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Department of Defense INSTRUCTION

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DoDI 5000.02, January 7,

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 SIGNIFICANT COST BREACH ● STATUTORY. Due within 45 calendar days of a Program Deviation Report 10 U.S.C. 2433 (Ref. (g)(h)) Service Secretary to Congress COST-TYPE DEVELOPMENT CONTRACT DETERMINATION COST-TYPE PRODUCTION CONTRACT CERTIFICATION ● Due at the Development RFP Release Decision Point upon MDA conditional approval of a cost type contract selected for a development program. SEC. 818, P.L. 109-364 (Ref. (k)) MDA Written Determination STATUTORY. The MDA may authorize the use of a cost-type contract for a development program only upon a written determination that: (1) the program is so complex and technically challenging that it would not be practicable to reduce program risk to a level that would permit the use of a fixed-price contract; and (2) the complexity and technical challenge of the program are not the result of a failure to meet the requirements of 10 U.S.C. 2366b (Reference (g)(h)). The MDA’s written determination will include an explanation of the level of program risk, and, if the MDA determines that the program risk is high, the steps that have been taken to reduce program risk and the reasons for proceeding with Milestone B approval despite the high level of program risk. In considering program risk to determine whether a cost or fixed price engineering and manufacturing development contract meets the statutory requirement, the MDA will consider the following: the firmness of the capability requirements and maturity of the technology required; the experience level of potential offerors; and the capacity of industry to absorb potential overruns and the business case for industry to do so. ● Applicable to contracts for the production of MDAPs: • Entered into, on, or after October 1, 2014, and for which • The USD(AT&L) has granted an exception to the prohibition against using a cost-type contract for MDAP production. SEC. 811, P.L. 112-239 (Ref. (l)) USD(AT&L) to Congress STATUTORY. The USD(AT&L) may only grant the exception: (1) in the case of a particular cost-type contract; (2) if the USD(AT&L) provides written certification to the congressional defense committees that a cost-type contract is needed to provide a required capability in a timely and cost-effective manner; (3) the USD(AT&L) takes affirmative steps to make sure that the use of cost-type pricing is limited to only those line items or portions of the contract where such pricing is needed to achieve the purposes of the exception; and, (4) an explanation of the steps identified under clause (3), accompanies the written certification under clause (2). Note: A dot (●) in a cell indicates the specific applicability of the requirement to program type. Change 2, 02/02/2017 76 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 DT&E EXCEPTION REPORTING LEAD SYSTEM INTEGRATOR EXCEPTION CERTIFICATION LFT&E WAIVER FROM FULL-UP, SYSTEM-LEVEL TESTING MAIS CRITICAL CHANGE REPORT AND CERTIFICATION MAIS SIGNIFICANT CHANGE NOTIFICATION ● Case 1: When an MDAP proceeds with implementing a TEMP that includes a developmental test plan disapproved by DASD(DT&E). Case 2: When an MDAP proceeds to IOT&E following an assessment by DASD(DT&E) that the program is not ready for operational testing. SEC. 904, P.L. 112-239 (Ref. (l)) Program Manager to USD(AT&L) to Congress STATUTORY • The report due for Case 1 must include a description of the specific aspects of the DT&E plan determined to be inadequate; an explanation of why the program disregarded the DASD(DT&E)’s recommendations; and identification of the steps taken to address the concerns of the DASD(DT&E). • The report due for Case 2 must include an explanation of why the program proceeded to IOT&E despite the DASD(DT&E) findings; a description of the aspects of the TEMP that had to be set aside to enable the program to proceed to IOT&E; a description of how the program addressed the specific areas of concern raised in the assessment of operational test readiness; and a statement of whether IOT&E identified any significant shortcomings in the program. • The USD(AT&L) will compile all such exception reports and annually, not later than 60 days after the end of each fiscal year through 2018, submit a report on each case to the congressional defense committees. ● ● ● Due if the MDA grants an exception. 10 U.S.C. 2410p (Ref. (g)(h)) DAE to Congress STATUTORY. Satisfies the statutory restrictions applicable to exceptional use of a lead systems integrator (see paragraph 5d(9)(g)1 of this instruction for additional discussion). ● ● ● Due at Milestone B or as soon as practicable after program initiation. 10 U.S.C. 2366 (Ref. (g)(h)) DAE to Congress STATUTORY. Only required for programs on the DOT&E Oversight List for LFT&E that are requesting a waiver from full-up, system-level testing. ● Not later than 60 calendar days after a MAIS Quarterly Report indicating a critical change is due to the Senior Official. 10 U.S.C. 2445c (Ref. (g)(h)) Senior Official through OSD to Congress STATUTORY. When the Senior Official is not an individual within OSD, the Critical Change Report will be signed by the Senior Official and provided to the cognizant OSD official for transmittal to Congress. The signed Critical Change Report should be provided to the appropriate OSD official with draft transmittal letters addressed to the congressional defense committees no later than 5 working days before expiration of the 60-day period. ● Not later than 45 calendar days after a MAIS Quarterly Report indicating a significant change is due to the Senior Official. 10 U.S.C. 2445c (Ref. (g)(h)) Senior Official to Congress STATUTORY. The notification must be coordinated with the USD(AT&L), the Deputy Chief Management Officer, or the DoD CIO, as appropriate, before sending to Congress. Note: A dot (●) in a cell indicates the specific applicability of the requirement to program type. Change 2, 02/02/2017 77 ENCLOSURE 1

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