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Department of Defense INSTRUCTION


DoDI 5000.02, January 7,

DoDI 5000.02, January 7, 2015 4. APBs AND BASELINE BREACHES a. The APB will describe the approved program. The APB represents the formal commitment of the Component and the acquisition chain of command to the MDA. Deviations from the approved APB will be immediately reported to the MDA. Deviations are specified default thresholds for schedule and cost of: (1) Objective schedule value plus 6 months. (2) Objective cost value plus ten percent. b. Table 3 in this enclosure provides acquisition program baseline policy, addressing Original Baselines, Current Baselines, Baseline Deviations, and Subprograms. c. Table 4 in this enclosure provides the statutory breach and change definitions for programs requiring APBs. (1) The MDAP definitions for significant and critical unit cost breaches are based on unit cost growth as defined in 10 U.S.C. 2433 (Reference (g) (h)). (2) The MAIS program definitions for significant and critical changes are based on schedule, cost, or expected performance of the program as defined in 10 U.S.C. 2445c (Reference (g) (h)). The section 2445c critical change definition also applies to programs that are designated as Pre-MAIS programs, and to any other AIS that are prior to a formal acquisition decision and are expected to exceed the MAIS program thresholds in Table 1, as prescribed by 10 U.S.C. 2445a. (3) The DBS additional criteria for a critical change are based on achieving IOC within constraints defined in section 811 of P.L. 109-364 (Reference (k)). d. The reporting requirements associated with breaches and changes are detailed in Table 6, this enclosure. Change 2, 02/02/2017 66 ENCLOSURE 1

DoDI 5000.02, January 7, 2015 Table 3. APBs Original Baseline Description, Original APB, or Original Estimate Current Baseline Description or Current APB Deviations Subprograms (10 U.S.C. 2430a (Reference (g)(h)) For all programs: • The first APB is approved by the MDA prior to a program entering Engineering and Manufacturing Development, or at program initiation, whichever occurs later. • Serves as the current baseline description until a revised APB is approved. • Incorporates the Key Performance Parameters (KPPs) from the CDD or CPD (if program initiation is at Milestone C). For MDAPs: • The cost/unit cost estimate parameters may be revised under 10 U.S.C. 2435 (Reference (g)(h)) only if a breach occurs that exceeds the critical cost growth threshold for the program under 10 U.S.C. 2433 (Reference (g)(h)). For MAIS Programs: • The Original Estimate is the initial schedule, performance, cost baseline submitted to Congress in a MAIS Annual Report (MAR), and can only be revised under 10 U.S.C. 2445c (Reference (g)(h)) following a Critical Change Report to Congress. • The Original Estimate is created from the objective schedule and cost values, and the performance threshold values in the first APB approved by the MDA. • The statutory term, “development cost,” will be treated the same as “total acquisition cost.” • May be revised only: • At milestone and FRP and FD decisions; • As a result of a major program restructure that is fully funded and approved by the MDA; • As a result of a program deviation (breach); or • At the MDA’s discretion if fact of life program changes are so significant that managing to the existing baseline is not practical. • Circumstances authorizing changes are limited; revisions to the current baseline estimate/APB are not automatically authorized for program changes to cost, schedule, or performance parameters. • Revisions to the current APB will not be authorized unless there is a significant change in program parameters. • A revision to the current APB will not be authorized if proposed merely to avoid a reportable breach. • The MDA determines whether to revise the APB. • The Program Manager will immediately notify the MDA when the Program Manager becomes aware of an impending deviation from any parameter (cost, schedule, performance, etc.). • Within 30 business days of occurrence of the deviation, the Program Manager will submit a Program Deviation Report that informs the MDA of the reason for the deviation and planned actions. • Within 90 business days of occurrence of the deviation: • The Program Manager will bring the program back within APB parameters; or • The Program Manager will submit information to the Overarching Integrated Product Team (OIPT) to inform a recommendation to the MDA on whether it is appropriate to approve a revision to an APB. • The MDA will decide, after considering the recommendation resulting from the OIPT or equivalent Component-level review, whether it is appropriate to approve a revision to an APB. When an MDAP requires the delivery of two or more categories of end items that differ significantly in form and function, or the delivery of satellites in two or more increments or blocks, subprograms may be established for baselining and reporting purposes. Once one subprogram is designated, all remaining elements (increments or components) of the program will also be appropriately organized into one or more other subprograms. Change 2, 02/02/2017 67 ENCLOSURE 1

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