DOD INSTRUCTION 5000.84
A
NALYSIS OF ALTERNATIVES
Originating Component: Office of the Director, Cost Assessment and Program Evaluation
Effective: August 4, 2020
Releasability: Cleared for public release. Available on the Directives Division Website
at https://www.esd.whs.mil/DD/.
Approved by: Yisroel E. Brumer, Acting Director of Cost Assessment and Program
Evaluation
Purpose: In accordance with the authority in DoD Directive 5105.84, this issuance establishes policy,
assigns responsibilities, and prescribes procedures for analyses of alternatives (AoAs) for major defense
acquisition programs (MDAPs).
DoDI 5000.84, August 4, 2020
TABLE OF CONTENTS 2
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 3
1.1. Applicability. .................................................................................................................... 3
1.2. Policy. ............................................................................................................................... 3
SECTION 2: RESPONSIBILITIES ......................................................................................................... 4
2.1. Director of Cost Assessment and Program Evaluation (DCAPE). ................................... 4
2.2. Under Secretary of Defense for Research and Engineering, Under Secretary of Defense
for Acquisition and Sustainment, and DoD Chief Information Officer. ............................. 4
2.3. DoD Component Heads. ................................................................................................... 4
SECTION 3: PROCEDURES ................................................................................................................ 5
3.1. Actions Before the Materiel Development Decision (MDD). .......................................... 5
3.2. Actions Following the MDD. ........................................................................................... 7
SECTION 4: AOA GUIDELINES ....................................................................................................... 10
4.1. DoD Component AoA Preparation. ................................................................................ 10
4.2. Conduct of the AoA. ....................................................................................................... 10
GLOSSARY ..................................................................................................................................... 13
G.1. Acronyms. ...................................................................................................................... 13
REFERENCES .................................................................................................................................. 14
TABLES
Table 1. AoA Actions and Timing: Preparation ............................................................................. 8
Table 2. AoA Actions and Timing: Execution ............................................................................... 9
Table 3. AoA Actions and Timing: Assessment ............................................................................. 9
DoDI 5000.84, August 4, 2020
SECTION 1: GENERAL ISSUANCE INFORMATION 3
SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY.
This issuance applies to OSD, the Military Departments, the Office of the Chairman of the Joint
Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector
General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all
other organizational entities within the DoD (referred to collectively in this issuance as the “DoD
Components”).
1.2. POLICY.
DoD Components will conduct AoAs for MDAPs pursuant to Section 832 of the National
Defense Authorization Act for Fiscal Year 2020, and in support of the certifications to be
executed pursuant to Sections 2366a and 2366b of Title 10, United States Code.
DoDI 5000.84, August 4, 2020
SECTION 2: RESPONSIBILITIES 4
SECTION 2: RESPONSIBILITIES
2.1. DIRECTOR OF COST ASSESSMENT AND PROGRAM EVALUATION (DCAPE).
The DCAPE:
a. Develops and issues study guidance and approves study plans for the AoAs for MDAPs.
b. Evaluates the adequacy of each AoA for MDAPs.
2.2. UNDER SECRETARY OF DEFENSE FOR RESEARCH AND ENGINEERING,
UNDER SECRETARY OF DEFENSE FOR ACQUISITION AND SUSTAINMENT, AND
DOD CHIEF INFORMATION OFFICER.
The Under Secretary of Defense for Research and Engineering, the Under Secretary of Defense
for Acquisition and Sustainment, and the DoD Chief Information Officer will advise the DCAPE
in their areas of responsibility in preparation of the AoA study guidance.
2.3. DOD COMPONENT HEADS.
The DoD Component heads:
a. Notify DCAPE of impending component MDAPs.
b. Submit AoA study plans for impending component MDAPs to DCAPE.
c. Submit a memorandum to DCAPE certifying the DoD Component is ready to start the
AoA.
d. Conduct an AoA in accordance with DCAPE issued study guidance for MDAPs.
e. Submit a written AoA report to DCAPE, the milestone decision authority (MDA), and the
requirements validation authority for each MDAP.
DoDI 5000.84, August 4, 2020
SECTION 3: PROCEDURES 5
SECTION 3: PROCEDURES
3.1. ACTIONS BEFORE THE MATERIEL DEVELOPMENT DECISION (MDD).
a. The DoD Component will inform the Office of the DCAPE (ODCAPE) of impending
MDAPs by 60 business days before the MDD. The notification will include a copy of the latest
requirements document for the program approved by the requirements validation authority and a
copy of the analysis justifying that requirement document, such as a capabilities based
assessment.
b. The DCAPE will:
(1) Develop and issue AoA study guidance to the DoD Component head by 40 business
days before the MDD.
(2) Solicit the advice of other DoD officials and ensure that the AoA study guidance
establishes a study advisory group (SAG) to oversee the conduct of the AoA (e.g., stay abreast of
emerging results, refine guidance as needed, ensure the study progresses in a timely manner).
c. At minimum, the study guidance will require:
(1) A trade-space analysis of cost, schedule, and performance. The performance analysis
will include both the capability of the options examined and the effect each option has on
mission accomplishment.
(2) One alternative that represents the status quo and sufficient additional alternatives to
enable a robust exploration of the trade-space.
(3) A trade-space analysis within alternatives as appropriate. Specifically, if an aspect of
one alternative is found to have a substantive impact on mission accomplishment, that feature, if
possible, will be incorporated in the other alternatives in an analytical excursion to better
understand the trade-space.
(4) Alternatives that include consideration of evolutionary acquisition, prototyping, and
use of a modular open system approach.
(5) A life-cycle cost analysis that includes the fully burdened cost of fuel.
(6) An assessment of whether the joint military requirement can be met in a manner
consistent with the cost and schedule objectives recommended by the Joint Requirements
Oversight Council.
(7) Consideration of affordability, to include any MDA-established affordability goals.
d. The DoD Component will submit an AoA study plan and a memorandum certifying the
DoD Component is ready to start the AoA to the ODCAPE by 20 business days before the MDD.
The memorandum will confirm that the DoD Component has completed the actions necessary to
DoDI 5000.84, August 4, 2020
SECTION 3: PROCEDURES 6
begin the analysis. These actions are critical to ensure that the AoA can be completed within
9 months.
(1) These actions include ensuring:
(a) A study team with the authority needed to execute the analysis is established.
This includes identifying the team members (organizations and individuals), oversight structure,
and team member responsibilities.
(b) Any contract support needed to execute the AoA is under contract and ready to
work.
(c) All clearances needed to execute the AoA have been approved and all necessary
non-disclosure agreements have been established.
(d) Technical and threat data needed to conduct combat simulations and modeling
are on hand.
(e) Methods of system employment, as well as tactics, techniques, and procedures for
the system, are established (these may change with new information).
(f) The requirements for the alternatives are prioritized and the capabilities sought
have metrics that measure and quantify the capability gaps.
(2) If the DoD Component believes the AoA cannot be completed within 9 months
include in the memorandum:
(a) An explanation of why the analysis cannot be finished by 9 months.
(b) An estimate of when the analysis will be completed.
(c) An explanation of what an AoA constrained to 9 months would produce.
(d) An estimate of any additional costs beyond 9 months to complete the analysis.
(e) Any other relevant information pertaining to the analysis and its completion.
(3) The requirement to complete the AoA within 9 months may be waived by the
Secretary of Defense or his or her designee on a case-by-case basis if:
(a) The subject of the analysis is of extreme technical complexity;
(b) Collection of additional intelligence is required to inform the analysis;
(c) Insufficient technical expertise is available to complete the analysis; or
(d) The Secretary determines that there are other sufficient reason for the delay of the
analysis.
DoDI 5000.84, August 4, 2020
SECTION 3: PROCEDURES 7
(4) If an AoA cannot be completed within the allotted time, or waiver used, the
ODCAPE will prepare for the signature of the Secretary of Defense or his or her designee a
report to the congressional defense committees with the following information:
(a) For a waiver, the basis for use of the waivers, including the reasons why the study
cannot be completed within the allotted time.
(b) For a study estimated to take more than 9 months:
(1) An estimate of when the analysis will be completed.
(2) An estimate of any additional costs to complete the analysis.
(3) Other relevant information pertaining to the analysis and its completion.
e. The ODCAPE will direct any changes to the AoA study plan by 10 business days before
the MDD. If ODCAPE directs changes, the DoD Component will submit a revised plan and a
memorandum certifying the component is ready to start the AoA consistent with the updated
plan to the ODCAPE before the MDD.
(1) The ODCAPE will approve the plan within 5 business days once it receives both the
plan with the directed changes and a memorandum certifying the component is ready to start the
analysis consistent with Paragraph 3.1.d.
(2) The approval date of the study plan, typically at the MDD event, is the start date of
the AoA. The analysis should be completed by 9 months after this date unless the Secretary of
Defense or his or her designee has approved a waiver to extend the completion date.
(3) If the Secretary of Defense or his or her designee has approved a timeline waiver,
DCAPE will inform the component of the timeline for the final results brief to the SAG.
3.2. ACTIONS FOLLOWING THE MDD.
a. Unless the Secretary of Defense or his or her designee approves an AoA timeline waiver
(Paragraph 3.1.e.(3)), the DoD Component will brief the final AoA results to the SAG by the
earliest of the following:
(1) Fifty-five business days before a release of request for proposals intended to support
a contract award pursuant to an acquisition decision at the next milestone review.
(2) The MDA’s first milestone review.
(3) 9 months from the start of the AoA.
b. If the Secretary of Defense or his or her designee approves an AoA timeline waiver
(Paragraph 3.1.e.(3)), the DoD Component will brief the final AoA results to the SAG per the
timeline provided by DCAPE (Paragraph 3.1.e.(3)).
DoDI 5000.84, August 4, 2020
SECTION 3: PROCEDURES 8
c. The date of the final AoA results briefing to the SAG is the AoA completion date.
d. The DoD Component will submit a written AoA report to DCAPE by 40 business days
after briefing the final AoA results to the SAG.
e. The DCAPE will provide a memorandum addressing the adequacy of the AoA and
whether the analysis is consistent with the study guidance to the DoD Component head and
MDA by 40 business days after the receipt of the written AoA report.
Table 1. AoA Actions and Timing: Preparation
Action
When
Party
Responsible
Inform the ODCAPE of impending MDAP. Provide
requirements documents and a copy of analysis
justifying the requirements.
By 60 business days before
the MDD
DoD
Component
Establish study team (see Paragraph 3.1.d.(1)(a)).
Before submitting study
plan to the ODCAPE
DoD
Component
Contract any study support required.
Before submitting study
plan to the ODCAPE
DoD
Component
Obtain any security clearances required.
Before submitting study
plan to the ODCAPE
DoD
Component
Obtain technical and threat data needed to support
combat simulations and modeling.
Before submitting study
plan to the ODCAPE
DoD
Component
Establish methods of system employment.
Before submitting study
plan to the ODCAPE
DoD
Component
Establish tactics, techniques, and procedures for the
system(s).
Before submitting study
plan to the ODCAPE
DoD
Component
Establish metrics that measure and quantify the
capability gaps for the capabilities sought.
Before submitting study
plan to the ODCAPE
DoD
Component
Identify and complete any preparatory analysis that
might inform AoA (avoids replicating existing
analysis within the AoA).
Before submitting study
plan to the ODCAPE
DoD
Component
Issue study guidance to DoD Component head.
By 40 business days before
the MDD
DCAPE
Provide study plan to the ODCAPE with
memorandum certifying component is ready to start
AoA. Notify the ODCAPE in a memorandum if
9 month timeline cannot be met (see
Paragraph 3.1.d.)
By 20 business days before
the MDD
DoD
Component
DoDI 5000.84, August 4, 2020
SECTION 3: PROCEDURES 9
Table 2. AoA Actions and Timing: Execution
Action
When
Party
Responsible
Approve study plan—AoA starts when plan is
approved and should be completed within 9 months
of the study plan approval unless Secretary of
Defense requests a waiver.
By 10 business day before
the MDD (subject to
sufficiency of plan)
ODCAPE
Perform AoA.
Upon approval of study plan
DoD
Component
Brief finals results to SAG—AoA is complete once
SAG is briefed.
Unless the Secretary of
Defense requests an AoA
timeline waiver, brief by
whichever is earliest:
- 55 business days before a
release of request for
proposals
- the MDA’s first milestone
review
- 9 months from the start of
the AoA unless the
Secretary of Defense
requested a waiver
If the Secretary of Defense
requests a waiver, brief by
the timeline provided by
DCAPE (Paragraph 3.1.e.(3))
DoD
Component
Table 3. AoA Actions and Timing: Assessment
Action
When
Party
Responsible
Submit written AoA report to ODCAPE
By 40 business days after
briefing the final AoA
results to the SAG
DoD
Component
Issue memorandum assessing adequacy of the AoA
and compliance with the study guidance
By 40 business days after
the receipt of the written
AoA report
DCAPE
DoDI 5000.84, August 4, 2020
SECTION 4: AOA GUIDELINES 10
SECTION 4: AOA GUIDELINES
4.1. DOD COMPONENT AOA PREPARATION.
a. DoD Components should engage ODCAPE once the Component knows they will likely
need an AoA. Ideally this should begin as the DoD Component initiates analysis for determining
requirements, such as a capabilities based assessment. Early collaboration and dialogue helps
expedite issuance of study guidance, and minimizes the time needed to arrive at an approved
study plan.
b. DoD Components should program funding needed to conduct AoAs so that funds are
available to conduct these analyses.
c. If contract support is needed to conduct an AoA, DoD Components should initiate the
contracting process in sufficient time to begin the AoA in a timely manner.
d. DoD Components should identify and begin the process of obtaining long lead items
needed to conduct the AoA so the analysis can begin in a timely manner. Examples of long lead
items include: security clearances (including clearances for any special access program(s)
necessary for performance of the AoA); technical and threat data to support combat simulations
and modeling; scenarios; methods of employment; and tactics, techniques, and procedures.
e. To ensure an efficient AoA, DoD Components should:
(1) Identify their lead for the AoA study, and charter that lead to identify study team
members (organizations and individuals), the oversight structure, team responsibilities, and any
external support the team is likely to require.
(2) Establish an executive steering body within the DoD Component or joint community,
as appropriate, to help prepare for and guide the AoA. (Ideally, ODCAPE should be included in
that body.) The steering body should be interdisciplinary and include material developers,
acquisition experts, the requirements community, people with operational experience, people
with analytical expertise, intelligence community experts, cost experts, and financial experts
from the programming and budgeting community.
(3) Ensure that the requirement document used to help initiate the AoA has prioritized
and quantified the capabilities sought. Specifically, metrics that measure and quantify each
capability gap are essential.
f. DoD Component heads should establish affordability goals before the AoA.
4.2. CONDUCT OF THE AOA.
a. DoD Components should ensure the AoA is conducted in a transparent manner. The
transparency facilitates understanding of the analysis and enables leadership to focus on the
implications of the analytical work because the pedigree of the analysis is understood.
DoDI 5000.84, August 4, 2020
SECTION 4: AOA GUIDELINES 11
Additionally, it enables components to address possible concerns before time and effort is
invested and rework required.
(1) ODCAPE staff and other staff that support the SAG principals should conduct site
visits to the centers conducting the analysis.
(2) DoD Components should ensure open analyst interaction during the AoA.
b. DoD Components should conduct the analysis in an intellectually honest manner. The
study team’s products (SAG briefings, written AoA report) should properly articulate the
limitations and uncertainty of its findings and represent the level of precision warranted by the
data and its study methods.
c. DoD Components should ensure that the AoA quantifies the physical performance of the
options and the effect the options have on the mission accomplishment (e.g., time to complete
the mission, enemy destroyed, number of friendly forces remaining operational).
d. DoD Components should leverage existing analysis where possible. In doing so, DoD
Components should provide the existing analysis to the SAG for:
(1) Confirmation that the previous analysis provides the information needed for the AoA.
(2) Guidance on what is needed to supplement or modify the existing work to meet the
AoA’s needs.
e. DoD Components should conduct the analysis in a balanced manner, balancing precision,
simplicity, and economy, adding complexity only when it provides needed explanatory power.
The study team must apply the appropriate level of analytical fidelity that best informs decisions
in a timely manner.
f. The AoA study team should consider cost and affordability as early in the analysis as
possible.
g. As facts warrant, the DoD Component and its study team should seek prompt updates to
SAG direction.
(1) For example, if analysis indicates an option is infeasible, it may not be justifiable to
continue additional exploration of that option, and the Chairman of the SAG may limit the scope
or waive further analysis.
(2) Alternatively, the study team may find that some aspect of the study will not
discriminate between the alternatives, and the Chairman of the SAG may limit or waive work in
that area.
h. DoD Components should conduct in-process reviews with the SAG without extensive pre-
coordination.
DoDI 5000.84, August 4, 2020
SECTION 4: AOA GUIDELINES 12
i. The DoD Components should ensure that the AoA study team conducts sensitivity
analysis to identify the dependence of results on key parameters of the analysis. This enables
decision makers to understand whether the solutions examined are robust.
DoDI 5000.84, August 4, 2020
GLOSSARY 13
GLOSSARY
G.1. ACRONYMS.
AoA analysis of alternatives
DCAPE Director of Cost Assessment and Program Evaluation
MDA milestone decision authority
MDAP major defense acquisition program
MDD materiel development decision
ODCAPE Office of the Director of Cost Assessment and Program Evaluation
SAG study advisory group
DoDI 5000.84, August 4, 2020
REFERENCES 14
REFERENCES
DoD Directive 5105.84, “Director of Cost Assessment Program Evaluation,” May 11, 2012. as
amended
Public Law 116-92, “National Defense Authorization Act for Fiscal Year 2020,” December 20,
2019
United States Code, Title 10
