DoD 5000.2-R - Mandatory Procedures for Major Defense ...

1 DoD Mandatory Procedures FOR Major Defense acquisition PROGRAMS (MDAPS) AND Major automated information system (MAIS) acquisition PROGRAMS April 5, 2002 Office of Under Secretary of Defense ( acquisition , Technology, and Logistics) Office of Assistant Secretary of Defense (Command, Control, Communications, and Intelligence) Office of Director, Operational Test and Evaluation DoD , April 5, 2002 FOREWORD This Regulation is issued under the authority of DoD Instruction , Operation of the Defense acquisition system , April 5, 2002 (reference (a)), and is effective immediately.

2 This Regulation sets forth Mandatory Procedures for Major Defense acquisition Programs (MDAPs) and Major automated information system (MAIS) acquisition programs and, specifically where stated, for other than MDAPs or MAIS acquisition programs; serves as a general model for other than MDAPs or MAIS acquisition programs to include highly sensitive classified, cryptologic, and intelligence programs; implements reference (a), the guidelines of Office of Management and Budget (OMB) Circular A-11 (reference (b)), and current statutes; and contains formats to be used to prepare various milestone documentation, periodic in-phase status reports, and statutory certifications.

3 This Regulation applies to the Office of the Secretary of Defense , the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense , the Defense Agencies, the DoD Field Activities, and all other organizational entities within the Department of Defense (hereafter collectively referred to as "the DoD Components"). No DoD Component shall supplement this Regulation. DoD Component officials shall keep the issuance of implementing documents to a minimum, and provide copies of all such issuances to the Under Secretary of Defense ( acquisition , Technology, and Logistics) (USD(AT&L)) prior to publication.

4 DoD Component acquisition Executives (CAEs) shall submit waivers or other requests for exceptions to the provisions of this Regulation to USD(AT&L), the Director, Operational Test & Evaluation (DOT&E), or the Assistant Secretary of Defense (Command, Control, Communications, and Intelligence) (ASD(C3I))/DoD Chief information Officer (CIO), as appropriate. Signatories shall not waive statutory requirements except in compliance with, and unless, statute specifically allows such waiver. The DoD Components shall forward copies of proposed policy memoranda affecting or related to individual sections of this Regulation to the Defense acquisition Policy Steering Group (DAPSG) Executive Secretary prior to Department-wide staffing of the change.

5 This policy shall not imply approval authority on the part of the Executive Secretary. Milestone Decision Authorities (MDAs) for other than MDAPs or MAIS acquisition programs shall promulgate Mandatory Procedures for those programs, unless the CAE has already promulgated such Procedures . These Procedures shall not exceed the requirements for MDAPs and MAIS acquisition programs established in this 2 DoD , April 5, 2002 Unless otherwise directed by the MDA, neither the DoD Components nor program managers (PMs) shall update program documentation prepared in compliance with the requirements of the former DoD (canceled and reissued as DoD Instruction (reference (a)) and this Regulation), as of the date of signature of this Regulation, solely to satisfy the requirements of this Regulation.

6 The DAPSG shall receive and consider proposals for, and, as necessary, generate changes to this Regulation. The DAPSG shall submit proposed changes to USD(AT&L), DOT&E, and ASD(C3I)/DoD CIO, who have the sole authority to change this Regulation. All three officials shall jointly sign changes. The Director, acquisition Resources and Analysis shall maintain administrative control of this Regulation and shall publish all signed changes. Send recommended changes to: Under Secretary of Defense ( acquisition , Technology, and Logistics) ATTN: Director, acquisition Resources and Analysis 3000 Defense Pentagon Washington, DC 20301-3000 The DoD Components may obtain copies of this Regulation through their own publication channels.

7 Other Federal Agencies and the public may obtain copies from the Department of Commerce, National Technical information Service, 5285 Port Royal Road, Springfield VA 22151. Under Secretary of Defense ( acquisition , Technology, and Logistics) Assistant Secretary of Defense (Command, Control, Communications, and Intelligence) Director, Operational Test and Evaluation FOREWORD 3 DoD , April 5, 2002 TABLE OF CONTENTS FOREWORD 2 TABLE OF CONTENTS 4 FIGURES 8 REFERENCES 9 AL1.

8 ACRONYM LIST 15 C1. CHAPTER 1 PROGRAM GOALS 19 GOALS 19 THRESHOLDS AND OBJECTIVES 19 COST AS AN INDEPENDENT VARIABLE (CAIV) 20 acquisition PROGRAM BASELINE (APB) 21 CLINGER-COHEN ACT COMPLIANCE 24 C2. CHAPTER 2 acquisition STRATEGY 25 GENERAL CONSIDERATIONS FOR THE acquisition STRATEGY 25 REQUIREMENTS 25 PROGRAM STRUCTURE 26 acquisition APPROACH 26 RISK 27 PROGRAM MANAGEMENT 27 DESIGN CONSIDERATIONS AFFECTING THE acquisition STRATEGY 32 SUPPORT STRATEGY 34 TABLE OF CONTENTS 4 DoD , April 5, 2002 BUSINESS STRATEGY 40 C3. CHAPTER 3 TEST AND EVALUATION 52 TEST AND EVALUATION (T&E) OVERVIEW 52 T&E STRATEGY 52 ANNUAL OSD T&E OVERSIGHT LIST 56 DEVELOPMENTAL TEST AND EVALUATION (DT&E) 56 CERTIFICATION OF READINESS FOR OPERATIONAL TEST & EVALUATION (OT&E) 57 OPERATIONAL TEST & EVALUATION (OT&E) 58 ANTI-TAMPER VERIFICATION TESTING 62 LIVE FIRE TEST AND EVALUATION (LFT&E) 62 MODELING AND SIMULATION (M&S) 64 FOREIGN COMPARATIVE TESTING (FCT) 64 T&E REPORTING 64 C4.

9 CHAPTER 4 LIFE-CYCLE RESOURCE ESTIMATES 68 GENERAL 68 ANALYSIS OF MULTIPLE CONCEPTS 68 ANALYSIS OF ALTERNATIVES 68 AFFORDABILITY 70 RESOURCE ESTIMATES 71 C5. CHAPTER 5 PROGRAM DESIGN 76 INTEGRATED PRODUCT AND PROCESS DEVELOPMENT (IPPD) 76 TABLE OF CONTENTS 5 DoD , April 5, 2002 SYSTEMS ENGINEERING 76 OTHER DESIGN CONSIDERATIONS 97 C6. CHAPTER 6 information SUPERIORITY 101 GENERAL 101 INTELLIGENCE SUPPORT 101 information INTEROPERABILITY 102 COMMAND, CONTROL, COMMUNICATIONS, COMPUTERS, AND INTELLIGENCE SUPPORT 103 ELECTROMAGNETIC ENVIRONMENTAL EFFECTS (E3) AND SPECTRUM SUPPORTABILITY 104 information ASSURANCE 105 TECHNOLOGY PROTECTION 105 IT REGISTRATION 108 C7.

10 CHAPTER 7 PROGRAM DECISIONS, ASSESSMENTS, AND PERIODIC REPORTING 110 PURPOSE 110 DECISION POINTS 110 EXECUTIVE REVIEW Procedures 111 EXIT CRITERIA 112 TECHNOLOGY MATURITY 113 INTEGRATED PRODUCT TEAMS (IPTS) IN THE OVERSIGHT AND REVIEW PROCESS 114 PROGRAM information 118 LIFE-CYCLE MANAGEMENT OF information 118 TABLE OF CONTENTS 6 DoD , April 5, 2002 JOINT REQUIREMENTS OVERSIGHT COUNCIL (JROC) 118 JOINT PROGRAM MANAGEMENT 119 INTERNATIONAL COOPERATIVE PROGRAM MANAGEMENT 121 COST ANALYSIS IMPROVEMENT GROUP (CAIG)