Bidders Library DODI 5000 02t.pdf

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Department of Defense

INSTRUCTION

NUMBER 5000.02T

January 7, 2015

Incorporating Change 10, December 31, 2020

USD(A&S)

SUBJECT: Operation of the Defense Acquisition System

References: See References

1. PURPOSE. This instruction:

a. In accordance with the authority in DoD Directive (DoDD) 5000.01 (Reference (a)) and DoDD 5135.02 (Reference (cm)), establishes policy for the management of all acquisition programs in accordance with Reference (a), the guidelines of Office of Management and Budget Circular A-11 (Reference (c)), and References (d) through (cw).

b. Authorizes Milestone Decision Authorities (MDAs) to tailor the regulatory requirements and acquisition procedures in this instruction to more efficiently achieve program objectives, consistent with statutory requirements and Reference (a).

c. Assigns, reinforces, and prescribes procedures for acquisition responsibilities related to cybersecurity in the Defense Acquisition System.

d. Incorporates and cancels Directive-type Memorandum 17-001 (Reference (cl)).

2. APPLICABILITY. This instruction applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this instruction as the “DoD Components”).

3. TRANSITION PLAN. DoD Instruction (DoDI) 5000.02 (Reference (b)) lays the groundwork for operation of the Adaptive Acquisition Framework, which is part of the Defense Acquisition System described in DoDD 5000.01. DoDI 5000.02 will eventually cancel this issuance, which has been renumbered DoDI 5000.02T (Transition) to establish a distinction between the two issuances.

DoDI 5000.02T, January 7, 2015

Change 10 12/31/2020 2

a. This issuance will remain in effect, with content removed as it is cancelled or transitions to a new issuance, as shown in Table 1. When the Adaptive Acquisition Framework realignment is complete, an administrative change to DoDI 5000.02 will cancel this issuance.

b. Each new or reissued acquisition policy document listed in Table 1 will clearly state the content from this issuance it incorporates and cancels.

c. After each issuance’s publication, this issuance will be administratively updated to remove the cancelled material and the Summary of Changes will state the title and number of the issuance replacing it.

d. Those parts of this issuance that are cancelled without replacement will be formally coordinated in accordance with DoDI 5025.01 (Reference (cz)) and their cancellation similarly documented.

Table 1. Relationship of DoDI 5000.02T and New Policy

DoDI 5000.02T, Operation of the Defense Acquisition System

Associated New Policy (Issuances with Lettered Extensions in Development)

Core Acquisition Policy (Paragraph 6, Procedures) DoDI 5000.85, “Major Capability Acquisition”

Enclosure 1. Acquisition Program Categories and Compliance Requirements -- Information Requirements Tables

• DoDI 5000.85, “Major Capability Acquisition”

• Tables “authorized by DoDI 5000.85…” will be posted on the Adaptive Acquisition Framework website

Enclosure 2. Program Management

• DoDI 5000.85, “Major Capability Acquisition”

• DoDI 5010.44, “Intellectual Property,” October 16, 2019 has replaced “IP Strategy” (formerly Para 6.a.(4))

Enclosure 3. Systems Engineering DoDI 5000.88, “Engineering of Defense Systems”

• Enclosure 4. Developmental Test and Evaluation (DT&E)

• Enclosure 5. Operational and Live Fire Test and Evaluation (OT&E and LFT&E)

DoDI 5000.89, “Test and Evaluation (T&E)”

Enclosure 6. Life-Cycle Sustainment DoDI 5000.85, “Major Capability Acquisition”

Enclosure 7. Human Systems Integration (HIS) DoDI 5000.PR, “Human Systems Integration in Defense Acquisition”

Enclosure 8. Affordability Analysis and Investment Constraints Replaced by direction in §807 of Public Law 114-328

Change 10 12/31/2020 3

Table 1. Relationship of DoDI 5000.02T and New Policy, Continued

DoDI 5000.02T, Operation of the Defense Acquisition System Associated New Policy (Issuances with Lettered

Extensions in Development)

Enclosure 9. Analysis of Alternatives (AoA) Necessary information is in DoDD 5105.84, “Director of Cost Assessment and Program Evaluation,” and the Defense Acquisition Guidance.

Enclosure 10. Cost Estimating and Reporting Necessary guidance is available in DoDI 5000.73, “Cost Analysis Guidance and Procedures.”

Enclosure 11. Requirements Applicable to All Programs Containing Information Technology

(IT)

DoDI 5000.82, “Acquisition of Information Technology (IT)”

Enclosure 12. Urgent Capability Acquisition DoDI 5000.81, “Urgent Capability Acquisition”

Enclosure 13. Cybersecurity in the Defense Acquisition System

• DoDI 5000.83, “Tehcnology and Program Protection to Maintain Technological Advantage”

• DoDI 5000.90, “Cybersecurity for Acquisition Decision Authorities and Program Managers”

4. POLICY. The overarching management principles and mandatory policies that govern the Defense Acquisition System are described in Reference (a). This instruction and the associated new policy listed in Table 1 provide the detailed procedures that guide the operation of the system.

5. RESPONSIBILITIES

a. Defense Acquisition Executive (DAE). The DAE is the Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)). The DAE will act as the MDA for Major Defense Acquisition Programs (MDAPs) and Major Automated Information System (MAIS) programs. In accordance with DoDI 5000.85 (Reference (dc)), the DAE may delegate authority to act as the MDA to the head of a DoD Component, who may further delegate the authority to the Component Acquisition Executive (CAE). The DAE may also delegate MDA authority to another OSD official as the DAE considers appropriate.

b. MDA. The MDA will establish procedures for assigned programs using this instruction as guidance. MDAs should limit mandatory procedures applicable to all assigned programs so as to not exceed the requirements for MDAPs or MAIS programs and other acquisition programs governed by this instruction or DoDD 5000.01 (Reference (a)). MDAs should tailor regulatory procedures in the document consistent with sound business practice and the risks associated with the product being acquired.

Change 10 12/31/2020 4

c. Heads of the DoD Components. The DoD Component Head will implement the procedures in this instruction and Reference (a). Component-required procedures will not exceed those specified in this instruction. When necessary, waivers or requests for exceptions to the provisions of this instruction will be submitted to the DAE, the DoD Chief Information Officer (DoD CIO), the Director, Operational Test and Evaluation (DOT&E), or the Director, Cost Assessment and Program Evaluation (DCAPE), via the CAE. Statutory requirements cannot be waived unless the statute permits.

d. Secretaries of the Military Departments. In addition to the responsibilities described in paragraph 5.c., the Secretary of the Military Department acquiring an MDAP will represent the customer (i.e., the DoD Component(s) fielding the system). The Secretary concerned, in coordination with the Chief of the Military Service fielding the system, will balance resources against priorities and ensure appropriate trade-offs are made among cost, schedule, technical feasibility, and performance throughout the life of the program.

e. Chiefs of the Military Services. The Chiefs of the Military Services fielding MDAPs will represent the customer and, with the Secretary of the Military Department acquiring the MDAP, balance resources against priorities and ensure that appropriate trade-offs are made among cost, schedule, technical feasibility, and performance throughout the life of the program. The Chief concerned will advise the MDA on trade-offs before Milestones A and B. As part of the MDA’s Written Determination before Milestone A and Certification and Determination before Milestone B (these milestone information requirements are detailed in Reference (dc)), the MDA must determine that the Chief and the Secretary concur with the cost, schedule, technical feasibility, and performance trade-offs that have been made.

6. PROCEDURES. This section was removed through formal coordination and approval of Reference (dc); necessary information can be found in that issuance.

7. RELEASABILITY. Cleared for public release. This instruction is available on the Directives Division Website at https://www.esd.whs.mil/DD/.

8. SUMMARY OF CHANGE 10. This change removes Enclosure 13, which has been incorporated and cancelled by DoDI 5000.90 (Reference (dh)).

9. EFFECTIVE DATE. This instruction is effective January 7, 2015.

Frank Kendall J. Michael Gilmore Terry Halvorsen Under Secretary of Defense for Director, Operational Acting DoD Chief

Change 10 12/31/2020 5

Acquisition, Technology, and Test and Evaluation Information Officer Logistics

References

Enclosures

1. Acquisition Program Categories and Compliance Requirements

2. Program Management

3. Systems Engineering

4. Developmental Test and Evaluation (DT&E)

5. Operational and Live Fire Test and Evaluation (OT&E and LFT&E)

6. Life-Cycle Sustainment

7. Human Systems Integration (HSI)

8. Affordability Analysis and Investment Constraints

9. Analysis of Alternatives (AoA)

10. Cost Estimating and Reporting

11. Requirements Applicable to All Programs Containing Information Technology (IT)

12. Urgent Capability Acquisition

13. Cybersecurity in the Defense Acquisition System Glossary

Change 10, 12/31/2020 6 CONTENTS

TABLE OF CONTENTS

PURPOSE

APPLICABILITY

TRANSITION PLAN

POLICY

RESPONSIBILITIES

Defense Acquisition Executive (DAE)

MDA

Heads of the DoD Components Secretaries of the Military Departments Chiefs of the Military Services

PROCEDURES

RELEASABILITY

SUMMARY OF CHANGE 10

EFFECTIVE DATE

REFERENCES

ENCLOSURE 1: ACQUISITION PROGRAM CATEGORIES AND COMPLIANCE

REQUIREMENTS

ENCLOSURE 2: PROGRAM MANAGEMENT

ENCLOSURE 3: SYSTEMS ENGINEERING

ENCLOSURE 4: DEVELOPMENTAL TEST AND EVALUATION (DT&E)

ENCLOSURE 5: OPERATIONAL AND LIVE FIRE TEST AND EVALUATION

ENCLOSURE 6: LIFE-CYCLE SUSTAINMENT

ENCLOSURE 7: HUMAN SYSTEMS INTEGRATION (HSI)

PURPOSE

GENERAL

HSI PLANNING

Human Factors Engineering Personnel Habitability Manpower Training Safety and Occupational Health Force Protection and Survivability

Change 10, 12/31/2020 7 CONTENTS

ENCLOSURE 8: AFFORDABILITY ANALYSIS AND INVESTMENT CONSTRAINTS

ENCLOSURE 9: ANALYSIS OF ALTERNATIVES (AOA)

ENCLOSURE 10: COST ESTIMATING AND REPORTING

ENCLOSURE 11: REQUIREMENTS APPLICABLE TO ALL PROGRAMS CONTAINING

INFORMATION TECHNOLOGY (IT)

ENCLOSURE 12: URGENT CAPABILITY ACQUISITION

ENCLOSURE 13: CYBERSECURITY IN THE DEFENSE ACQUISITION SYSTEM

PROGRAM MANAGER RESPONSIBILITIES

GLOSSARY

Change 10, 12/31/2020 8 REFERENCES

REFERENCES

(a) DoD Directive 5000.01, “The Defense Acquisition System,” September 9, 2020

(b) Interim DoD Instruction 5000.02, “Operation of the Defense Acquisition System,”

November 26, 2013 (hereby cancelled)

(c) Office of Management and Budget Circular A-11, “Preparing, Submitting, and Executing the Budget,” current edition

(d) Public Law 114-92, “National Defense Authorization Act for Fiscal Year 2016”

(e) Chairman of the Joint Chiefs of Staff Instruction 3170.01I, “Joint Capabilities Integration and Development System,” January 23, 2015

(f) Assistant Secretary of Defense for Research and Engineering Guide, “Technology

Readiness Assessment (TRA) Guidance,” April 2011, as amended1

(g) Public Law 110-417, “The Duncan Hunter National Defense Authorization Act for Fiscal

Year 2009,” October 14, 2008

(h) Title 10, United States Code

(i) DoD Instruction 5000.74, “Defense Acquisition of Services,” January 5, 2016

(j) Title 15, United States Code

(k) Public Law 109-364, “John Warner National Defense Authorization Act for Fiscal Year

2007,” October 17, 2006

(l) Public Law 112-239, “National Defense Authorization Act for Fiscal Year 2013,” January 2, 2013

(m) Public Law 111-383, “Ike Skelton National Defense Authorization Act for Fiscal Year

2011,” January 7, 2011

(n) Public Law 101-576, “Chief Financial Officers Act of 1990,” November 15, 1990

(o) Statement of Federal Financial Accounting Standards (SFFAS) No. 23, “Eliminating the

Category National Defense Property, Plant, and Equipment,” May 8, 2003

(p) Title 40, United States Code

(q) Public Law 106-398, “Floyd D. Spence National Defense Authorization Act for Fiscal Year

2001,” October 30, 2000

(r) Joint Capabilities Integration and Development System (JCIDS) Manual “Manual for the

Operation of the Joint Capabilities Integration and Development System,” current edition2

(s) Chairman of the Joint Chiefs of Staff Instruction 5123.01G, “Charter for Joint

Requirements Oversight Council,” February 12, 2015

(t) Defense Intelligence Agency Directive 5000.200, “Intelligence Threat Support for Major

Defense Acquisition Programs,” September 19, 20163

(u) Defense Intelligence Agency Instruction 5000.002, “Intelligence Threat Support for Major

Defense Acquisition Programs,” September 19, 20164

(v) Public Law 112-81, “National Defense Authorization Act for Fiscal Year 2012,”

December 31, 2011

1 https://acc.dau.mil/CommunityBrowser.aspx?id=18545 2 https://www.intelink.gov/inteldocs/action.php?kt_path_info=ktcore.actions.document.view&fDocumentId= 1517681 3 This is a controlled document. The office of primary responsibility is the Defense Intelligence Agency,

(202) 231-0678 4 This is a controlled document. The office of primary responsibility is the Defense Intelligence Agency,

(202) 231-0678

Change 10, 12/31/2020 9 REFERENCES

(w) DoD Instruction 5000.73, “Cost Analysis Guidance and Procedures,” March 13, 2020

(x) DoD Instruction 8500.01, “Cybersecurity,” March 14, 2014

(y) DoD Instruction 7041.03, “Economic Analysis for Decision-Making,” September 9, 2015

(z) Public Law 102-538, “The National Telecommunications and Information Organization

Act,” October 27, 1992

(aa) Title 47, United States Code

(ab) DoD Instruction 8330.01, “Interoperability of Information Technology (IT), Including

National Security Systems (NSS),” May 21, 2014

(ac) DoD Instruction 8320.02, “Sharing Data, Information, and Information Technology (IT)

Services in the Department of Defense,” August 5, 2013

(ad) DoD Instruction 8410.03, “Network Management (NM),” August 29, 2012, as amended

(ae) DoD Instruction 8320.04, “Item Unique Identification (IUID) Standards for Tangible

Personal Property,” September 3, 2015

(af) DoD Directive 5250.01, “Management of Intelligence Mission Data (IMD) in DoD

Acquisition,” January 22, 2013

(ag) Section 4321, Title 42, United States Code

(ah) Executive Order 12114, “Environmental Effects Abroad of Major Federal Actions,”

January 4, 1979

(ai) DoD Instruction 5200.39, “Critical Program Information (CPI) Identification and

Protection Within Research, Development, Test, and Evaluation (RDT&E),” May 28, 2015

(aj) DoD Instruction 5200.44, “Protection of Mission Critical Functions to Achieve Trusted

Systems and Networks (TSN),” November 5, 2012, as amended

(ak) Federal Acquisition Regulation, current edition

(al) Defense Federal Acquisition Regulation Supplement, current edition

(am) DoD Instruction 4650.01, “Policy and Procedures for Management and Use of the

Electromagnetic Spectrum,” January 9, 2009

(an) Public Law 111-23, “Weapon Systems Acquisition Reform Act of 2009,” May 22, 2009

(ao) DoD Instruction O-5240.24, “Counterintelligence (CI) Activities Supporting Research, Development, and Acquisition (RDA),” June 8, 2011, as amended5

(ap) DoD Instruction 4630.09, “Wireless Communications Waveform Development and

Management,” July 15, 2015

(aq) Public Law 109-163, “National Defense Authorization Act for Fiscal Year 2006,”

January 6, 2006

(ar) Memorandum of Agreement between the Director of National Intelligence and the

Secretary of Defense concerning the Management of Acquisition Programs Executed at the Department of Defense Intelligence Community Elements, March 25, 20086

(as) Intelligence Community Policy Guidance 801.1, “Acquisition,” July 12, 20077

(at) DoD 5000.04-M-1, “Cost and Software Data Reporting (CSDR) Manual,”

November 4, 2011

(au) American National Standards Institute (ANSI)/Electronic Industries Alliance (EIA) 748, March 2013

5 This is a controlled document. The office of primary responsibility is Under Secretary of Defense (Intelligence), USDI.Pubs@osd.mil. Access requires a DoD PKI Certificate.

6 www.fas.org/irp/dni/moa.pdf 7 http://www.dni.gov/files/documents/ICPG/ICPG_801_1.pdf

Change 10, 12/31/2020 10 REFERENCES

(av) Data Item Management-81861, “Data Item Description: Integrated Program Management Report (IPMR),” June 20, 2012

(aw) Title 44, United States Code

(ax) DoD Instruction 5000.66, “Operation of the Defense Acquisition, Technology, and

Logistics Workforce Education, Training, and Career Development Program,” July 27,

(ay) Under Secretary of Defense for Acquisition, Technology, and Logistics Policy Memorandum, “Key Leadership Positions and Qualification Criteria,” November 8, 2013

(az) DoD Instruction 2040.02, “International Transfers of Technology, Articles, and Services,” March 27, 2014

(ba) DoD Instruction 2010.06, “Materiel Interoperability and Standardization with Allies and Coalition Partners,” July 29, 2009

(bb) Defense Security Cooperation Agency Manual, “Security Assistance Management Manual (SAMM),” current version8

(bc) DoD 5015.02-STD, “Electronic Records Management Software Applications Design Criteria Standard,” April 25, 2007

(bd) Military-Standard 882E, “DoD Standard Practice for System Safety,” May 11, 2012

(bf) Chairman of the Joint Chiefs of Staff Instruction 6510.01F, “Information Assurance (IA) and Support to Computer Network Defense (CND),” February 9, 2011, as amended

(bg) DoD Instruction 8510.01, “Risk Management Framework (RMF) for DoD Information

Technology (IT),” March 12, 2014, as amended

(bh) DoD Instruction 5000.61, “DoD Modeling and Simulation (M&S) Verification, Validation, and Accreditation (VV&A),” December 9, 2009

(bi) DoD Instruction 4151.22, “Condition Based Maintenance Plus (CBM+) for Materiel

Maintenance,” October 16, 2012

(bj) Public Law 113-66, “National Defense Authorization Act for Fiscal Year 2014,”

December 26, 2013

(bk) DoD Manual 4160.28, Volume 1, “Defense Demilitarization: Program Administration,”

June 7, 2011

(bl) DoD Instruction 5000.67, “Prevention and Mitigation of Corrosion on DoD Military

Equipment and Infrastructure,” February 1, 2010

(bm) DoD Instruction 1100.22, “Policy and Procedures for Determining Workforce Mix,”

April 12, 2010

(bn) DoD Instruction 7041.04, “Estimating and Comparing the Full Costs of Civilian and Active

Duty Military Manpower and Contract Support,” July 3, 2013

(bo) DoD Directive 1322.18, “Military Training,” January 13, 2009, as amended

(bp) DoD Directive 5105.84, “Director of Cost Assessment and Program Evaluation (DCAPE),”

May 11, 2012

(bq) Office of the Secretary of Defense, Cost Assessment and Program Evaluation, “Operating and Support Cost-Estimating Guide,” March 2014

(br) Global Information Grid (GIG) Technical Guidance Federation (GTGF)9

(bt) Office of Management and Budget Memorandum M-04-08, “Maximizing Use of SmartBuy and Avoiding Duplication of Agency Activities with the President’s 24 E-Gov Initiatives,” February 25, 2004

8 http://www.samm.dsca.mil/ 9 http://www.disa.mil/Services/Enterprise-Engineering/IT-Standards

Change 10, 12/31/2020 11 REFERENCES

(bu) Office of Management and Budget Memorandum M-04-16, “Software Acquisition,” July 1, 2004

(bv) Office of Management and Budget Memorandum M-05-25, “SmartBUY Agreement with Oracle,” August 25, 2005

(bw) DoD Directive 5400.11, “DoD Privacy Program,” October 29, 2014

(bx) DoD 5400.11-R, “Department of Defense Privacy Program,” May 14, 2007

(by) DoD Instruction 5400.16, “DoD Privacy Impact Assessment (PIA) Guidance,”

July 14, 2015

(bz) DoD Instruction 3200.12, “DoD Scientific and Technical Information Program (STIP),”

August 22, 2013

(ca) Section 794d of Title 29, United States Code

(cb) DoD Manual 8400.01-M, “Procedures for Ensuring the Accessibility of Electronic and

Information Technology (E&IT) Procured by DoD Organizations,” June 3, 2011

(cc) DoD Directive 5000.71, “Rapid Fulfillment of Combatant Commander Urgent Operational

Needs,” August 24, 2012

(cd) Public Law 107-314, “Bob Stump National Defense Authorization Act for Fiscal Year

2003,” December 2, 2002

(ce) Defense Acquisition University Website10

(cf) Defense Acquisition University Glossary11

(cg) Public Law 113-291, “Carl Levin and Howard P. ‘Buck’ McKeon National Defense

Authorization Act for Fiscal Year 2015,” December 19, 2014

(ch) Under Secretary of Defense for Acquisition, Technology, and Logistics Memorandum, “Change to Major Defense Acquisition Program Milestone A Requirements,” January 31, 201612

(ci) Under Secretary of Defense for Acquisition, Technology, and Logistics Memorandum, “Change to Major Defense Acquisition Program Milestone B Requirements,” January 31, 201613

(cj) Integrated Program Management Report Implementation Guide, February 5, 201614

(ck) DoD Instruction 4140.67, “DoD Counterfeit Prevention Policy,” April 26, 2013

(cl) Directive Type Memo 17-001, “Cybersecurity in the Defense Acquisition System,”

January 11, 2017 (hereby cancelled)

(cm) DoD Directive 5135.02, “Under Secretary of Defense for Acquisition and Sustainment

(USD(A&S)),” July 15, 2020

(cn) DoD Directive 5205.02E, “DoD Operations Security (OPSEC) Program,” June 20, 2012

(co) DoD Instruction 5205.13, “Defense Industrial Base (DIB) Cyber Security/Information

Assurance (CS/IA) Activities,” January 29, 2010

(cp) Part 236 of Title 32, Code of Federal Regulations

(cq) Executive Order 13691, “Promoting Private Sector Cybersecurity Information Sharing,”

February 13, 2015

10 http://www.dau.mil/default.aspx 11 https://dap.dau.mil/glossary/Pages/Default.aspx 12 https://ebiz.acq.osd.mil/DABCalendar/Home/Document/31 (access requires Common Access Card (CAC)) 13 https://ebiz.acq.osd.mil/DABCalendar/Home/Document/32 (access requires CAC) 14 http://www.acq.osd.mil/evm/docs/IPMR%20Implementation%20Guide.pdf

Change 10, 12/31/2020 12 REFERENCES

(cr) Office of the Deputy Assistant Secretary of Defense for Developmental Test and Evaluation, “Department of Defense Cybersecurity Test and Evaluation Guidebook,” July 1, 2015

(cs) Director, Operational Test and Evaluation, “Procedures for Operational Test and Evaluation of Cybersecurity in Acquisition Programs,” August 1, 2014

(ct) Office of the Deputy Assistant Secretary of Defense for Systems Engineering, “Guidance to Stakeholders for Implementing Defense Federal Acquisition Supplement Clause 252.204-7012,” August 2015

(cu) DoD Instruction 8530.01, “Cybersecurity Activities Support to DoD Information Network Operations,” March 7, 2016

(cv) Office of the Deputy Assistant Secretary of Defense for Systems Engineering, “Department of Defense Risk, Issue, and Opportunity Management Guide for Defense Acquisition Programs,” June 2015

(cw) DoD Instruction 5000.75, “Business Systems Requirements and Acquisition,” February 2, 2017

(cx) Deputy Secretary of Defense Memorandum, “Establishment of the Office of the Under Secretary of Defense for Research and Engineering and the Office of the Under Secretary of Defense for Acquisition and Sustainment,” July 13, 2018

(cy) DoD Instruction 5010.44, “Intellectual Property (IP) Acquisition and Licensing,” October 16, 2019

(cz) DoD Instruction 5025.01, “DoD Issuances Program,” August 1. 2016, as amended

(da) DoD Instruction 5000.82, “Acquisition of Information Technology (IT),” April 21, 2020

(db) DoD Instruction 5000.83, “Technology and Program Protection to Maintain Technological

Advantage,” July 20, 2020

(dc) DoD Instruction 5000.85, “Major Capability Acquisition,” August 6, 2020

(de) DoD Instruction 5000.81, “Urgent Capability Acquisition,” December 31, 2019

(df) DoD Instruction 5000.88, “Engineering of Defense Systems,” November 18, 2020

(dg) DoD Instruction 5000.89, “Test and Evaluation,” November 19, 2020

(dh) DoD Instruction 5000.90, “Cybersecurity and Aquisition Decision Authorities and Program

Managers” December 31, 2020

Change 10, 12/31/2020 ENCLOSURE 1 13

ENCLOSURE 1

ACQUISITION PROGRAM CATEGORIES AND COMPLIANCE REQUIREMENTS

Enclosure 1 was removed through formal coordination and approval of Reference (dc); necessary information can be found in that issuance.

Change 10, 12/31/2020 ENCLOSURE 2 14

ENCLOSURE 2

PROGRAM MANAGEMENT

Enclosure 2 was removed through formal coordination and approval of Reference (dc); necessary

Change 10, 12/31/2020 ENCLOSURE 3 15

ENCLOSURE 3

SYSTEMS ENGINEERING

Enclosure 3 was removed through formal coordination and approval of Reference (df); necessary

Change 10, 12/31/2020 ENCLOSURE 4 16

ENCLOSURE 4

DEVELOPMENTAL TEST AND EVALUATION (DT&E)

Enclosure 4 was removed through formal coordination and approval of Reference (dg);

necessary information can be found in that issuance.

Change 10, 12/31/2020 ENCLOSURE 5 17

ENCLOSURE 5

OPERATIONAL AND LIVE FIRE TEST AND EVALUATION (OT&E AND LFT&E)

Enclosure 5 was removed through formal coordination and approval of Reference (dg);

Change 10, 12/31/2020 ENCLOSURE 6 18

ENCLOSURE 6

LIFE-CYCLE SUSTAINMENT

Enclosure 6 was removed through formal coordination and approval of Reference (dc); necessary

Change 10, 12/31/2020 ENCLOSURE 7 19

ENCLOSURE 7

HUMAN SYSTEMS INTEGRATION (HSI)

1. PURPOSE. This enclosure describes the HSI policy and procedure applicable to defense acquisition programs.

2. GENERAL. The Program Manager will plan for and implement HSI beginning early in the acquisition process and throughout the product life cycle. The goal will be to optimize total system performance and total ownership costs, while ensuring that the system is designed, operated, and maintained to effectively provide the user with the ability to complete their mission. Program Managers will ensure that the DoD Component HSI staff is aware of and engaged with WIPTs tasked with the development and review of program planning documents that reflect HSI planning and inform program decisions.

3. HSI PLANNING. HSI planning and implementation will address the following seven HSI domains recognized by the DoD:

a. Human Factors Engineering. The Program Manager will take steps (e.g., contract deliverables and government/contractor integrated product teams) to ensure ergonomics, human factors engineering, and cognitive engineering is employed during systems engineering over the life of the program to provide for effective human-machine interfaces and to meet HSI requirements. System designs will minimize or eliminate system characteristics that require excessive cognitive, physical, or sensory skills; entail extensive training or workload-intensive tasks; result in mission-critical errors; or produce safety or health hazards.

b. Personnel. The Program Manager will, in conjunction with designated DoD Component HSI staff, define the human performance characteristics of the user population based on the system description, projected characteristics of target occupational specialties, and recruitment and retention trends. To the extent possible, systems will not require special cognitive, physical, or sensory skills beyond that found in the specified user population. For those programs that have skill requirements that exceed the knowledge, skills, and abilities of current military occupational specialties, or that require additional skill indicators or hard-to-fill military occupational specialties, the Program Manager will consult with personnel communities to mitigate readiness, personnel tempo, and funding issues.

c. Habitability. The Program Manager will, in conjunction with designated DoD Component staff, establish requirements for the physical environment (e.g., adequate space and temperature control) and, if appropriate, requirements for personnel services (e.g., medical and mess) and living conditions (e.g., berthing and personal hygiene) for conditions that have a direct impact on meeting or sustaining system performance or that have such an adverse impact on quality of life and morale that recruitment or retention is degraded.

Change 10, 12/31/2020 ENCLOSURE 7 20

d. Manpower. In advance of contracting for operational support services, the Program Manager will, in conjunction with the designated DoD Component manpower authority, determine the most efficient and cost-effective mix of DoD manpower and contract support. The mix of military, DoD civilian, and contract support necessary to operate, maintain, and support (to include providing training) the system will be determined based on the manpower mix criteria (see DoD Instruction 1100.22 (Reference (bm))). Manpower mix data will be reported to cost analysts and factored into the preparation of independent cost estimates and DoD Component cost estimates. Economic analyses used to support workforce mix decisions will use costing tools, to include DoD Instruction 7041.04 (Reference (bn)), that account for fully loaded costs (i.e., all variable and fixed costs, compensation and non-compensation costs, current and deferred benefits, and cash and in-kind benefits) approved by the DoD Component manpower authority.

e. Training. The Program Manager will, in conjunction with designated DoD Component staff, develop options for individual, collective, and joint training for operators, maintenance and support personnel, and, where appropriate, base training decisions on training effectiveness evaluations (which can be integrated with other test and evaluation). The major tasks identified in the job task analysis, training device document coordinating paper and training plans will support a comprehensive analysis with special emphasis on options that enhance user capabilities, maintain skill proficiencies, and reduce individual and collective training costs. The Program Manager will develop training system plans that consider the use of new learning techniques, simulation technology, embedded training and distributed learning, and instrumentation systems that provide “anytime, anyplace” training and reduce the demand on the training establishment. Where cost effective and practical, the Program Manager will use simulation-supported embedded training, and the training systems will fully support and mirror the interoperability of the operational system in accordance with DoD Directive 1322.18 (Reference (bo)).

f. Safety and Occupational Health. The Program Manager will ensure that appropriate HSI and environmental, safety, and occupational health efforts are integrated across disciplines and into systems engineering to determine system design characteristics that can minimize the risks of acute or chronic illness, disability, or death or injury to operators and maintainers; and enhance job performance and productivity of the personnel who operate, maintain, or support the system.

g. Force Protection and Survivability. The Program Manager will assess risks to personnel and address, in terms of system design, protection from direct threat events and accidents (such as chemical, biological, and nuclear threats). Design consideration will include primary and secondary effects from these events and consider any special equipment necessary for egress and survivability.

Change 10, 12/31/2020 ENCLOSURE 8 21

ENCLOSURE 8

AFFORDABILITY ANALYSIS AND INVESTMENT CONSTRAINTS

Enclosure 8 was removed through formal coordination and approval of Reference (dc); necessary

Change 10, 12/31/2020 ENCLOSURE 9 22

ENCLOSURE 9

ANALYSIS OF ALTERNATIVES (AOA)

Enclosure 9 was removed through formal coordination. Necessary information can be found in Reference (bp) or in the Defense Acquisition Guidance.

Change 10, 12/31/2020 ENCLOSURE 10 23

ENCLOSURE 10

COST ESTIMATING AND REPORTING

Enclosure 10 was removed through formal coordination. Necessary information is available in Reference (w).

Change 10, 12/31/2020 ENCLOSURE 11

ENCLOSURE 11

REQUIREMENTS APPLICABLE TO ALL PROGRAMS CONTAINING

INFORMATION TECHNOLOGY (IT)

Enclosure 11 was removed through formal coordination and approval of Reference (da);

Change 10, 12/31/2020 ENCLOSURE 12

ENCLOSURE 12

URGENT CAPABILITY ACQUISITION

Enclosure 12 was removed through formal coordination and approval of Reference (de);

Change 10, 12/31/2020 ENCLOSURE 13 26

ENCLOSURE 13

CYBERSECURITY IN THE DEFENSE ACQUISITION SYSTEM

Enclosure 13 was removed through formal coordination and approval of References (db) and (dh); necessary information can be found in those issuances.

Change 10, 12/31/2020 GLOSSARY 27

GLOSSARY

A complete Glossary of acquisition terms and common acquisition acronyms is maintained on the Defense Acquisition University website (Reference (ce)). The DAU Glossary (Reference (cf)) may be found at https://dap.dau.mil/glossary/Pages/Default.aspx.

INSTRUCTION