Enclosure 12 -- Systems Engineering

1. Systems Engineering Across the Acquisition Life Cycle
2. Systems Engineering Plan
3. Systems Engineering Leadership
4. Technical Reviews
5. Configuration Management
6. ESOH
7. Corrosion Prevention and Control
8. Modular Open Systems Approach (MOSA)
9. Data Management and Technical Data Rights
10. IUID
11. Spectrum Supportability

1. SYSTEMS ENGINEERING ACROSS THE ACQUISITION LIFE CYCLE. Rigorous systems engineering discipline is necessary to ensure that the Department of Defense meets the challenge of developing and maintaining needed warfighting capability. Systems engineering provides the integrating technical processes to define and balance system performance, cost, schedule, and risk within a family-of-systems and systems-of-systems context. Systems engineering shall be embedded in program planning and be designed to support the entire acquisition life cycle.

2. SYSTEMS ENGINEERING PLAN (SEP)

1. PMs shall prepare a SEP for each milestone review, beginning with Milestone A. At Milestone A, the SEP shall support the TDS; at Milestone B or later, the SEP shall support the Acquisition Strategy. The SEP shall describe the program's overall technical approach, including key technical risks, processes, resources, metrics, and applicable performance incentives. It shall also detail the timing, conduct, and success criteria of technical reviews.
2. The DUSD(A&T) shall be the SEP approval authority for programs that will be reviewed by the DAB/ITAB. DoD Components shall submit the SEPs to the Director, SSE, at least 30 days before the scheduled DAB/ITAB milestone review.

3. SYSTEMS ENGINEERING LEADERSHIP. Each PEO, or equivalent, shall have a lead or chief systems engineer on his or her staff responsible to the PEO for the application of systems engineering across the PEO's portfolio of programs. The PEO lead or chief systems engineer shall:

1. Review assigned programs' SEPs and oversee their implementation.
2. Assess the performance of subordinate lead or chief systems engineers assigned to individual programs in conjunction with the PEO and PM.

4. TECHNICAL REVIEWS. Technical reviews of program progress shall be event-driven and conducted when the system under development meets the review entrance criteria as documented in the SEP. They shall include participation by subject matter experts who are independent of the program (i.e., peer review), unless specifically waived by the SEP approval authority as documented in the SEP.

5. CONFIGURATION MANAGEMENT. The PM shall use a configuration management approach to establish and control product attributes and the technical baseline across the total system life cycle. This approach shall identify, document, audit, and control the functional and physical characteristics of the system design; track any changes; provide an audit trail of program design decisions and design modifications; and be integrated with the SEP and technical planning. At completion of the system level Critical Design Review, the PM shall assume control of the initial product baseline for all Class 1 configuration changes.

6. ESOH. The PM shall integrate ESOH risk management into the overall systems engineering process for all developmental and sustaining engineering activities. As part of risk reduction, the PM shall eliminate ESOH hazards where possible, and manage ESOH risks where hazards cannot be eliminated. The PM shall use the methodology in MIL-STD-882D, "DoD Standard Practice for System Safety" (Reference (bz)). PMs shall report on the status of ESOH risks and acceptance decisions at technical reviews. Acquisition program reviews and fielding decisions shall address the status of all high and serious risks, and applicable ESOH technology requirements. Prior to exposing people, equipment, or the environment to known system-related ESOH hazards, the PM shall document that the associated risks have been accepted by the following acceptance authorities: the CAE for high risks, PEO-level for serious risks, and the PM for medium and low risks. The user representative shall be part of this process throughout the life cycle and shall provide formal concurrence prior to all serious- and high-risk acceptance decisions.

1. Programmatic ESOH Evaluation (PESHE). The PM for all programs, regardless of ACAT level, shall prepare a PESHE which incorporates the MIL-STD-882D process and includes the following: identification of ESOH responsibilities; the strategy for integrating ESOH considerations into the systems engineering process; identification of ESOH risks and their status; a description of the method for tracking hazards throughout the life cycle of the system; identification of hazardous materials, wastes, and pollutants (discharges/emissions/ noise) associated with the system and plans for their minimization and/or safe disposal; and a compliance schedule covering all system-related activities for the NEPA (sections 4321-4347 of Reference (ac) and Reference (ad)). The Acquisition Strategy shall incorporate a summary of the PESHE, including the NEPA/E.O. 12114 (Reference (ad)) compliance schedule.
2. NEPA/E.O. 12114. The PM shall conduct and document NEPA/E.O. 12114 analyses for which the PM is the action proponent. The PM shall provide system-specific analyses and data to support other organizations' NEPA and E.O. 12114 analyses. The CAE (or for joint programs, the CAE of the Lead Executive Component) or designee, is the approval authority for system-related NEPA and E.O. 12114 documentation.
3. Mishap Investigation Support. PMs will support system-related Class A and B mishap investigations by providing analyses of hazards that contributed to the mishap and recommendations for materiel risk mitigation measures, especially those that minimize human errors.

7. CORROSION PREVENTION AND CONTROL. As part of a long-term DoD corrosion prevention and control strategy that supports reduction of total cost of system ownership, each ACAT I program shall document its strategy in a Corrosion Prevention Control Plan. The Plan shall be required at Milestones B and C. Corrosion considerations shall be objectively evaluated throughout program design and development activities, with trade-offs made through an open and transparent assessment of alternatives.

8. MODULAR OPEN SYSTEMS APPROACH (MOSA). Program managers shall employ MOSA to design for affordable change, enable evolutionary acquisition, and rapidly field affordable systems that are interoperable in the joint battle space.

9. DATA MANAGEMENT AND TECHNICAL DATA RIGHTS

1. Program Managers for ACAT I and II programs, regardless of planned sustainment approach, shall assess the long-term technical data needs of their systems and reflect that assessment in a Data Management Strategy (DMS). The DMS shall:
   1. Be integrated with other life-cycle sustainment planning and included in the Acquisition Strategy;
   2. Assess the data required to design, manufacture, and sustain the system, as well as to support re-competition for production, sustainment, or upgrades; and
   3. Address the merits of including a priced contract option for the future delivery of technical data and intellectual property rights not acquired upon initial contract award and shall consider the contractor's responsibility to verify any assertion of restricted use and release of data.
2. The DMS shall be approved in the context of the Acquisition Strategy prior to issuing a contract solicitation.

10. IUID. To enhance life-cycle management of assets in systems acquisition and sustainment, and to provide more accurate asset valuation, all PMs shall plan for and implement IUID to identify and track applicable major end items, configuration-controlled items, and Government-furnished property. IUID planning and implementation shall be documented in an IUID Implementation Plan and summarized in the program's SEP (Reference (ao)) and DoD Directive 8320.03 (Reference (ca))).

11. SPECTRUM SUPPORTABILITY. For all electromagnetic spectrum-dependent systems, PMs shall comply with U.S. and host nation spectrum regulations. They shall submit written determinations to the DoD Component CIO or equivalent that the electromagnetic spectrum necessary to support the operation of the system during its expected life cycle is, or will be, available (Reference (aq)). These determinations shall be the basis for recommendations provided to the MDA at the milestones defined in Tables 2-1, 2-2, and 3 in Enclosure 4 of this Instruction.