DoDi 5000.02 Table 2

Back to ENCLOSURE 1: ACATS AND COMPLIANCE REQUIREMENTS

Table 2. Milestone and Phase Information Requirements
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
2366a WRITTEN DETERMINATION 10 U.S.C. 2366a (Ref. (h)) This instruction MDA
STATUTORY for MDAPs and major subprograms of MDAPs before Milestone A approval. By this instruction, the MDA does not have authority to delegate this requirement. Specific criteria for the WRITTEN DETERMINATION are in the source statute; implementation details are in the current version of USD(AT&L) Memorandum, “Change to Major Defense Acquisition Program Milestone A Requirements” (Reference (ch)).
2366b CERTIFICATION AND DETERMINATION 10 U.S.C. 2366b (Ref. (h)) This instruction MDA
STATUTORY for MDAPs before Milestone B approval. The MDA does not have authority to delegate this requirement. The certification and determination will be submitted to the congressional defense committees with the first Selected Acquisition Report (SAR) submitted after completion of the certification. Specific criteria for the CERTIFICATION AND DETERMINATION are in the source statute; implementation details are in the current version of USD(AT&L) Memorandum, “Change to Major Defense Acquisition Program Milestone B Requirements” (Reference (ci)). A memorandum documenting the certification and determination elements is a Regulatory requirement at Milestone C if “C” is program initiation.
Acquisition Decision Memorandum (ADM) This instruction MDA
Regulatory. Documents MDA decisions and direction.
ACQUISITION PROGRAM BASELINE (APB) 10 U.S.C. 2435 (Ref. (h)) 10 U.S.C. 2433a (Ref. (h)) DoDD 5000.01 (Ref. (a)) MDA
STATUTORY for MDAPs at Milestones B and C and the FRP decision; a Regulatory requirement at all other Program Type/Event combinations, including the required draft4 at Development RFP Release. For the APB, the draft due at RFP Release does not require CAE approval. The APB is not approved by the MDA until Milestone B, however. See section 4 in this enclosure for requirements at other than the identified decision points.
ACQUISITION STRATEGY 10 U.S.C. 2431a (Ref. (h)) Para. 6a of Enc. 2 of this instruction MDA
STATUTORY for MDAPs, MAIS programs, and major systems; Regulatory for other programs. The Acquisition Strategy includes STATUTORY and Regulatory information. Major changes to the plan reflected in the Acquisition Strategy require MDA approval. If the MDA revises the strategy, the MDA must notify the congressional defense committees consistent with Table 6. The MDA must review and approve the strategy when there has been a significant change to the cost, schedule, or performance of the program (or system) or there has been a critical change to the cost of the program (or system). The strategy may also be reviewed and approved at any time considered relevant by the MDA. The following STATUTORY requirements will be satisfied in the Acquisition Strategy:
ACQUISITION APPROACH: STATUTORY; describe the top-level business and technical management approach in sufficient detail to allow the MDA to assess (1) the viability of the approach; (2) the method of implementing laws and policies; and (3) program objectives. Provide a clear explanation of how the strategy is designed to be implemented within the available resources of time, funding, and management capacity. Discuss the tailoring that will address program requirements and constraints. Where appropriate, the strategy should consider the delivery of required capability in increments, each dependent on available, mature technology, and recognizing up front the need for future capability improvements. SOURCE: 10 U.S.C. 2431a (Ref. (h))
BENEFIT ANALYSIS AND DETERMINATION: STATUTORY; applies to bundled acquisitions only. Includes MARKET RESEARCH to determine whether consolidation of the requirements is necessary and justified. Required at Milestone C if there was no Milestone B; an update is not required at the FRP/FD decision point. 15 U.S.C. 632 (Reference (j)) defines a bundled contract as a contract that is entered into to meet requirements that are consolidated in a bundling of contract requirements. The term “bundling of contract requirements” means consolidating two or more procurement requirements for goods or services previously provided or performed under separate smaller contracts into a solicitation of offers for a single contract that is likely to be unsuitable for award to a small-business concern. SOURCE(S): 15 U.S.C. 644(e) (Ref. (j)), 15 U.S.C. 657q (Ref. (j))
BUSINESS STRATEGY: STATUTORY; paragraph 5d(4)(f)1 in this instruction identifies the minimum set of elements to describe. SOURCE(S): 10 U.S.C. 2431a (Ref. (h)), 10 U.S.C. 2337 (Ref. (h))
CONTRACTING STRATEGY: STATUTORY; discuss the planned contract type and how it relates to risk management in each acquisition phase; whether risk management enables the use of fixed-price elements in subsequent contracts; market research; and small business participation. Include the following sub-elements. SOURCE(S): 10 U.S.C.2431a (Ref. (h)), 10 U.S.C. 2377 (Ref. (h)), 15 U.S.C. 644(e)(2) (Ref. (j))
CONTRACT-TYPE DETERMINATION: STATUTORY. Satisfied when the MDA approves the Acquisition Strategy with specified contract types. Only required for MDAPs at Development RFP Release and Milestones B and C. The MDA for an MDAP may conditionally approve the contract type selected for a development program at the Development RFP Release Decision Point, and give final approval at the time of Milestone B approval. The development contract type must be consistent with the level of program risk and may be either a fixed price or cost type contract. If selecting a cost-type contract, the MDA must comply with the conditions and reporting requirements listed in Table 6 in this enclosure. The DoD MAY NOT enter into cost-type contracts for production of an MDAP unless compliant with the conditions and notifications listed in Table 6. SOURCE(S): SEC. 818, P.L. 109-364 (Ref. (k)), SEC. 811, P.L. 112-239 (Ref. (l))
TERMINATION LIABILITY ESTIMATE: STATUTORY. Only for MDAPs. Must be documented in the ACQUISITION STRATEGY for any contract for the development or production of an MDAP for which potential termination liability could reasonably be expected to exceed $100 million. Updates may therefore be required at other than the marked events. The estimate must include how such termination liability is likely to increase or decrease over the period of performance. The Program Manager must consider the estimate before making recommendations on decisions to enter into or terminate such contracts. SOURCE(S): SEC. 812, P.L. 112–239 (Ref. (l))
COOPERATIVE OPPORTUNITIES: STATUTORY. Only due at the first program milestone review. The requirement to discuss opportunities for cooperative research and development will be satisfied via the International Involvement section in the Acquisition Strategy outline and will include consideration of foreign military sales. For programs responding to urgent needs, proven capabilities will be assessed during the COURSE OF ACTION ANALYSIS. SOURCE(S) : 10 U.S.C. 2350a (Ref. (h))
GENERAL EQUIPMENT VALUATION: STATUTORY; a program description that identifies contract-deliverable military equipment, non-military equipment, and other deliverable items; includes plan(s) to ensure that all deliverable equipment requiring capitalization is serially identified and valued. Only required at Milestone C; updated as necessary for the FRP/FD Decision. The capitalization thresholds are unit costs at or above $1 million for Air Force and Navy general fund assets, and unit costs at or above $250 thousand for all internal use software and for other equipment assets for all other general and working capital funds. SOURCE(S): P.L. 101-576 (Ref. (n)), Statement of Federal Financial Accounting Standards 23 (Ref. (o))
INDUSTRIAL BASE CAPABILITIES CONSIDERATIONS: STATUTORY for MDAPs; Regulatory for others. Summarizes the results of the industrial base capabilities’ analysis. SOURCE(S): 10 U.S.C. 2440 (Ref. (h))
• INTELLECTUAL PROPERTY (IP) STRATEGY: STATUTORY for major weapon systems and subsystems; Regulatory for other program types. The IP Strategy must be updated as appropriate to support and account for evolving IP considerations associated with the award and administration of all contracts throughout the system life cycle. Becomes part of the Life-Cycle Sustainment Plan (LCSP) during Operations and Support (O&S). For programs responding to urgent needs, due at the Development Milestone. SOURCE(S): 10 U.S.C. 2320 (Ref. (h)), Para. 6a(4) of Enclosure 2 of this instruction.
MARKET RESEARCH: STATUTORY. A stand-alone, Regulatory requirement at MDD. STATUTORY updates (as part of the ACQUISITION STRATEGY) required at Milestone A and the Development RFP release point; not required thereafter. Conducted to reduce the duplication of existing technologies and products, and to understand potential materiel solutions, technology maturity, and potential sources, to assure maximum participation of small business concerns, and possible strategies to acquire them. For programs responding to urgent needs, included in the Course of Action Approach at the Development Milestone. SOURCE(S): 10 U.S.C. 2377 (Ref. (h)), 15 U.S.C. 644(e)(2) (Ref. (j)), This instruction
MODULAR OPEN SYSTEMS APPROACH: STATUTORY. Identify how a modular open systems approach will or will not be used. SOURCE(S): SEC. 801, P.L. 113-291 (Ref. (cg)).
MULTI-YEAR PROCUREMENT: STATUTORY; when appropriate, include a summary discussion of multi-year procurement (further discussed in section 6 of Enclosure 10). SOURCE(S): 10 U.S.C. 2306b (Ref. (h)).
RISK MANAGEMENT: STATUTORY; include a comprehensive approach to risk management and mitigation. Planning will be consistent with the discussion in paragraphs 6a and 6d in Enclosure 2, and the competitive prototyping discussion in paragraph 5d(4)(b)2 in the basic instruction. If prototyping is not used, explain why. SOURCE(S): 10 U.S.C. 2431a and 10 U.S.C. 2431b (Ref. (h))
SMALL BUSINESS INNOVATION RESEARCH (SBIR)/SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM TECHNOLOGIES: STATUTORY. Program managers will establish goals for applying SBIR and STTR technologies in programs of record and incentivize primes to meet those goals. For contracts with a value at or above $100 million, program managers will establish goals for the transition of Phase III technologies in subcontracting plans and require primes to report the number and dollar amount of Phase III SBIR or STTR contracts. Not required at Milestone B. SOURCE(S): 15 U.S.C. 638 (Ref. (j))
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
Affordability Analysis Section 3 of Enc. 8 of this instruction MDA
Regulatory. Prior to the MDD, the analysis will yield tentative cost goals and inventory goals; for Milestone A, the analysis will yield affordability goals; and for the Development RFP Release Decision Point, Milestone B, and beyond, the analysis will yield binding affordability caps.
ANALYSIS OF ALTERNATIVES (AoA) 40 U.S.C. 11312 (Ref. (p)) SEC. 811, P.L. 106-398 (Ref. (q)) 10 U.S.C. 2366a (Ref. (h)) MDA (DCAPE assesses AoAs for ACAT ID/IAM only)
STATUTORY for MDAPs, MAIS programs, and all AIS programs, including National Security Systems (NSSs), at Milestone A. STATUTORY updates required through Milestone C (or Milestone B if there is no Milestone C) for MAIS programs, and all AIS programs. Regulatory for all other specified Program Type/Event combinations. A DoD Component is responsible for conduct and approval of the AoA. The distinct assessment and approval roles of the DCAPE and the MDA associated with the AoA and the selection of the materiel solution(s) are detailed in section 2 of Enclosure 9 of this instruction.
AoA Study Guidance and AoA Study Plan Para. 5d(1)(b) of this instruction DCAPE or DoD Component Equivalent
Regulatory requirements to guide the AoA. AoA Study Guidance informs the preparation of the AoA Study Plan. The AoA Study Guidance must be provided to DoD Component(s) for development of the AoA Study Plan prior to the MDD. Consistent with the AoA Study Guidance, the lead DoD Component will prepare the AoA Study Plan and present it at the MDD.
BANDWIDTH REQUIREMENTS REVIEW SEC. 1047, P.L. 110-417 (Ref. (g)) This Instruction DoD CIO
STATUTORY for MDAPs and major weapon systems; Regulatory for all other programs. Bandwidth requirements data will be documented in the Information Support Plan (ISP). If the ISP is waived for a program, conformance with bandwidth review will be based on data provided in the Capability Development Document (CDD), consistent with Net-Ready Key Performance Parameter (NR-KPP) guidance in Appendix E to Enclosure D of the Manual for the Operation of the Joint Capabilities Integration and Development System (JCIDS) (Reference (r)) and Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 5123.01G (Reference (s)).
CAPABILITY DEVELOPMENT DOCUMENT (CDD) CJCSI 3170.01 (Ref.(d)) JCIDS Manual (Ref. (r)) JROC, JCB, or Component Validation
Regulatory. A draft CDD is required at Milestone A; a validated CDD is required at the Development RFP Release Decision Point and informs Milestone B. If there are no changes, a revalidated CDD may be submitted for the Capability Production Document (CPD) required at Milestone C. An equivalent DoD Component-validated requirements document will satisfy this requirement for certain information systems. For approval authorities, JROC is Joint Requirements Oversight Council; JCB is Joint Capabilities Board.
Capability Production Document (CPD) CJCSI 3170.01 (Ref.(d)) JCIDS Manual (Ref. (r)) JROC, JCB, or Component Validation
Regulatory. If there are no changes, a revalidated CDD may satisfy this information requirement. An equivalent DoD Component-validated requirements document will satisfy this requirement for certain information systems; the equivalent documents are finalized after Milestone B, to support deployment.
CLINGER-COHEN ACT (CCA) COMPLIANCE SUBTITLE III, TITLE 40 (Ref. (p)) SEC. 811, P.L. 106-398 (Ref. (q)) MDA and Component CIO or designee
STATUTORY for all programs that acquire information technology (IT); Regulatory for other programs. See section 3 in Enclosure 11 for amplifying guidance. A summary of required actions is in Table 9 in this enclosure. The Program Manager will report CCA compliance to the MDA and the Component CIO or designee. For IT programs employing an incremental development model (i.e., Model 3), the Program Manager will report CCA compliance at each Limited Deployment Decision Point.
Concept of Operations/Operational Mode Summary/Mission Profile (CONOPS/OMS/MP) JCIDS Manual (Ref. (r)) DoD Component
Regulatory. The CONOPS/OMS/MP is a Component approved acquisition document that is derived from and consistent with the validated/approved capability requirements document. The CONOPS/OMS/MP describes the operational tasks, events, durations, frequency and environment in which the materiel solution is expected to perform each mission and each phase of the mission. The CONOPS/OMS/MP will be provided to the MDA at the specified decision events and normally provided to industry as part of the RFP.
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
CORE LOGISTICS DETERMINATION / CORE LOGISTICS AND SUSGTAINING WORKLOADS ESTIMATE 10 U.S.C. 2464 (Ref. (h)) 10 U.S.C. 2366a & 2366b (Ref. (h)) SEC. 801, P.L. 112-81 (Ref. (v)) Para. 3d(2) of Enc. 6 of this instruction MDA/DoD Component
STATUTORY. Only the CORE LOGISTICS DETERMINATION is required at Milestone A. Required at Milestone C if there was no Milestone B. Documented in the LCSP. Not required for AIS programs.
Cost Analysis Requirements Description (CARD) Sec. 3 of Enc. 10 of this instruction DoD 5000.4-M (Ref. (w)) DoD Component
Regulatory. Due any time an INDEPENDENT COST ESTIMATE (ICE) or an ECONOMIC ANALYSIS is required. Procedures are specified in section 3 of Enclosure 10 of this instruction. The DoD Component, with CAPE concurrence, will determine the CARD requirements for ACAT II and below programs.
CYBERSECURITY STRATEGY SEC. 811, P.L. 106-398 (Ref. (q)) 40 U.S.C. 11312 (Ref. (p)) DoDI 8500.01 (Ref. (x)) DoD CIO; Component CIO
STATUTORY for mission critical or mission essential IT systems. Regulatory for all other programs containing IT, including NSS. See section 6 of Enclosure 11 and Enclosure 14. The CYBERSECURITY STRATEGY is an appendix to the Program Protection Plan (PPP). A draft4 update is due for the Development RFP Release and is approved at Milestone B. May include the approved DoD Risk Management Framework Security Plan for urgent needs. The DoD CIO is approval authority for ACAT ID and all ACAT IA programs; the Component CIO is approval authority for all other ACATs.
Defense Intelligence Threat Library (Threat Modules) DIA Directive 5000.200 (Ref. (t)) DIA Instruction 5000.002 (Ref. (u)) Validated by Defense Intelligence Agency (DIA)
Regulatory. Threat Modules are produced by the Defense Intelligence Community and are required to be updated every 2 years, independent of acquisition decision events. Threat Modules serve as the analytical foundation for Validated On-line Life-cycle Threat (VOLT) Reports and maintain projections of technology and adversary capability trends over the next 20 years.
Development RFP Release Cost Assessment Para. 2a(5) of Enc. 10 of this instruction CAPE
Regulatory. Requirements and procedures for this assessment are specified in paragraph 2a(5) in Enclosure 10 of this instruction.
DoD Component Cost Estimate Para. 5d(3)(b)2b of this instruction Sec. 2 of Enc. 10 of this instruction DoD Component
Regulatory. See the direction in section 2 of Enclosure 10 of this instruction. The DoD Component will determine the cost estimating requirements for ACAT II and below programs.
DoD Component Cost Position Para. 2e of Enc. 10 of this instruction DoD Component
Regulatory. Mandatory for MDAPs and MAIS programs; documented DoD Component Cost Position must be signed by the appropriate DoD Component Deputy Assistant Secretary for Cost and Economics.
DoD Component Live Fire Test and Evaluation (LFT&E) Report This instruction CAE
Regulatory. Programs on the DOT&E Oversight List for LFT&E oversight only; due upon completion of LFT&E.
DOT&E REPORT ON INITIAL OPERATIONAL TEST AND EVALUATION (IOT&E) 10 U.S.C. 2399 (Ref. (h)) 10 U.S.C. 139 (Ref. (h)) DOT&E
STATUTORY; required for DOT&E Oversight List programs only. The DOT&E publishes an online list of programs under operational test and evaluation (OT&E) and LFT&E oversight at https://extranet.dote.osd.mil/oversight/ (requires login with a Common Access Card). A final decision to proceed beyond Low-Rate Initial Production (LRIP) or beyond Limited Deployment may not be made until the DOT&E has submitted the IOT&E Report to the Secretary of Defense, and the congressional defense committees have received that report. If DoD decides to proceed to operational use of the program or to make procurement funds available for the program before the MDA’s FRP/FD decision, the DOT&E’s report will be submitted as soon as practicable after the DoD decision to proceed.
ECONOMIC ANALYSIS SEC. 811, P.L. 106-398 (Ref. (q)) DoDI 7041.03 (Ref. (y)) DoD Component
STATUTORY for MAIS. May be combined with the AoA at Milestone A. Also required at any review that is the equivalent of Milestone B or the FD Decision.
Exit Criteria This instruction MDA
Regulatory. Exit criteria are specific events and accomplishments that must be achieved before a program can proceed to the designated acquisition phase covered by the criteria. Documented in the ADM.
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
FREQUENCY ALLOCATION APPLICATION (DD FORM 1494) SEC. 104, P.L. 102-538 (Ref. (z)) 47 U.S.C. 305, 901-904 (Ref. (aa)) National Telecommunications and Information Administration
STATUTORY for all systems/equipment that use the electromagnetic spectrum while operating in the United States and its possessions. The DD Form 1494, Application for Equipment Frequency Allocation, is available from http://www.dtic.mil/whs/directives/forms/dd/ddforms1000-1499.htm. The STATUTORY requirement for milestone decisions is met when DD Form 1494 is submitted by the Program Manager to the appropriate reviewing and approving agencies. Generally not applicable to Defense Business System (DBS) programs.
Full Funding Certification Memorandum Para. 2f of Enc. 10 of this instruction MDA/CAPE
Regulatory. See paragraph 2f of Enclosure 10 to this instruction. Must be signed by the CAE and the Component Chief Financial Officer.
INDEPENDENT COST ESTIMATE (ICE) 10 U.S.C. 2434 (Ref. (h)) 10 U.S.C. 2334 (Ref. (h)) DCAPE or DoD Component
STATUTORY. Section 2 in Enclosure 10 provides detailed instructions for MDAPs and MAIS programs. The Milestone C requirement only applies when the milestone decision authorizes LRIP. The DCAPE will be the approval authority for ACAT ID and IAM programs; the Component will approve ACAT IC programs following review by DCAPE.
INDEPENDENT LOGISTICS ASSESSMENT (ILA) SEC. 832, P.L. 112-81 (Ref. (v)) Sec. 5 of Enc. 6 of this instruction CAE
STATUTORY for weapon system MDAPs only. For the FRP, the assessment is required if the decision is more than 4 years after Milestone C. Assessments after FRP will be accomplished at a minimum interval of every 5 years after Initial Operational Capability (IOC).
Information Support Plan (ISP) DoDI 8330.01 (Ref. (ab)) DoDI 8320.02 (Ref. (ac)) DoDI 8410.03 (Ref. (ad)) DoD Component or as delegated
Regulatory. Applicable to all IT, including NSS. A draft4 is due for Development RFP Release; approved at Milestone B. Unless waived, updated at the Critical Design Review. The ISP of record is due prior to Milestone C; an updated ISP of record may be required during O&S. Enter data on-line at https://gtg.csd.disa.mil/; requires an account and login with a Common Access Card.
Information Technology (IT) and National Security System (NSS) Interoperability Certification DoDI 8330.01 (Ref. (ab)) JITC or DoD Component
Regulatory. Applicable to all IT, including NSS. Testing completed before or during OT&E. The Joint Interoperability Test Command (JITC) certifies interoperability of IT with joint, multinational, and/or interagency interoperability requirements. DoD Components certify all other IT. Certification must occur prior to deployment.
Initial Capabilities Document (ICD) CJCSI 3170.01 (Ref. (d)) JCIDS Manual (Ref. (r)) JROC, JCB, or Component Validation
Regulatory. The ICD is the fundamental requirements document establishing validated capability requirements; required for the MDD. DBS programs will use Problem Statements for this purpose.
Item Unique Identification Implementation Plan DoDI 8320.04 (Ref. (ae)) CAE or as delegated
Regulatory. Design considerations related to unique identification are included in the Systems Engineering Plan (SEP).
Life-Cycle Mission Data Plan DoDD 5250.01 (Ref. (af)) DoD Component
Regulatory; only required if the system is dependent on Intelligence Mission Data. A draft4 update is due for Development RFP Release; approved at Milestone B.
Life-Cycle Sustainment Plan (LCSP) Sec. 3 in Enc. 6 of this instruction MDA or designee
Regulatory. A draft4 update is due for Development RFP Release; approved at Milestone B. The LCSP is reviewed by the CAE at least every 5 years after a system’s IOC. See Enclosure 6 of this instruction for details about the LCSP.
LFT&E REPORT 10 U.S.C. 2366 (Ref. (h)) DOT&E
STATUTORY; Programs on the DOT&E Oversight List for LFT&E oversight only. Report is due as soon as practicable after testing is concluded. See related SURVIVABILITY AND LIVE FIRE TESTING STATUS REPORT in Table 6 in this enclosure.
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
LOW-RATE INITIAL PRODUCTION (LRIP) QUANTITY 10 U.S.C. 2400 (Ref. (h)) Para. 5d(6)(e) of this instruction MDA
STATUTORY for MDAPs and ACAT II programs; Regulatory for other programs. A preliminary quantity is determined at the Development RFP Release Decision Point; the final LRIP quantity is determined at Milestone B. The LRIP quantity will be documented in the ADM. For programs on the DOT&E Oversight List, LRIP quantities must equal or exceed the numbers required for testing as identified in the approved Test and Evaluation Master Plan (TEMP).
Operational Test Agency (OTA) Report of OT&E Results This instruction OTA
Regulatory. Required earlier than the FRP/FD decision if early operational assessments or operational assessments are conducted.
OPERATIONAL TEST PLAN (OTP) 10 U.S.C. 2399 (Ref. (h)) Para. 3e of Enc. 5 of this instruction DOT&E or Component equivalent
STATUTORY/Regulatory. An OTP, approved before the start of OT&E, is mandatory for all programs. Approval by DOT&E is a STATUTORY requirement for programs on the DOT&E Oversight list. DoD Component-equivalent approval is a Regulatory requirement for all other programs.
PESHE AND NEPA/E.O. 12114 COMPLIANCE SCHEDULE 42 U.S.C. 4321-4347 (Ref. (ag)) E.O. 12114 (Ref. (ah)) CAE or as delegated
STATUTORY. The Programmatic Environment, Safety, and Occupational Health Evaluation (PESHE) and National Environmental Policy Act (NEPA) / Executive Order (E.O.) 12114 Compliance Schedule is approved by the CAE. Related design considerations must be included in the SEP; related operations or sustainment considerations after Milestone C will be included in the LCSP. Not required for software programs with no hardware component.
POST IMPLEMENTATION REVIEW (PIR) 40 U.S.C. 11313 (Ref. (p)) 40 U.S.C. 11313 (Ref. (p))
STATUTORY. Responds to statute that requires Federal Agencies to compare actual program results with established performance objectives. The PIR is a process that aggregates information needed to successfully evaluate the degree to which a capability has been achieved. The preparation of the TEMP and the MDA’s decision to proceed with FRP satisfy the requirement for weapons systems. DoD Components will plan, conduct, and document the required review for IT systems and NSS post IOC (see section 4 in Enclosure 11 of this instruction). Approval by the Functional Sponsor will require coordination with the Component CIO.
PRESERVATION AND STORAGE OF UNIQUE TOOLING PLAN SEC. 815, P.L. 110-417 (Ref. (g)) MDA
STATUTORY. Part of the LCSP. The MDA must approve the plan prior to Milestone C approval; updated only as necessary, thereafter. The plan must identify any contract clauses, facilities, and funding required to preserve and to store the unique tooling associated with the production of the MDAP hardware through the end of the service life of the end item. See paragraph 3d(3) in Enclosure 6 for details.
Problem Statement Para. 4 in Enc. 12 of this instruction DoD Deputy Chief Management Officer (DCMO) or Military Department CMO
STATUTORY; for DBS programs that will have a total cost in excess of $50 million over the period of the current FYDP; Regulatory for any other DBS programs defined by DCMO guidance in Enclosure 12, paragraph 3.b.(1)(a). Due prior to obligation of funds for DBS development, and for any fiscal year in which funds are expended for development or sustainment.
PROGRAM CERTIFICATION OF A DBS 10 U.S.C. 2222 (Ref. (h)) Appropriate Approval Official (AAO)
STATUTORY; for DBS programs only. Due prior to obligation of funds for any DBS that will have a total cost in excess of $1 million over the period of the current Future Years Defense Program.
Program Protection Plan (PPP) DoDI 5200.39 (Ref. (ai)) DoDI 5200.44 (Ref. (aj) Para. 13a in Enc. 3, this instruction MDA
Regulatory. A draft4 update is due for the Development RFP Release decision and is approved at Milestone B. The PPP includes appropriate appendixes or links to required information. See section 13 in Enclosure 3 of this instruction.
REPLACED SYSTEM SUSTAINMENT PLAN 10 U.S.C. 2437 (Ref. (h)) DoD Component
STATUTORY. May be submitted as early as Milestone A, but no later than Milestone B. Required when an MDAP replaces an existing system and the capability of the old system remains necessary and relevant during fielding of and transition to the new system. The plan must provide for the appropriate level of budgeting for sustainment of the old system, the schedule for developing and fielding the new system, and an analysis of the ability of the existing system to maintain mission capability against relevant threats.
Request for Proposal (RFP) Federal Acquisition Regulation Subpart 15.203 (Ref. (ak)) MDA is release authority
Regulatory. RFPs are issued as necessary; they include specifications and statement of work. See also Defense Federal Acquisition Regulation Supplement subpart 201.170 (Reference (al)) for the requirement for peer reviews.
Should Cost Target Para. 5d(3)(b)1 of this instruction MDA
Regulatory. “Should Cost” is a regulatory tool designed to proactively target cost reduction and drive productivity improvement into programs. Paragraph 6e in Enclosure 2 of this instruction provides additional detail on “Should Cost.”
Spectrum Supportability Risk Assessment DoDI 4650.01 (Ref. (am)) Component CIO or designee
Regulatory. Applicable to all systems/equipment that use the electromagnetic spectrum in the United States and in other host nations. Due at milestone reviews and prior to requesting authorization to operate (for other than testing) in the United States or in host nations.
Systems Engineering Plan (SEP) Sec. 2 of Enc. 3 of this instruction MDA
Regulatory. A draft4 update is due for the Development RFP Release Decision Point; approved at Milestone B. (SEP outline provided at http://www.acq.osd.mil/se/pg/guidance.html)
INFORMATION REQUIREMENT PROGRAM TYPE1 LIFE-CYCLE EVENT1,2,3 SOURCE APPROVAL AUTHORITY
MDAP MAIS ACAT MDD MS A CDD Val Dev RFP Rel MS B5 MS C FRP/FD Dec OTHER
II <= III
TECHNOLOGY READINESS ASSESSMENT (TRA) 10 U.S.C. 2366b (Ref. (h)) 10 U.S.C. 138 (Ref. (h)) ASD(R&E)
STATUTORY. A preliminary assessment is due for the Development RFP Release Decision Point. The Assistant Secretary of Defense for Research and Engineering (ASD(R&E)), in consultation with the Deputy Assistant Secretary of Defense (Developmental Test and Evaluation) (DASD(DT&E)), will conduct an independent review and assessment of the TRA conducted by the Program Manager and other factors to determine whether the technology in the program has been demonstrated in a relevant environment. The assessment informs the 2366b DETERMINATION before Milestone B (in accordance with 10 U.S.C. 2366b (Reference (h)). The TRA at Milestone C is a Regulatory requirement when Milestone C is Program Initiation.
Technology Targeting Risk Assessment This instruction DIA Directive 5000.200 (Ref. (t)) DIA Instruction 5000.002 (Ref. (u)) Validation by DIA or DoD Component
Regulatory. Prepared by the DoD Component and coordinated with the DoD Compoenent Intelligence analytical centers per DoDI O-5240.24 (Reference (ao)) and DoDI 5200.39 (Reference (ai)). Forms the analytic foundation for Counterintelligence assessments in the associated PPP. DIA will validate the report for ACAT ID and IAM; for ACAT IC, IAC, and below, the DoD Component will be the validation authority.
Test and Evaluation Master Plan (TEMP) Enclosures 4 and 5 of this instruction See Notes for this row.
Regulatory. A draft4 update is due for the Development RFP Release Decision Point; approved at Milestone B. DOT&E will approve the operational test (OT) and LFT&E portions of the TEMP for DOT&E Oversight programs (10 U.S.C. 2399 (Reference (h))); the DoD Component OT authority will approve the OT portion of the TEMP for all other programs. The DASD(DT&E) will review the DT&E plans in the TEMP for each MDAP (10 U.S.C. 138 & 139b, Reference (h))) and provide a recommendation to the MDA. The MDA (or designee) will be the approval authority for the DT&E Plans in the TEMP. TEMP outline guidance for OT&E is located at http://www.dote.osd.mil/temp-guidebook/index.html.
Validated On-line Life-cycle Threat (VOLT) Report This instruction DIA Directive 5000.200 (Ref. (t)) DIA Instruction 5000.002 (Ref. (u)) DIA or DoD Component
Regulatory. MDAP and MAIS programs require a unique, system-specific VOLT Report to support capability development and program manager assessments of mission needs and capability gaps against likely threat capabilities at IOC. VOLT Reports are required for all other programs unless waived by the MDA. Programs on the DOT&E Oversight List require a unique, system-specific VOLT, unless waived by both the MDA and the DOT&E. DoD Components produce a VOLT. DIA validates the VOLT for ACAT ID or IAM programs; the DoD Component validates the VOLT for ACAT IC or IAC programs and below.
Waveform Assessment Application DoDI 4630.09 (Ref. (ap)) DoD CIO
Regulatory. Application to the DoD CIO for approval of the development or modification of waveforms. Required at Milestone C if a waveform is added or modified after Milestone B.
Table Notes: 1. A dot (●) in a cell indicates the specific applicability of the requirement to program type and life-cycle event, and represents the initial submission requirement. Moving right across a row, a checkmark (√) indicates the requirement for updated information. 2. All of the “Life-Cycle Events” will not necessarily apply to all “Program Types.” 3. Unless otherwise specified when discussed in this instruction, documentation for identified events will be submitted no later than 45 calendar days before the planned review. 4. Requires a Program Manager-, PEO-, and CAE-approved draft. 5. Information requirements that have been finalized and approved by the responsible authority in support of the Development RFP Release Decision Point do not have to be re-submitted prior to Milestone B unless changes have occurred. In that case, updated documents will be provided. 6. Incrementally Deployed Software Intensive Programs (Model #3) do not have a Milestone C and consequently are not required to satisfy the Table 2 requirements associated with that milestone.

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