10 U.S.C. § 4273 — Performance assessments and root cause

Page 2727 TITLE 10—ARMED FORCES § 4273 tion, and approval of independent technical risk assessments. (Added Pub. L. 114–328, div. A, title VIII, § 807(a)(1), Dec. 23, 2016, 130 Stat. 2261, § 2448b; amended Pub. L. 116–92, div. A, title IX, § 902(73), Dec. 20, 2019, 133 Stat. 1552; renumbered § 4272 and amended Pub. L. 116–283, div. A, title XVIII, § 1847(e)(2), Jan. 1, 2021, 134 Stat. 4256; Pub. L. 118–159, div. A, title VIII, § 806(b)(1), Dec. 23, 2024, 138 Stat. 1974.) Editorial Notes AMENDMENTS 2024—Subsec. (a). Pub. L. 118–159 struck out dash after ‘‘risk assessments’’ and par. (2) designation before ‘‘be- fore any decision’’ and struck out par. (1) which read as follows: ‘‘before any decision to grant Milestone A ap- proval for the program pursuant to section 4251 of this title, that identifies critical technologies and manufac- turing processes that need to be matured; and’’. 2021—Pub. L. 116–283, § 1847(e)(2), renumbered section 2448b of this title as this section. Subsec. (a)(1). Pub. L. 116–283, § 1847(e)(2)(A), sub- stituted ‘‘section 4251’’ for ‘‘section 2366a’’. Subsec. (a)(2). Pub. L. 116–283, § 1847(e)(2)(B), sub- stituted ‘‘section 4252’’ for ‘‘section 2366b’’. 2019—Pub. L. 116–92 added subsecs. (a) and (b) and struck out former subsecs. (a) and (b) which read as fol- lows: ‘‘(a) IN GENERAL.—With respect to a major defense ac- quisition program, the Secretary of Defense shall en- sure that an independent technical risk assessment is conducted— ‘‘(1) before any decision to grant Milestone A ap- proval for the program pursuant to section 2366a of this title, that identifies critical technologies and manufacturing processes that need to be matured; and ‘‘(2) before any decision to grant Milestone B ap- proval for the program pursuant to section 2366b 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 tech- nologies or manufacturing processes that have not been successfully demonstrated in a relevant environ- ment. ‘‘(b) CATEGORIZATION OF TECHNICAL RISK LEVELS.— The Secretary shall issue guidance and a framework for categorizing the degree of technical and manufacturing risk in a major defense acquisition program.’’ Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2021 AMENDMENT Amendment by Pub. L. 116–283 effective Jan. 1, 2022, with additional provisions for delayed implementation and applicability of existing law, see section 1801(d) of Pub. L. 116–283, set out as a note preceding section 3001 of this title. EFFECTIVE DATE Section applicable with respect to major defense ac- quisition programs that reach Milestone A after Oct. 1, 2017, see section 807(a)(2) of Pub. L. 114–328, set out as a note under section 4271 of this title. § 4273. Performance assessments and root cause analyses (a) DESIGNATION OF SENIOR OFFICIAL RESPONSI- BILITY FOR PERFORMANCE ASSESSMENTS AND ROOT CAUSE ANALYSES.— (1) IN GENERAL.—The Secretary of Defense shall designate a senior official in the Office of the Secretary of Defense as the principal offi- cial of the Department of Defense responsible for conducting and overseeing performance as- sessments and root cause analyses for major defense acquisition programs. (2) NO PROGRAM EXECUTION RESPONSIBILITY.— The Secretary shall ensure that the senior of- ficial designated under paragraph (1) is not re- sponsible for program execution. (3) STAFF AND RESOURCES.—The Secretary shall assign to the senior official designated under paragraph (1) appropriate staff and re- sources necessary to carry out the senior offi- cial’s function under this section. (b) RESPONSIBILITIES.—The senior official des- ignated under subsection (a) shall be responsible for the following: (1) Carrying out performance assessments of major defense acquisition programs in accord- ance with the requirements of subsection (c) periodically or when requested by the Sec- retary of Defense, the Under Secretary of De- fense for Acquisition and Sustainment, the Secretary of a military department, or the head of a Defense Agency. (2) Conducting root cause analyses for major defense acquisition programs in accordance with the requirements of subsection (d) when required by section 4376(a)(1) of this title, or when requested by the Secretary of Defense, the Under Secretary of Defense for Acquisition and Sustainment, the Secretary of a military department, or the head of a Defense Agency. (3) Issuing policies, procedures, and guidance governing the conduct of performance assess- ments and root cause analyses by the military departments and the Defense Agencies. (4) Evaluating the utility of performance metrics used to measure the cost, schedule, and performance of major defense acquisition programs, and making such recommendations to the Secretary of Defense as the official con- siders appropriate to improve such metrics. (5) Advising acquisition officials on perform- ance issues regarding a major defense acquisi- tion program that may arise— (A) before certification under sections 4376 and 4377 of this title; (B) before entry into full-rate production; or (C) in the course of consideration of any decision to request authorization of a multiyear procurement contract for the pro- gram. (c) PERFORMANCE ASSESSMENTS.—For purposes of this section, a performance assessment with respect to a major defense acquisition program is an evaluation of the following: (1) The cost, schedule, and performance of the program, relative to current metrics, in- cluding performance requirements and base- line descriptions. (2) The extent to which the level of program cost, schedule, and performance predicted rel- ative to such metrics is likely to result in the timely delivery of a level of capability to the warfighter that is consistent with the level of resources to be expended and provides superior value to alternative approaches that may be available to meet the same military require- ment. Page 2728 TITLE 10—ARMED FORCES [§ 4274 (d) ROOT CAUSE ANALYSES.—For purposes of this section and sections 4376 and 4377 of this title, a root cause analysis with respect to a major defense acquisition program is an assess- ment of the underlying cause or causes of short- comings in cost, schedule, or performance of the program, including the role, if any, of— (1) unrealistic performance expectations; (2) unrealistic baseline estimates for cost or schedule; (3) immature technologies or excessive man- ufacturing or integration risk; (4) unanticipated design, engineering, manu- facturing, or technology integration issues arising during program performance; (5) changes in procurement quantities; (6) inadequate program funding or funding instability; (7) poor performance by government or con- tractor personnel responsible for program management; or (8) any other matters. (e) SUPPORT OF APPLICABLE CAPABILITIES AND EXPERTISE.—The Secretary of Defense shall en- sure that the senior official designated under subsection (a) has the support of other Depart- ment of Defense officials with relevant capabili- ties and expertise needed to carry out the re- quirements of this section. (Added and amended Pub. L. 111–383, div. A, title IX, § 901(d), (k)(1)(F), Jan. 7, 2011, 124 Stat. 4321, 4325, § 2438; Pub. L. 112–239, div. A, title X, § 1076(f)(27), Jan. 2, 2013, 126 Stat. 1953; Pub. L. 114–92, div. A, title X, § 1077(b), Nov. 25, 2015, 129 Stat. 998; Pub. L. 116–92, div. A, title IX, § 902(72), Dec. 20, 2019, 133 Stat. 1551; renumbered § 4273 and amended Pub. L. 116–283, div. A, title XVIII, § 1847(e)(3), Jan. 1, 2021, 134 Stat. 4256; Pub. L. 117–81, div. A, title XVII, § 1701(b)(16)(B), Dec. 27, 2021, 135 Stat. 2134; Pub. L. 118–31, div. A, title XVIII, § 1801(a)(34), Dec. 22, 2023, 137 Stat. 685; Pub. L. 118–159, div. A, title XVII, § 1701(a)(44), Dec. 23, 2024, 138 Stat. 2206.) Editorial Notes CODIFICATION Section 103 of Pub. L. 111–23, formerly set out as a note under section 2430 of this title, which was trans- ferred to chapter 144 of this title, renumbered as sec- tion 2438, and amended by Pub. L. 111–383, § 901(d), (k)(1)(F), and subsequently renumbered as this section and amended by Pub. L. 116–283, § 1847(e)(3), was based on Pub. L. 111–23, title I, § 103, May 22, 2009, 123 Stat. 1715. AMENDMENTS 2024—Subsec. (d). Pub. L. 118–159 substituted ‘‘4376’’ for ‘‘4736’’. 2023—Subsec. (b)(5)(A). Pub. L. 118–31 substituted ‘‘sections 4376’’ for ‘‘sections 4736’’. 2021—Pub. L. 116–283, § 1847(e)(3), renumbered section 2438 of this title as this section. Subsec. (b)(2). Pub. L. 116–283, § 1847(e)(3)(A), as amended by Pub. L. 117–81, § 1701(b)(16)(B), substituted ‘‘section 4376(a)(1)’’ for ‘‘section 2433a(a)(1)’’. Subsec. (b)(5)(A). Pub. L. 116–283, § 1847(e)(3)(B), sub- stituted ‘‘sections 4736 and 4377’’ for ‘‘section 2433a’’. Subsec. (d). Pub. L. 116–283, § 1847(e)(3)(B), substituted ‘‘sections 4736 and 4377’’ for ‘‘section 2433a’’ in introduc- tory provisions. 2019—Subsec. (b)(1), (2). Pub. L. 116–92 substituted ‘‘Under Secretary of Defense for Acquisition and Sustainment’’ for ‘‘Under Secretary of Defense for Ac- quisition, Technology and Logistics’’. 2015—Subsec. (f). Pub. L. 114–92 struck out subsec. (f) which related to annual report. 2013—Subsec. (a)(3). Pub. L. 112–239 inserted ‘‘the sen- ior’’ before ‘‘official’s’’. 2011—Pub. L. 111–383, § 901(k)(1)(F), substituted ‘‘Per- formance assessments and root cause analyses’’ for ‘‘PERFORMANCE ASSESSMENTS AND ROOT CAUSE ANALYSES FOR MAJOR DEFENSE ACQUISITION PROGRAMS’’ in section catchline. Pub. L. 111–383, § 901(d), transferred section 103 of Pub. L. 111–23 to this chapter and renumbered it as this sec- tion. See Codification note above. Subsec. (b)(2). Pub. L. 111–383, § 901(d)(1), substituted ‘‘section 2433a(a)(1) of this title’’ for ‘‘section 2433a(a)(1) of title 10, United States Code (as added by section 206(a) of this Act)’’. Subsec. (b)(5)(A). Pub. L. 111–383, § 901(d)(2), sub- stituted ‘‘before’’ for ‘‘prior to’’ and ‘‘section 2433a of this title’’ for ‘‘section 2433a of title 10, United States Code (as so added)’’. Subsec. (b)(5)(B). Pub. L. 111–383, § 901(d)(2)(B), sub- stituted ‘‘before’’ for ‘‘prior to’’. Subsec. (d). Pub. L. 111–383, § 901(d)(3), substituted ‘‘section 2433a of this title’’ for ‘‘section 2433a of title 10, United States Code (as so added)’’ in introductory provisions. Subsec. (f). Pub. L. 111–383, § 901(d)(4), struck out ‘‘be- ginning in 2010,’’ after ‘‘each year,’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2021 AMENDMENT Amendment by Pub. L. 117–81 applicable as if in- cluded in the enactment of title XVIII of Pub. L. 116–283 as enacted, see section 1701(a)(2) of Pub. L. 117–81, set out in a note preceding section 3001 of this title and note below. Amendment by Pub. L. 116–283 effective Jan. 1, 2022, with additional provisions for delayed implementation and applicability of existing law, see section 1801(d) of Pub. L. 116–283, set out as a note preceding section 3001 of this title. EFFECTIVE DATE Amendment by Pub. L. 111–383 effective Jan. 1, 2011, see section 901(p) of Pub. L. 111–383, set out as an Effec- tive Date of 2011 Amendment note under section 131 of this title. [§ 4274. Omitted] Editorial Notes CODIFICATION Pub. L. 116–283, div. A, title XVIII, § 1847(e)(4), (5), Jan. 1, 2021, 134 Stat. 4256, 4257, enacted this section, transferred subsec. (b) of section 2547 of this title to this section, and made additional amendments, which were all to become effective Jan. 1, 2022. Subsequently, Pub. L. 117–81, div. A, title XVII, § 1701(r)(1)(B), Dec. 27, 2021, 135 Stat. 2149, repealed section 1847(e)(4), (5) of Pub. L. 116–283, effective as if included therein, thereby omitting this section and eliminating the amendments before they took effect. SUBCHAPTER V—CONTRACTORS Sec. 4291. [Reserved]. 4292. Contracts: limitations on lead system inte- grators. 4293. Major defense acquisition programs: incen- tive program for contractors to purchase capital assets manufactured in United States.