dd1692-Instruction.pdf

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DD FORM 1692 (REV APR 2016) Page 1 INST

PREVIOUS EDITIONS ARE OBSOLETE

Page of

INSTRUCTIONS FOR PREPARATION OF

ENGINEERING CHANGE PROPOSALS UTILIZING DD FORM 1692

GENERAL

SCOPE. This instruction establishes uniform requirements for the preparation of DD Form 1692, “Engineering Change Proposal (ECP)”.

The information contained herein is intended for compliance.

APPLICATION. The provisions of DD Form 1692 apply when requesting an ECP.

APPLICABLE DOCUMENTS. DI-SESS-80639

GENERAL REQUIREMENTS. Use of DD Form 1692. Prepare and submit DD Form 1692 or an Acquirer authorized alternative to request engineering changes to approved product configurations. Failure to complete all applicable fields may result in rejection from the Configuration Approval Authority.

DETAILED REQUIREMENTS. Detailed instructions for completion of DD Form 1692. Page 1 is required for all ECP submittals. ECP Pages 2 through 7 are generally required when ECPs are classified as Major and when needed to fully describe the change and change impacts.

Block 1. Date Prepared. Enter the submittal, preparation, or revision date of the ECP in the format DD-Mon-YYYY (for example, 01-Jan-2014).

Revised ECPs are to have the date of the revision entered.

Block 2. ECP Number. Enter the ECP unique identifier tracking number and, if needed, a revision indicator.

Block 2a. ECP Revision. Revisions are to be identified in sequence from the original issuance of the ECP as in "R1", "R2", "R3", etc. The Acquirer submission date is the date of the revised ECP.

Major revisions to an ECP are to be completely revised and resubmitted as a separate package.

Minor revisions to an ECP (such as those that correct errors, add or delete information, update pricing, or provide clarification) may be made by attaching new or revised pages and indicating the new date and revision level on each such page of the ECP. This necessitates changing the page containing the date and revision level, even if no other data on the sheet changed.

In either case, the information that differs from the original ECP is to be clearly identified in a manner similar to the marking of change pages for specifications, and for minor revisions, indicating the revision before and after conditions/areas. The ECP should include information as to whether the revision is a resubmittal replacing the existing ECP in its entirety, or provide change pages to the existing ECP.

Block 3. Procuring Activity Number (PAN). To be entered by the procuring activity to provide an internal processing number if required.

Block 4. Title of Change. Enter a title of the recommended change.

Block 5. Class of ECP. Enter the ECP class. Major (Class I) ECPs have any combination of the following:

a. A change that affects specified and approved requirements including safety, reliability, supportability, and quantitative requirements that result in product attributes that would be outside specified limits or specified tolerances.

b. A change that affects any approved acquisition baseline (i.e., Functional, Allocated, or Product Baselines).

c. A change that affects compatibility with interfacing products including such products as test equipment, support equipment, software, firmware, and products furnished by an Acquirer or that affects one or more of the following:

1. Delivered operation or servicing instructions.

2. Required calibration to the extent that product identification should be changed.

3. Interchangeability or substitutability of replaceable products, assemblies, or components.

4. User skills or user physical attributes.

5. Operator or maintenance training.

6. Requires retrofit of delivered products (e.g., by product recall, modification kit installation, attrition, replacement during maintenance using modified spares).

7. Performance.

8. Maintainability, durability, or survivability.

9. Weight, balance, or moment of inertia.

10. Electromagnetic characteristics.

11. Impact to logistical support requirements such as training, technical or operational manuals, spares, maintenance procedures or equipment, etc.

12. Re-qualification of the item.

13. Domain certification (e.g., airworthiness, seaworthiness).

14. Source (supplier of an item) listed on a Source Control Drawing (SCD).

15. Biomedical factors or human factors engineering.

16. Personnel manning.

17 Corrects deficiencies.

18. Adds or modifies interface or interoperability requirements.

19. Changes the operational capabilities or logistics supportability of the system or item and the change is significant and measurably changes the effectiveness.

20. Life cycle costs/savings.

21. Prevents slippage in an approved production schedule.

d. A change that does not meet the above criteria but does impact cost/price/delivery to customer(s), including incentives and fees, guarantees, warranties, and contracted deliveries or milestones.

Minor (Class II) ECPs do not impact the criteria above for Major (Class I) changes.

Block 6. Priority. Enter the ECP Priority using one of the following designations:

a. Emergency. The ECP is assigned an emergency priority for any of the following reasons:

i. To effect a change in operational characteristics which, if not accomplished without delay (e.g., 24 hours), may seriously compromise national security.

File Attachment. Attach files to the form. Allows for viewing of the attached files, files can be saved from the form. Allows for deleting attached files..

INSTRUCTIONS FOR PREPARATION OF

ENGINEERING CHANGE PROPOSALS UTILIZING DD FORM 1692

ii. To correct a hazardous condition that may result in fatal or serious injury to personnel or in extensive damage or destruction of equipment. (A hazardous condition usually requires withdrawing the item from service temporarily, suspending item operation, or discontinuing further testing or development pending resolution of the condition).

iii. To correct a system halt (abnormal termination) in production environment such that Computer Software Configuration Item (CSCI) mission accomplishment is prohibited.

b. Urgent. The ECP is assigned an urgent priority for any of the following reasons:

i. To effect a change which, if not accomplished expeditiously (e.g., 30 days), may seriously compromise the mission effectiveness of deployed equipment, software, or forces.

ii. To correct a potentially hazardous condition, the uncorrected existence of which could result in injury to personnel or damage to equipment. (A potentially hazardous condition compromises safety and embodies risk (within reasonable limits) and permits continued use of the affected item, provided the operator has been informed of the hazard and appropriate precautions have been defined and distributed to the user).

iii. To meet significant contractual requirements (e.g., when lead time necessitates slipping approved production or deployment schedules if the change was not incorporated).

iv. To effect an interface change which, if delayed, would cause a schedule slippage or increase cost.

v. To effect a significant net life cycle cost savings to the Acquirer, as defined in the contract, through value engineering or through other cost reduction efforts where expedited processing of the change is to be a major factor in realizing lower costs.

vi. To correct unusable output critical to mission accomplishment.

vii. To correct critical CSCI files that are being degraded.

viii. To effect a change in operational characteristics to implement a new or changed regulatory requirement with stringent completion date requirements issued by an authority higher than that of the functional proponent.

c. Routine. The ECP is assigned a routine priority if emergency or urgent is not applicable.

Block 7. ECP Type. Enter the ECP Type using one of the following designations:

a. Preliminary Change Proposal (Type P). An ECP of this type meets one or more of the following purposes:

1. To furnish the Acquirer with available information in order to permit a preliminary evaluation relative to the merits of the proposed change or to select among proposed alternative changes to accomplish the same objective.

2. To supplement a message relative to an emergency or urgent priority ECP when it is impracticable to submit a formal ECP within 30 calendar days.

3. To propose a software change prior to the development of the actual coding changes and to obtain Acquirer approval to proceed with initial software engineering activities.

b. Formal Change Proposal (Type F). This designation is used when the ECP is used for purposes other than those addressed above.

Block 8. Justification Code. Enter the Justification Code using the following criteria:

a. Interface (Code B); Code B is to be assigned to a change to eliminate incompatibility between Configuration Items (CIs).

b. Compatibility (Code C); Code C is to be assigned to a change to correct a deficiency with the following characteristics:

i. The need for a change has been discovered during the system or item functional checks or during installation and checkout and is necessary to make the system or item work.

ii. By assigning the compatibility code the Supplier is declaring that the effort required to accomplish the change is considered to be within the scope of the existing contract except for changes caused by the Acquirer.

iii. Contractual coverage completing the formal documentation of the change is not reflected as an increase in contract price for the corrective action in production and to delivered items in-warranty or otherwise stipulated in the contract.

c. Correction of Deficiency (Code D); Code D is to be assigned to a change to eliminate a deficiency, unless a more descriptive separate code applies; such separate codes are used to identify deficiencies of the nature of safety, interface, or compatibility.

d. Operational or Logistic Support (Code O); Code O is to be assigned to a change to make a significant increase in effectiveness or a performance change in operational capabilities or logistics support.

e. Production Stoppage (Code P); Code P is to be assigned to a change to prevent slippage in an approved production schedule. This code applies when production to the current configuration documentation either is impracticable or cannot be accomplished without delay.

f. Cost Reduction (Code R); Code R is to be assigned to a change to affect a net total life cycle cost savings to the Acquirer, but which is not being submitted pursuant to the Value Engineering clause of the contract. The savings in life cycle cost should include all effects on cost and price for the effort and requirements covered by the contract(s) currently in effect for this Supplier, plus the costs resulting from necessary associated changes in delivered items and logistics support.

g. Safety (Code S); Code S is to be assigned to a change to correct a deficiency which is required primarily to eliminate a hazardous condition. When this code is assigned, a system hazard analysis is to be included with the change.

h. Value Engineering (VE) (Code V); Code V is to be assigned to a change that is an effect of a net life cycle cost reduction and which is submitted pursuant to the VE clause of the contract. (Note: Value Engineering Change Proposal (VECP)).

i. Administrative (Code A); Code A may only be used if the change is classified as Minor in Block 5.

Block 9. Description of Change. Enter a description of the proposed change. Describe the nature of the proposed change from the technical requirements of the configuration documentation. The description should include a summary of the physical and functional changes to the item(s)

INSTRUCTIONS FOR PREPARATION OF

ENGINEERING CHANGE PROPOSALS UTILIZING DD FORM 1692

to the acquiring activity. Also include associated information (if available for the item) such as Part Number, NSN, and whether the item is being altered, added to the system, or removed from the system by the proposal. If desired, other information identifying or describing the item may be included on the continuation page or in an enclosure (e.g., the total number of times the item is used in the system and is affected by the proposal can optionally be included as the Quantity Affected).

If more than one item is being altered, added, or removed by the proposal, use the continuation page or an enclosure to list all of these items along with the associated information for the items. If these items do not all belong to the same higher-level item, include the higher-level item name and designation in the associated information for each item. If desired, tables, lists, or other means may be used to show the items altered, added, or removed as well as their relationship to each other and their relationship to higher-level items.

Block 15. List Other External Systems or External Configuration Items Affected. If the proposed change affects systems or CIs that are external to the system containing the CIs for which the proposal is being written, list the external systems or external CIs that are impacted. If no external systems or external CIs are impacted, enter "N/A" for Not Applicable in Block 15. Examples of external systems or external CIs include interfacing systems, training devices used or shared by other systems, and test sets used or shared by other systems. Impacts of product baseline changes on external systems or external CIs can be detailed in Block 9. Impacts of functional or allocated baseline changes on external systems or external CIs can be detailed in Block 28.

Block 16a-f. Documents Affected. Enter the Documents being modified by the proposed change. Identify the CAGE Code for the document, Document No., Document Title/Nomenclature/Name, Current Revision, and as required, the DD Form 1695, Notice of Revision (NOR) page number (i.e., specifications, drawings, Model Based Definition datasets, parts list, packaging data, quality assurance provisions, or other document being modified). Indicate `Yes' or `No' in the Revised Document Attached column if the revised document is or is not attached to this form.

Block 17. Baseline Affected. Enter the baseline affected.

Block 18. In Production. Check `Yes' if the item is in production. Check `No' otherwise.

Block 19. Production Effectivity. If Block 18 is `Yes', enter production effectivity information in Block 19. If necessary, enter the quantity, lot number, serial number, or date at which the change is to take effect. If Block 18 is not `Yes', enter “N/A” for Not Applicable in Block 19.

Block 20. Effect on Production Delivery Schedule. Enter the effect on production delivery schedule as a result of approval or non-approval of the change.

Block 21a. Cost Impact From ECP. Check `Yes' if there is a cost impact for retrofitting the ECP. Check `No' if otherwise. Cost impact is any increase or decrease in the disposition of the ECP. Cost impact may be on:

a. A present, future, or a concurrent contract,

b. A related or interfacing component,

c. Life cycle logistics or acquisition, or

d. any other life cycle cost impact.

If `Yes' is checked, then include any references which would be needed by the reader to see the description of the cost impact.

Block 21b. Retrofit Existing Assets. Check `Yes' if retrofit of existing assets is recommended. Check `No' if otherwise.

and the effect of those changes on other items or on the system. A summary of documentation changes may be included as well. Marked drawings or other documents should be included when necessary to describe and justify approval of the proposed change. If other external systems or external configuration items are listed as affected in Block 15, describe the impact of proposed product baseline changes on the external systems or external items.

Block 10. Need for Change. Describe the need for the proposed change.

Explain the benefits of the proposed change

Block 11. Top-Level Item Name and Designation. For the CI or CSCI, which is the subject of this proposal, enter the item name and designation of the top-level system (or top-level CI) to which it belongs.

If the top-level system has a formal nomenclature based on MIL-STD-196, MIL-STD-1661 or another standard, enter the formal item name and type designator (e.g., Rifle M16, Torpedo MK48, Fighter F22, AEGIS Weapon System MK7 MOD14).

If the top-level system does not have a formal nomenclature, enter a name and a designation (such as a commercial name and model number) that is acceptable to the acquiring activity (e.g., Laptop Computer MDT-501A).

If there is no top-level system or top-level CI, enter “N/A” for Not Applicable.

Block 12. Higher-Level Item Name and Designation. For the CI or CSCI, which is the subject of this proposal, enter the item name and designation of the higher-level CIs to which it belongs. Normally a higher-level CI would be a major sub-assembly that is below the top level of the system and that contains the CI or CSCI which is the subject of this proposal.

If the higher-level CI has a formal nomenclature based on MIL-STD-196, MIL-STD-1661 or another standard, enter the formal item name and type designator (e.g., Ammunition Clip MKX MODX, Targeting Sonar AN/XXX-XX, IFF Transponder AN/XXX-XX, Radar

AN/SPY-1D).

If the higher-level CI does not have a formal nomenclature, enter a name and a designation (such as a commercial name and model number) that is acceptable to the acquiring activity (e.g., Hard Drive, Laptop, Removable 5D12-GLR1).

If there is no higher-level CI, enter “N/A” for Not Applicable.

Block 13a-c. Primary Item. For the CI or CSCI, which is the primary subject of this proposal (that is, the primary item for which the proposed change is being submitted), enter the item name and designation as well as associated information such as Part Number and, if available, NSN.

If the item has a formal nomenclature based on MIL-STD-196, MIL-STD-1661, or another standard, enter the formal item name and type designator.

If the item does not have a formal nomenclature, enter a name and a designation (such as a commercial name and model number) that is acceptable to the acquiring activity. (e.g., Ammunition Clip Bracket, Targeting Sonar Cable Assembly, IFF Transponder Processor Circuit Card, Receiver- Programmer R-2232/SPY-1D, Laptop Hard Drive connector A32DW).

Block 14a-d. Affected Item(s). Enter the specific item that is being altered, added, or removed by the proposal. If the item has a formal nomenclature based on MIL-STD-196, MIL-STD-1661, or another standard, enter the formal item name and type designator. If the item does not have a formal nomenclature, enter a name and a designation (such as a commercial name and model number) that is acceptable

INSTRUCTIONS FOR PREPARATION OF

ENGINEERING CHANGE PROPOSALS UTILIZING DD FORM 1692

Block 21c. Retrofit Effectivity. If Block 21b. is `Yes', enter retrofit effectivity information in Block 21c. If Block 21b. is not `Yes', enter “N/A” for Not Applicable in Block 21c.

Block 21d. Retrofit Delivery Schedule. If Block 21b. is `Yes', enter retrofit delivery schedule information in Block 21d. Retrofit delivery schedule information includes information such as planned retrofit kit delivery schedule or estimated retrofit installation schedule. If Block 21b.

is not `Yes', enter “N/A” for Not Applicable in Block 21d.

Block 22a-b. Contract. Enter the name of the supplier organization, contract number and, as applicable, the contract line item for the affected item. If there is no applicable contract number and the acquiring activity provides another type of number, enter that number in Block 22b. If there is no applicable contract number and acquiring activity number, enter “N/A” for Not Applicable.

Block 23a-c. Contracting Officer. Enter the name, telephone number, and email of the acquiring activity's contracting officer or contracting officer's designated representative. If no contracting officer has been designated by the acquiring activity, enter the information for the individual or group who has been designated as the appropriate point of contact by the acquiring activity or enter “N/A” for Not Applicable.

Block 24a-e. Originator. Enter the name of the individual representing the supplier organization who is considered to be the originator of the ECP. Also include the ECP originator's address, CAGE Code, email, and telephone number.

Block 24f-h. Submitting Activity. Enter the submitting activity, signature, name, and title of the individual authorized to submit the proposed change.

Block 25a-d. Recommendations. Enter the name, title, signature, and date signed. This block is to be completed by the activity making a recommendation to the Configuration Approval Authority.

Block 26a-d. Disposition. Enter the name, title, signature, and date signed. This block is to be completed by the Configuration Approval Authority authorized to make the decision on the ECP.

Block 27a-c. Activity Accomplishing Revision and Date of Revision.

Once a revision has been prepared, the activity accomplishing the new revision is to identify the applicable PAN (Block 3), revision indicator in the ECP Number block (Block 2a), as well as enter the name, title, date of the revision, and signature.

Distribution Statement. Use this block to insert the appropriate Distribution Statement and/or Export Control Warning for this form in accordance with Block 9 of the applicable DD Form 1423, “Contract Data Requirements List” which this document is being delivered against and/or DODI 5230.24, Distribution Statements on Technical Documents.

11.0.1.20130826.2.901444.899636 DD Form 1692 Page 1 instructions, April 2016