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Department of Defense INSTRUCTION

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DoDI 5000.02, January 7,

DoDI 5000.02, January 7, 2015 (2) Table 6 summarizes STATUTORY and Regulatory requirements established for exceptions, waivers, and alternative management and reporting. The table specifies the conditions and point in time when each report is required. Table 6. Exceptions, Waivers, and Alternative Management and Reporting Requirements INFORMATION REQUIREMENT FOR WAIVER OR EXCEPTION PROGRAM TYPE ACAT MDAP MAIS II ≤ III WHEN REQUIRED SOURCE REPORTING PROCEDURE ALTERNATE LFT&E PLAN ● ● ● A DoD Component-approved final draft plan is due 45 calendar days prior to the Development RFP Release decision. The final plan is required at Milestone B or as soon as practicable after program initiation. 10 U.S.C. 2366 (Ref. (g)(h)) Program Manager to DOT&E STATUTORY. Only required for programs on the DOT&E oversight list for LFT&E, list with or requesting a waiver from full-up, system-level testing. CONGRESSIONAL NOTIFICATION OF COMPETITIVE PROTOTYPING WAIVER CONGRESSIONAL NOTIFICATION OF CONDUCTING DT&E WITHOUT AN APPROVED TEMP ● Not later than 30 calendar days after MDA authorization. SEC. 203, P.L. 111-23 (Ref. (an)) Program Manager to MDA to Congress STATUTORY. The MDA may waive the competitive prototyping requirements if: (1) The cost of producing competitive prototypes exceeds the expected life-cycle benefits (in constant dollars) of producing the prototypes, including the benefits of improved performance and increased technological and design maturity that may be achieved through competitive prototyping; or (2) The DoD would be unable to meet critical national security objectives without such a waiver. If waived: (1) The MDA must require that a prototype be produced before Milestone B approval if: (a) The expected life-cycle benefits (in constant dollars) of producing the prototype exceed the cost. (b) Its production is consistent with achieving critical national security objectives. (2) If prototyping of the system is not feasible, the program will produce prototypes for critical subsystems. (3) The MDA must notify the congressional defense committees in writing not later than 30 calendar days after the waiver is authorized. The notification must include the rationale for the waiver and the plan, if any, for producing a prototype. (4) If the basis for the waiver is excessive cost, the MDA must also submit the notification of the waiver, together with the rationale, to the Comptroller General of the U.S. at the same time it is submitted to Congress. ● Notification is required not later than 30 days after any decision is made for a lead DT&E Organization to conduct any developmental T&E activities for the MDAP without an approved TEMP. SEC. 904, P.L. 112-239 (Ref. (l)) Program Manager to USD(AT&L) to Congress STATUTORY. The Program Manager will prepare the notification and submit to USD(AT&L). The notification must include a written explanation of the basis for the decision and a timeline for getting an approved plan in place. A copy of the notification will be provided to DOT&E. Note: A dot (●) in a cell indicates the specific applicability of the requirement to program type. Change 2, 02/02/2017 72 ENCLOSURE 1

DoDI 5000.02, January 7, 2015 Table 6. Exceptions, Waivers, and Alternative Management and Reporting Requirements, Continued INFORMATION REQUIREMENT FOR WAIVER OR EXCEPTION PROGRAM TYPE ACAT MDAP MAIS II ≤ III WHEN REQUIRED SOURCE REPORTING PROCEDURE CONGRESSIONAL NOTIFICATION OF CORE LOGISTICS COMMERCIAL ITEM EXCEPTION ● ● ● ● Due upon determination that the system or equipment is a commercial item. 10 U.S.C. 2464 (Ref. (g)(h)) DAE to Congress STATUTORY. The commercial item exception notice must include the justification for the determination. CONGRESSIONAL NOTIFICATION OF CRITICAL COST BREACH ● STATUTORY. Due within 45 calendar days of a Program Deviation Report 10 U.S.C. 2433 (Ref. (g)(h)) 10 U.S.C. 2433a (Ref. (g)(h)) Service Secretary to Congress CONGRESSIONAL NOTIFICATION OF MAIS CANCELLATION OR SIGNIFICANT REDUCTION IN SCOPE ● Due 60 calendar days prior to an MDA cancellation decision. SEC. 806, P.L. 109-163 (Ref. (aq)) USD(AT&L) to Congress STATUTORY. Provides congressional notification of an MDA decision to cancel or significantly reduce the scope of a fielded or post-Milestone C MAIS program. CONGRESSIONAL NOTIFICATION OF MDA REVISION OF THE ACQUISITION STRATEGY ● ● ● STATUTORY. Notification reports an MDA-directed change to the program or system to the congressional defense committees. 10 U.S.C. 2431a (Ref. (h)) MDA to DAE to Congress CONGRESSIONAL NOTIFICATION OF MDA WAIVER OF PRELIMINARY DESIGN REVIEW (PDR) BEFORE MILESTONE B 10 U.S.C. 2366b REQUIREMENTS Program Manager ● Due no later than 30 calendar days after the waiver is authorized. 10 U.S.C. 2366b (Ref. (g)(h)) to MDA to Congress STATUTORY. The MDA may waive the 10 U.S.C. 2366b, Milestone B certification requirement for PDR before Milestone B any of the 10 U.S.C. 2366b, Milestone B certification and determination requirements before Milestone B (except that the cost benefit analysis for some satellite systems described in subsection (a)(4) in 10 U.S.C. 2366b MAY NOT be waived) if the MDA determines that, but for such a waiver, the DoD would be unable to meet critical national security objectives. If the MDA authorizes a waiver: (1) The waiver, the determination, and the reasons for the determination will be submitted in writing to the congressional defense committees within 30 calendar days after the waiver is authorized. (2) The MDA will review the program not less often than annually to determine the extent to which the program otherwise satisfies the 10 U.S.C. 2366b Milestone B certification and determination components, until such time as the MDA determines that the program satisfies all of the certification and determination components. (3) Any budget request, budget justification material, budget display, reprogramming request, SAR, or other budget documentation or performance report submitted by the Secretary of Defense to the President regarding an MDAP receiving a waiver to 2366b certification will prominently and clearly indicate that such program has not fully satisfied the certification and determination requirements for Milestone B, until such time that the MDA makes a determination that the program has satisfied all such certification and determination requirements. Note: A dot (●) in a cell indicates the specific applicability of the requirement to program type. Change 2, 02/02/2017 73 ENCLOSURE 1

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