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Enclosure 4 -- Table 6. APB Policy

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DEFENSE ACQUISITION GUIDEBOOK
DoD Instruction 5000.02
Enclosure 4 -- Statutory and Regulatory Information and Milestone Requirements

4. The APB is an important document for program management and shall reflect the approved program being executed. It is the "Baseline Description" of the program and shall include sufficient parameters to describe the cost estimate (also referred to as the "Baseline Estimate" for MDAPs in section 2433 of Reference (k)), schedule, performance, supportability, and other relevant factors. An APB is required for all programs by paragraph 4.3.4 in Reference (b) and Table 2-1 of this Instruction. For MDAPs, sections 2433 and 2435 of Reference (k) provide specific requirements for unit cost reports and baseline descriptions. Table 6 contains statutory and regulatory APB policy.

Table 6. APB Policy.

Original Baseline Description or Original APB

  • The first APB approved by the MDA prior to a program entering EMD, or at program initiation, whichever occurs later
  • Serves as the current baseline description until a revised APB is prepared
  • Incorporates the KPPs verbatim from the CDD or CPD (if program initiation is at MS C)
  • The cost estimate parameter may be revised under section 2435 of Reference (k) only if a breach occurs that exceeds the critical cost growth threshold for the program under section 2433 of Reference (k) (Applicable to MDAPs only)

Current Baseline Description or Current APB

  • May be revised only:
    • at milestone and full-rate production decisions;
    • as result of a major program restructure that is fully funded and approved by the MDA; or
    • as a result of a program deviation (breach), if the MDA determines that the breach is primarily the result of an external cause beyond control of the PM
  • Circumstances authorizing changes are limited and revision to the current baseline estimate (i.e., the cost estimate) or other APB parameters is not automatically authorized if there is a change to cost, schedule, or performance parameters
  • Multiple revisions to the current APB will not be authorized
  • In no event will a revision to the current APB be authorized if proposed merely to avoid a reportable breach
  • The MDA determines whether to revise the APB

Significant Nunn-McCurdy Unit Cost Breaches

Applicable to MDAPs only

  • The cost growth threshold, as it relates to the current APB, is defined in section 2433 of Reference (k) to be an increase of at least 15 percent over the Program Acquisition Unit Cost (PAUC) or Average Procurement Unit Cost (APUC) for the current program as shown in the current Baseline Estimate
  • The cost growth threshold, as it relates to the original APB, is defined in section 2433 of Reference (k) to be an increase of at least 30 percent over the PAUC or APUC for the original program as shown in the original Baseline Estimate
  • Only the current APB shall be revised

Critical Nunn-McCurdy Unit Cost Breaches

Applicable to MDAPs only

  • The cost growth threshold, as it relates to the current APB, is defined in section 2433 of Reference (k) to be an increase of at least 25 percent over the current PAUC or current APUC for the current program as shown in the current Baseline Estimate
  • The cost growth threshold, as it relates to the original APB, is defined in section 2433 of Reference (k) to be an increase of at least 50 percent over the original PAUC or original APUC for the original program as shown in the original Baseline Estimate
  • Both the current and original APBs shall be revised to form a single "new original"APB that reflects the Nunn-McCurdy certification approved by the MDA

Deviations

  • Revising the current APB at milestone decisions and at full-rate production serves to update cost and schedule parameters based on knowledge developed during the current phase of the program
  • The PM shall immediately notify the MDA of a deviation from any parameter (cost, schedule, performance, etc.)
  • Within 30 days of occurrence of the deviation, the PM shall inform the MDA of the reason for the deviation and planned actions
  • Within 90 days of occurrence of the deviation
  • § A proposed revised APB shall be submitted for approval; or
  • § An OIPT or equivalent Component-level review shall be held to review the program
  • The MDA shall decide based on above criteria whether it is appropriate to approve a revision to an APB

MAIS Significant and Critical Program Changes

  • Definitions provided in Table 2-1, Note 4
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https://acc.dau.mil/UI/img/bo/minus.gifWelcome to the Defense Acquisition...
https://acc.dau.mil/UI/img/bo/plus.gifForeword
https://acc.dau.mil/UI/img/bo/minus.gifChapter 1 -- Department of Defense...
https://acc.dau.mil/UI/img/bo/plus.gif1.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif1.1. Integration of the DoD Decision...
https://acc.dau.mil/UI/img/bo/plus.gif1.2. Planning Programming Budgeting and...
https://acc.dau.mil/UI/img/bo/plus.gif1.3. Joint Capabilities Integration and...
https://acc.dau.mil/UI/img/bo/plus.gif1.4. Defense Acquisition System
https://acc.dau.mil/UI/img/bo/minus.gifChapter 2 -- Program Strategies
https://acc.dau.mil/UI/img/bo/plus.gif2.0 Overview
https://acc.dau.mil/UI/img/bo/plus.gif2.1. Program Strategies—General
https://acc.dau.mil/UI/img/bo/plus.gif2.2. Program Strategy Document...
https://acc.dau.mil/UI/img/bo/plus.gif2.3. Program Strategy Relationship to...
https://acc.dau.mil/UI/img/bo/plus.gif2.4. Relationship to Request for...
https://acc.dau.mil/UI/img/bo/plus.gif2.5. Program Strategy Classification...
https://acc.dau.mil/UI/img/bo/plus.gif2.6. Program Strategy Document Approval...
https://acc.dau.mil/UI/img/bo/plus.gif2.7. Acquisition Strategy versus...
https://acc.dau.mil/UI/img/bo/plus.gif2.8. Technology Development...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 3 -- Affordability and...
https://acc.dau.mil/UI/img/bo/plus.gif3.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif3.1. Life-Cycle Costs/Total Ownership...
https://acc.dau.mil/UI/img/bo/minus.gif3.2. Affordability
https://acc.dau.mil/UI/img/bo/minus.gif3.2.2. Affordability Analysis
https://acc.dau.mil/UI/img/bo/plus.gif3.2.2.2. Inputs and Structure
https://acc.dau.mil/UI/img/bo/plus.gif3.2.3. Affordability Implementation and...
https://acc.dau.mil/UI/img/bo/plus.gif3.3. Analysis of Alternatives
https://acc.dau.mil/UI/img/bo/plus.gif3.4. Cost Estimation for Major Defense...
https://acc.dau.mil/UI/img/bo/plus.gif3.5. Manpower Estimates
https://acc.dau.mil/UI/img/bo/plus.gif3.6. Major Automated Information Systems...
https://acc.dau.mil/UI/img/bo/plus.gif3.7. Principles for Life-Cycle Cost...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 4 -- Systems Engineering
https://acc.dau.mil/UI/img/bo/plus.gif4.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif4.1. Introduction
https://acc.dau.mil/UI/img/bo/minus.gif4.2. Systems Engineering Activities in...
https://acc.dau.mil/UI/img/bo/minus.gif4.2.1. Life-Cycle Expectations
https://acc.dau.mil/UI/img/bo/plus.gif4.2.1.1. Systems Engineering in Other...
https://acc.dau.mil/UI/img/bo/plus.gif4.2.1.2. Systems of Systems
https://acc.dau.mil/UI/img/bo/plus.gif4.2.2. Pre-Materiel Development Decision
https://acc.dau.mil/UI/img/bo/plus.gif4.2.3. Materiel Solution Analysis Phase
https://acc.dau.mil/UI/img/bo/plus.gif4.2.4. Technology Development Phase
https://acc.dau.mil/UI/img/bo/plus.gif4.2.5. Engineering and Manufacturing...
https://acc.dau.mil/UI/img/bo/plus.gif4.2.6. Production and Deployment Phase
https://acc.dau.mil/UI/img/bo/plus.gif4.2.7. Operations and Support Phase
https://acc.dau.mil/UI/img/bo/plus.gif4.2.8. Technical Reviews and Audits...
https://acc.dau.mil/UI/img/bo/plus.gif4.2.9. Alternative Systems Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.10. System Requirements Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.11. System Functional Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.12. Preliminary Design Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.13. Critical Design Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.14. System Verification...
https://acc.dau.mil/UI/img/bo/plus.gif4.2.15. Production Readiness Review
https://acc.dau.mil/UI/img/bo/plus.gif4.2.16. Physical Configuration Audit
https://acc.dau.mil/UI/img/bo/plus.gif4.2.17. In-Service Review
https://acc.dau.mil/UI/img/bo/plus.gif4.3. Systems Engineering Processes
https://acc.dau.mil/UI/img/bo/plus.gifChapter 5 -- Life-Cycle Logistics
https://acc.dau.mil/UI/img/bo/minus.gifChapter 6 -- Human Systems Integration...
https://acc.dau.mil/UI/img/bo/plus.gif6.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif6.1. Total System Approach
https://acc.dau.mil/UI/img/bo/plus.gif6.2 HSI - Integration Focus
https://acc.dau.mil/UI/img/bo/plus.gif6.3. Human Systems Integration Domains
https://acc.dau.mil/UI/img/bo/plus.gif6.4. Human Systems Integration (HSI)...
https://acc.dau.mil/UI/img/bo/plus.gif6.5. Manpower Estimates
https://acc.dau.mil/UI/img/bo/plus.gif6.6. Additional References
https://acc.dau.mil/UI/img/bo/minus.gifChapter 7 -- Acquiring Information...
https://acc.dau.mil/UI/img/bo/plus.gif7.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif7.1. Introduction
https://acc.dau.mil/UI/img/bo/plus.gif7.2. DoD Information Enterprise
https://acc.dau.mil/UI/img/bo/minus.gif7.3. Interoperability and Supportability...
https://acc.dau.mil/UI/img/bo/plus.gif7.3.2. Mandatory Policies
https://acc.dau.mil/UI/img/bo/plus.gif7.3.3. Interoperability and...
https://acc.dau.mil/UI/img/bo/minus.gif7.3.4. Net-Ready Key Performance...
https://acc.dau.mil/UI/img/bo/plus.gif7.3.5. Net-Ready Key Performance...
https://acc.dau.mil/UI/img/bo/plus.gif7.3.6. Information Support Plan (ISP)...
https://acc.dau.mil/UI/img/bo/minus.gif7.4. Sharing Data, Information, and...
https://acc.dau.mil/UI/img/bo/minus.gif7.4.2. Implementing Net-Centric Data...
https://acc.dau.mil/UI/img/bo/plus.gif7.4.2.2. Community of Interest (COI)...
https://acc.dau.mil/UI/img/bo/minus.gif7.4.2.3. Data Sharing Implementation
https://acc.dau.mil/UI/img/bo/plus.gif7.4.2.3.1.3. Making Data Accessible
https://acc.dau.mil/UI/img/bo/plus.gif7.4.2.3.1.4. Making Data, Information,...
https://acc.dau.mil/UI/img/bo/plus.gif7.4.2.3.1.5. Promoting Trust
https://acc.dau.mil/UI/img/bo/plus.gif7.4.3. Integrating Net-Centric...
https://acc.dau.mil/UI/img/bo/plus.gif7.4.4. Supporting Language for...
https://acc.dau.mil/UI/img/bo/plus.gif7.5. Information Assurance (IA)
https://acc.dau.mil/UI/img/bo/plus.gif7.6. Electromagnetic Spectrum
https://acc.dau.mil/UI/img/bo/plus.gif7.7. Accessibility of Electronic and...
https://acc.dau.mil/UI/img/bo/plus.gif7.8. The Clinger-Cohen Act (CCA) --...
https://acc.dau.mil/UI/img/bo/plus.gif7.9. Post-Implementation Review (PIR)
https://acc.dau.mil/UI/img/bo/plus.gif7.10. Commercial Off-the-Shelf (COTS)...
https://acc.dau.mil/UI/img/bo/plus.gif7.11. Space Mission Architectures
https://acc.dau.mil/UI/img/bo/plus.gifChapter 8 -- Intelligence Analysis...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 9 -- Test and Evaluation (T&E)
https://acc.dau.mil/UI/img/bo/plus.gif9.0 Overview
https://acc.dau.mil/UI/img/bo/plus.gif9.1 OSD T&E Organization
https://acc.dau.mil/UI/img/bo/plus.gif9.2 Service-Level T&E Management
https://acc.dau.mil/UI/img/bo/plus.gif9.3 Test and Evaluation
https://acc.dau.mil/UI/img/bo/plus.gif9.4 Integrated Test and Evaluation
https://acc.dau.mil/UI/img/bo/plus.gif9.5 Test and Evaluation Planning
https://acc.dau.mil/UI/img/bo/plus.gif9.6 T&E Reporting
https://acc.dau.mil/UI/img/bo/plus.gif9.7 Special Topics
https://acc.dau.mil/UI/img/bo/plus.gif9.8. Best Practices
https://acc.dau.mil/UI/img/bo/plus.gif9.9. Prioritizing Use of Government Test...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 10 -- Decisions Assessments and...
https://acc.dau.mil/UI/img/bo/plus.gif10.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif10.1. Decision Points
https://acc.dau.mil/UI/img/bo/plus.gif10.2. Executive Review Forums
https://acc.dau.mil/UI/img/bo/plus.gif10.3. Integrated Product and Process...
https://acc.dau.mil/UI/img/bo/plus.gif10.4. Role of Exit Criteria
https://acc.dau.mil/UI/img/bo/plus.gif10.5. Role of Independent Assessments
https://acc.dau.mil/UI/img/bo/plus.gif10.5.3. Preliminary Design Review (PDR)...
https://acc.dau.mil/UI/img/bo/plus.gif10.6. Information Sharing and DoD...
https://acc.dau.mil/UI/img/bo/plus.gif10.7. Management Control
https://acc.dau.mil/UI/img/bo/plus.gif10.8. Program Plans
https://acc.dau.mil/UI/img/bo/plus.gif10.9. Acquisition Program Baseline (APB)
https://acc.dau.mil/UI/img/bo/plus.gif10.10. Periodic Reports
https://acc.dau.mil/UI/img/bo/plus.gif10.11. Major Automated Information...
https://acc.dau.mil/UI/img/bo/plus.gif10.12. Defense Acquisition Executive...
https://acc.dau.mil/UI/img/bo/plus.gif10.13. Acquisition Visibility
https://acc.dau.mil/UI/img/bo/plus.gif10.14. Special Interest Programs
https://acc.dau.mil/UI/img/bo/plus.gif10.15. Relationship of Affordability and...
https://acc.dau.mil/UI/img/bo/plus.gif10.16. Acquisition Program Transition...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 11 -- Program Management...
https://acc.dau.mil/UI/img/bo/plus.gif11.0. Overview
https://acc.dau.mil/UI/img/bo/plus.gif11.1. Joint Programs
https://acc.dau.mil/UI/img/bo/plus.gif11.2. International Programs
https://acc.dau.mil/UI/img/bo/plus.gif11.3. Integrated Program Management
https://acc.dau.mil/UI/img/bo/plus.gif11.4. Knowledge-Based Acquisition
https://acc.dau.mil/UI/img/bo/plus.gif11.5. Technical Representatives at...
https://acc.dau.mil/UI/img/bo/plus.gif11.6. Contractor Councils
https://acc.dau.mil/UI/img/bo/plus.gif11.7 Property
https://acc.dau.mil/UI/img/bo/plus.gif11.8. Modeling and Simulation (M&S)...
https://acc.dau.mil/UI/img/bo/minus.gifChapter 12 - Defense Business System...
https://acc.dau.mil/UI/img/bo/plus.gif12.0 Overview
https://acc.dau.mil/UI/img/bo/plus.gif12.1 Business Capability Definition...
https://acc.dau.mil/UI/img/bo/minus.gif12.2 Investment Management (IM) Phase
https://acc.dau.mil/UI/img/bo/plus.gif12.2.3.2 Program Definition
https://acc.dau.mil/UI/img/bo/plus.gif12.2.3.3 Conduct Program Planning
https://acc.dau.mil/UI/img/bo/plus.gif12.2.3.4 Complete Business Case and...
https://acc.dau.mil/UI/img/bo/minus.gif12.3 Execution
https://acc.dau.mil/UI/img/bo/plus.gif12.3.2 Prototyping Phase
https://acc.dau.mil/UI/img/bo/plus.gif12.3.3 Engineering Development
https://acc.dau.mil/UI/img/bo/plus.gif12.3.4 Limited Fielding
https://acc.dau.mil/UI/img/bo/plus.gif12.3.5 Full Deployment
https://acc.dau.mil/UI/img/bo/plus.gif12.3.6 Operations & Support (O&S)
https://acc.dau.mil/UI/img/bo/plus.gif12.4 DBS-specific Criteria
https://acc.dau.mil/UI/img/bo/minus.gif12.5 Tools and Methods
https://acc.dau.mil/UI/img/bo/plus.gif12.5.4 BEA and BCL
https://acc.dau.mil/UI/img/bo/minus.gifChapter 13 -- Program Protection
https://acc.dau.mil/UI/img/bo/minus.gif13.0 Overview
https://acc.dau.mil/UI/img/bo/plus.gif13.1 The Program Protection Process
https://acc.dau.mil/UI/img/bo/minus.gif13.2 The Program Protection Plan (PPP)
https://acc.dau.mil/UI/img/bo/plus.gif13.3 Critical Program Information (CPI)...
https://acc.dau.mil/UI/img/bo/plus.gif13.4. Intelligence and...
https://acc.dau.mil/UI/img/bo/minus.gif13.5. Vulnerability Assessment
https://acc.dau.mil/UI/img/bo/plus.gif13.6. Risk Assessment
https://acc.dau.mil/UI/img/bo/plus.gif13.7. Countermeasures
https://acc.dau.mil/UI/img/bo/plus.gif13.8. Horizontal Protection
https://acc.dau.mil/UI/img/bo/minus.gif13.9. Foreign Involvement
https://acc.dau.mil/UI/img/bo/plus.gif13.10. Managing and Implementing PPPs
https://acc.dau.mil/UI/img/bo/plus.gif13.11. Compromises
https://acc.dau.mil/UI/img/bo/plus.gif13.12. Costs
https://acc.dau.mil/UI/img/bo/minus.gif13.13. Contracting
https://acc.dau.mil/UI/img/bo/plus.gif13.14. Detailed System Security...
https://acc.dau.mil/UI/img/bo/minus.gif13.15. Program Protection Plan (PPP)...
https://acc.dau.mil/UI/img/bo/minus.gif13.16. Program Protection Plan (PPP)...
https://acc.dau.mil/UI/img/bo/plus.gifChapter 14 -- Acquisition of Services
https://acc.dau.mil/UI/img/bo/minus.gifDoD Directive 5000.01
https://acc.dau.mil/UI/img/bo/minus.gifENCLOSURE 1 ADDITIONAL POLICY
https://acc.dau.mil/UI/img/bo/minus.gifDoD Instruction 5000.02
https://acc.dau.mil/UI/img/bo/minus.gifTABLE OF CONTENTS
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 1 -- References
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 2 -- Procedures
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 3 -- Acquisition Category...
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 4 -- Statutory and Regulatory...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 2-1. Statutory...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 2-2. Statutory...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 3. Regulatory...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 4. Regulatory...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 5. EVM...
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 4 -- Table 6. APB Policy
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 4 -- Table 7. Unique Decision...
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 5 -- IT Considerations
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 6 -- Integrated T&E
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 7 -- Resource Estimation
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 8 -- Human Systems Integration...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 9 -- Acquisition of Services
https://acc.dau.mil/UI/img/bo/minus.gifEnclosure 10 -- Program Management
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 11 -- Management of Defense...
https://acc.dau.mil/UI/img/bo/plus.gifEnclosure 12 -- Systems Engineering
https://acc.dau.mil/UI/img/bo/plus.gifRecent Policy and Guidance
https://acc.dau.mil/UI/img/bo/plus.gifCurrent JCIDS Manual and CJCSI 3170.01 I
https://acc.dau.mil/UI/img/bo/plus.gifDefense Acquisition Guidebook Key...
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