---
kind: "range"
citation: "14 U.S.C. §§ 1131–1134"
title: "14"
from: "1131"
to: "1134"
count: 4
release: "119-102"
url: "https://uscodex.org/usc/14/1131..1134"
---

# §1131. Identification of major system acquisitions

- (a) **In General.—**
  - (1) **Support mechanisms.—** The [Commandant](/usc/14/106.md) shall develop and implement mechanisms to support the establishment of mature and stable operational requirements for all acquisitions.
  - (2) **Mission analysis; affordability assessment.—** The [Commandant](/usc/14/106.md) may not initiate a Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program until the [Commandant](/usc/14/106.md)—
    - (A) completes a mission analysis that—
      - (i) identifies the specific capability gaps to be addressed by the project or program; and
      - (ii) develops a clear mission need to be addressed by the project or program; and
    - (B) prepares a preliminary affordability assessment for the project or program.
- (b) **Elements.—**
  - (1) **Requirements.—** The mechanisms required by [subsection (a)](#a) shall ensure the implementation of a formal process for the development of a mission-needs statement, concept-of-operations document, capability development plan, and resource proposal for the initial project or program funding, and shall ensure the project or program is included in the Coast Guard Capital Investment Plan.
  - (2) **Assessment of trade-offs.—** In conducting an affordability assessment under [subsection (a)(2)(B)](#a-2-B), the [Commandant](/usc/14/106.md) shall develop and implement mechanisms to ensure that trade-offs among cost, schedule, and performance are considered in the establishment of preliminary operational requirements for development and production of new assets and capabilities for Level 1 and [Level 2 acquisitions](/usc/14/1171.md?p=5) projects and programs.
- (c) **Human Resource Capital Planning.—** The [Commandant](/usc/14/106.md) shall develop staffing predictions, define human capital performance initiatives, and identify preliminary training needs required to implement each Level 1 and [Level 2 acquisition](/usc/14/1171.md?p=5) project and program.

# §1132. Acquisition

- (a) **In General.—** The [Commandant](/usc/14/106.md) may not establish a Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program until the [Commandant](/usc/14/106.md)—
  - (1) clearly defines the operational requirements for the project or program;
  - (2) establishes the feasibility of alternatives;
  - (3) develops an acquisition project or program baseline;
  - (4) produces a [life-cycle cost](/usc/14/1171.md?p=6) estimate; and
  - (5) assesses the relative merits of alternatives to determine a preferred solution in accordance with the requirements of this section.
- (b) **Submission Required Before Proceeding.—** Any Coast Guard Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program may not begin to obtain any capability or asset or proceed beyond that phase of its development that entails approving the supporting acquisition until the [Commandant](/usc/14/106.md) submits to the [appropriate congressional committees](/usc/14/1171.md?p=1) the following:
  - (1) The key performance parameters, the key system attributes, and the operational performance attributes of the capability or asset to be acquired under the proposed acquisition project or program.
  - (2) A detailed list of the systems or other capabilities with which the capability or asset to be acquired is intended to be interoperable, including an explanation of the attributes of interoperability.
  - (3) The anticipated acquisition project or program baseline and acquisition unit cost for the capability or asset to be acquired under the project or program.
  - (4) A detailed schedule for the acquisition process showing when all capability and asset acquisitions are to be completed and when all acquired capabilities and assets are to be initially and fully deployed.
- (c) **Analysis of Alternatives.—**
  - (1) **In general.—** The Coast Guard may not acquire an experimental or technically immature capability or asset or implement a Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program, unless it has prepared an analysis of alternatives for the capability or asset to be acquired in the concept and technology development phase of the acquisition process for the capability or asset.
  - (2) **Requirements.—** The analysis of alternatives shall be prepared by a federally funded research and development center, a qualified entity of the Department of Defense, or a similar independent third-party entity that has appropriate acquisition expertise and has no financial interest in any part of the acquisition project or program that is the subject of the analysis. At a minimum, the analysis of alternatives shall include—
    - (A) an assessment of the technical maturity of the capability or asset, and technical and other risks;
    - (B) an examination of capability, interoperability, and other advantages and disadvantages;
    - (C) an evaluation of whether different combinations or quantities of specific assets or capabilities could meet the Coast Guard’s overall performance needs;
    - (D) a discussion of key assumptions and variables, and sensitivity to change in such assumptions and variables;
    - (E) when an alternative is an existing capability, asset, or prototype, an evaluation of relevant safety and performance records and costs;
    - (F) a calculation of [life-cycle costs](/usc/14/1171.md?p=6) including—
      - (i) an examination of likely research and development costs and the levels of uncertainty associated with such estimated costs;
      - (ii) an examination of likely production and deployment costs and the levels of uncertainty associated with such estimated costs;
      - (iii) an examination of likely operating and support costs and the levels of uncertainty associated with such estimated costs;
      - (iv) if they are likely to be significant, an examination of likely disposal costs and the levels of uncertainty associated with such estimated costs; and
      - (v) such additional measures as the [Commandant](/usc/14/106.md) or the [Secretary](/usc/14/105.md) of the department in which the Coast Guard is operating determines to be necessary for appropriate evaluation of the capability or asset; and
    - (G) the business case for each viable alternative.
- (d) **Test and Evaluation Master Plan.—**
  - (1) **In general.—** For any Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program the [Chief Acquisition Officer](/usc/14/1171.md?p=2) must approve a test and evaluation master plan specific to the acquisition project or program for the capability, asset, or subsystems of the capability or asset and intended to minimize technical, cost, and schedule risk as early as practicable in the development of the project or program.
  - (2) **Test and evaluation strategy.—** The master plan shall—
    - (A) set forth an integrated test and evaluation strategy that will verify that capability-level or asset-level and subsystem-level design and development, including performance and supportability, have been sufficiently proven before the capability, asset, or subsystem of the capability or asset is approved for production; and
    - (B) require that adequate developmental tests and evaluations and operational tests and evaluations established under [subparagraph (A)](#d-2-A) are performed to inform production decisions.
  - (3) **Other components of the master plan.—** At a minimum, the master plan shall identify—
    - (A) the key performance parameters to be resolved through the integrated test and evaluation strategy;
    - (B) the performance data to be used to determine whether the key performance parameters have been resolved;
    - (C) critical operational issues to be assessed in addition to the key performance parameters;
    - (D) the results during test and evaluation that will be required to demonstrate that a capability, asset, or subsystem meets performance requirements;
    - (E) specific development test and evaluation phases and the scope of each phase;
    - (F) modeling and simulation activities to be performed, if any, and the scope of such activities;
    - (G) early operational assessments to be performed, if any, and the scope of such assessments;
    - (H) [operational test and evaluation](/usc/14/1171.md?p=11) phases;
    - (I) an estimate of the resources, including funds, that will be required for all test, evaluation, assessment, modeling, and simulation activities; and
    - (J) the Government entity or independent entity that will perform the test, evaluation, assessment, modeling, and simulation activities.
  - (4) **Update.—** The [Chief Acquisition Officer](/usc/14/1171.md?p=2) must approve an updated master plan whenever there is a revision to project or program test and evaluation strategy, scope, or phasing.
  - (5) **Limitation.—** The Coast Guard may not—
    - (A) proceed beyond that phase of the acquisition process that entails approving the supporting acquisition of a capability or asset before the master plan is approved by the [Chief Acquisition Officer](/usc/14/1171.md?p=2); or
    - (B) award any production contract for a capability, asset, or subsystem for which a master plan is required under this subsection before the master plan is approved by the [Chief Acquisition Officer](/usc/14/1171.md?p=2).
- (e) **Life-Cycle Cost Estimates.—**
  - (1) **In general.—** The [Commandant](/usc/14/106.md) shall implement mechanisms to ensure the development and regular updating of [life-cycle cost](/usc/14/1171.md?p=6) estimates for each acquisition with a total acquisition cost that equals or exceeds $10,000,000 and an expected service life of 10 or more years, and to ensure that these estimates are considered in decisions to develop or produce new or enhanced capabilities and assets.
  - (2) **Types of estimates.—** For each Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program, in addition to [life-cycle cost](/usc/14/1171.md?p=6) estimates developed under [paragraph (1)](#e-1), the [Commandant](/usc/14/106.md) shall require that—
    - (A) [life-cycle cost](/usc/14/1171.md?p=6) estimates developed under [paragraph (1)](#e-1) be updated before—
      - (i) each milestone decision is concluded; and
      - (ii) the project or program enters a new acquisition phase; and
    - (B) an independent cost estimate or independent cost assessment, as appropriate, be developed to validate [life-cycle cost](/usc/14/1171.md?p=6) estimates developed under [paragraph (1)](#e-1).

# §1133. Preliminary development and demonstration

- (a) **In General.—** The [Commandant](/usc/14/106.md) shall ensure that [developmental test and evaluation](/usc/14/1171.md?p=10), [operational test and evaluation](/usc/14/1171.md?p=11), [life-cycle cost](/usc/14/1171.md?p=6) estimates, and the development and demonstration requirements applied by this chapter to acquisition projects and programs are met to confirm that the projects or programs meet the requirements identified in the mission-analysis and affordability assessment prepared under [section 1131(a)(2)](/usc/14/1131.md?p=a-2), the operational requirements developed under [section 1132(a)(1)](/usc/14/1132.md?p=a-1) and the following development and demonstration objectives:
  - (1) To demonstrate that the design, manufacturing, and production solution is based upon a stable, producible, and cost-effective product design.
  - (2) To ensure that the product capabilities meet contract specifications, acceptable operational performance requirements, and system security requirements.
  - (3) To ensure that the product design is mature enough to commit to full production and deployment.
- (b) **Tests and Evaluations.—**
  - (1) **In general.—** The [Commandant](/usc/14/106.md) shall ensure that the Coast Guard conducts developmental tests and evaluations and operational tests and evaluations of a capability or asset and the subsystems of the capability or asset in accordance with the master plan prepared for the capability or asset under [section 1132(d)(1)](/usc/14/1132.md?p=d-1).[^1]
  - (2) **Use of third parties.—** The [Commandant](/usc/14/106.md) shall ensure that the Coast Guard uses independent third parties with expertise in testing and evaluating the capabilities or assets and the subsystems of the capabilities or assets being acquired to conduct developmental tests and evaluations and operational tests and evaluations whenever the Coast Guard lacks the capability to conduct the tests and evaluations required by a master plan.
  - (3) **Communication of safety concerns.—** The [Commandant](/usc/14/106.md) shall ensure that independent third parties and Government employees that identify [safety concerns](/usc/14/1171.md?p=9) during developmental or operational tests and evaluations or through independent or Government-conducted design assessments of capabilities or assets and subsystems of capabilities or assets to be acquired by the Coast Guard communicate such concerns as soon as practicable, but not later than 30 days after the completion of the test or assessment event or activity that identified the [safety concern](/usc/14/1171.md?p=9), to the program manager for the capability or asset and the subsystems concerned and to the [Chief Acquisition Officer](/usc/14/1171.md?p=2).
  - (4) **Reporting of safety concerns.—** The [Commandant](/usc/14/106.md) shall ensure that any [safety concerns](/usc/14/1171.md?p=9) that have been communicated under [paragraph (3)](#b-3) for an acquisition program or project are reported to the [appropriate congressional committees](/usc/14/1171.md?p=1) at least 90 days before the award of any contract or issuance of any delivery order or task order for low, initial, or full-rate production of the capability or asset concerned if they will remain uncorrected or unmitigated at the time such a contract is awarded or delivery order or task order is issued. The report shall include a justification for the approval of that level of production of the capability or asset before the [safety concerns](/usc/14/1171.md?p=9) are corrected or mitigated. The report shall also include an explanation of the actions that will be taken to correct or mitigate the [safety concerns](/usc/14/1171.md?p=9), the date by which those actions will be taken, and the adequacy of current funding to correct or mitigate the [safety concerns](/usc/14/1171.md?p=9).
  - (5) **Asset already in low, initial, or full-rate production.—** The [Commandant](/usc/14/106.md) shall ensure that if an independent third party or a Government employee identifies a [safety concern](/usc/14/1171.md?p=9) with a capability or asset or any subsystems of a capability or asset not previously identified during [operational test and evaluation](/usc/14/1171.md?p=11) of a capability or asset already in low, initial, or full-rate production—
    - (A) the [Commandant](/usc/14/106.md), through the Assistant [Commandant](/usc/14/106.md) for Capability, shall notify the program manager and the [Chief Acquisition Officer](/usc/14/1171.md?p=2) of the [safety concern](/usc/14/1171.md?p=9) as soon as practicable, but not later than 30 days after the completion of the test and evaluation event or activity that identified the [safety concern](/usc/14/1171.md?p=9); and
    - (B) the Deputy [Commandant](/usc/14/106.md) for Mission Support shall notify the [Commandant](/usc/14/106.md) and the Deputy [Commandant](/usc/14/106.md) for Operations of the [safety concern](/usc/14/1171.md?p=9) within 50 days after the notification required under [subparagraph (A)](#b-5-A), and include in such notification—
      - (i) an explanation of the actions that will be taken to correct or mitigate the [safety concern](/usc/14/1171.md?p=9) in all capabilities or assets and subsystems of the capabilities or assets yet to be produced, and the date by which those actions will be taken;
      - (ii) an explanation of the actions that will be taken to correct or mitigate the [safety concern](/usc/14/1171.md?p=9) in previously produced capabilities or assets and subsystems of the capabilities or assets, and the date by which those actions will be taken; and
      - (iii) an assessment of the adequacy of current funding to correct or mitigate the [safety concern](/usc/14/1171.md?p=9) in capabilities or assets and subsystems of the capabilities or assets and in previously produced capabilities or assets and subsystems.
- (c) **Technical Certification.—**
  - (1) **In general.—** The [Commandant](/usc/14/106.md) shall ensure that any Level 1 or [Level 2 acquisition](/usc/14/1171.md?p=5) project or program is certified by the technical authority of the Coast Guard after review by an independent third party with capabilities in the mission area, asset, or particular asset component.
  - (2) **TEMPEST testing.—** The [Commandant](/usc/14/106.md) shall—
    - (A) cause all electronics on all aircraft, surface, and shore capabilities and assets that require TEMPEST certification to be tested in accordance with TEMPEST standards and communications security (comsec) standards by an independent third party that is authorized by the Federal Government to perform such testing; and
    - (B) certify that the assets meet all applicable TEMPEST requirements.
  - (3) **Cutter classification.—**
    - (A) **In general.—** The [Commandant](/usc/14/106.md) shall cause each cutter, other than a National Security Cutter, acquired by the Coast Guard and delivered after the date of enactment of the Coast Guard Authorization Act of 2010 to be classed by the American Bureau of Shipping before final acceptance.
    - (B) Repealed. Pub. L. 112–213, title II, § 210(c)(2)(B), Dec. 20, 2012, 126 Stat. 1551.
  - (4) **Other vessels.—** The [Commandant](/usc/14/106.md) shall cause the design and construction of each National Security Cutter, other than National Security Cutters 1, 2, and 3, to be assessed by an independent third party with expertise in vessel design and construction certification.
  - (5) **Aircraft airworthiness.—** The [Commandant](/usc/14/106.md) shall cause all aircraft and aircraft engines acquired by the Coast Guard to be assessed for airworthiness by an independent third party with expertise in aircraft and aircraft engine certification before final acceptance.

# §1134. Acquisition, production, deployment, and support

- (a) **In General.—** The [Commandant](/usc/14/106.md) shall—
  - (1) ensure there is a stable and efficient production and support capability to develop an asset or capability for the Coast Guard;
  - (2) conduct follow-on testing to confirm and monitor performance and correct deficiencies; and
  - (3) conduct acceptance tests and trials prior to the delivery of each asset or system to ensure the delivered asset or system achieves full operational capability.
- (b) **Elements.—** The [Commandant](/usc/14/106.md) shall—
  - (1) execute production contracts;
  - (2) ensure that delivered assets and capabilities meet operational cost and schedules requirements established in the acquisition program baseline;
  - (3) validate manpower and training requirements to meet system needs to operate, maintain, support, and instruct the assets or capabilities; and
  - (4) prepare an acquisition project or program transition plan to enter into programmatic sustainment, operations, and support.