 10-10 Distribution of Technical Data ............................................................................................................................ 10-11 Storing and Archiving Technical Data................................................................................................................ 10-11 Filing/Retrieval of Technical Data ...................................................................................................................... 10-11 Maintaining a Technical Data Retrieval System ................................................................................................ 10-12 ENGINEERING DRAWINGS AND ASSOCIATED DATA ................................................................................. 10-13 Drawing Levels................................................................................................................................................... 10-13 Technical Data Package (TDP).......................................................................................................................... 10-13 Acquiring Engineering Data ............................................................................................................................... 10-14 Revising Engineering Drawings and Associated Data....................................................................................... 10-14 DISPOSAL OF TECHNICAL DOCUMENTATION............................................................................................. 10-15 Introduction......................................................................................................................................................... 10-15 Initiation of Disposal of Surplus Technical Data................................................................................................. 10-16 PART 11 SUPPLY AND INVENTORY MANAGEMENT.................................................................................. 11-1 GENERAL ............................................................................................................................................................ 11-1 NEW ITEM ADVICE............................................................................................................................................. 11-1 General................................................................................................................................................................. 11-1 Defining Cataloguing Requirements .................................................................................................................... 11-2 Establishing the Shelf Life and Shelf Life Code (SLC) ........................................................................................ 11-2
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TABLE OF CONTENTS (Cont) PAGE Warranty, Service and Shelf Life Management ................................................................................................... 11-3 Component Service Life....................................................................................................................................... 11-4 Establishing Storage Characteristics Handling Codes (SCHCs) ......................................................................... 11-5 CFSS MASTER DATABASE (CFSS MDB) ......................................................................................................... 11-6 Introduction .......................................................................................................................................................... 11-6 Updating the CFSS MDB ..................................................................................................................................... 11-6 Reviewing/Updating Information on the CFSS MDB ........................................................................................... 11-7 Monitoring/Updating Component Life .................................................................................................................. 11-7 AUTOMATED REPROVISIONING ...................................................................................................................... 11-8 General................................................................................................................................................................. 11-8 Technical Support to the Reprovisioning Process ............................................................................................... 11-8 Reviewing/Updating Procurement Instruments (PIs) and Materiel Requirements Listings (MRLs) .................... 11-8 Segregation of Mixed Stocks ............................................................................................................................... 11-8 Excess Stock Management.................................................................................................................................. 11-8 REPAIR AND OVERHAUL ................................................................................................................................ 11-10 STOCK CONTROL ............................................................................................................................................ 11-11 Introduction ........................................................................................................................................................ 11-11 Establishment, Control and Review of Materiel Reservations ........................................................................... 11-11 Stock Quarantine Action .................................................................................................................................... 11-11 Controlling the Removal of Items from Major Equipment in Storage................................................................. 11-11 Control of Materiel in Critical Supply.................................................................................................................. 11-12 LOAN OF MATERIEL ........................................................................................................................................ 11-13 MANAGEMENT OF SPECIAL MATERIEL ........................................................................................................ 11-14 Introduction ........................................................................................................................................................ 11-14 Management of Piezoelectric Devices............................................................................................................... 11-14 Management of Electrostatic Discharge (ESD) Sensitive Electrical/Electronic Parts........................................ 11-15 Responsibilities for Petroleum Products ............................................................................................................ 11-16 SUPPORT TO OPERATIONS ........................................................................................................................... 11-16 General............................................................................................................................................................... 11-16 Concept of Operational Support ........................................................................................................................ 11-17 PART 12 DISPOSAL MANAGEMENT............................................................................................................. 12-1 OVERVIEW .......................................................................................................................................................... 12-1 INITIATING DISPOSAL ....................................................................................................................................... 12-2 DISPOSAL PLANNING........................................................................................................................................ 12-4 Introduction .......................................................................................................................................................... 12-4 Defining Disposal Requirements.......................................................................................................................... 12-5 Selecting a Disposal Process............................................................................................................................... 12-6 Controlled Goods ................................................................................................................................................. 12-6 Supporting the Preparation of a Disposal/Investment Recovery Plan................................................................. 12-7
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TABLE OF CONTENTS (Cont) PAGE PHYSICAL DISPOSAL OF MATERIEL ............................................................................................................... 12-7 Introduction........................................................................................................................................................... 12-7 Supporting the Disposal of Major Equipment and Systems................................................................................. 12-8 Supporting the Disposal of Minor Equipment and Spares ................................................................................... 12-8 Supporting the Disposal of Automated Data Processing (ADP) Equipment........................................................ 12-9 Supporting the Disposal of Technical Data.......................................................................................................... 12-9 Disposal at Remote Sites and Outside Canada................................................................................................. 12-10 PART 13 PROCUREMENT MANAGEMENT................................................................................................... 13-1 INTRODUCTION.................................................................................................................................................. 13-1 PROCUREMENT CONCEPTS ............................................................................................................................ 13-2 Types of Procurement.......................................................................................................................................... 13-2 Procurement Process........................................................................................................................................... 13-3 Types of Solicitation ............................................................................................................................................. 13-3 Responsibilities .................................................................................................................................................... 13-3 PROCUREMENT PLANNING.............................................................................................................................. 13-4 Introduction........................................................................................................................................................... 13-4 Procurement Master Plan .................................................................................................................................... 13-5 Identification of Procurement Requirements........................................................................................................ 13-5 Requesting Price and Availability (P&A) .............................................................................................................. 13-5 Obtaining Authorization and Funding................................................................................................................... 13-7 EMT SUPPORT TO PROCUREMENT INSTRUMENT DEVELOPMENT........................................................... 13-8 Procurement Instrument....................................................................................................................................... 13-8 EMT/Technical Authority Responsibilities............................................................................................................ 13-8 Preparation of a Statement of Work (SOW)......................................................................................................... 13-9 Preparation of a Technical Description of the Required Goods......................................................................... 13-11 Development of a List of Contract Deliverables................................................................................................. 13-12 Identification and Documentation of Terms and Conditions (T&Cs).................................................................. 13-12 Request for Procurement Action ........................................................................................................................ 13-12 CONTRACT MANAGEMENT (TECHNICAL) .................................................................................................... 13-14 General............................................................................................................................................................... 13-14 Monitoring Progress ........................................................................................................................................... 13-14 Monitoring the Use of Government Material ...................................................................................................... 13-15 Evaluating and Accepting Contract Deliverables ............................................................................................... 13-15 PART 14 INTERNATIONAL PROJECTS AND WORKING GROUPS ............................................................ 14-1 INTRODUCTION.................................................................................................................................................. 14-1 GENERAL GUIDELINES ..................................................................................................................................... 14-1 INTERNATIONAL WORKING GROUPS AND COMMITTEES ........................................................................... 14-2 Introduction........................................................................................................................................................... 14-2 Procedures ........................................................................................................................................................... 14-2 Considerations ..................................................................................................................................................... 14-3 x
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TABLE OF CONTENTS (Cont) PAGE INTERNATIONAL PROJECTS ............................................................................................................................ 14-4 Introduction .......................................................................................................................................................... 14-4 Benefits of International Projects ......................................................................................................................... 14-4 Risks of International Projects.............................................................................................................................. 14-5 Project Categories................................................................................................................................................ 14-5 Guidance for International Projects...................................................................................................................... 14-5 Character of International Projects ...................................................................................................................... 14-7 LIST OF ABBREVIATIONS.................................................................................................................................LA-1
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LIST OF FIGURES FIGURE 1-1 1-2 1-3 1-4 1-5 1-6 1-7 1-8 2-1 2-2 2-3 2-4 2-5 2-6 2-7 2-8 2-9 2-10 3-1 3-2 3-3 4-1 4-2 4-3 4-4 4-5 4-6 5-1 5-2 5-3 5-4 5-5 5-6 5-7 5-8 7-1 7-2 7-3 7-4 7-5 7-6 7-7 7-8 7-9 TITLE PAGE
NDHQ Organization............................................................................................................................ 1-3 ADM(Mat) Organisation...................................................................................................................... 1-4 Generic EPM Organisation................................................................................................................. 1-5 Asset Cost over the Life Cycle ........................................................................................................... 1-8 MA&S Process Areas and Phases ................................................................................................... 1-10 MA&S Process Model (First Level Breakdown) ............................................................................... 1-11 DMS Overview.................................................................................................................................. 1-25 DND Capability Components............................................................................................................ 1-27 Advantages and Benefits of Project Management for the EMT Leader ............................................. 2-3 DGMEPM Project Phases .................................................................................................................. 2-5 LCMS and DMS Project Phases ........................................................................................................ 2-6 Generic Project Organisation ............................................................................................................. 2-8 Project Phases / Project Documentation.......................................................................................... 2-13 Project Management Phases ........................................................................................................... 2-15 Project Document Staffing................................................................................................................ 2-20 Planning and Control Framework ..................................................................................................... 2-23 Funding Sources............................................................................................................................... 2-28 NP Estimates .................................................................................................................................... 2-29 Departmental Performance Management Framework ..................................................................... 3-11 Example Evaluation Framework....................................................................................................... 3-13 Balanced Scorecard Structure.......................................................................................................... 3-14 Engineering Management Activities and Typical Documentation ...................................................... 4-3 Acquisition Cost as a Function of Specification Detail ....................................................................... 4-7 Technical Analysis Products............................................................................................................. 4-12 Roles of M&S in DMS and MA&S..................................................................................................... 4-19 SEWG Organisations ....................................................................................................................... 4-20 M&S Stakeholders Through LCMS Stages ...................................................................................... 4-21 Maintenance Activities........................................................................................................................ 5-1 Detailed Activities of Maintenance Planning ...................................................................................... 5-3 Detailed Activities of Maintenance Implementation............................................................................ 5-4 In-service Maintenance Context ......................................................................................................... 5-5 Detailed Activities of Maintenance Monitoring.................................................................................... 5-6 Detailed Activities of Maintenance Improvement ............................................................................... 5-7 Maintenance Policy Areas of Interest................................................................................................. 5-9 Preferred Medium for Disseminating Policy ..................................................................................... 5-10 CI Selection Criteria............................................................................................................................ 7-6 Functional Breakdown Structure ........................................................................................................ 7-7 System Breakdown Structure ............................................................................................................. 7-8 CM Baselines through the Systems Life Cycle................................................................................ 7-11 Ratio of Factors Leading to ECPs .................................................................................................... 7-15 Configuration Control Task List ........................................................................................................ 7-15 Change Request Process................................................................................................................. 7-17 Configuration Control Board ............................................................................................................. 7-17 CSA Task List ................................................................................................................................... 7-19 xii
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LIST OF FIGURES (Cont) FIGURE 7-10 8-1 8-2 8-3 8-4 8-5 10-1 10-2 10-3 11-1 11-2 11-3 12-1 12-2 12-3 13-1 13-2 13-3 13-4 13-5 13-6 TITLE PAGE
Configuration Audit Task List............................................................................................................ 7-20 ILS Elements ...................................................................................................................................... 8-2 ILS Relationship to System Engineering ............................................................................................ 8-3 LSA Process ....................................................................................................................................... 8-6 Maintenance Plan Development ........................................................................................................ 8-8 Logistics Support Monitoring .............................................................................................................. 8-9 Technical Data Management Interfaces........................................................................................... 10-3 Custodial Duties of Technical Data Repositories ............................................................................. 10-5 RTD Disposal Process ................................................................................................................... 10-16 Establishing Shelf Life ...................................................................................................................... 11-3 Overview of the Loan Process........................................................................................................ 11-13 NDHQ J Staff Organization ............................................................................................................ 11-17 Disposal Processes .......................................................................................................................... 12-2 Initiate Disposal Process .................................................................................................................. 12-3 Disposal Planning Processes ........................................................................................................... 12-4 Competitive and Sole-source Processes ......................................................................................... 13-2 EMT Support to Procurement........................................................................................................... 13-4 Procurement Requirement Identification .......................................................................................... 13-6 Typical Content of a Requisition for Competitive Procurement........................................................ 13-8 Example of a SOW Development Framework................................................................................ 13-10 SOW Effectiveness Checklist ......................................................................................................... 13-11
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PART 1 INTRODUCTION EQUIPMENT MANAGEMENT TEAM (EMT) HANDBOOK BACKGROUND 1. The Department of National Defence (DND) devotes a significant amount of resources to equipment. These equipment assets (ships, aircraft, vehicles, information systems, etc.) represent essential tools to accomplish the mission of the Canadian Forces (CF) and can be treated as investments. As with any investment, the investment in materiel has the potential for both significant gain (in terms of added capability) and significant financial loss if an expensive asset provides little or no support to DND objectives. 2. Equipment Management Teams (EMTs) have been created to ensure that any investment in the acquisition and maintenance of materiel is well-founded, and that any currently held equipment assets continue to benefit DND in meeting its objectives. EMT Leaders have direct responsibility for the delivery, maintenance and disposal of CF equipment and systems in the most efficient and cost effective manner possible. 3. The EMT Handbook elaborates on the government asset management policy in a cohesive, workable body of practice and knowledge for the effective management of physical assets. This handbook guides the EMT staff through the array of policies, procedures and personnel that comprise the Materiel Acquisition and Support (MA&S) system. AIM 4. The aim of the EMT Handbook is to provide: a. An index of major EMT activities; b. A brief explanation of those activities; and c. A list of relevant references and points of contact.
OUTLINE 5. The EMT Handbook meets this aim by providing a ready reference to applicable MA&S policies and procedures and by explaining the why associated with materiel management processes. Any explanation of how to accomplish certain processes is restricted to high-level functions. For details of how to accomplish working-level processes, refer to the MA&S Desktop and the Life Cycle Materiel Manager (LCMM) Activities Handbook. The long term vision is to incorporate the information from the LCMM Activities Handbook into the MA&S Desktop and phase out the LCMM Activities Handbook. 6. The EMT Handbook is divided into six sections comprising a total of 14 parts: a. Part 1 (Introduction) provides an introduction to materiel management and the EMT working environment. b. Part 2 (Project and Resource Management) and Part 3 (Quality Management) discuss management theory and processes. c. Part 4 (Systems Engineering), Part 5 (Maintenance Management), and Part 6 (Environmental Management) discuss technically oriented management processes.
d. Part 7 (Configuration Management), Part 8 (Integrate Logistics Support), Part 9 (Reliability and Maintainability), Part 10 (Technical Data Management), Part 11 (Supply and Inventory Management) and Part 13 (Procurement Management) introduces Integrated Logistics Support (ILS) and its associated processes. 1-1
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e. Part 12 (Disposal Management) provides general guidance on disposal. f. Part 14 (International Projects and Working Groups) provides general guidance for any EMT operating in an international forum.
7. The EMT Handbook is a reference tool and is not a replacement for authoritative documents such as orders, instructions, specifications or standards. GENERAL 8. Since each environment has developed its own terms, there may be some inconsistencies between the terminology used in this handbook and that used within individual EMTs. This is the result of both the dynamic nature of materiel management and the objective of providing an environmentally neutral EMT Handbook. A good example of this is the term Equipment Management Team. Although the concept of unified and integrated technical, logistics and project management support has been adopted, the term EMT has not entered into common usage within these three environments. Any differences in terminology should not limit the usability of this handbook. 9. Part 1 (Introduction) provides an introduction to materiel management and the role of the EMT within that framework. It introduces the: a. Organizational Structure of National Defence Headquarters (NDHQ) and the Materiel Group. b. Life Cycle Management (LCM) policy. c. MA&S process.
d. EMT concept. e. Defence Management System (DMS). 10. This part is intended only to provide an overview. For a detailed description of EMT activities, consult the applicable part of this handbook. NATIONAL DEFENCE ORGANIZATIONAL STRUCTURE NATIONAL DEFENCE HEADQUARTERS 11. Collectively, the groups/organisations forming National Defence Headquarters are responsible for the planning, directing and controlling of departmental policy, security, finance, information, personnel, and materiel. The organization chart for NDHQ showing these functions is contained in Figure 1-1. Within this structure, the Materiel Group has been assigned functional authority for MA&S activities. Other groups have some responsibility in this area including: Assistant Deputy Minister (Infrastructure and Environment) (ADM[IE]) for equipment used in support of DND Infrastructure, Assistance Deputy Minister (Information Management) (ADM[IM]) for equipment employed in support of information technology and Assistant Deputy Minister (Human Resources Military) (ADM[HR-Mil]) for medical and dental equipment.
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Military Police Complaints Commission CF Grievance Board DM Dept Justice DND/CF Legal Advisor
Assistant Deputy Minister (Information Management) Assistant Deputy Minister (Office of Critical Infrastructure Protection & Emergency Preparedness) Assistant Deputy Minister (Policy) Assistant Deputy Minister (Materiel) Assistant Deputy Minister (Finance & Corporate Services) Assistant Deputy Minister (Infrastructure and Environment) Assistant Deputy Minister Human Resources (Civilian) Vice Chief of the Defence Staff Canadian Forces Provost Marshall Judge Advocate General
Deputy Chief of the Defence Staff Chief of the Maritime Staff Chief of the Land Staff Chief of the Air Staff
Figure 1-1
NDHQ Organization
12. Particularly important to all EMT members and EMT operations are the Environmental Chiefs of Staff (ECS): Chief of the Land Staff (CLS); Chief of the Air Staff (CAS); and Chief of the Maritime Staff (CMS). These organisations play a critical role in the Defence Management System (DMS) and related MA&S processes in that they provide operational and user input to capital procurement and in-service support programs. It is important that EMT Leaders identify, establish and maintain an effective relationship with the applicable sections in these organisations since much of the business planning process (and subsequent adjustments) depends on close liaison and interaction with environmental staffs. MATERIEL GROUP 13. Assistant Deputy Minister (Materiel) (ADM[Mat]) is responsible for the development, acquisition and logistic support of most of the materiel acquired by DND. As shown in Figure 1-2, the materiel group consists of eight divisions that provide a wide spectrum of materiel management support functions. The actual materiel management support functions and activities specific to commodities, equipment, and systems are performed within the Equipment Program Management (EPM) Divisions. These are: a. Director General Aerospace Equipment Program Management (DGAEPM). b. Director General Land Equipment Program Management (DGLEPM). c. Director General Maritime Equipment Program Management (DGMEPM).
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14. Major Crown projects, such as the Maritime Helicopter Project (MHP), may also fall under direct ADM(Mat) supervision. The remainder of the materiel group supports a variety of Department-wide activities. A Division Head responsible to the ADM controls each division.
Figure 1-2
ADM(Mat) Organisation
DIVISIONAL ORGANISATIONS EQUIPMENT PROGRAM MANAGEMENT (EPM) 15. EPM organisations are designed to have a clear environmental or customer focus and are structured to support integrated equipment systems management. The generic model of an EPM is shown at Figure 1-3. 16. An EPM consists of: a. A small Business Management Team (BMT) which focuses on EPM business planning and stewardship of financial and human resources. b. Several multi-disciplined EMTs whose composition varies as a result of their unique environmental requirement. c. An EPM Support Services Team (SST) which provides specialist or unique EPM support to the EMTs or BMTs.
17. Within EPMs, EMTs may be structured by fleet grouping, a specific capability group (e.g. transport aircraft, artillery equipment), or by a mix of equipment/services/common user items. 18. The BMT: a. Provides the resource stewardship and comptroller function, forming a link between the EMTs and EPM management. 1-4
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Figure 1-3
b. Integrates EPM business planning with environmental and departmental strategic planning. c. Develops and implements a management reporting system that provides timely, accurate and relevant information on both the effectiveness and efficiency of the EPM program.
d. Implements and coordinates processes to support the application of appropriate financial management policies and practices. e. Provides a central source of advice and information to EMT managers on effective planning, allocating and spending of resources. f. Coordinates the application of HR management policies, practices and planning.
g. Provides administrative services. 19. EMTs provide the primary focal point for operational equipment support. These teams provide a single point of contact and accountability for their assigned equipment or projects. The size and mandate of an EMT are influenced by the methodology for grouping equipment and services. Typically, the size of an EMT will range from less than 10 to over 100 Full Time Equivalents (FTEs). Key features of these teams include: a. Integration of engineering/maintenance with supply/finance/procurement roles; b. Integration of PWGSC and operational staffs into the equipment management team; c. Embedded accountability for Quality Assurance (QA);
d. Greater synergy between sustainment projects and major change projects; 1-5
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e. Clear lines of accountability and improved communications; f. A flexible team structure capable of responding to future changes; and
g. An emphasis on multi-skilled generalists, supported by functional specialists. An individual team will not replicate the need for specialist expertise, which will be drawn from an EPM SST or other cluster service providers within DND or external to it. 20. The EMT Leader is the Design Authority (DA) for all the EMTs assigned equipment. EMTs manage cost, schedule and performance for their assigned equipment and projects (including major capital acquisition projects) in accordance with the approved business plan. EMTs are the vehicle for establishing Service Level Agreements (SLAs) with customers or service providers. 21. SSTs are small teams that provide the EPMs with competencies and specialized skills in specific fields of expertise. These services are environmentally unique and provide specific support of all EMTs within that EPM organization. These specialist services may be colocated near the EMTs or available at the field units. Three examples are: a. Specifications. Refers to the definition of the minimum performance requirement for procuring and certifying goods and services, including quality requirements. b. Applied Engineering. Refers to the direct application of engineering skills to design requirements, system integration, fleet integrity or verification functions, (e.g. airworthiness, naval architecture, network architectural design). c. Development. Includes technology working groups or dedicated resources assigned to defining equipment development opportunities or managing delivery of development projects. LIFE CYCLE MANAGEMENT (LCM) 22. Acquiring physical assets involves making a long-term commitment to their introduction into service, support during service, and eventual removal from service. It is important to keep in mind that the total cost of owning a physical asset is not restricted to the acquisition cost. Assets incur costs from the time of conception; a price is paid for their acquisition; support and enhancement costs accrue in operational service; and even in the disposal phase, there are financial commitments in removing assets from operational service and disposing of supporting materiel. Since the scope of materiel used in DND is vast and there are limits on the funds available to acquire and support those assets, a structured management philosophy is used to coordinate all materiel-related activities. This philosophy is called Life Cycle Management (LCM). The aim of LCM is to ensure that all MA&S activities: a. are conducted according to approved policy; b. are based on established plans and decisions; and c. reflect an awareness of future CF requirements.
23. Treasury Board has imposed the use of LCM on all government departments. The Treasury Board Secretariat Materiel Management Policy states that government materiel shall be managed over the entire life cycle of the materiel. This will ensure that materiel meets departmental operational requirements for effective program delivery and that the government (and its departments) achieve value for money when planning, acquiring, using and disposing of materiel assets. 24. Within DND, LCM is defined as, all activities required to support any item of materiel from the time of its initial conception to the time of its disposal from the Canadian Forces. These activities are grouped into four distinct managerial phases called Life Cycle Stages. a. Conception Stage. Those activities necessary to the development, definition and selection of a preferred means (i.e. defence equipment or system) of satisfying a defence capability requirement. 1-6
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b. Acquisition Stage. Those activities directed toward the acquisition, installation and provision of initial and future logistics support resources for the preferred equipment or system. c. In-service Stage. Those activities concerned with all facets of design, engineering and continuing logistics support for the materiel throughout its operational life (including while in storage).
d. Disposal Stage. Those activities required to identify and remove surplus materiel from the CF inventory. This includes any associated support equipment and/or logistics support resources that are subsequently rendered no longer useful. 25. The Life Cycle Management System (LCMS) is the set of processes designed to implement LCM. The LCMS provides a formal structure within which the control, integration and accountability for engineering, maintenance and logistics support of physical assets can be effectively exercised. The objective of implementing the LCMS is to maximize the benefit of using an asset while minimising the cost of that capability. 26. DND LCM policy is contained in the LCMM Activities Handbook.
OPTIMIZED WEAPONS SYSTEM MANAGEMENT (OWSM) CONCEPT 27. Within the context of LCM, there is an emerging equipment management paradigm called Optimized Weapons System Management (OWSM). OWSM has come to signify the practice of looking at an equipments support needs as a complete support system (and not the sum of the support systems parts) with special emphasis on the relationship between internally and externally provided support. The aim of OWSM is to establish and maintain an optimal support environment over the entire life cycle of an asset. OWSM recognises that: a. The majority of costs associated with a system over its life cycle occurs in the in-service phase. b. The technical effort to resolve support issues is often overwhelmed by the contractual effort required to effect the change. c. Management tends to focus on the acquisition cost (relatively small) as opposed to the support costs (relatively large).
28. The OWSM concept is to identify the complete life cycle support requirements of a weapon system, and to determine what support should be provided by the Department (the internal support component) and what support should be provided by an external service provider (the contracted support component). The term Optimized Weapons System Support (OWSS) is used to identify the contracted support element of an OWSM implementation. OWSM is a concept that encourages EMTs to make equipment support decisions that are based on the Life Cycle Cost (LCC) of an asset from the conception phase onwards. As stated earlier, assets start to incur costs the moment they are conceived; a price is paid for their acquisition; support costs and enhancement costs accrue during the in-service phase, and there are financial commitments in removing and disposing of the asset and its associated materiel in the disposal phase. The LCC represents the total cost of owning an asset, the accrued actual cost to DND, through all its life cycle phases. 29. Figure 1-4 illustrates the relative spending rate associated with a new asset over its life cycle. The conception and acquisition phases are driven by the project S curve. During these phases, the cost of the asset increases as more work is performed. When the asset enters the in-service phase, there are likely to be residual design-related challenges from the acquisition and new engineering change proposals that need resolution. As the asset progresses through the in-service phase, many of these initial challenges are resolved. In-service operating cost remains fairly constant (if usage and operational requirements remain constant) until an increased number of problem reports begin to be raised. At this point, the problem reports are monitored by the EMT to determine if they are anomalies or part of a continuing trend. Once a continuing trend is identified, the decision is taken to dispose of (or recapitalize) the asset. The LCC of the asset is the area under the spending rate curve as it progresses through all four life cycle phases.
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Figure 1-4
30. OWSM considers not only the degree of materiel support provided to an asset, but also the organizational structure (DND or Contractor) employed to deliver that materiel support. As the asset progresses through the four life cycle stages, the LCC of the asset will change, reducing or improving the effectiveness and efficiency of the support system. These changes in support costs, through OWSM, will lead to changes in the support arrangements through the remainder of the life cycle. OWSM must incorporate the risks associated to contracting out service support and the challenges associated with managing maintenance and support contracts in a theatre of operations. MATERIEL ACQUISITION AND SUPPORT (MA&S) BACKGROUND 31. The MA&S process is an integrated conception-to-disposal process that provides a common framework of policies and accountability in accordance with DAOD 3000-1. MA&S is the DND implementation of the LCMS, and transforms operational needs into the required equipment, support equipment, spares, supplies, training, technical publications, and facilities. These processes are managed by ADM(Mat), who is responsible for all activities associated with MA&S policy for DND and for CF. The role of the EMT is to take those definitive steps that maximize the benefits while mitigating the financial commitments and liabilities. 32. As part of its mandate, Director Materiel Acquisition and Support Programme (DMASP) is responsible for coordinating the development, production and promulgation of MA&S policies and instructions in support of ADM(Mat). DMASP is the Office of Primary Interest (OPI) for MA&S policy with respect to: a. Systems Engineering (SE); b. Project Management (PM);
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c.
d. Configuration Management (CM); e. Technical Data Management (TDM); f. Systems Engineering Management (SEM);
g. Initial Provisioning Policy and Materiel Master Record Policy; h. Life Cycle Materiel Management (LCMM); and i. Procurement.
33. Although policy development is primarily a DMASP responsibility, DMASP cannot develop policy in isolation and relies on the active support of members of the MA&S Stakeholder Community (both within and external to ADM[Mat]). Defence Administrative Orders and Directives (DAODs) are the principal instrument to communicate departmental corporate administrative policy and to provide instruction on how to implement the policies. DAOD 3000-0 is the DND policy on MA&S and is available on the MA&S Desktop (to be renamed the MAT KNet in the near future). DAOD 3000-0 defines MA&S as, the acquisition (excluding the identification of the requirement), support and disposal of the materiel component of a defence capability. MA&S MISSION STATEMENT 34. The purpose of MA&S is to provide materiel development, acquisition, in-service and disposal support in response to command and CF requirements, in the most cost effective and efficient manner possible. MA&S CONCEPTS 35. The MA&S process is an integrated conception-to-disposal process that provides a common framework of policies and accountability by establishing: a. a process owner; b. a system where authority and accountability are vested in process ownership, as opposed to resource ownership, and applied consistently across organizational boundaries; and c. a business approach that focuses on quantifying success through performance measures.
36. MA&S processes are broken down into three principal process areas: acquire materiel, support materiel, and dispose materiel. These process areas operate over six acquisition and support phases. The six MA&S phases incorporate both the DMS phases for project conception and capital acquisition and the LCM phases for in-service support and disposal. The level of effort associated with each process area and MA&S phase is illustrated in Figure 1-5.
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Figure 1-5
37. The MA&S processes along with their functional inputs and products are captured in the MA&S Process Model (see Figure 1-6). Each major process area is broken down into its component processes, inputs, and products. This functional decomposition continues through many levels, providing the various EMT members with a detailed representation of the global set of processes, inputs, and deliverables associated with the DND MA&S system. The MA&S Process Model is available on the MA&S Desktop (MAT KNet). The MA&S Process Model represents a valuable tool to assist EMT Leaders in understanding the complexity of asset management and in planning the work of the EMT. 38. As depicted in Figure 1-6, see MA&S Desktop (MAT KNet) for electronic version, the MA&S process receives inputs from operational staff and field units (via a Recognised Service Need or Client Service Request), which may range from a request for new equipment/systems to the provision of spare parts or technical advice relating to maintenance activities. From these requests, a variety of MA&S activities occur to service the needs of the user. The output is the provision of whatever services are requested from the customer (i.e. new or modified equipment or systems, or new/revised maintenance procedures). MA&S is not a set of static processes, but is a system in a constant state of change, searching for and implementing methods to: a. Improve materiel support to operations; b. Improve the efficiency of the acquisition process; c. Optimize value for the money spent;
d. Apply the best commercial support practices; e. Tailor support to individual weapons systems;
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Figure 1-6 f.
Introduce specific technologies into operational situations efficiently and on short notice;
g. Leverage simulation and modelling in areas such as acquisition, maintenance, programming and training; h. Reduce inventories and the logistics support tail; i. j. k. l. Employ support resources in non-traditional environments (e.g. Contractors in the Operational Theatre); Employ integrated Equipment Management Teams; Use the Prime Vendor Support throughout the life cycle of vehicle, vessel, aircraft and/or operating systems employment (including monitoring GFE); Optimal use of Commercial Off-The-Shelf (COTS) products;
m. Acquire and support fewer types of multi-role equipment; n. Emphasize on extending life expectancies for capital equipment via modification, upgrading and refurbishment; and o. Foster a close relationship between those specifying operational capability requirements and those with the knowledge of current capabilities and support requirements.
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MA&S RESOURCES 39. MA&S Desktop (to be renamed the MAT KNet in the near future). The MA&S Desktop (MAT KNet) is a web-based electronic reference utility and source of guidance, advice, tools and techniques to aid users in the accomplishment of their tasks. This repository is designed to be applicable to all MA&S projects, aiding users regardless of their role or background. Using documented best practices, examples and templates, EMT Leaders and members can readily benefit from the collective experience and knowledge base across DND. The MA&S Desktop (MAT KNet) contains: a. Process details to allow DND users to interpret and implement the reform concepts contained in MA&S policy and the Acquisition Reform Guide (ARG); b. Electronic links to reference source documents; c. Formats, such as decision tools, techniques and templates; and
d. Contact OPIs (at NDHQ) for the various subject matter experts. 40. Acquisition Reform Guide. The DND Acquisition Reform Guide (2nd draft), dated February 1999, is a work-in-progress, identifying not only world-wide best practices in acquisition, but also how those practices can be incorporated into the mainstream DND/CF environment. It is available on the MA&S Desktop (MAT KNet). EQUIPMENT MANAGEMENT TEAM MATRIX MANAGEMENT 41. Matrix management is a concept used by EPMs. Often, departmental projects are of sufficient scope and complexity to require the support of functional specialists, but may not merit the assignment of dedicated project staff. Matrix management is the name given to the form of management in which functional authorities carry out their tasks in support of a project manager who is responsible for a project. For details, see the MA&S Desktop (MAT KNet) reference on matrix management on the MA&S Desktop (MAT KNet). 42. The use of the matrix management concept fosters the formation of virtual teams as it allows project OPIs to conduct their business across functional lines at the lowest level possible. In most instances, it eliminates the need to go up or down the chain of command. Matrix management is effective not only in support of projects but also in the conduct of day-to-day activities when there is a need to deal with personnel outside ones own organization. Functional support in specialized disciplines such as engineering, supply management, procurement and Quality Assurance (QA) is available to all EMT Leaders through matrix management. CONCEPT OF TOTAL EMTs 43. The nature and diversity of EMT organizational structures, as well as their activities, means that only a small element of the personnel and resources needed to achieve the EMTs equipment management program are under the direct functional control of the EMT Leader. In fact, the EMT can and should include significant elements that are outside EPMs, ADM(Mat), DND, and even government (e.g. DQA, ECS requirements staffs, PWGSC, industry and allied forces). This has led to the concept of a Total EMT formed from two components: a. A small Integral EMT that includes all those personnel (and resources) that are under direct functional control of the EMT Leader; and b. An often much larger Virtual EMT that includes all matrix-managed personnel (and resources) linked to the EMTs activities. 44. The dividing line between the Integral and Virtual components of the EMT will vary, and some EMT members including the EMT Leader may fulfil more than one set of responsibilities.
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INTEGRAL EMT 45. The Integral EMT has seven primary responsibilities: a. Leadership (1) The Integral EMT has management responsibility for the total EMT and its assigned equipment/ systems, including their capabilities, within the overall materiel planning and control framework. The EMT Leader is the key to MA&S process integration within the EMT and across the EMTs plans and activities. Leadership includes: (a) Addressing EMT business process inputs; (b) Analysing EMT performance and implementing improvements; (c) Analysing primary improvements; and support equipment/system performance and implementing
(d) Managing EMT personnel; (e) Enhancing EMT process efficiency; (f) Reporting and forecasting EMT activities; and (g) Balancing and adjusting the EMTs equipment management program. (2) While processes can be imposed, effective and efficient execution of the equipment management program by all team members relies heavily on the EMT Leaders ability to integrate the integral and virtual EMTs and extract the maximum effort from all members of the team. This can only be done by: (a) Having a full knowledge of the teams skill sets and capabilities; (b) Addressing any limitations and shortfalls; (c) Managing team activities and personnel through the sound application of human resource management principles; and (d) Emphasising and improving communications. b. Project Management. The EMT Leader is responsible for the application of project management processes and discipline throughout the equipment/systems life cycle. It is expected that all major EMT activities (acquisition, support or change) will be managed as projects within an overall integrated equipment management program. While it will impact on all EMT members, project management expertise and coordination may be focussed in a designated EMT Project Manager (PM). Where individual elements of the equipment management program can proceed concurrently, numerous EMT members may be designated as PMs reporting to the EMT Leader as Program Manager. In the case of acquisition projects, the EMT will have expanded project management responsibilities because of the additional management and reporting requirements imposed by the DMS and Treasury Board for capital project management. c. Equipment Support Management (ESM). ESM includes management of EMT technical support activities throughout an equipment/systems life cycle. Equipment System Managers (ESMs) are normally designated at the lowest staff level that can achieve a broad overview of the technical support requirements of a fleet, system or equipment. The ESM Manager:
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Leads the creation and execution of maintenance and inventory management concepts; Improves equipment support and associated processes; Develops weapon systems/equipment support plans; Manages weapon systems/equipment support subcommittees; and Manages CM and TDM activities.
Examples of other terms for the ESM Manager include Ammunition Commodity Manager (ACM), Class Manager, Fleet Manager, Technical Specialist, and LCMM. d. System Engineering Management. This function is responsible for effectively applying system engineering processes and principles to EMT activities throughout the equipments life cycle. This may include acting as the DND design/engineering authority for both acquisition projects and in-service fleets. For major acquisition projects, these responsibilities become part of the system engineering component, and thus simplify transition to sustained system engineering management when transferred to the in-service phase. For in-service fleets this includes: (1) (2) (3) (4) (5) (6) (7) Managing equipment modification projects; Performing interface/integration engineering and configuration management activities; Conducting or coordinating engineering investigations, testing and evaluation; Providing engineering advice as necessary; Establishing and conducting configuration management boards; Establishing and managing engineering management plans; and Establishing and managing specific engineering plans and activities related to equipment.
e. Supply/Inventory Management. This function is responsible for inventory management of all equipment and equipment support items throughout the life cycle. It may include: (1) (2) (3) (4) (5) Initial cataloguing/provisioning, and follow-on reprovisioning; Coordinating transportation and distribution of materiel; Repair and overhaul support; Materiel authorization for centrally managed items; and Disposal management.
This responsibility normally includes those associated with the National Inventory Control Point (NICP). f. Financial/Procurement Management. This function provides the point of contact between DND and PWGSC which is responsible for all procurement, including contracts for new acquisition, reprovisioning, repair and maintenance and direct with trade, as well as budget management and contract administration, It may include: (1) Preparing procurement strategies in concert with the technical authority and PWGSC;
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Preparing requisitions and reviewing all requirement documents to ensure completeness and contractibility; Monitoring, hastening deliverables and milestones; Certifying and processing payments; Providing guidance on government contracting regulations, internal and external review and approval processes and the EMT budget and cash management; and Preparing cost estimates, procurement milestones and procurement risk mitigation input to project decision documents.
VIRTUAL EMT 46. The Integral EMT requires a large matrix of additional personnel and resources to deliver equipment and equipment support capabilities. EMT Leaders and members must establish and maintain effective lines of communication between the directly controlled Integral EMT and the much larger matrix, called the Virtual EMT. This linkage can be defined through formal or informal agreements/contracts, specific project charters, or activity responsibility matrices. These clarify both the commitments and reporting relationships of Virtual EMT members to both the EMT Leaders and the functional managers satisfaction. This liaison must be established early in the conception stage, and nurtured and maintained throughout the life cycle of the equipment capabilities assigned to the EMT. Key Virtual EMT members include: a. Requirements Staffs (ECS Staff). These organisations define the capability requirement or deficiency and system performance characteristics. They also source and establish program funding and play a key role in the distribution and fielding of new equipment. b. Quality Assurance (ADM[Mat]/DGEPS). This organization establishes QA policy applicable to both capital and in-service acquisition activities. c. R&D (ADM[S&T]/DRDC). DRDC is an agency operating within the Department of National Defence and provides science and technology services to the Department and the Forces. As part of the virtual EMT, DRDC provides awareness of future technology and facilitates its insertion. As well as traditional R&D, DRDC can provide applied R&D support to technical, engineering and process reengineering investigations.
d. DND Specialists (Various). These may include equipment/product advisors (e.g. nuclear engineers, publication specialists). They also may be process advisors (e.g. DDSAL, DCIP, DCPS, ILS experts, test and evaluation specialists). Finally, they may also include other EMTs whose equipment links to the EMTs equipment and equipment support capabilities. e. Public Works and Government Services Canada (PWGSC). PWGSC is the government contracting agent and is tasked under the Defence Production Act with the exclusive authority to buy or otherwise acquire, utilize, store, transport, sell, exchange or otherwise dispose of defence supplies unless these activities have been delegated to the Minister of National Defence. PWGSC must be involved when DND is seeking procurement information from industry. f. Industry. Industry represents the source of the EMTs equipment and equipment support capabilities through the provision of both goods and technical services.
g. Other Government Departments (OGDs). OGDs have a role in optimizing DND procurement value to Canada by using instruments such as industrial offsets for major offshore capital procurements. Also OGDs provide awareness of government programs and policies affecting DND procurements. Industry Canada and Department of Foreign Affairs and International Trade (DFAIT) are two key departments to consider. 1-15
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h. Allies. Allies are often a source of cooperative and shared development, acquisition, information, facilities and other support. EMT ACTIVITIES 47. The sum of all EMT activities over the life cycle of materiel can be grouped into nine areas. In this section, each of these areas is discussed in some detail. 48. Technical and Specialist Advice, Information and Investigative Analysis. This provides expert advice, information and investigative analysis to EPM customers, other CF agencies, government departments, external agencies and contractors. The specific activities associated with this process are: a. Technical Materiel Advice. This includes the conduct of technical studies and investigations to answer client queries and the provision of general consultations. b. Operational Planning and Field Support. This includes the provision of consultation on the implementation of operational plans and missions related to the requirements, support, and allocation of CF materiel. c. Speciality Technical Advice. This includes the provision of general consultation on Environmental Management, Configuration Management (CM), ILS, and human engineering related activities.
d. Advice on Training and Management of Technical Personnel. This includes the provision of advice on: (1) (2) (3) Training requirements for CF personnel (i.e. operators and maintainers); Updates to trade-related courses, occupational speciality courses and specialized equipment courses; and The requirement for speciality qualifications, personnel skills development and staffing for deployment.
This activity may be required to distinguish between advice on military and civilian technical training and management requirements. e. Advice to Operations on Costing and Budgeting. This includes the provision of input to operational budgets (i.e. the preparation of maintenance and supply support forecasts and the provision of general advice on maintenance and inventory support cost related to CF operations/deployment). f. Acquisition Methods and Strategies. This includes the provision of advice on the strategies and management of procurements and contracts as well as project management methods.
g. Policies, Procedures and Instructions. This includes the provision of advice on materiel operation as it relates to practices, security and safety. h. Supporting North Atlantic Treaty Organization (NATO) and Other Allies. This includes the provision of advice in support of, and participation in: (1) (2) (3) 49. NATO and other working groups; The development of Standardisation Agreements (STANAGs) and other NATO documents; and The preparation of responses to queries.
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50. New Capability Acquisition. The EMT manages the introduction of new operational capabilities to the CF by acquiring equipment and systems on behalf of operational staffs. The operational requirement for a materiel solution is provided in the Capability Initiatives Database (CID). The purpose of the CID is to serve as an information storehouse for capital projects and initiatives within DND and the CF. The CID is an important departmental tool for capability-based planning, which assists in the process of identifying capability deficiencies. Details of the CID are available on the VCDS web site. 51. The new capability acquisition process is initiated by providing advice that identifies equipment/system requirements to meet a specified capability deficiency. It also provides advice on the development of options leading to an approved solution. The major activity associated with this process is acquisition management whereby equipment/systems specifications and ILS requirements are defined, and the equipment/system and related ILS package are subsequently procured. The process concludes with the introduction of the new equipment or system into service, product acceptance and the hand-over of the new asset to operations. 52. The specific activities associated with this process are: a. Technical and Specialist Advice. This includes conducting program planning studies and providing advice in support of the: (1) (2) (3) (4) Development of DMS documentation; Development of options leading to an approved solution; Evaluation of in-service operational requirements; and Evaluation of risk associated with the introduction of a new capability.
b. Acquisition Management. This includes the: (1) Preparation of acquisition documents, including technical specifications; ILS support strategies, Logistics Support Analysis (LSA) set-up and other associated requirements; cost and deliverables breakdown schedules; procurement strategies (i.e. COTS versus mil-spec) and planning documents (budgets, forecasts); and, contractual requirements (specific terms and conditions related to deliverables, acceptance criteria). Provision and execution of a communications plan to inform the client and other agencies regarding project progress, expenditures and forecasts, operational requirements, and test and evaluation requirements. Management of all aspects of procurement including contract amendments, schedule and costs, identification and acceptance of deliverables, and the technical performance of the contractor. Conclusion of the acquisition which includes the provision of full status of acquisition performance; address status of systems, support strategies and associated operational requirements; and completion of all in-service transition activities.
(2)
(3) (4)
c.
Introduction of Equipment/System into Service. This includes the: (1) (2) (3) Acceptance of equipment/systems, including the conduct or management of tests or trials. Acceptance of training packages, facilities, and documentation. Management of the physical delivery of assets including entitlements and equipment hand over, distribution of assets including simulators and test equipment, life cycle logistics support, training packages, facilities, and documentation (technical and others).
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(4)
Management of the transition to operations, including life cycle support (for example, initial maintenance support); identification and management of deficiencies; development of workaround plans; provision of initial system support; and, conduct of initial training.
53.
54. Modification Services. This process manages the required changes that maintain or enhance the operational capabilities or support arrangements of CF equipment and systems. The modification process is initiated with the provision of advice and consultation in order to identify and assess the requirements. The major effort associated with this process is modification management whereby changes to equipment/systems specifications and to logistic support requirements are defined, procurements are made, the equipment/system is modified and the required changes to the life cycle logistic support are implemented. This process concludes with the return of the equipment/system to operation following product acceptance. 55. The specific activities for this process are: a. Technical and Specialist Advice. This includes the: (1) (2) Conduct of modification planning studies, including investigation and analysis of requirements, options, risks, schedule, cost and performance. Provision of advice in support of the development of DMS documentation, the Statement of Operational Requirement (SOR), options leading to an approved solution, the evaluation of inservice operational requirements, and the evaluation of risk associated with the introduction of a revised capability.
b. Modification Management. This includes the: (1) Formulation of modification documentation, including: technical specifications and other related modification requirement descriptions; ILS/Logistics Support Analysis (LSA) and CM changes, and other associated requirements; cost and deliverable breakdown schedules; modification strategy and planning documents (budgets, forecasts); procurement strategy; contractual requirements (specific terms and conditions as related to deliverables, acceptance criteria, etc.); and project management. Provision and execution of a communications plan to inform the client and other required agencies regarding details such as progress, forecasts, operational requirements, test and evaluation, and trial requirements. Management of all aspects of the modification, including contract amendments; schedule and costs; deliverables and procurement; contractor performance; and interfaces with field units and environmental staffs. Project close-out including provision of full status of modification performance, address status of systems, support strategies and associated operational requirements, and finalise all hand over to operations.
(2)
(3)
(4)
c.
Return of Equipment/System into Service. This includes the: (1) (2) (3) Identification and acceptance of equipment/systems, including the conduct or management of tests and trials, acceptance of training packages, facilities and documentation. Management of the physical delivery of assets, including: equipment hand over; distribution of assets; delivery of life cycle logistics support; training; facilities; and test equipment. Management of transition to operations, including: life cycle support (e.g. initial maintenance support); identification and management of deficiencies; development of workaround plans; provision of initial system support; and, conduct of initial training. 1-18
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56.
57. Supply and Inventory Management. This process ensures the availability of CF stocked items for operational use or the support of equipment. The specific activities for this process include: a. Technical and Specialist Advice. This includes: (1) (2) Input on inventory support (including required quantities and costs) to operational budgets. Advice on the effect of changes to inventory policies and procedures (including base/unit level), the handling and storage of stocked items, usage rates and trend analysis, related operations personnel resource requirements, the environmental impact as related to the handling, storage and transportation of spares and consumables, and the provision of inventory strategies, policies, plans and procedures, including best practices.
b. Inventory Management. This includes the: (1) (2) (3) (4) (5) c. Provision and implementation of inventory strategies; policies; plans and procedures including best practices for the effective sustenance of nationally controlled stock items. Introduction of assets (identified through the initial provisioning process). Control of part change management, including new parts to be stocked in the supply system; processing of materiel authorization and materiel accounting/control. Management of reprocurement contracts. Management of nationally controlled inventory assets including asset procurement and assets held at contractor facilities.
Ammunition Warehousing and Inspection. This includes the: (1) Provision and implementation of strategies, policies, plans and procedures related to ammunition management, including inspection, handling, storage, safety, environmental concerns and transportation. Management of stocks and supply to meet client requirements, including reprocurement, and repair at the 2nd, 3rd, and 4th lines. Management of related warehousing facilities.
59. Maintenance. This process supports the maintenance requirements of CF materiel, establishes the procedures used in maintenance functions, provides limited in-house 3rd/4th-line maintenance; and manages contractor support to supplement in-house capabilities. Most maintenance planning is performed under the initial acquisition strategy. Consideration may also have to be given to scheduling for combat. 60. The specific activities of this process are: a. Technical and Specialist Advice. This includes the: (1) (2) Performance of technical investigations. Provision of advice on concept of supports and procedures (e.g. work plans, inspections, repair schedules, Repairable Materiel Requests [RMRs]); configuration changes of equipment and systems; and results of life expectancy studies in support of client operations. 1-19
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b. Concept of supports and Procedures. This includes the: (1) (2) Development of procedures for preventive and corrective maintenance tasks and repair techniques. Provision of maintenance plans, policies and procedures (i.e. defining lines and levels of maintenance), repair schedules, equipment maintenance procedures; and requirements for contractor and in-house maintenance. Provision of resource requirements, facilities, tools, training, documentation and test equipment.
(3) c.
Maintenance Management. This includes the: (1) Management of support contracts for the maintenance of assets, including 3rd/4th-line repairs and overhauls, Mobile Repair Party (MRP) support, ship refits, contractor assistance, Technical Engineering and Maintenance Services (TEMS) contracts, and acceptance of contract deliverables (for the customer). Coordination of deficiency reports (e.g. Unsatisfactory Condition Reports [UCRs]). Performance of in-house maintenance (including the provision of 3rd/4th level maintenance of equipment at ADM[Mat] field units). This includes major repairs and overhauls, assistance in 1st/2nd line maintenance operations, the provision of resources in support of operations (i.e. while on deployment) and of materiel recovery operations, and the provision of 2nd/3rd line maintenance for ammunition (e.g. maintenance of torpedoes). Management of maintenance documentation, including technical specifications and other related documents and descriptions, ILS/LSA changes, and other associated requirements such as parts substitution.
(2) (3)
(4)
61.
62. Disposal. This process manages the removal of equipment and systems as well as all associated supporting assets from the CF inventory. 63. At some point, it will be determined that the asset is no longer the most cost-effective means to address the CFs requirement. When this point is reached, the EMTs final task is to clear out the warehouse. This involves the removal of not only the equipment itself, but also all supporting materiel associated with the equipment, including test equipment, documentation, training materials, excess inventory, etc. The storage of surplus materiel inflicts a cost burden on DND that the effective and efficient application of LCMM should remove. 64. In this phase, the EMT Leader must consider all possible options for disposal including: a. Identifying alternate uses for the equipment either internally to the CF, within DND, or within another government department; b. Determining whether or not the equipment can be modified to suit a new role; c. Identifying resale opportunities that take into account the economic value and any legal considerations (e.g. International Traffic in Arms Regulations [ITARs], HAZMAT); and
d. Establishing the most environmentally friendly method of recycling or disposal and what costs are involved.
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65.
The specific activities of this process are: a. Technical and Specialist Advice. This includes: (1) The investigation and provision of advice on disposal options for CF materiel, including quantities of equipment to be disposed of, NATO commitments, museums, and the most effective and economical disposal methods. Assistance in the preparation of customer disposal plans. The provision of advice on the budgetary implications of the cost to dispose and any cost recovery from sale of assets. The provision of assistance to operational and logistics staffs (e.g. warehousing and transportation) on the peculiarity of CF materiel (e.g. safety, hazardous material).
b. Disposal Management. This includes the: (1) (2) (3) (4) 66. Development of disposal plans, including the identification of equipment and related assets to be disposed of, all related support assets, technical data, documentation, and simulators. Implementation of the physical disposal of assets. Provision of assistance to customers in disposing of base/unit/command assets. Management of contracts related to disposal.
67. Research and Development (R&D). This process provides defence science and technology leadership to ensure that the CF of the future remains technologically prepared and relevant. The current defence environment includes an increased focus on interoperability with allies, technology-driven warfare and new asymmetric threats. This is captured in the Technology Investment Strategy (TIS) prepared by ADM(S&T). 68. The TIS is based on 21 R&D activities that span the defence technology spectrum, including sensors and information systems, combat systems and human systems, as well as MA&S and systems concepts. 69. The specific activities of this process are: a. Command and Control Information Systems (C2IS) Performance and Experimentation. This addresses new approaches, frameworks and architectures to manage the evolution of information systems for Command and Control (C2) applications. b. Information and Knowledge Management (IKM). This supports the knowledge creation process while ensuring effective collection and sharing of that knowledge. Information Management is a distributed process that includes transforming, classifying, indexing and linking data elements in context for exploitation. Knowledge management is a collaborative and integrated approach to the creation, capture, organization, access and use of an enterprises intellectual assets. c. Communications. This addresses the robust and seamless movement of information between a source and one or more recipients to support effective command and control.
d. Human Factors Engineering (HFE) and Decision Support Systems (DSS). This addresses system readiness and performance by achieving compatibility among people, their equipment, machines and working environments to ensure effectiveness, safety and ease of use.
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e. Command Effectiveness and Behaviour. This research domain encompasses all of those behavioural factors that affect the ability of military personnel to perform in cognitively and emotionally challenging situations. f. Autonomous Intelligent Systems. These represent automated or robotic systems that operate and interact in the complex unstructured environment of the future battlespace.
g. Sensing (Air and Surface). Sensing is carried out to detect, recognise, locate and monitor all targets and features of interest (including our own assets) within a specified area. h. Underwater Sensing and Countermeasures. This activity combines aspects of R&D in sensors and actuators, assessment of the undersea environment and data fusion that contribute to situational awareness and targeting in Underwater Warfare (UWW), including Anti-Submarine Warfare (ASW), Torpedo Defence (TD) and Mine Countermeasures (MCM). i. Space Systems. This includes the development of concepts, technology, components, systems and data exploitation capabilities to support surveillance of space from both ground and space-based sensors; surveillance from space, which includes remote sensing, multi-source intelligence collection, and movingtarget detection and tracking and early warning and defences. Electro-Optical (EO) Warfare. EO Warfare is aimed at denying adversaries the use of the EO spectrum while protecting its use by friendly forces, with the overall objective of increasing the self-defence capabilities of CF platforms in all military operations. Radio Frequency (RF) Electronic Warfare (EW). EW achieves electromagnetic spectrum dominance through: (1) (2) (3) l. Electronic Support Measures (ESM) to intercept, identify, and locate sources of electromagnetic energy; Electronic Countermeasures (ECM) to prevent, hinder or degrade an opponents effective use of the electromagnetic spectrum; and Electronic Protection Measures (EPM) to protect personnel and equipment from attacks by EW systems and RF weapons that degrade or destroy combat capability.
j.
k.
Network Information Operations (IO). This addresses the defensive and offensive measures that may be applied to digital information networks, including their component equipment, software and data.
m. Precision Weapons. This provides the capability of accurately, reliably, and rapidly engaging (highvalue) targets from short and long stand-off distances while at the same time minimising collateral damage. n. Weapons Performance and Countermeasures. This focuses on the phenomena that take place when a weapon interacts with a target. o. Emerging Materials and Biotechnology. This activity reflects the increasing importance of advanced or novel materials (both organic and inorganic) to military and civilian systems. p. Signature Management. This addresses an ensemble of technologies related to the reduction of detectable emissions and fields (signatures) and the management of the risk of detection, classification and targeting of assets by opposing forces. q. Plant Performance and Life Cycle Management (LCM). This activity involves the enhancement of performance, safety and LCM of military platforms.
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r.
Multi-Environment Life Support Technologies (LST). LST sustains or enhances the effectiveness and individual protection of personnel operating from specialized combat platforms/systems, such as aircrew, submariners and divers, or soldiers operating in harsh environments. Operational Medicine. This addresses the knowledge, procedures and material needed to maintain physical and psychological health, to preserve operational capacity, and to facilitate the early return to duty of affected military personnel. Chemical, Biological, Radiological (CBR) Hazard Assessment, Identification and Protection. CBR defence involves the detection, identification, protection and consequence management of the CBRD threat agent spectrum.
s.
t.
u. Simulation and Modelling for Acquisition, Requirements, Rehearsal and Training (SMARRT). SMARRT is concerned with MA&S for future force concepts; modern, affordable acquisition; and effective training and rehearsal of the future force. 70. The process owner is ADM(S&T).
71. Logistics Planning and Operational Coordination. This process involves the logistical preparation, planning and support coordination for military operations. 72. The specific activities of this process are: a. Logistics Preparation. This includes those activities that develop concepts, doctrine and agreements, and analyse processes to be used in planning and supporting logistics operations. b. Logistics Planning. This is the process of preparing for the movement and maintenance of forces. It covers both deliberate and reactive planning, and includes the development of support concepts for specific operations, the allocation of support resources, and the establishment of priorities. Aspects of logistics planning include acquisition, storage, distribution, maintenance, movement and disposition of materiel, movement and evacuation of personnel, and facilities management. c. Logistics Operational Support. This is the coordination of the application of resources, in accordance with operational priority, in order to achieve the commanders plan. This support includes the process of communicating with military forces involved in operations, changing logistics priorities, monitoring day-to-day activity of logistics operations, coordinating improvements, solving problems and reporting to designated authorities. The process owner is J4 Mat/DG Log.
73.
74. Materiel and Transportation Management Process. This involves the planning, organising and controlling of the provision of materiel support, including food services, required by DND or by an agency. This includes the determination of requirements, cataloguing, acquisition, distribution, storage, maintenance and preparation of materiel, and acquisition of related services. 75. The specific activities for this process are: a. Supply Management. This is the provision and distribution of items of supply to a user to satisfy stated requirements. The function also includes the provision of advice, guidance, policy and management tools in support of the initial determination of the requirements (as to kind and specifications), standardisation, adoption, modification, procurement, acceptance, receipt, storage, inspection, issue, disposal, accountability, responsibility and stock control of items for distribution. b. Warehousing. The performance of those physical and administrative functions incidental to and required for the conduct of the storage activity (i.e. receipt, sorting, identification, inspection, preservation, packaging, hazardous material handling, putting away, safe keeping, retrieval for issue, and preparation for shipment of material). 1-23
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c.
Food Services Management. The provision of advice, guidance, policy and management tools in support of operational and static food services operations. This function also includes the provision of support to the modification and renovation of existing food services facilities, replacement of food services equipment, construction of new facilities, the combat ration program, food standards, and performance measurement.
d. Materiel Traffic Management. The delivery of goods in a serviceable condition, at the place and date designated by the consignee, in a safe and cost-effective manner. Materiel traffic management includes the development, promulgation and monitoring of policies for the movement of DND-owned materiel, personal baggage, clearance of DND-owned goods and privately owned property through Canada Customs and the carriage of dangerous goods by all modes of transport. It also includes the development and implementation of management decision-support systems for use at all levels to manage the ongoing investment made in materiel traffic management activities. e. Mobile Support Equipment (MSE) Fleet Operations Management. This encompasses the effective operation, management and employment of the CFs MSE fleet, including administration of the CFs military and Privately Owned Motor Vehicle (POMV) safety program. It also includes the development, promulgation and implementation of policies to meet departmental and central government agency requirements, and the development and implementation of corporate-level decision-support systems for use at all levels to manage the ongoing investment in support transport fleets and associated resources. f. Postal Services. This process is the direct support of troops on operations, and involves the management of Post Offices including financial accountability, the process of receiving and dispatching personal and official mail, and the over-the-counter provision of all facets of mail services. It also includes the ability to plan, coordinate and implement mail movement activities with national and international postal agencies, including allied forces postal authorities. The process owner is J4 Mat/DG Log.
76.
EMT LEADER 77. The EMT Leader must effectively lead personnel of diverse backgrounds, knowledge, and skills toward achieving the best possible design and delivery of an integrated equipment management program of activities. To accomplish this, the EMT Leader must have a thorough understanding of the EMTs allocated resources, computer-based tools, directives and processes available to execute both the assigned and the implied responsibilities of the position. 78. EMT Leader activities interface with numerous sub-processes and equipment programs that form a major part of the MA&S system. The overall defence program (via the DMS and the DPG) provide both the EPMs (through ADM[Mat]) and the other capability components with objectives, roles, and resources that are further defined within their business plans. For both capital equipment acquisitions and in-service equipment support capabilities, EPMs receive their assigned resources and guidance from the DMS. EPMs in turn provide support to their respective environments and their associated equipment support organisations. The environmental chiefs in turn use these EPM-managed inputs, in concert with their assigned resources, to deliver specific CF/DND capabilities as defined in their business plans. An EMT within an EPM is focussed on sustaining, improving or replacing a defined subset of overall EPM equipment and equipment support capabilities. 79. The EMT Leader is therefore an individual who leads a multi-skilled team of MA&S specialists by developing, coordinating and using all the assigned resources, knowledge, and skills to ensure the efficient and effective performance of EMT activities. The EMT Leader also has the primary responsibility to link the teams efforts to higher-level program management and resource control processes. This means the leader must know external program requirements and directives, and link the EMT resource needs and efforts (planned/expended) into the appropriate program elements in accordance with the approved business plan. The task involves the provision of the necessary support outputs as well as adjusting the EMTs equipment program to conform to higher-level guidance and inputs. For these reasons, the EMT Leader usually operates above managing a single project or fleet, and must assess and balance plans, objectives, results and resources across numerous projects and equipment within an integrated equipment management program. 1-24
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DEFENCE MANAGEMENT SYSTEM (DMS) OVERVIEW GENERAL 80. The DMS is a comprehensive and iterative departmental management process. It plans, organises, implements and controls the departmental activities and resources to produce operational capability, to conduct operations and to provide reports to government. The DMS provides: a. A linkage between defence policy and departmental planning; b. An overall strategic resource management framework; c. A department-wide process for performance measurement; and
d. A detailed framework for reporting to government. 81. The overall DMS is described in Figure 1-7.
Figure 1-7
DMS Overview
82. The DMS is one of the departmental systems under which materiel management is carried out. The DMS also sustains capabilities, and facilitates the changes necessary to achieve departmental objectives. It identifies what is required to meet government policy, enables the allocation of assigned resources and oversees effective and efficient change. 83. The list of approved defence requirements and the resources assigned to meet those requirements is known as the Defence Services Program (DSP). The DSP is the approved departmental program that defines and reflects all the planned activities of DND, along with the assignment of resources to those activities. The effectiveness and efficiency of fulfilling the DSP is measured by a formal Performance Measurement activity. This document is updated annually by DGSP/DFPPC 6. 1-25
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84.
DEFENCE PLANNING GUIDANCE (DPG) 85. The DPG is issued on an annual basis under the joint signature of the Deputy Minister (DM) and CDS to provide strategic direction and define resource levels to Level One Managers (including ADM[Mat]) in order to assist them in the development of their Business Plans. The DPG provides the DM and CDS the opportunity to articulate a joint perspective on the Department and the Canadian Forces in terms of current challenges and priorities. It further: a. Communicates the Departments vision and articulates the broad defence missions derived from the Defence White Paper and other defence policy sources. b. Defines the resource levels for the forthcoming five-year planning timeframe. c. Establishes the performance measurement framework to be used for the coming review period.
86. The DPG seeks to direct and guide Level One Managers toward the creation of an affordable and properly balanced DSP which links the DND missions, resources and expectations. The DPG document is available in electronic form. BUSINESS PLANNING 87. In January 1995, the Federal Government introduced an Expenditure Management System (EMS) that emphasises improving program delivery by reallocating resources within Departments and across government programs. As a result of the introduction of the EMS, government departments and agencies must submit annual business plans and subsequently report on their annual performance. The business plan is a concise statement of how a subordinate organization contributes to DNDs objectives within existing financial constraints. Each plan states how the missions, objectives and key results achieve the goals directed in the DPG. The business planning process comprises three essential components: a. Approved defence planning guidance, upon which the department bases in-year and future year changes; b. A set of agreed principles and processes; and c. A performance measurement and reporting process based on the Treasury Board approved Planning, Reporting and Accountability Structure (PRAS).
88. The business plan is a vehicle to de-centralized financial management and control by devolving authority to Directors, EMT Leaders and managers. Business planning provides the basis for making resource trade-offs and is the vehicle for ensuring balance among the many competing demands. This authority enables decisions concerning reallocation of resources to be made at the lowest possible level. 89. There are five levels of business planning: a. Departmental Level (DND) Level 0; b. ADM(Mat) Level 1; c. Divisions Level 2;
d. Directors/Managers Level 3; and e. EMT Leaders Section Heads / Project Managers Level 4.
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90.
91. The Level One plan establishes a delivery contract between a Level One Manager and the CDS and DM. The business plans from each of the Level One Managers are collated to produce the DND business plan. The DND business plan is managed through Capability Component (CC) accounts. This is a code of accounts used for financial management. Figure 1-8 shows the CCs currently in use. CC1 CC2 CC3 CC4A CC4B CC4C CC5 Maritime Forces Land Forces Air Forces Joint Operations, Intelligence, Security, Construction Engineering North American Air Defence CF Northern Area (CFNA) Information Services CC6 CC7A CC7B CC8A CC8B CC8C CC8D Personnel Services Materiel Services Infrastructure and Environmental Functions Financial and Corporate Services Policy and Communications Functions VCDS Group Chief of Review Service
Figure 1-8
92. Business plans have a five-year planning horizon. Within this time frame, the current years plan is the most precise since the capabilities/tasks/products, resource allocation and performance expectations are well known and understood. However, as the activities approach the five-year horizon, the business plan will become less precise. Business plans are updated as new information is received. Consequently, there will be seldom, if ever, a requirement to completely rewrite a business plan. There are really only two key external influences that should lead to updating a business plan: a. The issuance of revised output requirements which could be included in a new DPG or announced in a VCDS call letter; or, b. A change in resource levels which would be manifested through the budget process. 93. Business planning provides the framework for greater delegation. Its principles include greater flexibility, quantifiable standards, and the freedom of action to consider alternatives and make trade-offs while retaining the benefits of those decisions. DEFENCE SERVICES PROGRAM (DSP) 94. General. The DSP is the total of all departmentally approved activities and projects (including the resource allocations) that are deemed necessary to the delivery of affordable and effective defence services to the Government and to Canadians. The DSP covers a wide range of activities including, but not limited to: 1-27
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a. Defining those military activities required to meet defence objectives; b. Determining the capabilities required by the CF to meet its defence roles, objectives, tasks and commitments (present and future); c. Planning the changes needed to improve the CF and to enable it to meet the required levels of capability; and
d. Allocating the resources (including funds, personnel and materiel) necessary to achieve the program goals and objectives. 95. The Capital Program. A major component of the DSP is the Capital Program. Within the DMS, resource expenditures are carried out via a departmental business plan and the implementation of capital projects. While the departmental business plan is used to manage overall expenditures, capital projects are used to acquire new capabilities. They are defined in terms of scope, funding level, and capability component. These projects are initiated when ECS staff identifies a significant capability requirement and are managed in accordance with the DMS approval process and a formal project management methodology. Because of its importance within the DSP, there must be particular attention to the management issues and the decision-making process applicable to the Capital Program. 96. The capital are managed under the DMS in five phases. These are: a. Problem Identification. The critical military capabilities are identified, described and analysed. b. Options Analysis. Alternative ways of providing the required military capabilities are examined. c. Definition. The specific equipment and system requirements are described in detail, with specific attention to cost and schedule factors.
d. Implementation. The identified military capabilities (in terms of operating systems, equipment, personnel and support) are acquired. e. Close Out. Those activities directed at dismantling the project structure and preparation of the required reports. 97. EMT Leaders play a major role in the conduct of capital projects. EMT Leaders not only support capital projects in the role of Project Managers, but they also support formally established PMOs. Members of the EMT can also expect to be involved extensively with capital projects, whether in a leadership role or as EMT specialists. 98. Capital Program Components. The vehicle that describes all capital projects and seeks their approval is the Strategic Capabilities Investment Plan (SCIP). This document provides a detailed linkage between the capital projects and the DND strategic objectives. An annex to the SCIP is the Long Term Capital Plan (LTCP). This document is submitted to Treasury Board annually, concurrent with the Departmental Business Plan. Provisions are available to consider projects outside of the normal once-a-year timeframe (referred to as out-of-cycle), and these are discussed in detail in the DMS Manual. 99. There are four basic components to the Capital Program. They are: a. Capital Equipment; b. Capital Construction; c. Miscellaneous Requirement (MR); and
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100. Capital Equipment. Capital Equipment is the largest component of the Capital Program and covers all equipment, materiel and/or service projects valued at more than $5 M for the life extension (beyond one year) of existing assets and for the enhancement of capabilities of existing assets. Capital equipment projects are funded from a corporate account entrusted to ADM(Mat) as the departmental custodian. This account is divided into two categories: a. Strategic Capital is the aggregate of all capital equipment projects having individual values of $100 M or more, or which have been specifically designated as strategic by Program Management Board (PMB) as a result of their significant risk or importance. b. Non-Strategic Capital is the aggregate of all capital equipment projects having an individual value greater than $5 M and less than $100 M or which have been specifically designated non-strategic by PMB as a result of their low risk or importance. 101. Capital Construction. Capital construction covers all projects addressing new construction, capital leases and recapitalization of existing assets. ADM(IE) reviews the overall construction program proposed by Level One Managers from a corporate strategic perspective and prepares a consolidated construction program for reporting purposes. 102. ADM(IE) directly manages centrally funded construction projects while Level One Managers are responsible for all other construction projects. In the case of sensitive construction projects or activities where there is likely significant public interest, ADM(IE) is responsible for the coordination of communications strategies. 103. Miscellaneous Requirements. A Miscellaneous Requirement (MR) is defined as a project for the onetime acquisition of new equipment, materiel and/or services where the total project value does not exceed $5 M or for the recurring acquisition of replacement equipment and materiel where the individual item value does not exceed $1 M. 104. Further conditions that apply to MR projects are:
a. They do not significantly increase demand on Personnel, Operations and Maintenance (PO&M); b. They have no associated project management costs; and c. They have no associated project definition/development costs.
105. MR projects are funded by the sponsoring Level One Manager in accordance with the resource levels identified in the DPG. Level One Managers can vary their MR account funding by transferring funds from other sources in accordance with accepted guidelines as issued by ADM(Fin CS). 106. Other Capital. Other Capital covers all other projects and activities using capital funding in support of specific DND agencies, the corporate investment funds and the special capital reserves. 107. Long Term Capital Plans (LTCP). The Departmental LTCP describes the content of the Capital Program and links it to the achievement of the defence outcomes and policy. Ideally, only one Departmental LTCP would be submitted to Treasury Board. However, to accommodate time constraints and to facilitate processing by central Government agencies, the Departmental LTCP is submitted in three separate parts: a. LTCP(E) aggregates all equipment capital projects. b. LTCP(IM) aggregates all information management capital projects. c. LTCP(C) aggregates all construction (infrastructure) capital projects.
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108. Since construction projects have a seasonally sensitive schedule that must be respected, this group of projects is normally sent to government in a stand-alone Long Term Capital Plan Construction LTCP(C) submission. The LTCP(E) and LTCP(IM) are submitted under the same cover to the Government in the June timeframe, concurrent with the Departmental Business Plan. PERFORMANCE MEASUREMENT 109. Performance measurement is the process of assessing DNDs progress toward achieving its specified defence objectives. It includes: a. Information on the efficiency with which resources are transformed into outputs (capabilities and support services) by the Level One Managers; b. The quality of those outputs (how well they are delivered and the extent to which the objectives are satisfied) and the outcomes (the result of output activities compared to their intended purpose); and c. The effectiveness of operations in terms of their specific contributions to objectives.
110. There are three broad elements in the performance measurement framework: measures, indicators and standards: a. Measures are attributes that must be analysed to determine whether the expected results are being achieved; b. Indicators are aspects of the measures that are to be assessed; and c. Standards are the quantitative targets or qualitative goals to be achieved.
111. Measures, indicators and standards are established at all levels so that performance can be planned for and evaluated across the depth and breadth of the organization. A high level of detail is not required for every successive level of management. In order for performance measurement to remain manageable, Level One Managers must establish meaningful indicators and standards for each measure against which the effectiveness and efficiency of subordinate levels can be assessed. 112. The basis of performance measurement at DND is the Planning, Reporting, and Accountability Structure (PRAS) and the Performance Measurement Framework promulgated by the VCDS.
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PART 2 PROJECT AND RESOURCE MANAGEMENT INTRODUCTION GENERAL 1. An integrated equipment management program is a complex and interwoven collection of activities and resources. These activities and resources must work together in a coherent and integrated way to deliver effective and efficient equipment delivery, support, and disposal. It is the function of the EMT to manage the activities and resources associated with DND materiel in such a way as to meet operational requirements while optimizing the overall LCC of the materiel. The rationale for using a project-centred approach (incorporating both project management and resource management) is to ensure that approved activities are carried out in a disciplined and logically planned manner. 2. EMT Leaders can expect to be appointed PMs of capital projects, to supervise capital projects managed by EMT members, and, lastly, to manage most EMT activities and resources on a project management basis. It has long been recognized that special skills and knowledge are required to complete projects successfully. This requires the EMT, and especially the EMT Leader, to be knowledgeable of project management and also to be capable of applying project management principles in the routine operation of the EMT. 3. Within DND, projects are managed in one of three ways: a. Dedicated Teams Major Crown and Major High Risk Projects: participation of Directorate/EMT/matrix support; b. Small Dedicated Teams Major Projects: supported by EMT and Matrix Staff Expertise; and c. Virtual Project Teams composed of a dedicated PM who is supplemented by EMT and matrix staff expertise.
4. With a limited number of DND and CF personnel available, all project teams will rely on contracted resources to deliver services and provide specialist support. PURPOSE 5. The purpose of this part is to provide an overview of project management principles (including the management of project resources) and to provide guidance on their application to the EMT. DEFINITIONS 6. The primary reference for Project Management within DND is The Guide to the Project Management Body of Knowledge (PMBOK) published by the Project Management Institute (PMI). This document is available through the MA&S Desktop (to be renamed the MAT KNet in the near future). 7. Project. A project is defined as a temporary endeavour undertaken to create a unique product or service. A Project exists only for the duration of time necessary to complete the stated objectives (PMBOK). 8. Any work activity can be managed as a project. Within the Maritime community, this takes the form of recurring and non-recurring projects, while in the Air and Land elements, only the non-recurring form is used. For details on the Maritime distinctions, refer to the DGMEPM Business Rules, which can be found on the DMMS intranet web site.
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9. Project Management. Project Management is defined as the application of knowledge, skills, tools, and techniques to project activities to meet project requirements (PMBOK). With the proper approach, most of the substantive work carried out by an EMT can be managed using project management. Only a few repetitive functions, such as recurrent performance monitoring, are excluded by the definition of what constitutes a project. 10. Program/Portfolio. A Program (or Portfolio) is a group of projects managed in a coordinated way in order to obtain benefits not available by managing them individually. The distinction between the two terms is based on who is coordinating the various projects. Program management in the DND context refers to the management, by ECS staff, of coordinated projects to achieve a set of capabilities not achievable without this coordinated approach. A set of projects managed in a coordinated fashion by the implementation agency (usually ADM[Mat]) is referred to as a portfolio. A portfolio manager (possibly a project manager for one or more of the projects in the portfolio) may be appointed to coordinate the projects. Since multiple projects are involved (and each project is uniquely funded and defined), a program control mechanism is necessary to address various project interface conflicts. This is significant when changes to the scope or funding of individual projects are required. To resolve these types of conflicts, PMB authority is required, through the Senior Review Board (SRB). For details on the PMB, refer to the DMS Manual, Chapter 2, Section 3. APPLICATION OF PROJECT MANAGEMENT 11. The application of project management techniques requires that an initial investment of time and resources be made in planning the activity prior to the commencement of work. This is required to establish specific project objectives, prepare adequately detailed plans for their achievement, prepare the necessary documentation and issue assignments. Project management gives new life to an old axiom Plan the Work and Work the Plan. This preliminary investment has several purposes: a. It ensures that there is a common understanding of the specific objectives for the project and a plan is developed to achieve these objectives. b. Risks, costs, work assignments, deliverables and schedules are identified. c. Formal project approvals are granted with a clear understanding of the level of effort, time and cost necessary to achieve the objectives.
12. Once formal approval is granted, progress is monitored through processes that present a clear picture of how a project is proceeding compared to the initial plan. There are two levels of monitoring that are important for the EMT. The first is the Earned Value monitoring that indicates when milestones are met. For an explanation of Earned Value Management, refer to the Canadian General Standards Board (CGSB) Project Performance Management Standard (PPMS) available at the PWGSC web site. The second is the quarterly BMT reviews that track budget expenditures across the EPM. New information and changes affecting the project are analysed for their effect on the original objectives and the project plan. These reviews provide portfolio/program managers with the ability to intervene in a timely manner when variations begin to occur. 13. By employing project management techniques, work assignments are generally performed more efficiently and effectively. They are more efficient because each assignment is focused on a single piece of the overall project and not the overall project. It is also more effective because each work assignment is well coordinated with all the other work assignments to produce the desired results. Figure 2-1 presents a list of the benefits of adopting project management practices to manage EMT activities.
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Figure 2-1
RESPONSIBILITIES OF THE EMT LEADER 14. It is not uncommon for the EMT to fill two roles. On one side, the EMT is responsible for the in-service support of equipment, but on the other the EMT can be actively involved (and possibly leading) the replacement project for that capability. This means the EMT Leader, as a PM, must fully understand the responsibilities associated with the position and be familiar with the management and coordination activities necessary to complete the project. The EMT Leader must have knowledge of: a. The sequence of events the project should follow; b. Project-related tasks to be managed; c. Roles and responsibilities of all project participants;
d. Any associated policy; e. Procedural obligations or restrictions that may apply to the project; f. The extent of his/her authority; and
g. The related interfaces / reporting procedures to be established and maintained with the group/EPM. 15. Other related responsibilities associated with being a PM include: a. Providing technical assistance to the Sponsor who normally provides a Project Director; b. Defining project scope, deliverables and milestones; 2-3
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c.
d. Developing project approval documentation (e.g. Business Case, Project Charter) and processing for approval; e. Co-coordinating the planning activities required for project implementation including project coordination, procurement, engineering, integrated logistics support, comptrollership, etc.; f. Managing allocated financial resources;
g. Initiating contracts; h. Reporting on the implementation of the project; i. j. k. l. Maintaining project momentum; Managing the implementation of the project; Assuming total responsibility for the projects performance, cost and schedule; Accepting and/or co-coordinating the acceptance of deliverables; and
m. Performing project close-out activities, including: (1) (2) (3) The return of any Government Furnished Equipment (GFE); The identification of any recurring National Inventory Control Point (NICP) and maintenance activities funded by NDHQ; and The processing of project closure documents.
16. For a more detailed description of the roles an EMT Leader might fill with respect to capital projects, refer to paragraphs 39. to 46., Roles and Relationships. For a similar description with respect to the in-service role of the EMT Leader, refer to paragraphs 89. to 112. PROJECT AND RESOURCE MANAGEMENT PRINCIPLES INTRODUCTION 17. This section provides information on general project and resource management principles that will help the EMT design and manage activities as projects both within the EMT and in partnership with other organisations in and around the Division. There is a great body of literature on project management and EMT members are encouraged to expand their knowledge of project management and to apply that knowledge to their day-to-day work. Throughout industry and government, there is a growing commitment to managing work by projects. THE PROJECT LIFE CYCLE 18. Generally, organisations performing projects usually divide each project into a number of phases to provide management control. The phase sequences defined by most project life cycles generally involve some form of hand-off, such as from requirements to design, or from production to operation. Collectively, these project phases are known as the project life cycle. Although many project life cycles have similar phase names with similar deliverables, few are identical. For the purposes of the EMT Handbook, we use the life cycle and project phases employed within the DMS. Refer to Chapter 7 of the DMS Manual for details. This document is available on the VCDS intranet web site. 19. The project phases, including a general description of the related activities, are described in the following paragraphs. These definitions apply to both DGAEPM and DGLEPM divisions.
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a. Problem Identification. This phase involves the creation of a fully substantiated description of the requirements to be satisfied, and the decision to pursue its resolution. Information is gathered and reviewed, objectives are established, estimates are prepared, and participants are identified. A proposal may be prepared by which the project receives its authorization and resources. b. Options Analysis. This phase involves the preparation and examination of a number of options to satisfy the projects requirements. This examination assesses the costs, benefits, risks and opportunities of all options against the requirements with a view to finding the optimum option to be pursued. c. Definition. This phase makes detailed plans for achieving the objectives and implementing the project. Work packages are identified. Resources and budgets are assigned. Key members of the project are identified and appointed. Instructions and guidelines are issued to team members and a system for managing the project is selected.
d. Implementation. This phase executes the detailed plans made in the earlier phase. Work packages (activities and resources) are completed in sequence. Products and services are delivered. The project manager monitors the work and problems are resolved as they arise. e. Closeout. In this phase, all requirements are verified, the final products are accepted, accounts are settled, the project is evaluated, closing documentation is prepared, and resources still assigned to the project are released and reassigned. Also, prescribed plans and necessary actions are set in motion to deal with the products of the project over the remaining equipment life cycle. Residual responsibilities that are required after the project team is disbanded are assigned to appropriate agencies. 20. DGMEPM currently uses a slightly different set of definitions. These are illustrated in Figure 2-2.