Enclosure 4 -- Table 2-1. Statutory Requirements Applicable to MDAPs and MAIS

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

INFORMATION REQUIRED

APPLICABLE STATUTE

WHEN REQUIRED

The following requirements are statutory for both MDAPs and MAIS acquisition programs

AoA

Subtitle III of Reference (v)

Section 2366a of Reference ((k))

Milestone (MS) A

Program Initiation for Ships

MS B (updated as necessary)

MS C (updated as necessary)

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

Paragraph (e) of Section 644 of title 15, U.S.C. (Reference (y))

MS B

MS C (if no MS B)

Clinger-Cohen Act (CCA) Compliance

(All IT-including NSS)

(See Enclosure 5)

Subtitle III of Reference (v)

MS A

Program Initiation for Ships

MS B

MS C

Full-Rate Production (or Full Deployment) Decision Review (DR) (or equivalent)

Competition Analysis

(Depot-level Maintenance $3M rule)
(part of Acquisition Strategy)

Section 2469 of Reference (k)

MS B

MS C (if no MS B)

Cooperative Opportunities;

(part of TDS at MS A ; part of Acquisition Strategy thereafter )

Paragraph (e) of Section 2350a of Reference (k)

MS A

MS B

MS C

Consideration of Technology Issues

Paragraph (b)(5) of Section 2364 of Reference (k)

MS A

MS B

MS C

Core Logistics Analysis/Source of Repair Analysis¹ (part of Acquisition Strategy)

Section 2464 of Reference (k)

Section 2466 of Reference (k)

MS B

MS C (if no MS B)

Data Management Strategy

(part of TDS or Acquisition Strategy)

Section 2320 of Reference (k)

MS A

MS B

MS C

Full-Rate Production DR (or equivalent)

Market Research

Section 2377 of Reference (k)

Paragraph (e)(2) of Section 644 of Reference (y)

During User Needs and Technology Opportunities

MS A

MS B

Military Equipment Valuation

(part of Acquisition Strategy)

P.L. 101-576 (Reference (z))

SFFAS 6 (Reference (aa))

MS C

Full-Rate Production DR (or equivalent)

Post Implementation Review

Paragraph (a)(5) of Section 1115 of title 31, U.S.C. (Reference (ab))

Section 11313 of Reference (v)

Full-Rate Production DR

(or Full Deployment DR)

Program Deviation Report

MDAP-Section 2435 of Reference (k)

MAIS-Section 11317 of Reference (v)

Immediately upon a program deviation

PESHE (Including National Environmental Policy Act (NEPA) / (Executive Order) E.O. 12114 Compliance Schedule)

Sections 4321-4347 of title 42, U.S.C. (Reference (ac))

E.O. 12114 (Reference (ad))

Program Initiation for Ships

MS B

MS C

Full-Rate Production DR
(or Full Deployment DR)

Submission of a DD Form 1494 and Certification of Spectrum Support

(applicable to all systems/equipment that use the electromagnetic spectrum while operating in the U.S. and its possessions)

Sections 305 and 901-904 of title 47, U.S.C. (Reference (ae))

Section 104 of P.L. 102-538 (Reference (af))

Part 2 of Reference (c)

MS A

MS B

MS C

The following requirements are statutory for MDAPs

Alternate LFT&E Plan (OSD LFT&E oversight programs with waiver from full-up, system-level testing only)

Section 2366 of Reference (k)

MS B (or as soon as practicable after program initiation)

Beyond-LRIP Report (or equivalent report for MDAPs that are also MAIS) (OSD OT&E oversight programs only)

Section 2399(b) of Reference (k)

Full-Rate Production DR

ICE²

Section 2434 of Reference (k)

MS A (Cost assessment when requested by the MDA)

Program Initiation for Ships (cost assessment only)

MS B

MS C

Full-Rate Production DR (as requested/directed by the MDA)

Industrial Base Capabilities Considerations

(part of Acquisition Strategy)

Section 2440 of Reference (k)

MS B

MS C

LFT&E Report

(OSD LFT&E oversight programs only)

Section 2366 of Reference (k)

Full-Rate Production DR

LFT&E Waiver from Full-up, System-level Testing

(OSD LFT&E oversight programs only)

Section 2366 of Reference (k)

MS B (or as soon as practicable after program initiation)

LRIP Quantities

Section 2400 of Reference (k)

MS B

Manpower Estimate (reviewed by the office of the Under Secretary of Defense for Personnel and Readiness (USD(P&R)))

Section 2434 of Reference (k)

Program Initiation for Ships

MS B

MS C

Full-Rate Production DR

MDA Program Certification

Section 2366a of Reference (k)

Section 2366b of Reference (k)

This Instruction

MS A

MS B

MS C (if Program Initiation)

Nunn-McCurdy Assessment and Certification

Section 2433 of Reference (k)

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

Replaced System Sustainment Plan

Section 2437 of Reference (k)

Program Initiation for Ships

MS B

Selected Acquisition Report (SAR)
(This SAR requirement is not applicable to MDAPs that are also MAIS acquisition programs that report under section 2445c of Reference (k))

Section 2432 of Reference (k)

Section 2445d of Reference (k)

• Program initiation (normally Milestone B except for some ship programs) or MDAP designation
• Annually for all programs and quarterly on an exception basis when there is (1) a six-month or more schedule slip in the current estimate since the prior SAR, or (2) a unit cost increase of 15% or more to the current APB objective or 30% or more to the original APB objective
• SAR rebaselining after a major milestone decision (i.e., Milestone C or Milestones B and C for some ship programs)
• SAR reporting requirement ceases after 90% of items are delivered or 90% of funds are expended

Unit Cost Report

Section 2433 of Reference (k)

Quarterly

The following requirements are statutory for MDAPs and
are applicable to MAIS acquisition programs by this Instruction

APB

Section 2435 of Reference (k)

Program Initiation for Ships

MS B

MS C (updated, as necessary)

Full-Rate Production DR (or Full Deployment DR)

Operational Test Plan

(OSD OT&E oversight programs only)

Section 2399 of Reference (k)

Prior to start of operational test and evaluation

TDS

Section 803 of Reference (g)

MS A

The following requirements are statutory for MAIS acquisition programs

Assessment and Certification of a Critical Change to the Defense Committees³

Section 2445c of Reference (k)

This Instruction

Not later than 60 days after receiving a MAIS Quarterly Report indicating a Critical Change ^4/5

Defense Business Systems Management

Committee (DBSMC) certification approval for defense business system modernizations (see also GB 5000.02, Enclosure 11)

Section 2222 of Reference (k)

Prior to obligation of funds on defense business system modernizations

DoD CIO Confirmation of CCA Compliance (See Enclosure 5 )

Section 811 of P.L. 106-398 (Reference (ag))

This Instruction

MS A

MS B

MS C (if Program Initiation or if equivalent to Full Deployment DR)

Full Deployment DR

Economic Analysis

Section 811 of Reference (ag)

MS A (may be combined with AoA)

MS B (or equivalent)

Full Deployment DR (or equivalent)

MAIS Annual Report to Congress

Section 2445b of Reference (k)

• § Annually after the first occurrence of any of the following events:

- MDA designation,

- MS A, or

- MS B

• § Due 45 days after the President's Budget is submitted to Congress

Notice of MAIS Cancellation or Significant Reduction in Scope

Section 806 of P.L. 109-163 (Reference (ah))

60 days prior to an MDA decision to cancel or significantly reduce the scope of a fielded or post-MS C MAIS program

Notification of a Significant Change to the Defense Committees³

Section 2445c of Reference (k)

This Instruction

Not later than 45 days after receiving a MAIS Quarterly Report indicating a Significant Change ^4/5

MAIS Quarterly Report⁶

Section 2445c of Reference (k)

Quarterly following initial submission of a MAIS Annual Report

Notes:

1. Core Logistics Analysis/Source of Repair Analysis shall be addressed in the LCSP.

2. For ACAT ID programs, the OSD CAIG prepares the ICE. For ACAT IC programs, the appropriate Service Cost Center or Defense Agency equivalent prepares the ICE.

3. Service Acquisition Executives (SAEs) shall obtain the ASD(NII)/DoD CIO's coordination on Significant and Critical Change reports before submitting them to the congressional defense committees when (a) the ASD(NII)/DoD CIO is the MDA for the program, or (b) the MAIS is an ACAT IAC program that is not under the direct authority of the USD(AT&L). SAEs shall obtain the USD(AT&L)'s coordination on Significant and Critical Change reports before submitting them to the congressional defense committees when the MAIS is under the direct authority of the USD(AT&L).

4. Section 2445c of Reference (k) defines a Significant Change as either a schedule change that will cause a delay of more than 6 months but less than a year; an increase in the estimated development cost or full life-cycle cost for the program of at least 15 percent, but less than 25 percent; or a significant, adverse change in the expected performance of the MAIS to be acquired. A Critical Change occurs when the system has failed to achieve IOC within 5 years after funds were first obligated for the program⁷; a schedule change will cause a delay of 1 year or more; the estimated development cost or full life-cycle cost for the program has increased 25 percent or more; or a change in expected performance will undermine the ability of the system to perform the functions anticipated.

5. Although the 45 days for submitting a Significant Change notification and the 60 days for conducting and submitting a Critical Change assessment and certification start from the day the Senior Official receives the MAIS Quarterly Report, no submission to the congressional defense committees is required unless the Senior Official determines that such a change has occurred based on the MAIS Quarterly Report.

6. This written report shall identify any variance in the projected development schedule, implementation schedule, life-cycle costs, or key performance parameters for the MAIS from such information as originally submitted in the first MAIS Annual Report to Congress for this program.

7. For MAIS programs that submitted a MAIS Annual Report to Congress in 2008, the Critical Change criterion to achieve IOC within 5 years has already been established in accordance with the then-applicable law.