Featured - Capability Processes and Statutory Information Requirements

Information RequiredApplicable StatuteWhen Required

Initial Capability (Research and Analysis)

Technology Development Strategy

PL 107-314 803

MS A

Market Research

10 USC 2377;
15 USC 644(e)(2)

User Needs and Technology Opportunities; MS A; and MS B

Economic Analysis
(may be combined with AoA at MS A)

PL 106-398 811

MS A; MS B, or equivalent; and full deployment DR, or equivalent

Consideration of Technology Issues

10 USC 2364(b)(5)

MS A; MS B; and MS C

Cooperative Opportunities
(part of TDS at MS A, part of Acquisition Strategy thereafter)

10 USC 2350a(e)

MS A; MS B; and MS C

MDA Program Certification

10 USC 2366a;
10 USC 2366b;
DoDI 5000.02

MS A; MS B; and MS C, if program initiation

DD Form 1494 Submission / Spectrum Support Certification
(all systems that use EM spectrum in U.S. territory)

47 USC 305, 901-904;
PL 102-538 104;
OMBC A-11, Part 2

MS A; MS B; and MS C

Analysis of Alternatives

40 USC III;
10 USC 2366a

Milestone (MS) A; program initiation for ships; MS B; and MS C

Clinger-Cohen Act Compliance
(all IT, including NSS)

40 USC III

MS A; program initiation for ships; MS B; MS C; and Full-Rate Production Decision Review (FRP DR), or full deployment DR, or equivalent

DoD CIO Confirmation of CCA Compliance
(see DoDI 5000.02, Enclosure 5)

PL 106-398 811;
DoDI 5000.02

MS A; MS B; MS C, if program initiation; and full deployment DR

Data Management Strategy
(part of TDS or Acquisition Strategy)

10 USC 2320

MS A; MS B; MS C; and FRP DR, or equivalent

Independent Cost Estimate

10 USC 2434

MS A, cost assessment at MDA request; program initiation for ships, cost assessment only; MS B; MS C; and FRP DR, at MDA request

DBSMC Certification Approval of Modernizations
(see GB 5000.02, Enclosure 11)

10 USC 2222

Prior to obligation of funds on defense business system modernizations

MAIS Annual Report to Congress

10 USC 2445b

Annually (at MDA request), MS A, or MS B; and 45 days after President’s Budget

Capability Development

Alternate LFT&E Plan
(OSD LFT&E oversight programs with waiver only)

10 USC 2366

MS B, or as soon as practicable after program initiation

LFT&E Waiver
(from full-up, system-level testing; OSD LFT&E oversight programs only)

10 USC 2366

MS B, or as soon as practicable after program initiation

LRIP Quantities

10 USC 2400

MS B

Replaced System Sustainment Plan

10 USC 2437

Program initiation for ships; and MS B

Selected Acquisition Report
(except ACAT I that are ACAT IA under 10 USC 2445c)

10 USC 2432;
10 USC 2445d

Program initiation for ships, MS B, or MDAP designation; annually (quarterly if ≥6-month schedule slip or ≥15% unit cost increase or ≥30% APB objective increase); re-baselined MS C, or MS B and C for ships; ceases after 90% items delivered or 90% funds expended

Benefit Analysis and Determination
(bundled acquisitions only; part of Acquisition Strategy)

15 USC 644(e)

MS B; or MS C, if no MS B

Competition Analysis
(Depot-level maintenance $3M rule; part of Acquisition Strategy)

10 USC 2469

MS B; or MS C, if no MS B

Core Logistics Analysis / Source of Repair Analysis
(part of Acquisition Strategy)

10 USC 2464;
10 USC 2466

MS B; or MS C, if no MS B

Industrial Base Capabilities Considerations
(part of Acquisition Strategy)

10 USC 2440

MS B; and MS C

Acquisition Program Baseline

10 USC 2435

Program initiation for ships; MS B; MS C, updated as necessary; and FRP DR, or full deployment DR

Manpower Estimate
(reviewed by Office of Personnel and Readiness (USD(P&R)))

10 USC 2434

Program initiation for ships; MS B; MS C; and FRP DR

Programmatic ESOH Evaluation
(includes NEPA and EO 12114 compliance schedule)

42 USC 4321-4347;
EO 12114

Program initiation for ships; MS B; MS C; and FRP DR, or full deployment DR

Program Deviation Report

10 USC 2435 (MDAP);
40 USC 11317 (MAIS)

Immediately upon a program deviation

Unit Cost Report

10 USC 2433

Quarterly

MAIS Quarterly Report

10 USC 2445c

Quarterly (after first MAIS Annual Report)

Assessment and Certification of a Critical Change
to the Defense Committees

10 USC 2445c;
DoDI 5000.02

Not later than 60 days after MAIS Quarterly Report of critical change

Notification of Significant Change
to the Defense Committees

10 USC 2445c;
DoDI 5000.02

Not later than 45 days since MAIS Quarterly Report of change

“Nunn-McCurdy” Assessment and Certification

10 USC 2433

When a Service Secretary has reported an increase in cost that equals or exceeds the critical cost growth threshold

Capability Production

Military Equipment Valuation
(part of Acquisition Strategy)

PL 101-576;
SFFAS 6

MS C; and FRP DR, or equivalent

Operational Test Plan
(OSD OT&E oversight programs only)

10 USC 2399

Prior to start of OT&E

Beyond-LRIP Report
(or equivalent for ACAT I + IA; OSD OT&E oversight programs only)

10 USC 2399(b)

FRP DR

IOT&E Completed
(only major conventional weapons systems under 10 USC 2302(5))

10 USC 2399(a)

FRP DR

LFT&E Report
(OSD LFT&E oversight programs only)

10 USC 2366

FRP DR

Post Implementation Review

31 USC 1115(a)(5);
40 USC 11313

FRP DR, or full deployment DR

This information is abridged from the original DoDI 5000.02, Enclosure 4, Table 2-1 and Table 2-2.