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10 U.S.C. § 4201 (ARMED FORCES)
§ 4201. Major defense acquisition programs: definition; exceptions
(a) Definition.—
Except as provided under subsection (b), in this part, the term “major defense acquisition program” means a Department of Defense acquisition program that is not a highly sensitive classified program (as determined by the Secretary of Defense) and—
(1) that is designated by the Secretary of Defense as a major defense acquisition program; or
(2) in the case of a program that is not a program for the acquisition of an automated information system (either a product or a service), that is estimated by the Secretary of Defense to require—
(A) an eventual total expenditure for research, development, test, and evaluation of more than $300,000,000 (based on fiscal year 1990 constant dollars) ; or
(B) an eventual total expenditure for procurement, including all planned increments or spirals, of more than $1,800,000,000 (based on fiscal year 1990 constant dollars).
(b) Exceptions.—
In this part, the term “major defense acquisition program” does not include the following:
(1) An acquisition program or project that is carried out using the rapid fielding or rapid prototyping acquisition pathway under section 804 of the National Defense Authorization Act for Fiscal Year 2016 (Public Law 114–92; 10 U.S.C. 2302 note).
(2) An acquisition program for a defense business system (as defined in section 2222(i)(1) of this title) carried out using the acquisition guidance issued pursuant to section 883(e) of the National Defense Authorization Act for Fiscal Year 2016 (Public Law 114–92; 10 U.S.C. 2223a note).
10 U.S.C. § 4202 (ARMED FORCES)
§ 4202. Authority to increase definitional threshold amounts: major defense acquisition programs; major systems
(a) Adjustments to Thresholds for Major Defense Acquisition Programs.—
(1) Authority.—
The Secretary of Defense may adjust the amounts (and the base fiscal year) provided in section 4201(a)(2) of this title on the basis of Department of Defense escalation rates.
(2) Matters to be considered.—
For purposes of section 4201(a)(2) of this title, the Secretary shall consider, as applicable, the following:
(A) The estimated level of resources required to fulfill the relevant joint military requirement, as determined by the Joint Requirements Oversight Council pursuant to section 181 of this title.
(B) The cost estimate referred to in section 4251(a)(6) of this title.
(C) The cost estimate referred to in section 4252(a)(1)(C) of this title.
(D) The cost estimate within a baseline description as required by section 4214 of this title.
(b) Adjustment Authority for Major Systems.—
(1) Authority.—
The Secretary of Defense may adjust the amounts and the base fiscal year provided in section 3041(c)(1) of this title on the basis of Department of Defense escalation rates.
(2) Rounding.—
An amount, as adjusted under paragraph (1), that is not evenly divisible by $5,000,000 shall be rounded to the nearest multiple of $5,000,000. In the case of an amount that is evenly divisible by $2,500,000 but not evenly divisible by $5,000,000, the amount shall be rounded to the next higher multiple of $5,000,000.
(c) Notification to Congressional Committees.—
An adjustment under subsection (a) or (b) shall be effective after the Secretary transmits to the Committee on Armed Services of the Senate and the Committee on Armed Services of the House of Representatives a written notification of the adjustment.
10 U.S.C. § 4205 (ARMED FORCES)
§ 4205. Weapon systems for which procurement funding requested in budget: development and procurement schedules
(a) The Secretary of Defense shall submit to Congress each calendar year, not later than 45 days after the President submits the budget to Congress under section 1105 of title 31, budget justification documents regarding development and procurement schedules for each weapon system for which fund authorization is required by section 114(a) of this title, and for which any funds for procurement are requested in that budget. The documents shall include data on operational testing and evaluation for each weapon system for which funds for procurement are requested (other than funds requested only for the procurement of units for operational testing and evaluation, or long lead-time items, or both). A weapon system shall also be included in the annual documents required under this subsection in each year thereafter until procurement of that system has been completed or terminated, or the Secretary of Defense certifies, in writing, that such inclusion would not serve any useful purpose and gives his reasons therefor.
(b) Any documents required to be submitted under subsection (a) shall include detailed and summarized information with respect to each weapon system covered and shall specifically include each of the following:
(1) The development schedule, including estimated annual costs until development is completed.
(2) The planned procurement schedule, including the best estimate of the Secretary of Defense of the annual costs and units to be procured until procurement is completed.
(3) To the extent required by the second sentence of subsection (a), the result of all operational testing and evaluation up to the time of the submission of the documents, or, if operational testing and evaluation has not been conducted, a statement of the reasons therefor and the results of such other testing and evaluation as has been conducted.
(4)
(A) The most efficient production rate, the most efficient acquisition rate, and the minimum sustaining rate, consistent with the program priority established for such weapon system by the Secretary concerned.
(B) In this paragraph:
(i) The term “most efficient production rate” means the maximum rate for each budget year at which the weapon system can be produced with existing or planned plant capacity and tooling, with one shift a day running for eight hours a day and five days a week.
(ii) The term “minimum sustaining rate” means the production rate for each budget year that is necessary to keep production lines open while maintaining a base of responsive vendors and suppliers.
(c) In the case of any weapon system for which procurement funds have not been previously requested and for which funds are first requested by the President in any fiscal year after the Budget for that fiscal year has been submitted to Congress, the same documentation requirements shall be applicable to that system in the same manner and to the same extent as if funds had been requested for that system in that budget.
10 U.S.C. § 4212 (ARMED FORCES)
§ 4212. Risk management and mitigation in major defense acquisition programs and major systems
(a) Requirement.—
The Secretary of Defense shall ensure that the initial acquisition strategy (required under section 4211 of this title) approved by the milestone decision authority and any subsequent revisions include the following:
(1) A comprehensive approach for managing and mitigating risk (including technical, cost, and schedule risk) during each of the following periods or when determined appropriate by the milestone decision authority:
(A) The period preceding engineering manufacturing development, or its equivalent.
(B) The period preceding initial production.
(C) The period preceding full-rate production.
(2) An identification of the major sources of risk in each of the periods listed in paragraph (1) to improve programmatic decisionmaking and appropriately minimize and manage program concurrency.
(b) Approach to Manage and Mitigate Risks.—
The comprehensive approach to manage and mitigate risk included in the acquisition strategy for purposes of subsection (a)(1) shall, at a minimum, include consideration of risk mitigation techniques such as the following:
(1) Prototyping (including prototyping at the system, subsystem, or component level and competitive prototyping, where appropriate) and, if prototyping at either the system, subsystem, or component level is not used, an explanation of why it is not appropriate.
(2) Modeling and simulation, the areas that modeling and simulation will assess, and identification of the need for development of any new modeling and simulation tools in order to support the comprehensive strategy.
(3) Technology demonstrations and decision points for disciplined transition of planned technologies into programs or the selection of alternative technologies.
(4) Multiple design approaches.
(5) Alternative designs, including any designs that meet requirements but do so with reduced performance.
(6) Phasing of program activities or related technology development efforts in order to address high-risk areas as early as feasible.
(7) Manufacturability and industrial base availability.
(8) Independent risk element assessments by outside subject matter experts.
(9) Schedule and funding margins for identified risks.
(c) Preference for Prototyping.—
To the maximum extent practicable and consistent with the economical use of available financial resources, the milestone decision authority for each major defense acquisition program shall ensure that the acquisition strategy for the program provides for—
(1) the production of competitive prototypes at the system or subsystem level before Milestone B approval; or
(2) if the production of competitive prototypes is not practicable, the production of single prototypes at the system or subsystem level.
(d) Concurrency Defined.—
In this section, the term “concurrency” means, with respect to an acquisition strategy, the combination or overlap of program phases or activities.
10 U.S.C. § 4231 (ARMED FORCES)
§ 4231. Major systems: determination of quantity for low-rate initial production
(a) Determination of Quantities To Be Procured for Low-Rate Initial Production.—
(1) In the course of the development of a major system, the determination of what quantity of articles of that system should be procured for low-rate initial production (including the quantity to be procured for preproduction verification articles) shall be made—
(A) when the milestone B decision with respect to that system is made; and
(B) by the official of the Department of Defense who makes that decision.
(2) In this section, the term “milestone B decision” means the decision to approve the system development and demonstration of a major system by the official of the Department of Defense designated to have the authority to make that decision.
(3) Any increase from a quantity determined under paragraph (1) may only be made with the approval of the official making the determination.
(4) The quantity of articles of a major system that may be procured for low-rate initial production may not be less than one operationally configured production unit unless another quantity is established at the milestone B decision.
(5) The Secretary of Defense shall include a statement of the quantity determined under paragraph (1) in the first SAR submitted with respect to the program concerned after that quantity is determined. If the quantity exceeds 10 percent of the total number of articles to be produced, as determined at the milestone B decision with respect to that system, the Secretary shall include in the statement the reasons for such quantity. For purposes of this paragraph, the term “SAR” means a Selected Acquisition Report submitted under sections 4351 through 4358 of this title.
(b) Low-Rate Initial Production of Weapon Systems.—
Except as provided in subsection (c), low-rate initial production with respect to a new system is production of the system in the minimum quantity necessary—
(1) to provide production-configured or representative articles for operational tests pursuant to section 4171 of this title;
(2) to establish an initial production base for the system; and
(3) to permit an orderly increase in the production rate for the system sufficient to lead to full-rate production upon the successful completion of operational testing.
(c) Low-Rate Initial Production of Naval Vessel and Satellite Programs.—
With respect to naval vessel programs and military satellite programs, low-rate initial production is production of items at the minimum quantity and rate that (1) preserves the mobilization production base for that system, and (2) is feasible, as determined pursuant to regulations prescribed by the Secretary of Defense.
10 U.S.C. § 4232 (ARMED FORCES)
§ 4232. Prohibition on use of lowest price technically acceptable source selection process
(a) In General.—
The Department of Defense shall not use a lowest price technically acceptable source selection process for the engineering and manufacturing development contract of a major defense acquisition program.
(b) Definitions.—
In this section:
(1) Lowest price technically acceptable source selection process.—
The term “lowest price technically acceptable source selection process” has the meaning given that term in part 15 of the Federal Acquisition Regulation.
(2) Engineering and manufacturing development contract.—
The term “engineering and manufacturing development contract” means a prime contract for the engineering and manufacturing development of a major defense acquisition program.
10 U.S.C. § 4236 (ARMED FORCES)
§ 4236. Negotiation of price for technical data before development, production, or sustainment of major weapon systems
The Secretary of Defense shall ensure, to the maximum extent practicable, that the Department of Defense, before selecting a contractor for the engineering and manufacturing development of a major weapon system, production of a major weapon system, or sustainment of a major weapon system, negotiates a price for technical data to be delivered under a contract for such development, production, or sustainment.
10 U.S.C. § 4253 (ARMED FORCES)
§ 4253. Major defense acquisition programs: submissions to Congress on Milestone C
(a) Brief Summary Report.—
Not later than 15 days after granting Milestone C approval for a major defense acquisition program, the milestone decision authority for the program shall provide to the congressional defense committees and, in the case of intelligence or intelligence-related activities, the congressional intelligence committees a brief summary report that contains the following:
(1) The estimated cost and schedule for the program established by the military department concerned, including—
(A) the dollar values estimated for the program acquisition unit cost, average procurement unit cost, and total life-cycle cost; and
(B) the planned dates for initial operational test and evaluation and initial operational capability.
(2) The independent estimated cost for the program established pursuant to section 3221(b)(6) of this title, and any independent estimated schedule for the program, including—
(A) the dollar values estimated for the program acquisition unit cost, average procurement unit cost, and total life-cycle cost; and
(B) the planned dates for initial operational test and evaluation and initial operational capability.
(3) A summary of any production, manufacturing, and fielding risks associated with the program.
(4) An assessment of the sufficiency of the developmental test and evaluation completed, including the use of automated data analytics or modeling and simulation tools and methodologies.
(b) Additional Information.—
At the request of any of the congressional defense committees or, in the case of intelligence or intelligence-related activities, the congressional intelligence committees, the milestone decision authority shall submit to the committee further information or underlying documentation for the information in a brief summary report submitted under subsection (a), including the independent cost and schedule estimates and the independent technical risk assessments referred to in that subsection.
(c) Congressional Intelligence Committees Defined.—
In this section, the term “congressional intelligence committees” has the meaning given that term in section 437(c) of this title.
10 U.S.C. § 4271 (ARMED FORCES)
§ 4271. Program cost, fielding, and performance goals in planning major defense acquisition programs
(a) Program Cost and Fielding Targets.—
(1) Before funds are obligated for technology development, systems development, or production of a major defense acquisition program, the designated milestone decision authority for the program shall ensure, by establishing the goals described in paragraph (2), that the program will—
(A) be affordable;
(B) incorporate program planning that anticipates the evolution of capabilities to meet changing threats, technology insertion, and interoperability; and
(C) be fielded when needed.
(2) The goals described in this paragraph are goals for—
(A) the procurement unit cost and sustainment cost (referred to in this section as the “program cost targets”);
(B) the date for initial operational capability (referred to in this section as the “fielding target”); and
(C) technology maturation, prototyping, and a modular open system approach to evolve system capabilities and improve interoperability.
(b) Definitions.—
In this section:
(1) The term “procurement unit cost” has the meaning provided in section 4351(2) of this title.
(2) The term “initial capabilities document” has the meaning provided in section 4251(d)(1) of this title.
10 U.S.C. § 4272 (ARMED FORCES)
§ 4272. Independent technical risk assessments
(a) In General.—
With respect to a major defense acquisition program, the Secretary of Defense shall conduct or approve independent technical risk assessments—
(1) before any decision to grant Milestone A approval for the program pursuant to section 4251 of this title, that identifies critical technologies and manufacturing processes that need to be matured; and
(2) before any decision to grant Milestone B approval for the program pursuant to section 4252 of this title, any decision to enter into low-rate initial production or full-rate production, or at any other time considered appropriate by the Secretary, that includes the identification of any critical technologies or manufacturing processes that have not been successfully demonstrated in a relevant environment.
(b) Guidance.—
The Secretary shall issue guidance and a framework for the conduct, execution, and approval of independent technical risk assessments.
10 U.S.C. § 4274 (ARMED FORCES)
§ 4274. Acquisition-related functions of chiefs of the armed forces: adherence to requirements in major defense acquisition programs
(a) Role of Service Chiefs in Program Capability Document Approval.—
The Secretary of the military department concerned shall ensure that the program capability document supporting a Milestone B or subsequent decision for a major defense acquisition program may not be approved until the chief of the armed force concerned determines in writing that the requirements in the document are necessary and realistic in relation to the program cost and fielding targets established under 4271(a) 1 of this title.
(b) Role of Service Chiefs in Material Development Decision and Acquisition System Milestones.—
Consistent with the performance of duties under section 3053 of this title, the Chief of the armed force concerned, or in the case of a joint program the chiefs of the armed forces concerned, with respect to major defense acquisition programs, shall—
(1) concur with the need for a materiel solution as identified in the Materiel Development Decision Review prior to entry into the Materiel Solution Analysis Phase under Department of Defense Instruction 5000.02;
(2) concur with the cost, schedule, technical feasibility, and performance trade-offs that have been made with regard to the program before Milestone A approval is granted under section 4251 of this title;
(3) concur that appropriate trade-offs among cost, schedule, technical feasibility, and performance objectives have been made to ensure that the program is affordable when considering the per unit cost and the total life-cycle cost before Milestone B approval is granted under section 4252 of this title; and
(4) concur that the requirements in the program capability document are necessary and realistic in relation to program cost and fielding targets as required by paragraph (1) before Milestone C approval is granted.
(c) Rule of Construction.—
Nothing in this section shall be construed to affect the assignment of functions under section 7014(c)(1)(A), section 8014(c)(1)(A), or section 9014(c)(1)(A) of this title, except as explicitly provided in this section.
(d) Program Capability Document Defined.—
In this section, the term “program capability document” has the meaning provided that term in section 4401(b)(5) of this title.
10 U.S.C. § 4292 (ARMED FORCES)
§ 4292. Contracts: limitations on lead system integrators
(a) In General.—
Except as provided in subsection (b), no entity performing lead system integrator functions in the acquisition of a major system by the Department of Defense may have any direct financial interest in the development or construction of any individual system or element of any system of systems.
(b) Exception.—
An entity described in subsection (a) may have a direct financial interest in the development or construction of an individual system or element of a system of systems if—
(1) the Secretary of Defense certifies to the Committees on Armed Services of the Senate and the House of Representatives that—
(A) the entity was selected by the Department of Defense as a contractor to develop or construct the system or element concerned through the use of competitive procedures; and
(B) the Department took appropriate steps to prevent any organizational conflict of interest in the selection process; or
(2) the entity was selected by a subcontractor to serve as a lower-tier subcontractor, through a process over which the entity exercised no control.
(c) Construction.—
Nothing in this section shall be construed to preclude an entity described in subsection (a) from performing work necessary to integrate two or more individual systems or elements of a system of systems with each other.
10 U.S.C. § 4293 (ARMED FORCES)
§ 4293. Major defense acquisition programs: incentive program for contractors to purchase capital assets manufactured in United States
(a) Establishment of Incentive Program.—
The Secretary of Defense shall plan and establish an incentive program in accordance with this section for contractors to purchase capital assets manufactured in the United States in part with funds available to the Department of Defense.
(b) Defense Industrial Capabilities Fund May Be Used.—
The Secretary of Defense may use the Defense Industrial Capabilities Fund, established under section 814 of the National Defense Authorization Act for Fiscal Year 2004, for incentive payments under the program established under this section.
(c) Applicability to Major Defense Acquisition Program Contracts.—
The incentive program shall apply to contracts for the procurement of a major defense acquisition program.
(d) Consideration.—
The Secretary of Defense shall provide consideration in source selection in any request for proposals for a major defense acquisition program for offerors with eligible capital assets.