Attachment_8,_ATEC_Regulation_73-1_System_Test_and_Evaluation_Policy.pdf

ATEC Regulation 73-1

Test and Evaluation

System Test and Evaluation Policy

Headquarters US Army Test and Evaluation Command Aberdeen Proving Ground, MD 22 March 2013

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SUMMARY of CHANGE

Army Test and Evaluation Command (ATEC) Regulation 73-1 System Test and Evaluation Policy

This revision dated 22 March 2013—

• Incorporates changes reflecting Phase I of the ATEC re-organization effort and the disestablishment of the US Army Developmental Test Command.

• Incorporates changes resulting from the Base Realignment and Closure 2005.

• Updates policy and figures to reflect the name changes of many T&E planning and reporting documents.

• Removes policy regarding Combined Test Organization/Combined Test Team.

• Removes policy regarding Rehearsal of Concept drills.

• Incorporates the policies and responsibilities from the US Army Developmental Test

Command Regulation 73-1 and policy bulletins.

• Incorporates new policy on Developmental Test Final Report timelines.

• Incorporates new policy on rapid acquisition initiatives

• Incorporates new policy on ATEC System Team Product and Leads

• Incorporates new policy on provision of safety documentation and signature authorities

• Incorporates new policy on Test Concept Briefs to Director of Operational Test and

Evaluation

• Supersedes the policy portions of the following publications:

- ATEC Regulation 73-1, 16 March 2006.

- Revised Guidance for the Early Strategy Review (ESR) and for the Test Concept In- Process Review (CIPR), 23 December 2004.

- Revised Guidance for ATEC System Team (AST) Chair Tasking Authority, 23 December 2004.

- Interim Policy Guidance (IPG), 04-6, ATEC‘s Level of Involvement on Clothing and Individual Equipment (CIE) and Organizational CIE (OCIE) Programs, 23 December 2004.

- IPG 05-3, Fielding Selected Rapid Acquisition Initiatives (RAI) Programs to the Whole Army, 15 September 2005.

- IPG 07-2, Use of the US Army Materiel Systems Analysis Activity to Support ATEC Evaluations, 5 June 2007.

- IPG 07-3, Forward Operational Assessment Team, 19 Sept 2007.

- IPG 07-4, Coordination of ATEC Assessment and Evaluation Results, 28 November 2007.

- IPG 08-1, Test and Evaluation Document Name Changes, 4 April 2008.

- IPG 08-2, Release of Data, 27 May 2008.

- IPG 08-3, Reliability Test Thresholds for Engineering and Manufacturing Development and Demonstration (EMDD) Phase, 29 July 2008.

- IPG 08-4, Update on the Rapid Initiatives (RI) and Urgent Materiel Release (UMR) Process within ATEC, 25 September 2008.

- IPG 09-1, Reliability Growth Planning Methodology, 6 February 2009.

- IPG 09-3, Sustainment (Availability) Key Performance Parameter (KPP) Evaluation, 12 June 2009.

- IPG 09-5, Level of Evaluation for Non-Major Programs, 20 August 2009.

- IPG 09-6, Instrumentation in Planning and Documentation, 20 October 2009.

- IPG 09-7, Use of Model Based Data Engineering (MBDE) in ATEC, 21 October 2009.

- IPG 10-3, Capabilities and Limitations Report Staffing Process, 17 March 2010.

- IPG 10-6, ESR, CIPR, and Test and Evaluation (T&E) Concept Briefings, 27 August 2010.

- IPG 10-11, Including Developmental Test (DT) in Operational Test (OT) Readiness Reviews, 30 December 2010.

- IPG 11-4, Transmittal of ATEC Test and Evaluation Documents to the Army Test and Evaluation Office and the Director, Operational Test and Evaluation.

- Policy Bulletin (PB) 2-12, Safety Verification Document Signature Authority, Safety Verification Document Signature Authority, 17 January 2012.

- PB 3-12, Implementation of Design of Experiments Techniques for Test and Evaluation, 22 February 2012.

- Policy Bulletin (PB) 7-12, Required Distribution Statements for Release of ATEC Test and Evaluation Documents and Plans, 14 May 2012.

- PB 12-12, Coordination with Program Managers (PM)/Program Executive Offices (PEO) for Evaluation Plans and Reports, 15 June 2012.

- PB 14-12, Publishing and Release of T&E Data and Information, 24 August 2012.

- PB 19-12, Rescinding an Approved ATEC Document, 7 Sep 2012.

ATEC Regulation 73-1 • 22 March 2013

Department of the Army *ATEC Regulation 73-1 United States Army Test and Evaluation Command (ATEC) 2202 Aberdeen Boulevard Aberdeen Proving Ground, MD 21005-5001

Test and Evaluation

SYSTEM TEST AND EVALUATION POLICY

History. This regulation was last revised on 16 March 2006.

Summary. This regulation promulgates US Army Test and Evaluation Command’s (ATEC) policies for test and evaluation (T&E) of Army materiel and information technology systems.

ATEC exercises overall management of assigned T&E programs. This regulation addresses guidance for developmental testing (DT), operational testing (OT), integrated testing, and system evaluation. Department of the Army (DA) officials use ATEC products (plans and reports) described in this regulation as input to acquisition decisions. This regulation supersedes ATEC Regulation 73-1, dated 16 March 2006.

Applicability. This regulation applies to the US Army Operational Test Command (OTC), US Army Evaluation Center (AEC), ATEC test centers, and Headquarters (HQ) ATEC.

Army Management Control Process. This regulation contains management control provisions and provides a Management Control Evaluation Checklist in Appendix D.

Supplementation. Supplementation of this regulation is authorized. When supplements are approved and issued by OTC, AEC, or ATEC test centers, one copy of each supplement will be furnished to HQ ATEC G-9 Directorate (CSTE-TM).

Suggested Improvements. The proponent for this regulation is HQ ATEC G-9 Directorate, Test Management Directorate. Users are invited to send comments and suggested improvements on DA Form 2028 (Recommended Changes to Publications and Blank Forms) through the chain of command to Commander, ATEC, (CSTE-TM), 2202 Aberdeen Boulevard-Third Floor, Aberdeen Proving Ground, Maryland 21005-5001.

Distribution: OTC, AEC, ATEC test centers, and HQ ATEC.

FOR THE COMMANDER:

OFFICIAL: KAREN L. TAYLOR

Chief of Staff

JUDITH M. MATTHEWS

Secretary of the General Staff

ATEC Regulation 73-1 • 22 March 2013 2

Contents

Chapter 1 Introduction

1-1. Purpose 1-2. References 1-3. Explanation of Abbreviations and Terms 1-4. Responsibilities 1-5. Policy Basis for T&E 1-6. ATEC Mission 1-7. ATEC Organization 1-8. Fundamental ATEC T&E Policy

Chapter 2 Responsibilities

Section I Headquarters, ATEC Staff Elements

2-1. Commanding General (CG) 2-2. Executive Technical Director/Deputy to the Commander 2-3. Chief of Staff 2-4. Chief Counsel 2-5. Secretary of the General Staff (SGS) 2-6. Public Affairs Officer (PAO) 2-7. Joint Test and Evaluation (JTE) Director 2-8. G-1 – Personnel 2-9. G-2/3/7 – Intelligence, Operations, and Training 2-10. G-4 – Engineering, Logistics, and Environment 2-11. G-5 – Command Initiatives and Analysis 2-12. G-6 – Information Management 2-13. G-8 – Resource Management 2-14. G-9 – Test Management

Section II Commanders/Director of AEC, OTC, and ATEC Test Centers

2-15. Commanders/Director of AEC, OTC, and ATEC Test Centers 2-16. Director, Army Evaluation Center (AEC) 2-17. Commanding General, U.S. Army Operational Test Command (OTC) 2-18. Commanders, Test Centers

Section III ATEC System Team (AST)

2-19. AST Chair 2-20. AST Members

Chapter 3 T&E in Support of Army Acquisition

ATEC Regulation 73-1 • 22 March 2013 3

Section I Defense Acquisition Management System (DoD 5000 series)

3-1 Overview 3-2. ATEC Traditional T&E Process 3-3. Rapid Acquisition Initiatives (RAI) and Urgent Materiel Release (UMR) 3-4. Forward Operational Assessment (FOA) Team 3-5. ATEC’s Support to Capabilities Development for Rapid Transition (CDRT) 3-6. Agile Process 3-7. Programs that Deviate from the Defense Acquisition Framework

Section II Early T&E Involvement

3-8. Overview 3-9. ATEC System Team (AST) 3-10. Determining Program Capability and Requirements Testability 3-11. Provide T&E Input to Program’s SOW, RFP, or Purchase Description 3-12. Participating in Program Source Selection 3-13. T&E Working Group Participation

Chapter 4 Integrated Test and Evaluation (T&E) Planning

4-1. Overview

Section I Developing an Integrated T&E Strategy

4-2. Developing the Evaluation Determination Matrix (EDM) 4-3. Conduct ESR 4-4. Conduct CIPR 4-5. Develop a Reliability, Availability, and Maintainability (RAM) Program 4-6. Sustainment Key Performance Parameter

Section II Developing T&E Inputs and Documents for Acquisition Decision Makers

4-7. Provide Input to the TEMP 4-8. Develop SEP

Section III Planning for Data Collection Events

4-9. Test Concept Brief (TCB) to Director of Operational Test and Evaluation (DOT&E) 4-10. Developing a Test Resource Plan (TRP) 4-11. Developing an OTA TP 4-12. Develop Detailed Test Plans 4-13. Develop the Evaluation Decision Review (EDR) 4-14. Conduct TRRs

Chapter 5 Integrated Test and Evaluation (T&E) Execution and Data Management

ATEC Regulation 73-1 • 22 March 2013 4

Section I Integrated T&E Execution

5-1. Overview 5-2. Contractor Testing 5-3. Developmental Testing (DT) 5-4. Executing Combined DT/OT 5-5. Executing Integrated DT/OT 5-6. Operational Testing (OT) 5-7. Conducting Reliability, Availability, and Maintainability (RAM) Data Collection and Scoring 5-8. Use of Contractors in Support of DT and OT

Section II Data Management

5-9. Event-Level Data Management Tasks 5-10. System-Level Data Management Tasks 5-11. Data Release 5-12. Distribution Statements for ATEC Documents

Chapter 6 Integrated Test and Evaluation (T&E) Reporting

6-1. Overview

Section I Reports for Fielding, Acquisition, and Equipping Decision Makers

6-2. Operational Test Agency (OTA) Assessment Report (OAR) 6-3. OTA Milestone Assessment Report (OMAR) 6-4. OTA Evaluation Report (OER) 6-5. Safety Confirmations (SC) 6-6. OTA Follow-on Evaluation Report (OFER) 6-7. Capabilities and Limitations Report (CLR)

Section II Reports for an Integrated Data Collection Event

6-8. DT Test Reports 6-9. Interim Data Report (IDR) 6-10. Final Test Report (FTR) (Acquisition, Live Fire Test (LFT), and Non-Acquisition) 6-11. Safety Release (SR) 6-12. Abbreviated Operational Test Report (AOTR)/Operational Test Report (OTR) 6-13. Delivery of Level 3 Database 6-14. Test Incident Report (TIR)

Section III Reports for Other Testing/Methodology Studies

6-15. Test/Event Record (Non-Acquisition)

ATEC Regulation 73-1 • 22 March 2013 5

6-16. Test Center Safety Recommendations 6-17. Safety Assessment Documents for Non-Army Programs 6-18. Technical Notes

Appendix A References Appendix B ATEC System Team (AST) Products and Leads Appendix C ATEC Product Approval Guidelines Appendix D Management Control Evaluation Checklist

Glossary Section I Acronyms Section II Terms

Table List

Table 4-1. ATEC DT Test Plans Table 5-1. Authorized Distribution Statements ………….……………………………………. 62 Table 6-1. ATEC DT Test Reports……………………….……………………………………. 67 Table 6-2. Safety Assessment Document Signature Authority………………………………... 72

Figure List

Figure 4-1. Collaborative T&E Strategy Development

Chapter 1 Introduction

1-1. Purpose.

This regulation establishes ATEC policies and responsibilities for T&E of all systems developed and managed under Army Regulation (AR) 70-1 and tested under AR 73-1. ATEC Pamphlet 73-1 outlines the common procedures and processes that are used to implement the policies contained in this regulation.

1-2. References.

References are listed in Appendix A.

1-3. Explanation of Abbreviations and Terms.

Abbreviations and terms used in this regulation are spelled out in the glossary. Most abbreviations are spelled out on their first occurrence in each chapter. Many commonplace abbreviations such as US, ATEC, OTC, and AEC are only spelled out on the first occurrence.

ATEC Regulation 73-1 • 22 March 2013 6

1-4. Responsibilities.

Responsibilities are listed in Chapter 2.

1-5. Policy Basis for T&E.

a. The ATEC T&E mission areas stem from statutory requirements stated in Title 10 United States Code.

b. The policies and responsibilities described in this regulation are based on Chairman of the Joint Chiefs of Staff Instruction 3170.01, Joint Capability Integration and Development System Manual, Department of Defense (DOD) Directive (DODD) 5000.01, and DOD Instruction (DODI), 5000.02; AR 73-1; and on other Army policies listed in Appendix A.

1-6. ATEC Mission.

ATEC is a direct reporting unit (DRU) under the Office of the Chief of Staff of the Army per AR 10-87, Army Commands, Army Service Component Commands, and Direct Reporting Units, dated 4 September 2007 and by Department of the Army (DA) General Order 2006-13. ATEC’s mission is to plan, integrate, and conduct experiments, developmental testing (DT), Live Fire T&E (LFT&E), independent operational testing (OT), and independent evaluations and assessments to provide essential information to fielding, acquisition and equipping decision makers and commanders.

1-7. ATEC Organization.

a. ATEC is composed of a HQ located at Aberdeen Proving Ground (APG), Maryland, the US Army Evaluation Center (AEC), the US Army Operational Test Command (OTC) and six test centers.

b. HQ, AEC is located at APG, Maryland. AEC provides integrated T&E management and executes independent materiel evaluations and assessments to determine effectiveness, suitability and survivability (ESS) for all assigned acquisition programs.

c. HQ, OTC is located at Fort Hood, Texas. OTC conducts testing of systems in a realistic operational environment using Military Occupational Specialty-Qualified Soldiers.

d. ATEC operates six subordinate test centers throughout the US providing the full spectrum of arctic, tropic, desert and other environments under natural or precisely controlled conditions.

The test centers are responsible for the planning, execution and reporting of DT for all Army acquisition systems.

(1) US Army Aberdeen Test Center, APG, Maryland.

(2) US Army Electronic Proving Ground, Fort Huachuca, Arizona.

ATEC Regulation 73-1 • 22 March 2013 7

(3) US Army Redstone Test Center, Redstone Arsenal, Alabama.

(4) West Desert Test Center, US Army Dugway Proving Ground, Utah.

(5) White Sands Test Center, US Army White Sands Missile Range, New Mexico.

(6) US Army Yuma Proving Ground, Arizona, with subordinate elements at:

(a) Yuma Test Center, Yuma Proving Ground, Arizona

(b) Cold Regions Test Center, Fort Greely, Alaska.

(c) Tropic Regions Test Center, Schofield Barracks, Hawaii, Suriname, Honduras, and Panama.

1-8. Fundamental ATEC T&E Policy.

The following paragraphs contain the fundamental statements of ATEC T&E policies. The remainder of this regulation provides specific ATEC policy for implementation.

a. The Chain of Command at the various organizational levels within ATEC will be responsible for successfully accomplishing the ATEC T&E mission.

(1) AEC will use data from all relevant sources to produce safety confirmations (SCs) and integrated evaluations and assessments of acquisition programs, Rapid Acquisition Initiatives (RAIs), and Systems Under Evaluation (SUE) in support of milestone (MS) decisions, full-rate production (FRP) decisions, fielding, equipping, and other key acquisition events.

(2) AEC will manage the DT of acquisition, RAI, and SUE programs in support of evaluation and provide safety releases (SRs) for Soldier testing and training.

(3) AEC will produce SR recommendations (SRRs) and SC recommendations (SCRs) in support of DOD and Military Services other than the Army.

(4) ATEC G-9 Test Management Directorate will provide project management for efforts assigned to test centers that are not assigned to an AEC Directorate.

(5) OTC will plan, conduct, and report on the OT and observe and report on DT for ATEC and other customers according to their requests.

b. ATEC will accomplish its T&E mission by integrating tests and evaluations from contractor, Materiel Developer (Project Manager (PM)), ATEC test centers, OTC, and other relevant events (e.g., Agile Process, exercises, etc.). AEC will ensure the evaluation plan accounts for both system and system of systems (SoS) levels. The evaluation plan will identify all of the essential issues to be assessed and evaluated, and the data required to answer the essential issues. The plan will be coordinated with the T&E Working level Integrated Product

ATEC Regulation 73-1 • 22 March 2013 8

Team (WIPT) and approved by the Commanding General, ATEC for Office of the Secretary of Defense (OSD) oversight systems and the Director, AEC for non-oversight systems.

c. In developing integrated T&E strategies and plans, ATEC will use integrated and combined DT/OT, where appropriate.

d. ATEC T&E will fully consider all applicable assets within the command in designing T&E plans, such as ATEC test ranges and facilities, field engineering expertise, modeling and simulation (M&S) capabilities, resources, natural operating environments (climate and terrain), and instrumentation. ATEC will also consider external assets such as the US Army Public Health Command, manpower and personnel integration, and M&S support provided to ATEC by the US Army Research Laboratory (ARL), Human Research and Engineering Directorate (HRED) and the analytical support provided by the US Army Materiel Systems Analysis Activity (AMSAA).

e. ATEC will evaluate systems in a realistically representative operating environment based on the system’s operational mode summary/mission profile. For many systems, this is a SoS or a Joint environment. The command will accomplish this by determining capabilities and limitations at multiple levels of complexity starting with the individual system or its major subsystems and culminating with a synergistic evaluation of the system’s contribution to a unit’s mission.

f. ATEC personnel will use AR 381-11, and DA Pamphlet 73-1, Appendix Z, as guidance to ensure the appropriate threat portrayal in all test events. T&E personnel must coordinate with the ATEC G-9 personnel as well as the US Army Training and Doctrine Command (TRADOC) Deputy Chief of Staff for Intelligence, Fort Leavenworth, Kansas, and the DA G-2 to ensure that the threat represented in T&E conforms to the approved threat and that threat test documents are prepared in a timely manner.

g. ATEC will form an ATEC System Team (AST) for all OSD T&E oversight programs, non-oversight acquisition programs, RAIs, and SUEs to ensure the integrated coordination of all actions related to a system’s T&E. The AST is responsible for developing and coordinating the integrated T&E program and for providing a focal point for outside agencies dealing with ATEC regarding that system. ASTs are formed and the AST Chairs are assigned to AEC or OTC based on mission analysis performed by ATEC G-9. Only a single ATEC position on any given issue should be represented to outside organizations.

h. ATEC will conduct Early Strategy Reviews (ESRs) and T&E Concept In-Process Reviews (CIPRs) to provide guidance in support of the development of both the Test and Evaluation Master Plan (TEMP) and the system-level evaluation plans. ATEC will not approve a system evaluation plan (SEP) until the system has successfully completed an ESR and a CIPR, all issues raised at the ESR and CIPR have been resolved, and the SEP has been staffed with AEC, OTC, and applicable Test Centers and coordinated with the PM. The ESR and the CIPR may be conducted concurrently.

ATEC Regulation 73-1 • 22 March 2013 9

i. ATEC will develop an integrated evaluation strategy, which will include the required data needed to evaluate the system’s safety, compliance with the system’s capability documents (Initial Capabilities Document (ICD), Capabilities Development Document (CDD), and Capabilities Production Document (CPD)), technical performance, and operational ESS. ATEC will also develop an integrated T&E plan that will identify all relevant data collection events, and then select the optimal number and types of data collection events necessary to generate the required data to support the overarching system evaluation.

j. As part of ATEC’s integrated T&E strategies and plans, ATEC will identify if and when live, virtual, and constructive (LVC) means are appropriate to support test planning, enhance instrumentation, serve as a test driver, and serve as an additional source of data for evaluation of the system. LVC means will be utilized as much as possible to conserve valuable resources during test conduct, fill data voids, and to support sensitivity analysis. However, the T&E strategy and plans must include data collected through actual testing to proceed beyond low rate initial production (LRIP) and may not be entirely supported by computer-based M&S. The AST will follow the policy and guidance provided in AR 5-11, DA Pamphlet 5-11, ATEC Regulation 73-21 and ATEC Pamphlet 73-21 for the verification, validation and accreditation (VV&A) of M&S used to support AEC evaluations.

k. ATEC will use design of experiments (DOE) principles and techniques at all stages of the integrated T&E planning process for all OSD T&E oversight programs. The use of DOE is recommended for non-oversight programs.

l. Integrated T&E goes beyond answering technical issues. ATEC will conduct integrated T&E to learn and understand what the acquisition team needs to know about system capabilities and limitations. ATEC will also test to learn where the PM needs to focus to deal with the most important system challenges. ATEC will evaluate a system to provide the acquisition team with a valuable understanding of the safety, standards compliance, technical performance and operational ESS of a system in accomplishing the supported mission(s) within the intended operational environment(s).

m. ATEC will chair and conduct the Test Schedule and Review Committee to provide Army-level centralized management of resources for OT, force development test and/or experimentation (FDT/E), and troop support for DT.

n. AEC, OTC, and ATEC Test Centers will fully document all of their plans and reports as they accomplish their integrated T&E mission. The primary planning document is the SEP.

Using the SEP as a guide, OTC prepares the Operational Test Agency (OTA) Test Plan (OTA TP), AEC prepares the OTA TP for LFT&E events, and ATEC Test Centers will prepare DT Detailed Test Plans (DTPs). AEC will prepare an OTA TP for Live Fire T&E and integrated T&E programs on OSD oversight. The principal ATEC products generated from integrated T&E activities are the OTA Milestone Assessment Report (OMAR), OTA Evaluation Report (OER), or the OTA Follow-on Evaluation Report (OFER). The OMAR is provided to the decision-maker at MS B and C while the OER is provided at the FRP decision. At other key points, an OTA Assessment Report (OAR) may be prepared. A Capabilities and Limitation Report (CLR) will be prepared to support RAI or other non-traditional acquisition assessments. Formats are

ATEC Regulation 73-1 • 22 March 2013 10 provided in ATEC Pamphlet 73-1 and are adaptable to encourage creativity and to provide flexibility for the wide spectrum of systems that ATEC tests and evaluates.

o. All ATEC prepared evaluation and assessment documents, to include plans and reports (for example SEPs, OMARs, OARs, OERs, CLR, High and Serious Risk SCs, etc.), as well as Forward Operational Assessment Reports (FOARS), must be coordinated with the PM or test sponsor prior to ATEC approval. Excluded from this policy are OTC test plans and operational test reports. Coordination with the PM does not constitute an opportunity for concurrence/non-concurrence, however, the PM shall be granted no more than 10 working days (five working days for FOARs and CLRs), concurrent with AST review, to review documents in draft form and provide their input before final approval and publication.

p. Disclosure of ATEC prepared plans and reports (e.g., SEPs, OMARs, OARs, OERs, CLRs, safety releases, safety confirmations, etc.) or information contained in the reports (this includes data that is marked “preliminary” or “draft”) to any persons without a need-to-know may severely compromise the ATEC mission. Due to the sensitivity of the data and information contained in ATEC plans and reports, ATEC employees will not release any information without first becoming familiar with policy on data release outlined in Chapter 5.

q. All ATEC T&E efforts will be documented in ATEC enterprise management systems to include the ATEC Decision Support System (ADSS), Versatile Information Systems Integrated On-Line (VISION) Digital Library System (VDLS), and ADSS-Project Management Module (ADSS-PMM). This will include all AST products as listed in Appendix B, to include plans and reports, safety assessments, evaluations and briefings, as well as signed official cost estimates.

r. Execution of any test effort with ATEC institutional funds is prohibited without prior documented approval. Prior to executing or extending a test without customer funding, Test Centers and OTC must have a commitment in writing from the customer responsible for the program. This commitment is to include the agreed upon scope of the test (or remaining scope if extending an existing effort) along with the dollar amount being committed. Prior approval is required from the ATEC Chief of Staff to utilize institutional funds for any testing effort, including RAI efforts, when customer funding has not been provided. This does not apply to evaluated OT efforts.

s. Test Centers must advise the Executive Technical Director and AEC Test Manager of any potential show-stopper issues which may impact the conduct of a Test Readiness Review or test execution prior to notifying the customer.

t. Test projects will be assigned in accordance with the test center 10-series mission and major capabilities regulations. The test centers are only authorized to accept projects within their primary (P), reinforcing (R), or supplemental one (S1) capabilities. A request for exception must be approved by the ATEC Executive Technical Director (ETD) or designee in order to assign a project with an unassigned capability area.

u. All integrated T&E plans will consider the safety and well being of all personnel during the conduct of any data collection event. Safety risks and safety risk mitigations will be identified and broadly documented in OTA TPs and included in OT DTPs. An approved Safety

ATEC Regulation 73-1 • 22 March 2013 11

Release is required prior to any hands-on training, testing, use, or maintenance by non-test certified Soldiers using the system under test. ATEC will comply with Army and DOD approved Assurance requirements regarding Human Research Protection Program (HRPP).

v. Reliability, Availability, and Maintainability (RAM) data will be primarily obtained from government DT and OT. Secondary sources for RAM data may include PM-sponsored contractor testing, and analytical studies, models, simulation, and other sources.

w. The AST will follow the policy and guidance provided in ATEC Regulation 70-15 for the acquisition and management of ATEC test technology systems. Future development efforts must align with ATEC Regulation 70-15 in order to obtain funding. An ATEC enterprise approach will be used in order to avoid duplication and ensure efficient use of ATEC resources.

x. ATEC allows the use of other Army agencies to provide evaluation support, such as Medical Command, Research, Development and Engineering Command (RDECOM), and Surface Deployment and Distribution Command. By agreement between the US Army Materiel Command (AMC) and ATEC, data analysis support is provided by AMSAA, ARL HRED, and ARL Survivability/Lethality Analysis Directorate.

Chapter 2 Responsibilities

Section I Headquarters, ATEC Staff Elements

2-1. Commanding General (CG)─

The ATEC CG will:

a. Approve requirements for RAM data collection beyond the standard level for specific OSD T&E oversight program operational tests.

b. Approve the SEP, OTA Assessment Report (OAR), OMAR, OER, and OTA Follow-on Evaluation Report (OFER) and concur with the T&E Master Plan (TEMP) for all ACAT I and OSD T&E oversight programs.

c. Approve the CLR for RAIs and SUEs.

d. Chair operational test readiness reviews (OTRRs) for ACAT I and OSD T&E oversight programs, unless delegated.

e. Chair the General Officer Test Schedule and Review Committee (TSARC).

f. Approve the ATEC recommended materiel release levels and provide the recommendation to the Materiel Release Review Board (MRRB) for ACAT I and OSD T&E oversight programs.

ATEC Regulation 73-1 • 22 March 2013 12

2-2. Executive Technical Director/Deputy to the Commander─

The ATEC Executive Technical Director (ETD) will:

a. Provide oversight of T&E planning, execution, and reporting.

b. Recommend approval or disapproval of T&E documents requiring ATEC CG approval.

Approve T&E documents when designated by the ATEC CG.

c. Chair OTRRs when requested by ATEC CG.

d. Chair the ESRs/CIPRs for all OSD T&E oversight programs and all T&E Concept Briefs.

e. Maintain oversight on status of T&E documents using management tools provided by

ADSS.

f. Serve as the ATEC Designated Acquisition Authority and establish Defense Information Assurance Certification and Accreditation Process policies and procedures for Test Ranges, instrumentation and other networked systems in support of T&E.

g. Serve as the Standardization Executive for the Environmental area of the Defense Standardization Directory, SD-1 and DOD 4120.24-M.

2-3. Chief of Staff─

The ATEC Chief of Staff will:

a. Coordinate all staff actions that support accomplishing the ATEC T&E mission.

b. Ensure policies, directions, and orders from ATEC CG are executed.

c. Approve special requests for testing which occur prior to receipt of customer funds.

2-4. Chief Counsel─

The ATEC Chief Counsel will:

a. Provide guidance on the application of Title 10, United States Code and other statutes and regulations to Army T&E.

b. Provide guidance, in coordination with legal counsel, for servicing Army Contracting Command and Mission Installation Contracting Command support offices, on the application of Federal Acquisition Regulation, Subpart 9.5, and DFARS, Subparts 209 and 252, to situations involving potential organizational conflicts of interest in the use of support contractors during ATEC T&E activities.

ATEC Regulation 73-1 • 22 March 2013 13

2-5. Secretary of the General Staff (SGS)─

a. Develop, coordinate, and implement ATEC policies on automation, communications, record management, printing and publications, library management, and visual information support to the ATEC T&E mission.

b. ATEC SGS will serve as the Freedom of Information Act (FOIA) Officer and will review all T&E information for release under FOIA.

2-6. Public Affairs Officer (PAO)─

The ATEC PAO will:

Provide guidance on the release of information that pertains to military matters, national security issues, or subjects of significant concern to DOD. This includes all T&E information requested by the public, media, members of Congress and their staff, and other government agencies.

2-7. Joint Test and Evaluation (JTE) Director─

The JTE Director will manage Army support of the Joint T&E Program.

2-8. G-1, Directorate for Personnel─

The ATEC G-1 will manage human resource programs within ATEC to adequately support the T&E mission.

2-9. G-2/3/7, Directorate for Intelligence, Operations, and Training─

The G-2/3/7 will:

a. Lead the Human Research Protection Program (HRPP) process for ATEC.

b. Provide staff oversight on aviation support issues concerning ATEC conducted DT and

OT.

c. Manage security operations supporting ATEC T&E and base operations.

d. Provide oversight to ATEC activities regarding compliance with applicable safety regulations and policies.

e. Notify the proponent of the requirement to provide written security classification guidance and foreign instructions for proposed systems to be tested/evaluated.

f. Oversee establishment and staffing of ATEC Forward Operations Assessment (FOA) Team.

ATEC Regulation 73-1 • 22 March 2013 14

g. Post FOA team products to the ATEC Overseas Contingency Operations (OCO) site on the Secret Internet Protocol Router Network (SIPRNET).

2-10. G-4, Directorate for Engineering, Logistics, and Environment─

The ATEC G-4 will:

a. Provide oversight to ATEC T&E activities regarding compliance with applicable environmental laws and regulations.

b. Provide direct reporting unit - level management and command oversight for HQs ATEC, AEC, OTC, and ATEC Test Center logistics operations and programs involving, maintenance, equipment, transportation, and supply (to include ammunition) management. Consolidates T&E ammunition requirements and represents the T&E community at DA Total Army Ammunition Authorization/Allocation Conference.

c. Implement the Sustainable Range Program at ATEC activities in accordance with AR 350-

19. Provide policy, guidance and oversight to Sustainable Range Program activities.

d. Coordinate the approval for the use of relocatable buildings for test activities.

2-11. G-5, Directorate for Command Initiatives and Analysis─

The ATEC G-5 will serve as the Command’s primary liaison and POC to external audit agencies (e.g., Army Audit Agency, DOD Inspector General (IG), US Government Accountability Office (GAO)) or any federal or non-federal entity related to any ATEC T&E program from the time the audit or review is announced until the official Army position is established with the audit agency’s release of its final report.

2-12. G-6, Directorate for Information Management─

The ATEC G-6 will:

a. Provide guidance to instrumentation programs that use information management hardware and software, as well as data management.

b. Develop and manage the ATEC Enterprise system and its individual components (ADSS, Versatile Information Systems Integrated On-Line (Vision) Digital Library System (VDLS), Project Management Module (PMM), etc.)

2-13. G-8, Directorate for Resource Management─

The ATEC G-8 will:

a. Manage and administer T&E funding programs.

ATEC Regulation 73-1 • 22 March 2013 15

b. Program and budget funds to support T&E from the year of execution through the end of the Program Objective Memorandum cycle.

c. Manage the manpower authorizations within ATEC to adequately support the T&E mission.

2-14. G-9, Directorate for Test Management─

The ATEC G-9 will:

a. Manage T&E early involvement through a dedicated Liaison Office (LNO) structure.

b. Through the Policy and Methodology Division:

(1) Document and promulgate T&E policy.

(2) In conjunction with AEC, OTC and ATEC Test Centers, develop T&E methods, procedures, and tools to improve ATEC T&E processes.

(3) Provide scientific, technical, and policy advice to the ATEC Command and workforce on T&E matters.

(4) Manage technical content for the T&E Basic Course.

c. Through the Test Technology Division:

(1) Manage the ATEC Modeling and Simulation (M&S) and Common Instrumentation program. Coordinate and promulgate ATEC policies for the development and use of modeling, simulation, stimulation, and instrumentation in support of T&E. Additional information is provided in ATEC Regulation 70-15.

(2) Support verification, validation and accreditation (VV&A) of M&S capabilities used to support T&E activities. Additional information is provided in ATEC Regulation 73-21.

(3) Support certification of instrumentation used to collect T&E data. Additional information is provided in Army Pamphlet 73-1.

(4) Manage the ATEC threat program.

(a) Support the validation and accreditation of threat targets (actual threat systems, surrogates, integrated and add-on stimulators, and virtual) and of threat simulators (actual threat systems, surrogates, simulators, and stimulators), and the VV&A of threat portrayal in M&S.

(b) Review T&E Strategies (TESs), TEMPS, SEPs, and OTA TPs for threat adequacy, consistency, and realism and provide comments to the AST chair.

ATEC Regulation 73-1 • 22 March 2013 16

d. Through the Range Infrastructure Division:

(1) Manage the development and coordination of Test Operations Procedures (TOPs), International Test Operations Procedures (ITOPs), North Atlantic Treaty Organization (NATO) Standardization Agreements (STANAGs), and Military Standards (MIL-STDs) to standardize and ensure consistency of test processes.

(2) Support the evolution of T&E by recommending and overseeing investments in current and future test technologies.

(3) Manage test capability data (description, requirements, and costs) in the Technology Development and Acquisition Program and the Army Test Facilities Register.

(4) Validate test instrumentation requirements.

(5) Manage the Environmental area of the Defense Standardization Program on behalf of the Standardization Executive (ATEC ETD) and in accordance with SD-1 and DOD 4120.24-M.

e. Through the Business Management Division:

(1) Coordinate, plan, and conduct the TSARC, including Test Resource Plans (TRPs) submissions. Chair the associated working-level TSARC.

(2) Serve as the proponent for the development, upgrade, maintenance, and use of the ADSS program.

(3) Serve as initial POC for other Services/Agencies/Industry requesting ATEC’s T&E services.

(4) Generate the initial ADSS system shell for each system.

(5) Post CLR and Safety Confirmation (SC) documents to the ATEC Overseas Contingency Operations (OCO) site on SIPRNET.

f. Through the Test Operations Division:

(l) Provide project management for efforts assigned to test centers that are not assigned to an AEC Directorate.

(2) Conduct and document mission analysis and provide tasking memos for assignment of test programs andATEC System Teams (ASTs).

ATEC Regulation 73-1 • 22 March 2013 17

Section II Commanders/Director of AEC, OTC, and ATEC Test Centers

2-15. Commanders/Director of AEC, OTC, and ATEC Test Centers

Commanders/Director of AEC, OTC, and ATEC Test Centers will:

a. Provide AST members and Chairs as required in accordance with the ATEC tasking.

b. Empower AST members with the broadest scope of authority possible, and ensure that the scope is mutually understood.

c. Review quality and timeliness of input and/or products.

d. Support the ATEC enterprise management systems. Ensure that ADSS/PMM is kept current and documents stores in VDLS.

e. Use ADSS PMM for developing and updating cost estimates (when available).

f. Ensure that AST participation is a priority task for the AST members; resolve workload conflicts and priorities.

g. Ensure AST members function within the coordinated single position of the AST.

h. In accordance with ATEC Regulation 70-15, manage the development of ATEC M&S and instrumentation projects.

i. In accordance with ATEC Regulation 73-21, use an integrated approach to assure technical readiness of M&S and instrumentation supporting T&E; the approach includes verification and validation, certification (instrumentation), and accreditation.

j. Support DOD and DA science and technology programs.

k. Be responsible for the ATEC System Safety and Facility Safety Program.

2-16. Director, US Army Evaluation Center (AEC)

In addition to the Commander/Director responsibilities in paragraph 2-13, the AEC Director will:

a. Perform the duties of system evaluator for all systems assigned to AEC.

(1) Coordinate with the appropriate system Program Executive Officer (PEO) or proponent prior to sending the ATEC assessment report, evaluation report, or CLR to the ATEC CG for signature on OSD oversight and RAI programs. Coordination by the appropriate Evaluation Director with the PM is sufficient for non-OSD oversight systems, prior to the AEC Director’s signature.

ATEC Regulation 73-1 • 22 March 2013 18

(2) Execute the ATEC continuous evaluation mission.

(3) Chair the Evaluation Decision Review (EDR) for OSD T&E oversight programs prior to OTRR 2, and report results to the OTRR Chair.

(4) Prepare ATEC evaluation briefings, assessments and evaluation reports with the assistance of AST members.

(5) Provide a memorandum stating the ATEC position on the type of materiel release being recommended to the Materiel Release Review Board (MRRB) for all programs.

(6) Coordinate with the T&E Working-level Integrated Product Team (WIPT) to develop an Engineering and Manufacturing Development (EMD) reliability threshold for all systems.

(7) Designate the AEC Directorate Director for chairing the ESR and CIPR for non-oversight programs.

(8) Approve T&E concept briefings for RAI programs unless delegated to an AEC Evaluation Director.

(9) Provide the Accreditation Authority Officer (AAO) if a common M&S tool is used to support DT/OT and evaluation.

b. Perform the duties of developmental test manager for all test projects assigned to AEC.

(1) Ensure the testing is assigned in accordance with the ATEC Test Center 10-series regulations.

(2) Prepare a test directive prior to activating test projects in ADSS that identifies specific test requirements including the type of test report.

(3) Promote the use of ATEC test facilities and capabilities to the T&E Working-level Integrated Product Team (WIPT) to ensure that test planning takes full advantage of existing DOD investments in accordance with DOD and Army policy.

(4) Provide safety releases in a timely manner before a system is used for testing, training, maintenance, or demonstrations by non-test certified Soldiers. Provide safety release recommendations (SRR) before a system is used for testing, training, maintenance, or demonstrations by Soldiers, Sailors, Airmen, or Marines for events not conducted by the Army.

(5) Provide safety confirmations for milestone decision reviews (MDRs), materiel release decisions, equipping and fielding decisions. Provide safety confirmation recommendations (SCR) in support of materiel release or fielding for services other than the Army, such as US Special Operations Command (SOCOM) and FMS.

ATEC Regulation 73-1 • 22 March 2013 19

(6) Provide concurrence on all ATEC Test Center DTPs and reports supporting acquisition-evaluated and RAI projects.

(7) Provide concurrence on all ATEC Test Center’s cost estimates before releasing to PMs for all acquisition, evaluated, and RAI projects.

(8) Review contractor test plans in support of evaluations and assessments. Provide recommendations to improve test design and enable use of the data for government evaluation.

c. Research, develop, and acquire needed analysis and evaluation capabilities and methodologies.

d. Perform independent logistics supportability evaluations in accordance with AR 700-127 and report them to the Assistant Secretary of the Army for Acquisition, Logistics, and Technology (ASA(ALT)).

e. Approve evaluation planning and reporting documents in accordance with this regulation.

The AEC Director will inform ATEC CG, the ATEC ETD, and the Program Executive Officer for the system when approving an assessment or evaluation (OAR, OMAR, OER or OFER) with adverse findings of operational effectiveness, suitability, or survivability (ESS) or when nonconcurring on the TEMP. The AEC Director approves all evaluation plans and reports for non-oversight systems unless delegated further.

f. Oversee the development of the evaluation strategy for each system using ESRs and ensure the documentation of this strategy in the TES, TEMP and SEP.

g. Ensure the correctness and timeliness of “system” and “continuous evaluation” data in

ADSS.

h. Assist in the development and submission of TRPs to the TSARC for test events requiring resources outside ATEC.

i. Coordinate with OTC to allow earlier participation in the integrated T&E process and create opportunities for possible data re-use.

j. Identify data needed for evaluation to be included in Requests for Proposals (RFPs) and resulting vendor contracts.

k. Support the re-use of acceptable contractor data (described in paragraph 3-11) as part of the integrated T&E strategy.

l. Provide expertise on design of experiments (DOE) for all oversight programs.

m. Conduct T&E efficiency reviews.

n. Chair the ESRs/CIPRs for non-OSD oversight programs.

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2-17. Commander, US Army Operational Test Command (OTC)

In addition to the Commander/Director responsibilities in paragraph 2-13, the OTC Commander will:

a. Plan, execute, and report operational tests for systems assigned to OTC.

b. Research, develop, and acquire needed OT capabilities, methodologies, and instrumentation.

c. Provide test facilities and test expertise in support of the fielding, acquisition and equipping of Army and other defense systems and for other customers on a cost reimbursable basis.

d. Provide data collection, data reduction and data visualization support to ATEC Test Centers when requested.

e. Approve OT planning and reporting documents in accordance with guidance in this regulation.

f. Manage the operations for the ATEC FOA.

g. Develop and submit TRPs to ATEC G-9 for test events requiring test resources outside

ATEC.

h. Perform the operational tester duties for joint tests; multi-service tests; Force Development Test and/or Experimentation (FDT/E); customer tests; joint, combined, or integrated and combined DT/OT events, Urgent Materiel Releases (UMRs), and RAIs.

i. Conduct and report test results from Advanced Capabilities Technology Demonstration (ACTDs), Advanced Technical Demonstrations (ATDs), Advanced Warfighting Experiments (AWEs), and Joint Capabilities Technology Demonstrations (JCTDs) when requested by the Demonstration Manager or the US Army Training and Doctrine Command (TRADOC).

j. Conduct OTRRs, when authority is delegated by ATEC CG.

k. Develop training programs for certification of test team members.

l. Use the ATEC Enterprise RAM software, Observer Data Input Nexus (ODIN), for the collection and processing of OT RAM data and providing test incident reports to the Army Test Incident Reporting System (ATIRS).

m. Develop the OT database structure, dictionary, and linkage information in coordination with the AST and overall lifecycle system-level database requirements.

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n. Develop and populate the database using representative data and produce an authenticated level 3 database for validation of evaluation readiness by AEC. Provide level 2 data as requested in support of AEC evaluation.

o. Ensure OT documentation is reviewed by the HRPP-Human Protection Administrator (HPA), in accordance with HRPP Management Plan guidance.

p. Provide the AAO when the primary use of the M&S is OT support.

q. Serve as the overall test director for the network integration evaluation events held every six months at Fort Bliss and White Sands Missile Range and is a member of the TRIAD.

r. Will perform all associated duties of the Deployment Director in conduct of the continuous process improvement campaign.

s. Ensure OTC’s early involvement in the test and evaluation strategy development for all programs to facilitate an integrated testing strategy is formulated.

2-18. Commanders, Test Centers

Test Center Commanders will:

a. Plan, execute, and report developmental tests.

b. Research, develop, and acquire needed test capabilities and methodologies in cooperation with the AST and in accordance with ATEC Regulation 70-15 Acquisition and Management of Test Technology Assets.

c. Provide test facilities and test expertise in support of the acquisition of Army and other military services’ defense systems, other government agencies, and for other customers on a cost reimbursable basis.

d. Provide data collection, data reduction, data visualization and instrumentation support to OTC when requested.

e. Coordinate test plans and test reports for evaluated programs with the AST in AEC and, as required for non-evaluated projects , with ATEC G-9.

f. Operate and maintain the Army’s portion of the Major Range and Test Facility Base (MRTFB), except the Ronald Reagan Ballistic Missile Defense Site, in accordance with DODD 3200.11.

g. Provide recommendations for safety releases in a timely manner before a system is used for testing, training, maintenance, or demonstrations by non-test certified Soldiers.

ATEC Regulation 73-1 • 22 March 2013 22

h. Provide recommendations for safety confirmations to AEC for preparation of safety confirmations and safety confirmation recommendations.

i. Review contractor DT plans and witness contractor testing as required to ensure test procedures are properly followed and the data will be acceptable for use in evaluation.

j. Ensure DT documentation is reviewed by the HRPP HPA, as appropriate.

k. Provide the AAO when the primary use of M&S is DT support.

l. Monitor and control all activities conducted on ranges to ensure safety and security of operations.

m. Terminate, prohibit, or suspend immediately any test or activity if it would be detrimental to the public health and safety, property (either public or private), or any national security interest of the US.

n. Ensure that TCs are not competing with US private industry in providing services to commercial entities.

o. Ensure that standardized test procedures (e.g., TOPs, ITOPs, STANAGs, MIL-STDs and non-government standards) are used to the maximum extent possible to ensure consistency of test processes.

p. Ensure that the requested test/service is in accordance with the ATEC TC 10-series mission and major capabilities regulation or that a letter of exception to the 10-series is submitted and approved by the ATEC ETD.

q. Prepare the official cost estimate in ADSS PMM (when available). Coordinate cost estimate with the AST for evaluated systems. Ensure funds are received prior to execution of test efforts.

r. Ensure that all test incident reports (TIRs) are entered into the ATIRS in accordance with DA Pamphlet 73-1. Classified TIRs will be posted to Secure VDLS.

Section III ATEC System Team (AST)

The matrix at Appendix B shows the AST membership and the lead member for each of its products. The product lead will be responsible for developing, coordinating, obtaining approvals and all other efforts to complete assigned AST products.

2-19. AST Chair

The AST Chair will:

ATEC Regulation 73-1 • 22 March 2013 23

a. Serve as the T&E program manager and have ultimate responsibility to integrate all ATEC T&E activities, synchronization of all AST products, and have tasking authority for their AST members with regard to AST products.

b. Coordinate with AST members for all formal products and briefings. Set reasonable suspense dates for development and review of documents.

c. Report to multiple levels of leadership.

d. Represent the CG, ATEC on AST matters.

e…