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JOINT FLEET MAINTENANCE MANUAL (JFMM)

COMUSFLTFORCOMINST 4790.3

VOLUME V

QUALITY MAINTENANCE

DEPARTMENT OF THE NAVY

COMMANDING OFFICER SUBMEPP

PO BOX 2500

PORTSMOUTH NAVAL SHIPYARD

PORTSMOUTH, NH 03804-2500

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JOINT FLEET MAINTENANCE MANUAL

VOLUME V

QUALITY MAINTENANCE

LIST OF EFFECTIVE CHAPTERS

Chapter Number Change in Effect Chapter Number Change in Effect

Part I Part III

FWD Change 3 FWD Change 3

1 Change 3 1 Change 1

2 Change 3 2 Change -

3 Change 1 3 Change -

4 Change 2 4 Change -

5 Change 3 5 Change 3

6 Change 3 6 Change 2

7 Change 2 7 Change -

8 Change 3 8 Change 3

9 Change 2 9 Change 1

10 Change 3 10 Change -

11 Change 3 11 Change 3

12 Change -

13 Change -

Part II

None

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JOINT FLEET MAINTENANCE MANUAL

VOLUME V

QUALITY MAINTENANCE

TABLE OF CONTENTS

PART I

FOREWORD - QUALITY MAINTENANCE

1.1 Purpose ................................................................................................................. V-I-FWD-1

1.2 Scope .................................................................................................................... V-I-FWD-1

1.3 Manual Organization ............................................................................................ V-I-FWD-1

1.3.1 Basic Maintenance Principles .............................................................. V-I-FWD-1

1.3.2 Special Circumstances and Maintenance Support ............................... V-I-FWD-2

1.3.3 Order of Precedence ............................................................................ V-I-FWD-2

1.3.4 Advisories ............................................................................................ V-I-FWD-4

1.4 Need for Quality Maintenance Processes ............................................................. V-I-FWD-4

1.5 Changes and Corrections ...................................................................................... V-I-FWD-5

Appendices

A Glossary of Terms ........................................................................... V-I-FWD-A-1

CHAPTER 1 - ORGANIZATIONAL RESPONSIBILITIES

1.1 Purpose ....................................................................................................................... V-I-1-1

1.2 Quality Assurance Organizations ………………………………………….………...V-I-1.2

1.3 Fleet Commander Responsibilities .............................................................................. V-I-1-2

1.4 Type Commander Responsibilities ............................................................................. V-I-1-2

1.5 Immediate Superior In Command Responsibilities .................................................... V-I-1-4

1.6 Ship Responsibilities .................................................................................................. V-I-1-8

1.6.1 Ship’s Commanding Officer ....................................................................... V-I-1-8

1.6.2 Ship’s Executive Office .............................................................................. V-I-1-9

1.6.3 Ship’s Department Head ........................................................................... V-I-1-10

1.6.4 Ship’s Supply Officer ............................................................................... V-I-1-11

1.6.5 Ship’s Engineer Officer (Submarines only) ............................................. V-I-1-11

1.6.6 Availability Coordinator (Submarines only) ............................................ V-I-1-12

1.6.7 Ship’s Maintenance Manager (Aircraft Carriers only) ............................. V-I-1-13

1.6.8 Ship’s Principal Assistant ......................................................................... V-I-1-13

1.6.9 Ship’s Division Officer ............................................................................. V-I-1-13

1.6.10 Ship’s Work Center Supervisor ................................................................ V-I-1-14

1.6.11 Ship’s Craftsman ...................................................................................... V-I-1-15

1.6.12 Ship’s Quality Assurance Officer ............................................................. V-I-1-15

1.6.13 Ship’s Assistant Quality Assurance Officer ............................................. V-I-1-18

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1.6.14 Ship’s Quality Assurance Supervisor ....................................................... V-I-1-18

1.6.15 Ship’s Quality Assurance Inspectors ........................................................ V-I-1-18

1.6.16 Ship’s Controlled Material Petty Officer ................................................. V-I-1-19

1.6.17 Ship’s Cleanliness Inspector or Certifier .................................................. V-I-1-20

1.6.18 Ship’s Nondestructive Test Examiner ...................................................... V-I-1-20

1.6.19 Ship’s Nondestructive Test Inspector ....................................................... V-I-1-21

1.6.20 Ship’s Maintenance Planner (Submarines and Aircraft Carriers only) .... V-I-1-21

1.7 Regional Maintenance Center or Fleet Maintenance Activity Responsibilities........ V-I-1-22

1.7.1 RMC Commander or FMA Commanding Officer ................................... V-I-1-22

1.7.2 RMC Deputy Commander or FMA Executive Officer ............................ V-I-1-22

1.7.3 RMC Production Officer or FMA Repair Officer .................................... V-I-1-23

1.7.4 FMA Supply Officer ................................................................................. V-I-1-25

1.7.5 FMA Nuclear Repair Officer .................................................................... V-I-1-25

1.7.6 RMC or FMA Planning and Estimating Officer ...................................... V-I-1-26

1.7.7 RMC or FMA Division Officer ................................................................ V-I-1-26

1.7.8 RMC or FMA Work Center Supervisor ................................................... V-I-1-27

1.7.9 RMC or FMA Craftsman .......................................................................... V-I-1-27

1.7.10 RMC Quality Assurance Department Head (Code 130) or Industry

Management Department (Code 400 at Puget Sound Naval Shipyard

and Intermediate Maintenance Facility) ................................................... V-I-1-28

1.7.11 RMC Code 133 Division Head or FMA Quality Assurance Officer ....... V-I-1-28

1.7.12 RMC or FMA Assistant Quality Assurance Officer ................................ V-I-1-30

1.7.13 RMC or FMA Quality Assurance Supervisor .......................................... V-I-1-30

1.7.14 RMC or FMA Quality Assurance Inspector ............................................. V-I-1-31

1.7.15 RMC or FMA Controlled Material Petty Officer or Controlled

Material Handler ....................................................................................... V-I-1-31

1.7.16 RMC or FMA Cleanliness Inspector or Certifier ..................................... V-I-1-32

1.7.17 RMC or FMA Nondestructive Test Division Officer .............................. V-I-1-32

1.7.18 RMC or FMA Command Examiner……………………………………. V-I-1-32

1.7.19 Nondestructive Test Examiner ................................................................. V-I-1-32

1.7.20 RMC or FMA Nondestructive Test Inspector .......................................... V-I-1-33

1.8 Other Activity Responsibilities ................................................................................. V-I-1-33

Appendices

A Format for Submarine QA Pre-Underway Checklist ...................................... V-I-1A-1

CHAPTER 2 - QUALITY MAINTENANCE PROCESSES

2.1 Purpose ........................................................................................................................ V-I-2-2

2.2 Technical Work Documents ........................................................................................ V-I-2-2

2.2.1 Minimum Requirements for using Technical Work Documents ............... V-I-2-2

2.2.2 Maintenance Procedure .............................................................................. V-I-2-4

2.2.3 Formal Work Package ................................................................................ V-I-2-5

2.2.4 Controlled Work Package ........................................................................... V-I-2-5

2.2.5 Maintenance Certification Record and Controlled Work Package

(Non-SUBSAFE) ........................................................................................ V-I-2-8

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2.2.6 Sequencing Document ................................................................................ V-I-2-9

2.3 Formal Work Package Development ........................................................................ V-I-2-10

2.3.1 Responsibility for Preparation of Formal Work Packages and Controlled

Work Packages ......................................................................................... V-I-2-10

2.3.2 Security Classification .............................................................................. V-I-2-10

2.3.3 Formal Work Package Format .................................................................. V-I-2-10

2.3.4 Formal Work Package Approval .............................................................. V-I-2-17

2.3.5 Controlled Work Package Approval ........................................................ V-I-2-18

2.3.6 Formal Work Package In Process Use ..................................................... V-I-2-18

2.3.7 Formal Work Package Changes ............................................................... V-I-2-18

2.4 Troubleshooting ........................................................................................................ V-I-2-25

Appendices

A Technical Work Document Illustration ................................................... V-I-2A-1

B Work Package Decision Process .............................................................. V-I-2B-1

C Certification Signature Requirements for Reactor Plant, Nuclear Support

Facility and Controlled Industrial Facility Work ..................................... V-I-2C-1

D Formal Work Package Approval and Revision Sheet ............................. V-I-2D-1

E Technical Work Document Review and Approval Matrix ....................... V-I-2E-1

CHAPTER 3 - PERSONNEL QUALIFICATION AND TRAINING

3.1 Purpose ........................................................................................................................ V-I-3-1

3.2 General ........................................................................................................................ V-I-3-1

3.3 Qualification ................................................................................................................ V-I-3-2

3.3.1 Re-qualification .......................................................................................... V-I-3-2

3.3.2 Required Service Record Entries ................................................................ V-I-3-2

3.4 Qualification Requirements ......................................................................................... V-I-3-2

3.4.1 Ship’s Quality Assurance Officer ............................................................... V-I-3-2

3.4.2 Ship’s Assistant Quality Assurance Officer ............................................... V-I-3-3

3.4.3 Immediate Superior In Command .............................................................. V-I-3-3

3.4.4 Regional Maintenance Center and Fleet Maintenance Activity Quality

Assurance Officer ....................................................................................... V-I-3-4

3.4.5 Regional Maintenance Center and Fleet Maintenance Activity Assistant

Quality Assurance Officer .......................................................................... V-I-3-4

3.4.6 Quality Assurance Supervisor .................................................................... V-I-3-4

3.4.7 Quality Assurance Inspector ....................................................................... V-I-3-4

3.4.8 Controlled Material Petty Officer and Controlled Material Handler ......... V-I-3-5

3.4.9 Steam Plant Cleanliness Inspector and Certifier ........................................ V-I-3-5

3.4.10 Gas Systems Cleanliness Inspector and Certifier ....................................... V-I-3-5

3.4.11 Oxygen Clean Instructors ........................................................................... V-I-3-5

3.4.12 Ship’s and Fleet Maintenance Activity Oxygen Clean Workers ................ V-I-3-5

3.4.13 Oxygen Calibration Technicians ................................................................ V-I-3-5

3.4.14 Work Center Supervisors and Planners ...................................................... V-I-3-6

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3.4.15 Qualification Requirements for Submarine Nuclear Propulsion Plant

Operator Welders (Navy Enlisted Classification Code 3351 and

Supervisor Welders 3361) .......................................................................... V-I-3-6

3.4.16 Qualification Requirements for Submarine Fly-By-Wire Ship Control

System Maintenance Technician ................................................................ V-I-3-6

3.5 Training ....................................................................................................................... V-I-3-6

3.5.1 Maintenance Personnel Training ................................................................ V-I-3-6

3.5.2 Requirements .............................................................................................. V-I-3-7

3.5.3 Submarine Safety Awareness Training (Submarines and Submarine

Repair Facilities only) ................................................................................ V-I-3-7

Appendices

A NAVEDTRA 43523 Qualification Matrix .............................................. V-I-3A-1

B Outlines of Typically Effective Training Topics ...................................... V-I-3B-1

C Recommended Training Topics for Selected Positions ............................ V-I-3C-1

CHAPTER 4 - WELDER, BRAZER AND NONDESTRUCTIVE TESTING QUALIFICATIONS

4.1 Purpose ....................................................................................................................... V-I-4-1

4.1.1 General Requirements ................................................................................ V-I-4-2

4.1.2 Training ...................................................................................................... V-I-4-2

4.2 General Requirements for Brazers and Welders ......................................................... V-I-4-2

4.2.1 Eye Examination ........................................................................................ V-I-4-3

4.2.2 Brazing and Welding Procedures ............................................................... V-I-4-3

4.2.3 Brazing and Welding Personnel Knowledge .............................................. V-I-4-3

4.2.4 Brazer and Welder Identification Numbers ................................................ V-I-4-3

4.2.5 Validation of Qualification ......................................................................... V-I-4-4

4.2.6 Qualification Records ................................................................................. V-I-4-4

4.2.7 Effective Date of Qualification .................................................................. V-I-4-5

4.3 Brazer Qualifications ................................................................................................... V-I-4-5

4.3.1 Prerequisite ................................................................................................. V-I-4-5

4.3.2 Qualification Test ....................................................................................... V-I-4-5

4.3.3 Limitations .................................................................................................. V-I-4-5

4.3.4 Test Assembly Evaluation .......................................................................... V-I-4-5

4.3.5 Maintenance of Qualification ..................................................................... V-I-4-5

4.3.6 Qualification Renewal ................................................................................ V-I-4-5

4.3.7 Transfer of Qualification ............................................................................ V-I-4-6

4.4 Qualification Requirements for Welders ..................................................................... V-I-4-6

4.4.1 Navy Enlisted Classification Code Achievement ....................................... V-I-4-6

4.4.2 Specific Qualifications ............................................................................... V-I-4-6

4.4.3 Aluminum, Metal Boat and Craft Qualifications ....................................... V-I-4-6

4.4.4 Maintenance of Qualification ..................................................................... V-I-4-6

4.4.5 Qualification Renewal ................................................................................ V-I-4-6

4.4.6 Transfer of Qualification ............................................................................ V-I-4-6

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4.5 Assemblies Where the Possibilities of Failure is Remote and Would Not Result

in Danger of Ship Personnel, Ship, Boat, Craft, Plant, or Structure ............................ V-I-4-6

4.5.1 Authorization .............................................................................................. V-I-4-6

4.5.2 Requirements .............................................................................................. V-I-4-6

4.6 Qualification Requirements for Nondestructive Test Personnel ................................. V-I-4-7

4.6.1 Purpose ....................................................................................................... V-I-4-7

4.6.2 Levels of Certification ................................................................................ V-I-4-7

4.6.3 Certification of Nondestructive Test Personnel ......................................... V-I-4-8

4.6.4 Renewal of Certification ............................................................................. V-I-4-8

4.6.5 Maintenance of Qualification ..................................................................... V-I-4-8

4.6.6 Qualification Administration ...................................................................... V-I-4-8

4.6.7 Approval of Nondestructive Testing Qualification Examinations ............. V-I-4-8

4.6.8 Transfer of Qualification ............................................................................ V-I-4-8

4.6.9 Nondestructive Testing Personnel Records ................................................ V-I-4-8

4.6.10 Nondestructive Testing Qualification Log ................................................. V-I-4-8

4.6.11 Qualification of Generic Material Identity Testing Personnel ................... V-I-4-8

CHAPTER 5 - IN-PROCESS CONTROL

5.1 Purpose ........................................................................................................................ V-I-5-2

5.2 Test, Measurement and Diagnostic Equipment ........................................................... V-I-5-2

5.2.1 General Requirements ................................................................................ V-I-5-2

5.2.2 Torque Wrenches ........................................................................................ V-I-5-2

5.2.3 Gauges ........................................................................................................ V-I-5-5

5.3 Torque ......................................................................................................................... V-I-5-5

5.3.1 General Requirements ................................................................................ V-I-5-5

5.3.2 Torque Requirements ................................................................................. V-I-5-5

5.4 Inspections ................................................................................................................... V-I-5-5

5.4.1 General Requirements ................................................................................ V-I-5-5

5.4.2 Inspection Records ..................................................................................... V-I-5-5

5.4.3 Critical Inspections ..................................................................................... V-I-5-5

5.4.4 Cleanliness Inspections .............................................................................. V-I-5-7

5.4.5 Nuclear Propulsion Plant and Nuclear Support Facility General

Cleanliness Requirements .......................................................................... V-I-5-8

5.4.6 General Shipboard Steam Plant Systems Cleanliness Requirements ....... V-I-5-10

5.4.7 Set Stud Inspection ................................................................................... V-I-5-12

5.5 Software Acceptability .............................................................................................. V-I-5-13

5.6 Submarine Safety Maintenance Certification and Re-Entry Control,

Nuclear and Non-Nuclear .......................................................................................... V-I-5-14

5.6.1 Purpose ..................................................................................................... V-I-5-14

5.6.2 Re-Entry Control Program ....................................................................... V-I-5-15

5.6.3 Nuclear Submarine Safety System Re-Entry ........................................... V-I-5-16

5.6.4 Re-Entry Control Administrative Procedures .......................................... V-I-5-16

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5.6.5 Using a Controlled Dive Departure from Specification to Close a

Maintenance Certification Record or Re-Entry Control .......................... V-I-5-20

5.6.6 Voyage or At Sea Repairs ........................................................................ V-I-5-20

5.6.7 Exceptions to Re-Entry Control ............................................................... V-I-5-21

5.6.8 Certification Continuity Report ................................................................ V-I-5-21

5.7 Reactor Plant Work Accomplishment Report (Submarines Only) ........................... V-I-5-22

5.7.1 Purpose ..................................................................................................... V-I-5-22

5.7.2 Specific Instructions for Completing Reactor Plant Work

Accomplishment Report Cover Sheet ...................................................... V-I-5-23

5.7.3 Specific Instructions for Completing Reactor Plant Certification

When New or Previously Uncertified Material is Installed in a

Submarine Safety Application .................................................................. V-I-5-23

5.7.4 Specific Instructions for Completing Reactor Plant Certification

When Previously Certified Material is Reinstalled .................................. V-I-5-24

5.8 Material Condition Monitoring Unrestricted Operations Maintenance

Requirement Card Program (Submarines Only) ....................................................... V-I-5-24

5.9 Submarine Fly-By-Wire Maintenance Certification ................................................. V-I-5-25

5.9.1 Purpose ..................................................................................................... V-I-5-25

5.9.2 Submarine Flight Critical Component Boundary Work Control

Procedures ................................................................................................ V-I-5-26

5.9.3 Submarine Flight Critical Component Boundary Work Control

Closeout .................................................................................................... V-I-5-26

5.9.4 Objective Quality Evidence to Support Controlled Work on Fly-By-

Wire Ship Control System Submarine Flight Critical Component .......... V-I-5-27

5.10 Aircraft Carrier Maintenance Document ................................................................... V-I-5-28

5.10.1 Purpose ..................................................................................................... V-I-5-28

5.10.2 Non-Nuclear Deviations, Waivers and Departure from Specifications ... V-I-5-28

5.10.3 Liaison Action Requests - Nuclear Cognizant Areas ............................... V-I-5-29

5.10.4 Nuclear Liaison Inquiry - Nuclear Cognizant Areas ................................ V-I-5-30

5.10.5 Steam Plant Action Request - Non-Nuclear Cognizant Areas ................. V-I-5-30

5.10.6 Steam Plant Liaison Inquiry - Non-Nuclear Cognizant Areas ................. V-I-5-32

5.10.7 Reactor Plant Configuration Change Report ............................................ V-I-5-33

5.10.8 Technical Manual Deficiencies and Manual Change Requests ............... V-I-5-36

5.10.9 Fleet COSAL Feedback Report ................................................................ V-I-5-37

Appendices

A Determining Software Usability .............................................................. V-I-5A-1

B Format for Submarine Certification Continuity Report ........................... V-I-5B-1

C Format for Fleet Maintenance Activity Certification Report to Tended

Submarine ................................................................................................. V-I-5C-1

D Format for Non-Fleet Maintenance Activity Certification Report to

Tended Submarine ................................................................................... V-I-5D-1

E RPCCR Cover Letter for SHIPALTs (Sample) ....................................... V-I-5E-1

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CHAPTER 6 - MATERIAL CONTROL

6.1 Purpose ........................................................................................................................ V-I-6-1

6.1.1 Discussion ................................................................................................... V-I-6-1

6.2 Nuclear ........................................................................................................................ V-I-6-2

6.2.1 Controlled Material Determination ............................................................ V-I-6-2

6.2.2 Controlled Material Procurement ............................................................... V-I-6-3

6.2.3 Receipt Inspection of Nuclear Controlled Material .................................... V-I-6-4

6.2.4 Marking of Nuclear Repair Parts ................................................................ V-I-6-8

6.2.5 Nuclear Repair Parts Downgrading .......................................................... V-I-6-11

6.2.6 Storage, Issue and Handling of Nuclear Repair Parts .............................. V-I-6-11

6.3 Non-Nuclear .............................................................................................................. V-I-6-18

6.3.1 Controlled Material Determination .......................................................... V-I-6-18

6.3.2 Quality Assurance List (Submarines only) ............................................... V-I-6-25

6.3.3 Controlled Material Procurement ............................................................. V-I-6-25

6.3.4 Receipt Inspection of Controlled Material ............................................... V-I-6-27

6.3.5 Receipt Inspection of Open Purchase (Non-Supply System) or Locally

Manufactured Material or Upgrading Supply System Material to

Level I (Fleet Maintenance Activity only). .............................................. V-I-6-35

6.3.6 Authorized Material Certification Activities ............................................ V-I-6-37

6.3.7 Marking of Level I Stock Program Material and Controlled Material ..... V-I-6-38

6.3.8 Level I Submarine Flight Critical Component Stock Program Material

Downgrading ............................................................................................ V-I-6-43

6.3.9 Storage, Issue and Handling of Level I, Scope of Certification or

Submarine Flight Critical Component Stock Program Material .............. V-I-6-43

CHAPTER 7 - TESTING REQUIREMENTS

7.1 General ........................................................................................................................ V-I-7-1

7.1.1 Key Element ............................................................................................... V-I-7-2

7.1.2 Testing Requirements for Systems, Portions of Systems and

Components ................................................................................................ V-I-7-2

7.2 Testing ......................................................................................................................... V-I-7-4

7.2.1 Test Procedures .......................................................................................... V-I-7-4

7.2.2 Test Requirements ...................................................................................... V-I-7-5

7.2.3 Test Pressure Source References ................................................................ V-I-7-6

7.2.4 Non-Nuclear Pressure Drop Tests .............................................................. V-I-7-6

7.3 Weight Handling Equipment ....................................................................................... V-I-7-8

7.4 Exemptions or Alternative Test Requirements (Non-Nuclear) ................................. V-I-7-10

7.4.1 General ..................................................................................................... V-I-7-10

7.4.2 Exemptions and Alternatives to Test Requirements (Non-Nuclear unless

Specifically Addressed in Nuclear Technical Documents) ..................... V-I-7-11

7.5 Reactor Plant and Nuclear Support Facility Testing ................................................. V-I-7-13

7.5.1 Hydrostatic Tests, Pneumatic Tests or Drop Tests ................................... V-I-7-13

7.5.2 Mechanical Joint Fasteners ....................................................................... V-I-7-14

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7.5.3 Valve Seat Leak Tests .............................................................................. V-I-7-14

7.6 Supplemental Test Criteria (Non-Nuclear) .............................................................. V-I-7-14

Appendices

A Testing Requirements for Surface Ship Systems .................................... V-I-7A-1

B Testing Requirements for Submarine Systems ......................................... V-I-7B-1

CHAPTER 8 - DEPARTURE FROM SPECIFICATION (DFS, WAIVERS, NUCLEAR

LIAISON ACTION REQUEST, AND STEAM PLANT ACTION REQUESTS)

8.1 Purpose ........................................................................................................................ V-I-8-1

8.1.1 Background ................................................................................................. V-I-8-1

8.1.2 Terminology ............................................................................................... V-I-8-1

8.1.3 Specification ............................................................................................... V-I-8-2

8.2 Departure From Specification ..................................................................................... V-I-8-3

8.2.1 Reporting Departures from Specification ................................................... V-I-8-4

8.2.2 Reporting Departures from Specification while Conducting a

CNO Availability Sea Trial (Submarines Only) ........................................ V-I-8-4

8.2.3 Types of Departures from Specification ..................................................... V-I-8-4

8.2.4 Permanent and Temporary Approval of Departure from Specification ..... V-I-8-4

8.2.5 Major Departure from Specification .......................................................... V-I-8-5

8.2.6 Minor Departure from Specification .......................................................... V-I-8-9

8.3 Departure From Specification Procedures ................................................................ V-I-8-11

8.3.1 General Administrative Requirements ..................................................... V-I-8-11

8.3.2 Review of Outstanding Departures from Specification ............................ V-I-8-13

8.3.3 Clearing of Departure from Specification by Exposing Sea Connected

Systems and Hull Integrity Boundary Items to Submergence Pressure

(Submarines only) .................................................................................... V-I-8-13

8.3.4 Incorporation of Departure from Specification in Selected Record

Drawings, Data or Technical Variance Documentation ........................... V-I-8-13

8.3.5 Preparations for Correction of Departure from Specification and

Clearance During Depot Level Availabilities .......................................... V-I-8-14

8.3.6 Numbering of Departures from Specification .......................................... V-I-8-14

8.3.7 Submission and Approval of Departures from Specification ................... V-I-8-14

8.3.8 Departure from Specification Approval and Reporting for Ships

While at Sea or at a Port Without a Fleet Maintenance Activity ............. V-I-8-17

8.3.9 Extending a Temporary Departure ........................................................... V-I-8-17

8.3.10 Electronic Non-Conformance Administration ......................................... V-I-8-18

8.4 Nuclear Cognizant Areas .......................................................................................... V-I-8-19

8.4.1 Nuclear Powered Surface Ships ............................................................... V-I-8-19

8.4.2 Reactor Plant Systems .............................................................................. V-I-8-19

8.4.3 Propulsion Plant Systems (Aircraft Carriers only) .................................. V-I-8-20

Appendices

A Departure From Specification Request Message Format ........................ V-I-8A-1

B Departure From Specification Clearance or Cancellation Report Message

Format ....................................................................................................... V-I-8B-1

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CHAPTER 9 - AUDITS, SURVEILLANCE, EVALUATIONS AND ASSESSMENTS

9.1 Purpose ........................................................................................................................ V-I-9-1

9.2 General ........................................................................................................................ V-I-9-1

9.2.1 Audits ......................................................................................................... V-I-9-1

9.2.2 Surveillance ................................................................................................ V-I-9-2

9.2.3 Evaluation ................................................................................................... V-I-9-2

9.2.4 Assessments ................................................................................................ V-I-9-2

9.2.5 Key Elements .............................................................................................. V-I-9-2

9.2.6 Record Retention ........................................................................................ V-I-9-2

9.3 Responsibilities and Procedures .................................................................................. V-I-9-3

9.3.1 Ship’s Force Audits, Surveillance and Evaluation Program ...................... V-I-9-3

9.3.2 Fleet Maintenance Activity Audit, Surveillance and Evaluation

Program ...................................................................................................... V-I-9-4

9.3.3 Immediate Superiors in Command Assessments, Audits and

Surveillance ................................................................................................ V-I-9-6

9.3.4 Type Commander Assessments .................................................................. V-I-9-9

9.4 Reporting Audit, Surveillance and Assessment Results and Corrective Action ......... V-I-9-9

9.4.1 Reporting Requirements for External Audits, Surveillances and

Assessments ................................................................................................ V-I-9-9

9.4.2 Correcting Deficiencies in Certified Controlled Work Packages or

Objective Quality Evidence Records ........................................................ V-I-9-11

Appendices

A Vertical Audits ......................................................................................... V-I-9A-1

B Horizontal Audits ..................................................................................... V-I-9B-1

C Surveillances ............................................................................................. V-I-9C-1

D Submarine Quality Assurance Assessment Evaluation Criteria .............. V-I-9D-1

E Quality Assurance Audit, Assessments and Surveillance

Discrepancy Form .................................................................................... V-I-9E-1

CHAPTER 10 - QUALITY ASSURANCE RECORDS

10.1 Purpose ...................................................................................................................... V-I-10-1

10.2 General ...................................................................................................................... V-I-10-1

10.2.1 Quality Assurance Record Requirements ................................................. V-I-10-1

10.2.2 Record Retention in General .................................................................... V-I-10-2

10.3 Type Commander Quality Assurance Record Retention .......................................... V-I-10-4

10.3.1 Assessment Record Retention .................................................................. V-I-10-4

10.3.2 Departure from Specification Record Retention ...................................... V-I-10-4

10.3.3 Material Certification Statement Retention (Submarines only) ............... V-I-10-4

10.4 Immediate Superior In Command Quality Assurance Record Retention ................. V-I-10-4

10.4.1 Assessment and Surveillance Record Retention ...................................... V-I-10-4

10.4.2 Departure from Specification Record Retention ...................................... V-I-10-4

10.4.3 Material Certification Statement Retention (Submarines only) ............... V-I-10-5

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10.5 Ship’s Quality Assurance Record Retention ............................................................. V-I-10-5

10.5.1 Controlled Work Package Log ................................................................. V-I-10-5

10.5.2 Completed Controlled Work Packages .................................................... V-I-10-5

10.5.3 Controlled Material Records .................................................................... V-I-10-5

10.5.4 Qualification Records ............................................................................... V-I-10-6

10.5.5 Departure from Specification Records ..................................................... V-I-10-6

10.5.6 Assessments, Evaluations and Audits ...................................................... V-I-10-7

10.5.7 Training .................................................................................................... V-I-10-7

10.6 Additional Submarine and Nuclear Unique Quality Assurance Record Retention

Requirements ............................................................................................................. V-I-10-7

10.6.1 Submarine Safety, Nuclear, Level I, Submarine Flight Critical

Component, Scope of Certification and Other Certification .................... V-I-10-7

10.7 Fleet Maintenance Activity Quality Assurance Record Retention ........................... V-I-10-9

10.7.1 Submarine Safety, Nuclear, Level I, Scope of Certification and Other

Certification .............................................................................................. V-I-10-9

10.7.2 Reactor Plant Work Accomplishment Report (Submarines only) ........... V-I-10-9

10.7.3 Controlled Work Package Log ................................................................. V-I-10-9

10.7.4 Completed Controlled Work Packages .................................................... V-I-10-9

10.7.5 Controlled Material Records .................................................................... V-I-10-9

10.7.6 Assessment, Audits, Surveillance and Evaluations ................................ V-I-10-10

10.7.7 End of Fleet Maintenance Activity Certification Report to Tended

Submarines (Submarines only) ............................................................... V-I-10-10

10.7.8 Nuclear, Submarine Safety and Scope of Certification Work ................ V-I-10-10

10.7.9 Qualification Record .............................................................................. V-I-10-10

CHAPTER 11 - QUALITY ASSURANCE FORMS AND FORM INSTRUCTIONS

11.1 Purpose ...................................................................................................................... V-I-11-1

11.2 Use of QA Forms ...................................................................................................... V-I-11-1

11.3 National Item Identification Number ........................................................................ V-I-11-1

11.4 Certification Signatures on QA Forms ...................................................................... V-I-11-1

11.5 List of Forms ............................................................................................................. V-I-11-1

CHAPTER 12 - SUBMARINE PRESERVATION

12.1 Purpose ...................................................................................................................... V-I-12-1

12.2 General Preservation Requirements .......................................................................... V-I-12-1

12.3 Submarine Preservation Maintenance Processes ...................................................... V-I-12-1

12.3.1 Maintenance Processes ............................................................................. V-I-12-1

12.3.2 Coating System Maintenance Authorization ............................................ V-I-12-2

12.4 Quality Assurance for Critical Coated Areas ............................................................ V-I-12-2

12.4.1 Critical Coated Areas ............................................................................... V-I-12-2

12.4.2 Requirements for Critical Coated Areas .................................................. V-I-12-2

12.4.3 Test and Inspection Records .................................................................... V-I-12-2

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12.4.4 Blaster and Painter Certification .............................................................. V-I-12-3

12.4.5 Coating Inspector Certification ................................................................ V-I-12-3

12.4.6 Coating Inspector Responsibilities .......................................................... V-I-12-3

12.4.7 Inspection of Final Coating System ......................................................... V-I-12-4

12.4.8 Review of Records for Final Coating Evaluation .................................... V-I-12-4

12.4.9 Acceptance or Rejection of Final Coating Systems ................................. V-I-12-4

CHAPTER 13 - WIRE REMOVAL AND REPLACEMENT

13.1 Purpose ...................................................................................................................... V-I-13-1

13.2 Action ........................................................................................................................ V-I-13-1

Appendices

A Wire Removal and Replacement Form MAT-2 .................................... V-I-13A-1

PART III

FOREWORD - SCOPE OF CERTIFICATION

1.1 Purpose ............................................................................................................... V-III-FWD-1

1.2 Scope .................................................................................................................. V-III-FWD-1

1.3 Need For Scope of Certification Quality Maintenance Processes ..................... V-III-FWD-1

Appendices

A Glossary of Terms ......................................................................... V-III-FWD-A-1

CHAPTER 1 – ORGANIZATIONAL RESPONSIBILITIES

1.1 Purpose ...................................................................................................................... V-III-1-1

1.2 Responsibilities ......................................................................................................... V-III-1-1

1.2.1 Type Commander ..................................................................................... V-III-1-1

1.2.2 Immediate Superior In Command ............................................................ V-III-1-2

1.2.3 Sustaining Activity or User Activity ........................................................ V-III-1-5

CHAPTER 2 - QUALITY MAINTENANCE PROCESSES

2.1 Applicability .............................................................................................................. V-III-2-1

2.2 Controlled Work Package ......................................................................................... V-III-2-1

CHAPTER 3 - PERSONNEL QUALIFICATION AND TRAINING

3.1 Applicability .............................................................................................................. V-III-3-1

3.2 General ...................................................................................................................... V-III-3-1

3.3 Discussion ................................................................................................................. V-III-3-1

3.4 Qualification Requirements ....................................................................................... V-III-3-1

3.4.1 Qualifications ........................................................................................... V-III-3-1

3.4.2 Scope of Certification Quality Maintenance Qualifications .................... V-III-3-1

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3.5 Training ..................................................................................................................... V-III-3-1

3.5.1 Scope of Certification Awareness Training (Submarines and

Submarine Repair Facilities Only) ........................................................... V-III-3-1

3.5.2 Immediate Superior in Command and Type Commander Training ......... V-III-3-1

CHAPTER 4 - WELDER, BRAZER AND NONDESTRUCTIVE TESTING

QUALIFICATIONS

4. Applicability .............................................................................................................. V-III-4-1

CHAPTER 5 - IN PROCESS CONTROL

5.1 Purpose ...................................................................................................................... V-III-5-1

5.2 Exceptions to Re-Entry Control ................................................................................ V-III-5-1

5.3 Planned Maintenance ................................................................................................ V-III-5-1

5.4 Test, Measurement and Diagnostic Equipment ......................................................... V-III-5-2

5.5 Torque ....................................................................................................................... V-III-5-2

5.6 Inspections ................................................................................................................. V-III-5-2

5.6.1 General Requirements .............................................................................. V-III-5-2

5.6.2 Inspection Records ................................................................................... V-III-5-2

5.6.3 Critical Inspections ................................................................................... V-III-5-2

5.6.4 Cleanliness Inspections ............................................................................ V-III-5-4

5.7 Software .................................................................................................................... V-III-5-5

5.8 Scope of Certification Maintenance Certification and Re-Entry Control ................. V-III-5-5

5.8.1 Purpose ..................................................................................................... V-III-5-5

5.8.2 Re-Entry Control Program ....................................................................... V-III-5-6

5.8.3 Re-Entry Control Administrative Procedures .......................................... V-III-5-6

5.8.4 Using a Departure from Specification to Close a Maintenance

Certification Record Re-Entry Control .................................................. V-III-5-10

5.8.5 Voyage or At Sea Repairs ...................................................................... V-III-5-11

5.8.6 Exceptions to Re-Entry Control ............................................................. V-III-5-11

5.8.7 Certification Continuity Report .............................................................. V-III-5-12

5.9 Material Condition Monitoring Hull Integrity Procedures Program

(Submarines only) ................................................................................................... V-III-5-13

5.10 Temporary Modifications ........................................................................................ V-III-5-14

5.10.1 Temporary Modification Program .......................................................... V-III-5-14

5.10.2 Configuration Control ............................................................................ V-III-5-14

Appendices

A Message Format for Certification Continuity for DSS .......................... V-III-5A-1

B Letter Format for Certification Report to Tended DSS ......................... V-III-5B-1

C Message Format for DDS Transfer of Custody Certificate of

Continuity for Off-loads ........................................................................ V-III-5C-1

D Message Format for DDS Transfer of Custody Certificate of Continuity

for On-loads .................................................................................................. V-III-5D-1

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E Message Format for DDS Acceptance of Custody ....................................... V-III-5E-1

CHAPTER 6 - MATERIAL CONTROL

6.1 Purpose ...................................................................................................................... V-III-6-1

6.1.1 Material Control Divisions ....................................................................... V-III-6-1

6.1.2 Deep Submergence Systems-Scope of Certification ................................ V-III-6-1

6.2 Controlled Material Determination ........................................................................... V-III-6-1

6.2.1 General Requirements .............................................................................. V-III-6-1

6.2.2 Scope of Certification Material Control Divisions ................................... V-III-6-2

6.3 Receipt Inspection of Controlled Material ................................................................ V-III-6-3

6.3.1 General Requirements .............................................................................. V-III-6-3

6.3.2 Quality Assurance Forms for Receipt Inspections ................................... V-III-6-6

6.3.3 NAVSUP WSS DSS-SOC Stock Program Material ................................ V-III-6-6

6.3.4 General Requirements for Receipt of Scope of Certification Material .... V-III-6-7

6.3.5 Verification of Completion of Required Testing .................................... V-III-6-14

6.3.6 Authorized Material Certification Activities .......................................... V-III-6-15

6.3.7 Marking of DSS-SOC Stock Program Material ..................................... V-III-6-15

6.4 Storage, Issue and Handling of Scope of Certification Material ............................. V-III-6-16

6.5 Re-use of Previously Certified Scope of Certification Material ............................. V-III-6-16

6.5.1 Material Removed from a Deep Submergence System or Operating

Ship ......................................................................................................... V-III-6-16

6.5.2 Reuse of Scope of Certification Material ............................................... V-III-6-17

6.5.3 Material Recertification Required .......................................................... V-III-6-18

6.5.4 Material Recertification Following Transfer to Outside Agency

(Excluding Naval Shipyards) ................................................................. V-III-6-19

6.5.5 Material Recertification Following Transfer to a Naval Shipyard ......... V-III-6-19

CHAPTER 7 - TESTING REQUIREMENTS

7.1 Purpose ...................................................................................................................... V-III-7-1

7.2 Testing Requirements ................................................................................................ V-III-7-1

CHAPTER 8 - DEPARTURE FROM SPECIFICATIONS

8.1 Purpose ...................................................................................................................... V-III-8-1

8.2 Departure from Specification .................................................................................... V-III-8-1

8.2.1 Reporting Departures from Specification ................................................. V-III-8-1

8.2.2 Approval of Departures from Specification ............................................. V-III-8-1

8.2.3 Major and Minor Departure from Specification Classification ................ V-III-8-1

8.2.4 General Administrative Requirements ..................................................... V-III-8-2

8.2.5 Submission and Approval of Departures from Specification ................... V-III-8-2

8.2.6 Departure from Specification Approval and Reporting for DSSs

While at Sea .............................................................................................. V-III-8-3

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CHAPTER 9 - AUDITS, SURVEILLANCE, EVALUATIONS, ASSESSMENTS AND

SURVEYS

9.1 Purpose ...................................................................................................................... V-III-9-1

9.2 Responsibilities and Procedures ................................................................................ V-III-9-1

9.2.1 User Activity Surveillance and Evaluation Program ................................ V-III-9-1

9.2.2 Sustaining Activity Audit, Surveillance and Evaluation Program ........... V-III-9-1

9.2.3 Immediate Superiors In Command Assessments, Audits and

Surveillance .............................................................................................. V-III-9-1

9.2.4 Type Commander Assessments…………… ............................................ V-III-9-2

9.3 System Certification Authority Certification Surveys and Functional Audits .......... V-III-9-2

9.3.1 Certification Process ................................................................................. V-III-9-2

9.3.2 Certification Survey Cards ....................................................................... V-III-9-2

9.3.3 Administration of Survey and Audit Findings ......................................... V-III-9-3

9.3.4 Administration of Surveys for Initial Certification or Reinstatement

of Certification .......................................................................................... V-III-9-3

9.3.5 Manned Use in Pursuit of Certification or Reinstatement of

Certification .............................................................................................. V-III-9-5

9.3.6 Sustaining Certification Surveys .............................................................. V-III-9-6

9.3.7 Continuation of Certification .................................................................... V-III-9-8

CHAPTER 10 - QUALITY ASSURANCE RECORDS

10.1 Purpose .................................................................................................................... V-III-10-1

10.2 Departure from Specification Record Retention ..................................................... V-III-10-1

10.3 User and Sustaining Activity Quality Assurance Record Retention ....................... V-III-10-1

CHAPTER 11 - QUALITY ASSURANCE FORMS AND FORM INSTRUCTIONS

11.1 Purpose .................................................................................................................... V-III-11-1

11.2 List of Forms ........................................................................................................... V-III-11-1

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VOLUME V

PART I

FOREWORD

QUALITY MAINTENANCE

LISTING OF APPENDICES.

A Glossary of Terms

REFERENCES.

(a) NAVSEAINST 5400.95 - Waterfront Engineering and Technical Authority Policy

1.1 PURPOSE. To provide procedures and guidance to ensure, with a reasonable level of

confidence, that work performed on or for Navy ships is accomplished with first time quality.

Further, it is to give the sailors who serve on U.S. Navy ships the confidence that their equipment

and systems will operate reliably and safely, in peace or when in harm’s way.

1.2 SCOPE.

a. The guidance contained in this volume is applicable to every ship and activity of the

fleet. The requirements are applicable to Ship’s Force when performing maintenance

on their own ship, to each Fleet Maintenance Activity (FMA) when performing work

on tended ships, and to outside organizations (shipyards, contractors, Regional

Maintenance Centers) performing work on ships. This volume does not currently

apply to outside organizations (shipyards, contractors) when an availability is

conducted in a depot facility and the contract specifies the use of other specifications.

b. This volume is directive in nature and may be cited as authority for action as the need

dictates. Where higher authority imposes more stringent requirements or conflicts

exist with previously issued Fleet directives, such requirements must have precedence.

When such conflicts are identified, they should be reported immediately to the Fleet

and Type Commanders (TYCOM).

c. The ultimate authority for risk acceptance (and all other matters pertaining to a ship

regardless of platform) is the operational commander. Reference (a) contains the

NAVSEA policy on what constitutes a non-conformance with technical requirements,

and how those non-conformances are adjudicated. This manual defines how the

operational commander implements the Departure From Specification process to

originate a non-conformance and trigger the adjudication policy contained in reference

(a).

1.3 MANUAL ORGANIZATION.

1.3.1 Basic Maintenance Principles. In order for repairs to be conducted reliably and with first

time quality, several principles must be adhered to:

a. The worker must have a process that guides him or her in the performance of

maintenance (see Part 1 Chapter 2 of this volume).

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b. The worker must be trained so that work can be done safely and effectively (see Part I

Chapter 3 of this volume).

c The worker must have the proper technical direction (see Part I Chapter 5 of this

volume).

d. The worker must have the proper material (see Part I Chapter 6 of this volume).

e. For essential and critical systems, confidence must be established by appropriate

testing (see Part I Chapter 7 of this volume).

1.3.2 Special Circumstances and Maintenance Support. In the course of conducting

maintenance, special actions are required if technical requirements cannot be met. Other actions

not directly related to conducting maintenance are required to support the conduct of

maintenance. Other chapters in this volume discuss these:

a. Resources (Organization) (see Part I Chapter 1 of this volume).

b. Departure from Specification (DFS, Waivers and Nuclear Liaison Action Request)

(see Part I Chapter 8 of this volume).

c. Audits and surveillance (see Part I Chapter 9 of this volume).

d. Retention of records (see Part I Chapter 10 of this volume).

e. Blank reproducible forms and form instructions (see Part I Chapter 11 of this volume).

1.3.3 Order of Precedence. Guidance documents originate from a variety of sources. When a

conflict exists, the following tables are provided to assist in determining precedence of the

governing document on a case-by-case basis. However, the tables may not be exact for a

particular case and may require adjudication by your Immediate Superior In Command.

Equipment and material under the cognizance of Naval Sea Systems Command Nuclear

Propulsion Directorate (NAVSEA 08) is maintained per NAVSEA 08 directives.

NOTE 1: TABLE 1 AND 2 ESTABLISH THE ORDER OF PRECEDENCE FOR

OPERATIONS AND MAINTENANCE TECHNICAL DOCUMENTATION

GUIDANCE.

NOTE 2: THE EXAMPLES PROVIDED IN THE TABLES ARE NOT LISTED IN ANY

PARTICULAR ORDER OF PRECEDENCE.

1.3.3.1 Operations. Table 1 identifies guidance for aligning, starting, stopping and changing

modes of operation of systems and equipment.

Table FWD-1 Operating Systems and Equipment

Precedence Examples

1 Operating Setting

Advisories Issued

Before October 2009

Operating Advisories (Fleet Advisories, Class Advisories). Gas

Turbine Technical Directives (GTBs, AYBs, etc.)

2 Operating Procedures Operating Sequence Systems (EOSS, CSOSS, AFOSS, etc.)

Reactor Plant Manual, Steam Plant Manual, Steam & Electric

Plant Manual, Ships System Manuals

3 Technical Manuals Component Technical Manuals, NSTM, OEM Technical

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Manual

4 Directives SORM, EDORM, NAVORDS

5 Instructions NAVSEA Letters

6 Locally Generated OSS Following the Operating Sequencing Systems (OSS) Users

Guide

1.3.3.2 Maintenance and Technical. Table 2 identifies guidance used for preventive

maintenance, troubleshooting, assessment, alignment, calibration, non-permanent changes and

TEMPALTs.

Table FWD-2 Maintenance and Technical Documents

Precedence Examples

1 DFS and Requirement

Setting Advisories

Issued before October

2009

DFS, LA

-Waiver, Fleet Advisories, Class Advisories, Gas

Turbine Technical Directives (GTBs, AYBs, etc.)

2 PMS MRCs, PMRs, Steam Plant Manual, Steam & Electric Plant

Manual, Maintenance Requirements

3 Requirements JFMM, P9290, 7010, 0010, SSCB, FBW, CRL, CMP, DDGOS,

GSO, URO-MRC, SOC Noteboo

4 Drawings NAVSHIP drawings, BUSHIP Drawings, NAVAIR Drawings

TVDs, SYSCOM Approved Vendor Drawings, DDS Approved

Drawings

5 Technical Manuals Component Technical Manuals, NSTMs

6 Directives SORM, EDOM, NAVORD, SYSCOM Technical Bulletins,

Type Commander Technical Notes

7 Instructions NWPs, SYSCOM Instructions

8 Maintenance

Procedures

FWPs, CWPs, TWDs, UIPIs, PPIs, Maintenance Standards,

Handbooks

The following abbreviations are used in Table FWD-2:

0010 SUBSAFE Manual

7010 Material Control Standar

AFOSS Aviation Fuels Operational Sequencing Syste

AYB Ancillary Equipment Bulleti

CMP Class Maintenance Pla

CRL Calibration Requirements List

CSOSS Combat Systems Operational Sequencing System

CWP Controlled Work Package

DDGOS Deep Diving General Overhaul Specifications

DDS Dry Deck Shelte

DFS Departures From Specificatio

EDOM Engineering Department Organizational Manual

EOSS Engineering Operational Sequencing System

FBW Fly-By-Wire

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FWP Formal Work Package

GSO General Specifications for Overhaul

GTB Gas Turbine Bulletins

JFMM Joint Fleet Maintenance Manual

Liaison Action Requests

NAVORD Naval Ordinance

NSTM Naval Ships Technical Manual

NWPs Naval Warfare Publications

OEM Original Equipment Manufacture

OSS Operational Sequencing System

P9290 System Certification Procedures and Criteria Manual for Deep

Submergence Systems

Planned Maintenance Requirements

PPI Portsmouth Process Instructio

SOC Scope of Certificatio

SORM Ships Organization Requirements Manual

SSCB SUBSAFE Certification Boundary Boo

SYSCOM System Command

TVD Technical Variance Document

TWD Technical Work Document

UIPI Uniform Industrial Process Instruction

URO MRC Unrestricted Operations Maintenance Requirement Car

1.3.4 Advisories. Commencing with Revision B CH-2, advisories (bulletins, class advisories,

Fleet advisories, In-Service Engineering Activity advisories, etc.) will no longer be used to

change or set requirements. Any change to requirements will be done by an appropriate

document change form (e.g., Advance Change Notice (ACN)).

1.4 NEED FOR QUALITY MAINTENANCE PROCESSES.

a. Quality maintenance processes play a vital role in the mission capability and personnel

safety of many organizations. The three examples in sub-paragraphs (1) through (3)

demonstrate how actions, which seem small and insignificant can result in severe

consequences. In all cases, if a strong and effective quality process had been in effect,

the tragic results may have been averted.

(1) On April 10, 1963, while engaged in a sea trials deep dive off the coast of

Maine, a flooding casualty occurred in the engine room of the USS

THRESHER (SSN 593). A piping failure in one of the salt water systems was

subsequently determined to be the most likely cause for the loss of the ship and

all personnel onboard. The comprehensive investigation, which followed,

recommended numerous changes in the design and maintenance processes for

submarines resulting in the Submarine Safety (SUBSAFE) Program, as it is

known today.

(2) On January 28, 1986 the space shuttle Challenger was launched from Cape

Canaveral Florida. Seventy-three seconds into flight, the spacecraft exploded

and seven astronauts lost their lives. Subsequently, on June 6, 1986 a

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Presidential Commission concluded that the cause of the Challenger accident

was the failure of the pressure seal in the aft field joint of the right solid rocket

motor. Neither the National Aeronautics Space Administration nor the rocket

engine builder developed a solution to the unexpected occurrences of O-ring

erosion and blow-by, even though this problem was experienced frequently

during shuttle flight history. The commission further concluded that a quality

program would have tracked and discovered the reason for increasing erosion

and blow by. Additionally, the commission found that the pressure to fly a

launch schedule of 24 flights a year created pressure throughout the agency

that directly contributed to unsafe launch operations. In short, the syndrome of

“they’ve operated with that problem before and the risk is small” prevailed.

The safety and technical requirements became secondary to operational

commitments.

(3) On October 30, 1990, a major steam leak occurred in the fire room on board

USS IWO JIMA (LPH 2) resulting in the deaths of ten watch standers. The

investigation determined the cause to be failure of the bonnet fasteners of a

ship service turbine generator root valve. The valve had just been repaired by

a shipyard where the bonnet fasteners were replaced with mis-matched and

incorrect material. The required fasteners were heat-treated steel studs and

nuts. The fasteners installed during the maintenance were a mixture of bolts,

studs and black oxide coated brass nuts. The high temperature and pressure

placed on the fasteners during plant light off caused the brass nuts to fail

catastrophically, which allowed the valve bonnet assembly to separate from the

body. The replacement fasteners were furnished by Ship’s Force, but no one

(ship or shipyard) checked the fasteners, prior to installation, to ensure that the

requirements of the technical manual and drawings were met.

b. The examples in sub-paragraph “a” clearly demonstrate that, with the technical

complexity of present day surface ships and submarines, the need for special

administrative and technical controls necessary to ensure conformance to technical

specifications during maintenance and testing is necessary. The necessity to perform

the work correctly and following technical specifications is paramount in order to

preclude loss of life or loss of a ship. The quality program was developed to assure

maintenance of the modern day Fleet is performed following technical specifications,

thus ensuring the highest state of material readiness.

c. The fundamental rule for all maintenance is that technical specifications must be met

at all times. If for some reason the specified technical requirements cannot be met,

acceptable alternatives must be approved by the appropriate authority and documented

as a Departure from Specification or Liaison Action Request (LAR) prior to the

continued operation of the ship.

1.5 CHANGES AND CORRECTIONS. Changes, corrections and updates to this volume will

be made by the Fleet as required to maintain the volume current with higher authority technical

requirements. When higher authority directives are issued which impose more stringent

requirements, the Fleet will issue implementing instructions. Comments and suggestions for

improving this volume are encouraged from all users. Address comments, recommendations and

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proposed changes to Submarine Maintenance Engineering, Planning and Procurement Activity

using the manual change request form in the front of this volume. If changes are submitted in

electronic format, faxed or E-mail, each change request must contain the information required on

the Change Request Form.

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APPENDIX A

GLOSSARY OF TERMS

TERM DEFINITION

Acceptance Trials Trials and material inspections conducted underway by the INSURV

Board for ships constructed in a private industrial activity to determine

suitability for acceptance of a ship by the Navy.

Accepting Authority The officer designated by the Chief of Naval Operations (CNO) to

accept a vessel for the Navy, normally NAVSEA.

Acid Spot Test See Generic Material Verification or Identification.

Additive

Manufacturing

Additive manufacturing, also known as 3D printing, is a process used

to create a physical (or 3D) object by layering materials one by one

based on a digital model. Unlike subtractive manufacturing that

creates its final product by cutting away from a block of material,

additive manufacture adds parts to form its final product.

Alpha Trial Builders Propulsion Trial; Acceptance Trial for SSN, SSBN, SSGN

Propulsion Plant; Initial Tightness Dive (SSN, SSBN, SSGN); Dive to

Maximum Authorized Depth (Selected SSN platforms).

Annual Within 12 calendar months beginning on January 1 at 0000hr and

ending on December 31 at 2359hr.

As Built Drawing Drawings approved by the Planning Yard (PY), used for installation,

and revised to indicate the actual “as installed” configuration on the

ship.

Assist Work Center The Work Center or group on board ship or at a repair activity with

responsibility for accomplishment of a work or maintenance

procedure as assist to or under direction of a Lead Work Center.

Audit

A detailed analysis and evaluation of records to determine compliance

with existing requirements.

Backup Valve A valve which, when closed, provides, in part or in whole, the

secondary isolation boundary to sea pressure.

Boundary The specific limits of the physical area involved in work and testing

accomplished. That line, point or location identified as the border

between controlled and uncontrolled areas. Depending on the type of

system involved, it means the system component nearest to the work

area which is operated to regulate or shut off the flow of fluid or de-

energize electricity to the portion of the system which is being

worked.

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Bravo Trial Normally the initial Dive to Test Depth; Noise Trial (SSN, SSBN,

SSGN); Strategic Weapons System Missile Testing (SSBN); Weapons

testing (Surface Combatants).

Builder’s Trials Evaluation trials and inspections conducted underway by the builder

to assure the builder and the Navy that the ship is, or will be, ready for

Acceptance Trials. These trials should be a comprehensive test of all

ship’s equipment and be similar in scope to Acceptance Trials. For

nuclear powered surface ships, this is the Acceptance Trial for the

Nuclear Propulsion plant.

Casting A part formed by pouring molten metal into a mold.

Certification To provide assurance, in writing, that the component or system

conforms to the technical requirements.

Certification

(Material)

The process of receipt inspection of material received from the Naval

Supply System, which establishes the correct level of essentiality and

acceptability of the material following the appropriate specifications

and material control standard.

Certified Oxygen

Clean

Certified Oxygen Clean applies to material, which is intended for or

installed in shipboard oxygen generating, storage and distribution

systems. The Naval Sea Systems Command (NAVSEA) source

document, which governs certification of oxygen cleanliness, is MIL-

STD-1330, Standard Practice for Precision Cleaning and Testing of

Shipboard Oxygen, Helium, Helium-Oxygen, Nitrogen and Hydrogen

Systems.

Certifying Activity The activity, approved by Systems Command, that is qualified to

complete all of the necessary certifying requirements of the particular

specification or standard.

Change In

Configuration

Ship’s configuration is defined by drawings and drawing revisions

specified in the Ship’s Drawing Index and by equipment technical

manuals applicable to equipment installed in the ship following these

drawings. Changes, which do not conform to these documents are a

change in configuration. For example:

a. Material substitutions.

b. Pipe joint additions or deletions.

c. Significant rerouting or relocation of piping, cabling and

equipment.

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TERM DEFINITION

d. Seal welding of normally mechanically sealed assemblies.

e. Changes in piece dimensions.

Charlie Trial Combat Systems and retesting (SSN, SSBN, SSGN); Acceptance

Trials (DDG).

Cleanliness a. Reactor Plant - Minimum reactor plant cleanliness requirements

according to NAVSEA 0989-064-3000; Cleanliness

Requirements For Nuclear Propulsion Plant Maintenance and

Construction.

b. Steam Plant - Minimum steam plant cleanliness requirements

according to NAVSEA 0989-064-3000.

c. Commercial Cleanliness - A term that is used to describe the

minimum level of cleanliness, which should be maintained during

work on propulsion plant systems and equipment not covered by

NAVSEA 0989-064-3000. Commercial cleanliness is the

absence of foreign material, which could, if present, interfere with

the function of these systems and components.

d. Oxygen System - Minimum oxygen system cleanliness

requirements according to MIL-STD-1330, Standard Practice for

Precision Cleaning and Testing of Shipboard Oxygen, Helium,

Helium-Oxygen, Nitrogen and Hydrogen Systems.

Cleanliness Inspector

or Certifier

Individuals trained and qualified to perform cleanliness inspections

required by work procedures for systems or components requiring

cleanliness controls.

Coaming (Submarine) The structure surrounding holes in, and extending through one or both

sides of the pressure hull structure. They are usually connected by a

corner or tee weld. They provide complete or partial strength

compensation for the hole. Coamings are used for items like

manholes. Hull valves generally use an insert.

Combined Trials Combined Trials are a combination of an Acceptance Trial with a

Final Contract Trial. The INSURV Board normally conducts

Combined Trials for nuclear powered submarines.

Component A self-contained combination of parts, subassemblies, or assemblies

which performs a distinctive function in the overall operation of an

equipment.

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TERM DEFINITION

Component Drawing A vendor, NAVSEA, or shipbuilder drawing which shows the

assembly and details of a component such as a valve or pump.

Sometimes it is divided into two drawings, one showing the assembly

and the other the details. The component drawing list of material

usually has a column entitled Material Identification and Control

(MIC) level. It is this column on the list of material that is the source

of information on whether a piece has a non-nuclear designation of

Level I or Level NA (Not Applicable). A material designation does

not normally appear on a component drawing list of material. It is

shown instead on a Quality Assurance List (QAL). If a component

drawing list of material has no MIC level column, then drawing notes

should be reviewed to determine if one or more parts are Level I.

Continuity of

Submarine Safety

Certification

A status defined by those procedures, tests, and inspections required

when hardware is renewed or replaced within the Submarine Material

Certification Boundary, as well as the periodic checks or inspections

required to assure continued satisfactory material condition for

certification.

Controlled Assembly Process used for Re-Entry Control (REC) Exceptions or Exceptions to

Retest Requirements for Mechanical Joints and consists of:

a. Verification that surface finishes of gasket and O-ring sealing

surfaces are following applicable specifications.

b. Verification that fastener material and installation is following

applicable specifications.

c. Verification that gaskets and O-rings are properly installed and

following applicable specifications.

d. Assembly is documented on a Quality Assurance (QA) form 34.

e. Inspected by a Quality Assurance Inspector (QAI) or Quality

Assurance Supervisor (QAS).

Controlled Dive Conduct of a dive in incremental stages by a submarine to maximum

authorized operating depth as measured to the keel to accomplish

inspections of those joints and penetrations worked within certified

boundaries and not tested prior to ship’s underway.

Controlled Material Any material which must be identified, verified and regulated

throughout the manufacturing, installation or repair process in order to

meet the specifications required of the end product. Controlled

material is comprised of the following:

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TERM DEFINITION

a. Three special classes of material requiring NAVSEA or Naval

Inventory Control Point mandated controls while held in the

supply system and control and certification by the end user by use

of the procedures in Part I, Chapter 6 of this volume:

1. Non-Nuclear Level I.

2. Submarine Flight Critical Component.

3. Nuclear Level I.

b. Material which NAVSEA considers to be of sufficient criticality

to warrant basic receipt inspection by the end user and segregated

storage while in supply or a work center, but not necessarily the

control and certification required by Part I, Chapter 6 of this

volume:

1. Naval Nuclear Propulsion Plant Material stocked with SMIC

X1, X3 or X5 (instrumentation drawers, low chloride

lagging).

2. Non-Nuclear Materials stocked with SMIC SQ, CP, DG, QA,

SP or VG.

3. HY-80, 100 or 130 plate.

Controlled Material

Handler

An individual at the TRIDENT Refit Facilities who is qualified to

perform the duties of a Controlled Material Petty Officer.

Controlled Material

Petty Officer

An individual responsible for the receipt inspection and control of

SUBSAFE, Level I, SAED, SAQAM, Project Target, Nuclear Level I

and Scope of Certification materials after issue from the supply

system.

Controlled Work

Package

The records that provide the Objective Quality Evidence (OQE)

necessary to certify that the completed maintenance was authorized,

required tests were completed and work was certified. This consists of

the Formal Work Package (FWP) and OQE.

Craftsman A mechanic or other individual trained in QA methods and procedures

(i.e., inspections, cleanliness, testing, documentation) to perform

maintenance on ship’s systems or components.

Deep Dive The first dive to maximum operating depth. This depth will not

necessarily coincide with the design test depth of the hull. See

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TERM DEFINITION

definition of Maximum Operating Depth.

Defect An imperfection that impairs completeness or quality or does not meet

required specification.

Delivery The date the Navy accepts the ship from the ship builder. This

requires a recommendation from the INSURV Board to accept or

deliver the ship. Delivery of the ship is based on Acceptance Trials

and satisfactory correction or resolution of deficiencies.

Departure From

Specification

A lack of compliance with any authoritative document, plan,

procedure, instruction, etc. See Part I, Chapter 8 of this volume for

more information.

Design Intent The revision of a drawing from which the original equipment or part

was intended to be built, or the revision to which design intends the

ship to be built. This revision is typically reserved for use by planning

yards and should not be used by Organizational and Intermediate level

maintenance activities.

Detrimental Material A material which, when contacting hardware, may have a deleterious

effect on the hardware.

Deviation Any non-conformance of a component or product with specified

requirements.

Dock Trial Dock Trials are those ship trials conducted at the Industrial Activity to

determine the ability of the ship, from a material standpoint, to

conduct Sea Trials safely.

Documentation The records of OQE establishing the requisite quality of the material,

component or work accomplished. Documentation should be

traceable from the item to the records and be filed in an auditable

manner.

Downgrading The formal process used to decertify (removal of MIC mark(s),

general identification marks, and in some cases demilitarize)

controlled material for general use or disposal.

Electrode A consumable filler metal which fuses during the welding process and

becomes an integral part of the material or non-consumable electrode

that fuses the metal during the welding process, but does not become

an integral part of the material (e.g., tungsten).

Emergent Work,

Emergent Repair,

A task which requires immediate repair in order to correct mission

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TERM DEFINITION

Emergent

Maintenance

impacting maintenance.

Face Feeding The manual addition of brazing alloy at the intersection of the fitting

face and the pipe. Supplemental face feeding is the addition of

brazing material to increase fillet size.

Fast Cruise A period immediately prior to underway trials during which Ship’s

Force operates the ship for dockside training. Fast Cruise must, as far

as is practical, simulate at-sea operating conditions.

Final Contract Trials Trials that are conducted prior to the end of the guarantee period to

determine if there are any defects, failures, or deterioration other than

that due to normal wear and tear.

Fleet Introduction

Team

A team of personnel assembled to support a pre-commissioning crew

by monitoring progress of construction and coordinating training and

facilities. They provide administrative support in all facets of new

construction.

Fleet Maintenance

Activity

FMAs include tenders, shore based maintenance activities (Regional

Maintenance Centers, Naval Ship Repair Facilities, Naval Submarine

Support Facilities, Naval Intermediate Maintenance Facilities

(NAVIMFAC), TRIDENT Refit Facilities, Weapons Repair Facilities

and other activities of that type) and supporting activities (port

services, etc. that perform maintenance on Fleet assets).

Fly-By-Wire Ship

Control System

A Ship Control System in which the controls are actuated by electrical

impulses, as from a computer.

Foreign Material Any material or object that should not be on or within clean hardware.

Examples include, grit, chips, particles, oil, slag, scale, fibers, tape,

tools, and loose articles.

Forging Defined as a part formed by hammering or pressing a piece of heated

metal to form a shape.

Formal Work Package Written instructions, prepared per Part I, Chapter 2 of this volume for

use in production and repair, delineating all the essential elements and

guidance necessary to produce acceptable and reliable products.

Gas System

Cleanliness Inspector

or Certifier

Any person qualified under the requirements of this manual to

perform the tasks of initial, in-process and final Cleanliness

Certification Inspections for Gas systems.

Generic Material A broad identification of materials by simple, direct and rapid analysis

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TERM DEFINITION

Verification or

Identification

methods or a combination of methods (e.g., Color, Magnetic

Properties Test, Acid Spot Tests, Metal Comparator Tests). These

tests are designed for simple screening and identification of materials

by alloy family (as opposed to classification of specific alloys within a

family).

Group Normally that first 1-Star organization or Command above the

Squadron before to TYCOM.

Guarantee Material

Inspection

A material inspection, conducted in port prior to Post Shakedown

Availability (PSA) by a Trial Board prior to the end of the guarantee

period when CNO has authorized a Combined Trial to determine if

contractor responsible equipment has operated satisfactorily during

the guarantee period. It must include the opening and inspection of

equipment designated by the Board together with the operation and

visual inspection of equipment and the review of material

maintenance records.

Guarantee Period

(New Construction)

The period of time immediately following preliminary acceptance

(delivery), normally eight or nine months (six months for nuclear

powered ships), for which the industrial activity is responsible for the

correction of deficiencies.

Guarantee Period (Post

Shakedown

Availability)

The guarantee period following PSA varies with the type of contract.

Historically, a “cost plus” type contract has had a guarantee period of

six months and a “fixed price” type contract a period of 90 days. The

Supervising Authority will advise at the time of PSA the guarantee

that applies.

Homogeneous Lot

a. Nuclear: A lot of material in which each piece is manufactured

from the same heat, batch, or melt or has the same vendor

traceability code number.

b. Non-Nuclear: A group of like items that are produced in a

common heat or batch or are produced under continuous cast or

pour process with the same vendor traceability numbers, are of

the same nominal size, and are received in a single shipment. For

batch or continuous cast or pour processes, samples for chemical

and mechanical properties must be taken no less than once in

every 8 hours of operation. If additional production processes are

used that alter the mechanical properties of the material (e.g.,

heat-treat, cold or hot forge, extrusion), then all items of the same

“Heat” number and additionally processed under the same

conditions at the same time must be considered as a homogeneous

lot.

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TERM DEFINITION

Hull Integrity

Boundary

Pressure hull plating (shell plate), pipe, components, etc., NPS 1/2

inch and larger, from the inboard joint of the backup valve (or

equivalent) outboard to the hull.

Hull Integrity

Fasteners

Hull Integrity Fasteners (HF) are male threaded type items such as

bolts, socket head cap screws, studs and bolt studs which are loaded

by the differential sea pressure and internal hull pressure, and which

are a part of pressure hull integrity components or of systems

penetrating the Pressure Hull Structure, from the pressure hull to and

including the inboard joint of the backup valve or its equivalent. Nuts

and lock-washers are specifically excluded.

Hull Valve A valve which, when closed, provides, in part or in whole, the first

isolation boundary to sea pressure. The hull valve may also be

referred to as the primary closure.

Immediate Superior In

Command

The ISIC is defined as:

a. For Submarines - The Squadron or Group.

b. For Aircraft Carriers - The TYCOM. The TYCOM may

designate a representative in carrying out certain Immediate

Superior in Command functions.

c. For Surface Forces - The Command holding administrative

control.

Industrial Activity The activity responsible for accomplishing construction or repair of

ships whether private or public. This includes Naval shipyards,

private shipyards, shipbuilders, vendors, Naval Aviation Depots,

Naval Ship Repair Facilities, and other Naval Repair and Technical

Activities (Naval Underwater Weapons Center, Naval Ships Weapons

Center, etc.).

Initial Dive For purposes of seawater valve and system testing, as defined in

NAVSEAINST C9094.2, the first dive to a depth not previously

reached during the trials.

Initial Tightness Dive First submergence (a submarine’s Alpha Trial).

In-Process

Surveillance

The review of work in progress by personnel not directly involved

with the work to assess such attributes as tagging and installation of

controlled material, compliance with technical procedures, and

recording of required data.

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TERM DEFINITION

In-Service Nuclear powered ships are assigned an active status of In-Service

approximately two to four weeks (two to four months for aircraft

carriers) prior to the commencement of Sea Trials and maintain this

status until commissioning.

Inspection A certification conducted by a separate individual qualified as an

inspector (QAS, QAI, Cleanliness Certifier or Cleanliness Inspector,

Nondestructive Test (NDT), Radiological Controls Monitor,

Radiological Controls Shift Supervisor) on any system or component,

which by its nature, is critical to the successful completion of the task.

Inspection Record Record data showing the results of an inspection with appropriate

identifying information as to the characteristics inspected and item

inspected.

INSURV Prior to the acceptance and delivery of a new ship, whether built by a

private or naval industrial activity, all machinery, electronics and

weapons systems installed must be subjected to acceptance trials to

determine that the installations are capable of meeting performance

specifications. Depending upon your platform, these trials are

referred to as either Acceptance Trials, Combined Trials or INSURV.

This independent verification of the ship’s readiness for acceptance

and recommendation for fleet introduction is the responsibility of the

President, Board of Inspection and Survey.

Latest Revision The most recent authorized revision and change level of a drawing.

The latest revision of a hull applicable drawing may not identify

current configuration for a specific hull.

Leading Petty Officer

or Work Center

Supervisor

That person as defined by the appropriate Organization and

Regulations Manual, responsible for ensuring the quality of work

performed by his or her work center.

Lead Work Center The Work Center or group on board ship or at a repair activity with

prime responsibility for accomplishment of a work or maintenance

procedure.

Level I A designation for systems and components for which the Navy requires

a high degree of assurance that chemical composition and mechanical

properties of the installed materials meet the specified requirements.

Level of Essentiality A range of controls in two broad categories representing a high degree

of confidence that procurement specifications for piping system

components have been met. These categories are:

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TERM DEFINITION

a. Verification of material, which ensures that the manufacturer has

complied with procurement requirements for chemical

composition and physical properties of the material.

b. Confirmation of satisfactory completion of tests and inspections

required by the ordering data (e.g., Liquid Penetrant Testing (PT),

dimensions, hydrostatic strength and porosity).

Liaison Action

Request

A request for technical concurrence from Planning Yard or NAVSEA.

Procedures for requesting information from the Reactor Plant Planning

Yard are contained in Commissioned Submarine General Reactor Plant

Overhaul and Repair Specification (NAVSEA 0989-LP-037-2000),

Nuclear Support Facilities Overhaul and Repair Specification

(NAVSEA 0989-LP-058-1000), Commissioned Surface Ship General

Reactor Plant Overhaul and Repair Specification (NAVSEA 0989-043-

0000) and TYCOM instructions. For non-nuclear systems and

components, the LAR can be in any format which is convenient for the

user, provided that it is identified as a LAR, clearly defines the exact

information needed, lists the drawings in question, and states the date

by which a reply is requested to support ship schedules. Volume II of

the Fleet Modernization Program Management and Operations Manual

contains a format for a non-nuclear LAR which FMAs may adapt for

their use.

Loss of Traceability A situation in which controlled material cannot be positively traced to

the results of chemical and physical testing performed to prove that the

material is that required by the specification to which it was made or

bought. In each instance of loss of traceability, the FMA or ship

Quality Assurance Officer must initiate action to restore traceability or

use alternate, traceable material.

Maintenance

Certification Record

The record (QA form 9) used to document the physical work

boundaries, define the work involved, specify the material control and

fabrication control procedures, specify inspection and test

requirements, list the certification records involved, and provide

approval and acceptance signatures and dates for work within the

SUBSAFE boundary, a nuclear system or a Level I system or

component.

Maintenance Manager Those persons, such as Port Engineers, Ship Superintendents, Ship’s

Coordinators, and Maintenance Planning Managers, assigned to assist

Ship’s Force in the tracking of work candidates, development of work

packages, and tracking of FMA or Industrial Activities assigned jobs.

Maintenance Defines maintenance inspections and actions associated with the

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TERM DEFINITION

Requirement Card Planned Maintenance System (PMS).

Maintenance Standard (Submarines only) A document which specifies minimum technical

requirements for acceptable refurbishment of submarine components,

including inspection and testing criteria and parts replacement

information, following NAVSEA maintenance plans.

Major Repair Non-nuclear major repairs are those repairs which:

a. Structurally affect the pressure-containing portion of a piping

system or component through welding (except as defined under

Minor Repair), brazing or other fabrication process, including new

mechanical joints in which a flange or union tailpiece is replaced

using a weld or braze.

b. Involve installation of new pressure boundary parts or components

which have not been previously strength tested.

Mapping Drawing A diagrammatic drawing, verified by ship check, that identifies and

specifies the location of elements which must meet a SUBSAFE

requirement of NAVSEA

0924-062-0010, SUBSAFE Requirements Manual. Pipe joints, flexible

connections and castings are examples of items identified on the

mapping drawing. Pipe joints are each numbered (e.g., MSW-56178)

and the type of joint identified (e.g., WB - butt weld). The mapping

drawing will also reference a QAL as applicable. Mapping drawings

are discussed in the introductions of the SUBSAFE Certification

Boundary Book. Most of the symbols seen on a mapping drawing are:

BF - Brazed joint, face fed SL - Seal

BP - Brazed joint, pre-inserted

ring

U - Threaded pipe union

CN - Casting WA - Welded attachment

F or FG - Flange WB - Butt weld

FH - Flexible connection WF - Fillet weld

HF - Hull Integrity Fastener WL - Seal weld

IN - Pressure hull insert WM - Bimetallic weld

PE - Penetration WN - Welded nozzle

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TERM DEFINITION

PF - Pressure hull fitting WR - Root connection (or boss)

PM - Pressure hull penetrating

mast

WS - Socket weld

Material Identification

and Control Number

or Marking

A unique number assigned to certified material by the Certifying

Activity (for material) which provides traceability to OQE following

the applicable Material Control Standard.

Maximum Operating

Depth (Also

Maximum Authorized

Operating Depth)

The depth to the keel for a particular submarine which is authorized by

Commander Submarine Forces Atlantic or Commander Submarine

Forces Pacific upon the recommendation of NAVSEA, as the depth not

to be exceeded in operations. This depth is normally the Test Depth

but may be reduced in specific cases. The depth authorized may be

less than, but in no case exceed, the depth recommended by NAVSEA.

Minor Repair Minor repairs are operations that could be considered maintenance

such as replacing packing and pressure seal ring, lubricating, lapping or

grinding of seats, and replacing damaged parts such as stems and discs.

For the purpose of this manual the definition in Naval Ships’ Technical

Manual Chapter 505 or NAVSEA S9074-AR-GIB-010/278, whichever

is applicable, is used for the term “Minor” repair.

Moderate Speed The range of speed that allows the submarine optimum recovery (as

shown on applicable submerged operating envelope curves) if loss of

stern plane control, flooding, or both, occurs. Normally 8-15 knots.

Naval Supervisory

Authority or

Supervisory Authority

The officer designated to represent the Navy Department at an

industrial activity; normally a Supervisor of Shipbuilding (new

construction), Regional Maintenance Center (Conversion and Repair)

or the Commander of a Naval Shipyard.

New Mechanical Joint A joint where either a flange or union is replaced. A new mechanical

joint is a major repair and requires a hydrostatic test to the specific

requirements of a particular system.

Nominal Operating

Pressure

The approximate pressure at which an essentially constant pressure

system operates when performing its normal function. This pressure is

used for the system basic pressure identification.

Nondestructive

Testing

All methods of testing used to detect or measure the significant

properties or performance capabilities or material, parts, assemblies,

equipment, or structures which do not impair the service ability of the

parts tested. These tests include:

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TERM DEFINITION

a. Radiographic Testing (RT).

b. Magnetic Particle Testing (MT).

c. Liquid Penetrant Testing (PT).

d. Ultrasonic Testing (UT).

e. Visual Testing (VT).

f. Eddy Current Testing (ET).

Nondestructive

Testing (NDT)

Supervisor

The NDT Supervisor is the individual designated by the respective

Division Officer and is qualified in specific methods for which they

are designated NDT Supervisor. (There may be more than one NDT

Supervisor in an organization.)

Nuclear Regional

Maintenance

Department (NRMD)

NRMD performs intermediate level nuclear maintenance and repair

work, consolidating efforts in a regional area, thus eliminating

duplication of infrastructure and maximizing effective use of funds.

This is accomplished by the use of military personnel integrated into

the experienced nuclear production, radiological and engineering

resources of the parent shipyard. NRMDs are an expansion of their

parent shipyard.

Objective Quality

Evidence

Any statement of fact, either quantitative or qualitative, pertaining to

the quality of a product or service based on observations,

measurements, or tests which can be verified. (Evidence will be

expressed in terms of specific quality requirements or characteristics.

These characteristics are identified in drawings, specifications, and

other documents which describe the item, process, or procedure).

a. Tests can be based on heat, batch, continuous cast or pour, or

other manufacturing processes, providing the manufacturer can

prove the test sample was representative of the material supplied.

b. Material supplied will bear a unique traceability marking and

report of supporting test quantitative data will bear an identical

marking.

Oxygen Clean

Inspector

A Cleanliness Inspector or Cleanliness Certifier qualified by the

Oxygen Clean Instructor and certified by the Department Head or

Commanding Officer to perform cleanliness inspections on systems

under the requirements of MIL-STD-1330.

Oxygen Clean An individual certified by his or her Commanding Officer to train and

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TERM DEFINITION

Instructor qualify personnel in the procedures and requirements of MIL-STD-

1330.

Oxygen Clean Worker An individual qualified by the Oxygen Clean Instructor and certified

by the Department Head to perform maintenance on systems under the

requirements of MIL-STD-1330.

Planning Yard The Naval Shipyard or other activity designated by NAVSEA to

perform the following tasks pertaining to specifically assigned ships:

a. To provide, or coordinate the provision of technical and other

services in design matters.

b. To be responsible for the availability of a complete up-to-date file

of working drawings, Selected Record Drawings, and Data.

c. To provide a central repository, reproduction, and distribution

services, or to coordinate such services, for working drawings,

Selected Record Drawings, and Data.

d. To provide these services to the fullest extent possible within the

limits of the funds provided.

Positive Material

Identification

Process by which the craftsman ensures that the material to be or

being installed is the correct material as specified by the plan,

technical manual, etc. This process is also referred to as “Positive

Material Identification and Verification”.

Post Shakedown

Availability

An industrial activity availability following Final Contract Trials or

Guarantee Material Inspection assigned to correct deficiencies found

during the shakedown period or to accomplish other authorized

improvements.

Pressure Boundary

Part

An item which separates an internal fluid from the atmosphere (or

another fluid at reduced pressure) or which joins two other pressure

boundary parts.

Pressure Hull Fittings All items and assemblies which penetrate the hull integrity boundary

and are attached either mechanically or by welds to penetrations,

inserts or plating. This includes structural, piping, mechanical and

electrical pressure hull fittings and mechanical stuffing boxes;

specifically excluded are all cables, O-Rings, V type packing or

packing around mechanical shafts.

Procedure Written instruction designed for use in production and repair,

delineating all the essential elements and providing guidance

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TERM DEFINITION

necessary to produce acceptable and reliable products. The term

“procedure” includes PMS Maintenance Requirement Card (MRC),

technical manuals, reactor plant manuals, standard operating

procedures, ship’s instructions, etc.

Product Quality

Deficiency Reporting

A method for reporting deficiencies in new or newly reworked

material which may be attributable with contractual or specification

requirements or substandard workmanship performed by depots, naval

shipyards, contractors or subcontractors.

Q-Point Critical Quality Control Point. A work process, regardless of type

(maintenance, training, administrative, etc.), whose proper

accomplishment overwhelmingly affects the ultimate first time quality

success of the process.

Quality Assurance A systematic review of Quality Maintenance records and all

production actions which will provide adequate proof and confidence

that work performed or material manufactured will perform as

designed and that there is documentary evidence to this effect.

Quality Assurance

Inspector

The designated individual(s) in FMA and ship work centers who

inspect the work of other individuals, not their own work. Certified as

qualified by the Commanding Officer or Repair Officer.

Quality Assurance List (Submarines only) QAL on NAVSEA Drawings specify NDT

requirements for items scheduled for installation within the SUBSAFE

boundary during new construction. The QALs should only be utilized

for guidance subsequent to a ships’ commissioning, since they will not

necessarily reflect current NDT requirements.

Quality Assurance

Officer

An individual assigned the responsibility for the organization,

administration, training and execution of the QA Program.

Quality Assurance

Supervisor or

Specialists

Personnel assigned to the FMA Quality Assurance Officer to assist in

implementing the QA Program. QASs are certified as qualified by the

FMA Commanding Officer. A Quality Assurance Specialist is an

individual at the TRIDENT Refit Facilities who is qualified to

perform the duties of a QAS.

Quality Control On the job supervision, management and inspection which identifies

and ensures proper workmanship or materials are being produced.

Reactor Plant

Cleanliness Inspector

or Certifier

Any person qualified under the requirements of the manual to perform

the tasks of initial, in-process and final Cleanliness Certification

Inspections for Reactor Plant Systems.

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TERM DEFINITION

Reactor Plant Work

Accomplishment

Report

A report submitted to the Reactor Plant Planning Yard by ships,

FMAs and shipyards which certifies work accomplished by them on

reactor plant hull integrity areas. These areas, identified on the ship

specific Reactor Plant Work Accomplishment Report, are nuclear and

are usually within the SUBSAFE boundary.

Re-Entry Includes any and all work and testing in a SUBSAFE certified system

including penetration of the pressure hull from the first breaching

through final grooming, testing and return to final operation, (e.g.,

breaking a mechanical flange, a sil-braze, or welded joint, removal of

a valve bonnet, repacking a gland).

Re-Entry Control The controls used to document the re-entry and re-certification of

SUBSAFE systems or components. The QA form 9 (Maintenance

Certification Record) is used to document the acceptance of a

completed SUBSAFE system Re-entry.

Reinstall To use or install the previously installed item or component.

Re-Made Mechanical

Joint

A flange or union joint which has been reassembled using existing or

new threaded fasteners on which no brazing or welding was

accomplished on the joint parts during the repair or modification

process.

Repair Refurbishment other than mere disassembly or cleaning.

Replace To install a new item or component.

Rework The unplanned repetition of a step or a series of steps in a Formal

Work Package.

Sample One or more units of a product selected at random from the material

or process represented.

Selected Record Data Tables, charts, drawing indices, allowance lists, damage control books

and other data (excluding drawings) specifically selected for their

reference value and maintained current throughout the life of the ship.

Selected Record

Drawing

A designated group of drawings made applicable to an individual ship

by illustrating final shipboard installations of important features,

systems and arrangements that must be maintained up to date and

correct throughout the life of the ship.

Ship Any submarine, surface ship, tender, or other vessel assigned to the

Fleet.

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APPENDIX A

TERM DEFINITION

Ship’s Drawing Index A list of drawings, normally on microfiche, or Compact Disc Read

Only Memory (CD ROM) which applies to each ship. It lists ship

construction drawings, ship modification drawings and manufacturer

(vendor) component drawings. It is here that system diagrams,

mapping drawings and in some cases, QALs are identified by drawing

title or by a code in a column after the drawing title and number. The

SDI is located in ATIS and TVD applicability data.

Small Item Items that have a marking surface less than 3/8 of a square inch area.

Software Gaskets, packing and seals used in mechanical flange or union joints

in piping systems.

Special Cleanliness A requirement for components used in oxygen and nitrogen systems to

prevent combustion of contaminants and maintain purity of the gas.

The cleaning requirements are discussed in Naval Ships’ Technical

Manual Chapter 550, Industrial Gases: Generating, Handling and

Storage.

Special Material

Identification Code

A two-digit letter or number code at the end of the National Stock

Number or Navy Item Control Number to provide visibility to

designated items to ensure maintenance of their technical integrity.

The following SMICs from Appendix C of SPCCINST 4441.170 or

Appendix B of SPCCINST 4441.176 are for material commonly used

in the Fleet.

CP An item that requires special cleaning and packaging for oxygen

or nitrogen service (e.g., valves, piping system, generators).

C1 An item that requires special cleaning and packaging for oxygen

or nitrogen service (e.g., valves, piping system, generators) which

also must meet the requirements of Level I.

DG An item that requires special cleaning and packaging for oxygen

or hydrogen service (e.g., valves, piping system, generators).

D1 An item that requires special cleaning and packaging for oxygen

or hydrogen service (e.g., valves, piping system, generators)

which also must meet the requirements of Level I.

LI (Level I) An item that supports either a SUBSAFE or Level I

system that has undergone the extreme material control or QA

techniques that provide OQE of its acceptance for its appropriate

application. Each item has certification papers (or special

markings that provide traceability to the certification) that

pedigree its material and physical properties, provide traceability

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APPENDIX A

TERM DEFINITION

to manufacturer, contract list and lot, and document the QA

system or test requirements applied to the item.

NT Annular ball bearings for quiet operation applicable to submarine

usage (noise tested bearings).

QA Equipment or parts requiring special material control and QA

which supports surface ship or submarine applications.

Q3 Items that support a Level I or SUBSAFE critical component or

system that has undergone QA during the acquisition process

(e.g., a ball and seat assembly utilized in a Level I or SUBSAFE

ball valve based on ship system application). This, however, does

not include Trash Disposal Unit, Signal Ejector, Salvage Air, and

open ended applications which are procured as Level I or

SUBSAFE. “Q3” SMIC invokes chemical and mechanical

certifications traceable to the heat code permanently marked on

the material. It should be noted that “Q3” SMIC coded material is

not receipt inspected or MIC marked by the receipt inspection

activities.

SP An item which is unique to the Navy Strategic Systems Program

Office controlled fleet ballistic missile weapon system. The

SMIC SP establishes a weapons system relationship but does not

signify the technical considerations as described in definition X2,

X3 and LI.

SQ SAQAM, which is administered by the SAED of the Naval Ship

System Engineering Station, Mechanicsburg Detachment. It

includes whole components and repair parts.

SW SEAWOLF Class Ship Control System approved Ships Flight

Critical Components.

S1 An item which is unique to surface ship applications which also

meets the requirements of Level I.

TR TRIDENT Ship’s Program.

VG Equipment or parts requiring special material control and QA

which support surface ship or submarine applications. Special

cleaning and packaging for oxygen or hydrogen service is

required.

VU VIRGINIA Class Ship Control System approved Ships Flight

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APPENDIX A

TERM DEFINITION

Critical Components.

X1 NAVSEA Nuclear Propulsion Directorate (08) controlled material

identified as “2S” cognizance material with an “X1” SMIC.

X2 Naval Reactor Plant material which is specially designed,

manufactured or treated for use in a Naval Reactor Plant. In

addition, this material is inspected (or sample inspected) by a

Naval shipyard prior to being placed in Navy Supply System

Stock.

X3 Naval Reactor Plant material specially designed, manufactured or

treated for use in a Naval Reactor Plant.

X4 Naval Reactor Plant valves and auxiliary equipment used in

secondary Nuclear Level I applications which are technically

receipt inspected and certified as ready for use by a receipt

inspection activity.

X5 Naval Reactor Plant component level items not qualifying for X1,

X2, X4 or X6 SMIC assignment. This material is not inspected

by a Naval shipyard prior to being placed in Naval Supply Stock

and will not have a Ready-For-Issue tag attached.

X6 Naval Reactor Plant items specifically designed, manufactured or

treated for use in Level I Naval Reactor Plant applications. All

Level I items which do not qualify for SMIC X1, X2 or X4

assignment are assigned SMIC X6. Since the outer packaging of

material received from the Naval Supply System may not be

marked with an X6 SMIC, end users should consult applicable

logistics information (e.g., the Q Coordinated Shipboard

Allowance List, FEDLOG, Haystack, etc.) to determine the

current applicable SMIC assignment. If an X6 SMIC is currently

assigned in any of the applicable logistics information, the

material is considered pre-certified Level I material and does not

require a Ready-For-Issue tag.

X7 Naval Reactor Plant material qualified and marked as acceptable

for use in reactor plant clean and steam plant clean applications

under the technical cognizance of the Naval Sea Systems

Command (Directorate, Naval Nuclear Propulsion Program;

NAVSEA 08) that is managed by Navy Supply Systems

Command Weapon Systems Support and is specially designed,

manufactured or treated for use in both reactor plant clean and

steam plant clean applications.

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APPENDIX A

TERM DEFINITION

Specification Any directive, whether technical or administrative, in any format, such

as instruction, technical manual, drawing, standard or publication.

Steam Plant

Cleanliness Inspector

or Certifier

Any person qualified under the requirements of this manual to perform

the tasks of initial, in-process and final Cleanliness Certification

Inspections for Steam Plant Systems.

Submarine Antenna

Engineering

Directorate -

Submarine Antenna

Quality Assured

Material

Submarine antenna material which is quality assured by the SAED,

(formerly the Submarine Antenna Quality Assurance Division) and

marked or recorded to ensure proper documentation and traceability

Submarine Safety

Certification

Investigative effort and corrective action developed under the

certification requirements for safety of submarine operations which

has as its specific aim an order of magnitude increase in the safety of

submarine operations. Accomplishment provides reasonable

assurance that the integrity of defined critical systems and

components, and the casualty recovery capabilities are adequate to

permit unrestricted operations to test depth.

SUBSAFE The acronym for Submarine Safety which applies to all submarine

classes. The SUBSAFE program provides a high level of confidence

in the material condition of the hull integrity boundary and in the

ability of submarines to recover from flooding and control surface

(e.g., bow, rudder, stern plane) casualties.

SUBSAFE Attribute Test and inspection requirements for SUBSAFE systems and

components.

SUBSAFE

Certification

That area within which the requirements of the SUBSAFE

Requirements Manual apply. It includes those inboard piping and

mechanical systems maintaining watertight integrity and recovery

capability from a flooding casualty.

SUBSAFE

Certification Boundary

Book

A book presenting simplified diagrams or sketches which show the

hull non-nuclear integrity and certified system boundaries for a

specific submarine, class of submarine or group of submarines within

a class.

SUBSAFE System A submarine system or component designed, installed and maintained

to:

a. Prevent flooding of the submarine (e.g., failure would cause

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APPENDIX A

TERM DEFINITION

flooding of ship).

b. Enhance recovery in the event of flooding (e.g., flood control).

c. Ensure reliable submerged ship control (e.g., certain parts of the

steering and diving system).

d. SUBSAFE systems are shown in the SUBSAFE Certification

Boundary Book.

Surveillance Observations and analysis of actual work procedures and methods to

verify compliance with technical requirements.

System All components, piping, fittings, including electrical and mechanical

items, which together form and contribute to the operation of an

integrated functional arrangement. The “system” as used in this

manual is not limited to piping only unless “piping” is specified. Any

part which receives the fluid, controls, or is controlled by the fluid is

included.

System Design

Pressure (Non-

Nuclear)

System design pressure is the pressure used in the calculation of

piping and piping components minimum wall thickness and will not

be less than the maximum system pressure (for general guidance,

design pressure may be estimated within 2 to 3% by multiplying

maximum operating pressure by 112%).

Target Material or

Project Target

Material

As defined in NAVSEA S9213-45-MAN-000. All material issued

with a “Project Target Ready-For-Issue” tag for use as Nuclear Level I

is either X1, X2 or X4 SMIC coded.

Technical Data Recorded information (regardless of the form or method of recording)

of a scientific or technical nature (including computer databases and

computer software documentation). This term does not include

computer software or financial, administrative, cost or pricing, or

management data or other information incidental to contract

administration. The term includes recorded information of a scientific

or technical nature that is included in computer databases. For these

purposes, technical data includes the characteristic of a particular

science, trade or profession.

Technical Repair

Standard

See Maintenance Standard. Document which provides minimum

requirements for the acceptable repair and refurbishment of submarine

equipment and components and identifies planned and contingency

material necessary to ensure satisfactory operation until the next

planned maintenance action.

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APPENDIX A

TERM DEFINITION

Technical Variance

Document

(Submarines Only) The documentation used to document

configuration changes made during an availability or refit that

influence a maintenance, alteration and repair, but will not be

incorporated in a revision to a drawing as accomplished on the ship.

Some examples of types of TVD:

1. Design-TVDs (DTVDs) are used in many instances, to identify

updates to design drawings in order to correct drawing errors, capture

changes, clarify information, provide alternate installation methods or

procedures or alternate material for those instances when it is not

warranted or cost effective to complete a drawing revision. DTVDs

should not be utilized when significant changes have occurred and are

not authorized as the sole means to change information for

provisioned items. Design-TVD is typically provided through a

Liaison Action Request or Reverse Liaison Action Request or through

a D-Type Engineering Report in New Construction. Work performed

in accordance with Design-TVD is not considered a non-conformance

and is not subject to additional approvals as a non-conformance.

Incorporation of drawing updates associated with DTVDs as official

revision to ship drawings will be accomplished as directed by the

Program Executive Officer - SSBN, Strategic Submarines and

Program Executive Officer - SSN, Attack Submarines Program

Offices in accordance with their Configuration Management Plans.

“DT” is used in Advanced Technical Information System to identify

drawings with Design-TVD. DT should not be used as a general

abbreviation for Design-TVD anywhere else.

2. “As Built” TVDs are used to specify which ships the change is

actually installed on.

Technical Work

Document

The work procedure that will provide the craftsman with clear,

concise and technically correct instructions to complete the

maintenance task while conforming to technical specifications.

Technical Work Documents consist of three general types:

Maintenance Procedures, Formal Work Packages and Controlled

Work Packages.

Test Depth For the purpose of the proper method of measuring and specifying Test

Depth, the following applies: Test Depth must be measured to the

bottom of the keel for all types of submarine operations. Builders trials

and trials following major industrial activity availabilities greater than

six months, must be at a tolerance of plus zero (0), minus twenty (20)

feet of Test Depth when specified. All other trials can be conducted at

95% to 100% of Test Depth to satisfy all the requirements specified for

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APPENDIX A

TERM DEFINITION

100% Test Depth.

Test-Drop A pressure test used to determine the integrity of a system. It is

performed upon satisfactory completion of the strength and porosity

hydrostatic test and is accomplished by pressurizing the system to its

system working pressure while it is arranged for normal operation.

Pressure is applied using either air or an inert gas as applicable. The

test is held and monitored for a specified period of time and the system

tightness is determined by correcting the pressure drop for temperature

change.

Test Equipment or

Working Level

Instruments

For purposes of this manual, test equipment will be interpreted as

comprising all general purpose equipment (standard measuring

instruments), special testing equipment, including such classes as

checkout equipment, acceptance equipment, inspection equipment,

gauges and associated accessories.

Test-Hydrostatic A test where the system or a portion of the system is filled with fluid

and pressurized above normal operating pressure to a specified

hydrostatic test pressure and inspected for leaks and visible permanent

deformation.

Test-Joint Completion See Test-Mechanical Joint Tightness.

Test-Mechanical Joint

Tightness

A pressure test where a portion of a system or the entire system is

pressurized to its system nominal operating pressure or “J” test

pressure to determine leak tightness after closing a mechanical joint

where leak tightness is obtained by gaskets, seal welding or threads.

Test-Operational (Non-Nuclear)

a. A test of a system to nominal operating pressure using the system

fluid, pumps and installed system gages vice test instrumentation

to determine leak tightness; or

b. A test of a system to assure that all items, components, controls

and indications function as designed and following specifications.

Test-Pneumatic A test where a portion of the system or the entire system is pressurized

with gas and inspected for leaks.

Test Pressure Drawing Drawings which have been developed from system diagrams for

classes of submarines and contain strength and mechanical joint

tightness pressures for all portions of piping systems. These pressures

are displayed in “indicators” which contain two test pressure values as

illustrated in the Submarine Non-Nuclear Piping Systems Test Manual,

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APPENDIX A

TERM DEFINITION

NAVSEA S9505-AF-MMA-010/PIPING SYSTEMS.

Test-Shop A test performed on a section of piping or a system by an FMA work

center when the subassembly piping or component is not installed in an

onboard system.

Test-Soap A method of determining the tightness of a system by applying a soap

and water solution to the system joints while the system is being either

pressure or vacuum tested. The test is held a sufficient length of time

to permit a thorough examination for leaks. When vacuum testing the

leak, the testing solution should be compatible with the system to

preclude contamination and will be specified on the applicable Test

Pressure Drawings.

Test-Strength and

Porosity

A hydrostatic test conducted at a specified strength test or “H”

pressure that is above nominal or system operating pressure.

Torque The twisting force exerted multiplied by the distance through which

the force acts. In the Navy, torque is usually measured in foot-pounds

or inch-pounds.

a. Breakaway Torque. The torque required to start the self-locking

fastener moving when the locking element is fully engaged and

with no axial load.

b. Final Torque. When construction drawings specify that running

torque has been incorporated into the required torque, final

torque is the torque value specified in the construction drawing

and running torque is NOT added to the required torque during

joint assembly.

c. Required Torque. The torque following the design drawing or

technical manual requirements, the torque from appropriate

torque tables in Submarine Fastening Criteria (Non-Nuclear),

Description, Design, and Maintenance, NAVSEA S9505-AM-

GYD-010 or the torque following an applicable approved process

instruction.

d. Running Torque. The torque required to continue turning a self-

locking fastener prior to contact with the seating surface.

Traceability A positive capability of finding all objective evidence, including

receipt inspection data, for a particular piece of material given only

the piece of material, marked following applicable material control

standards.

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APPENDIX A

TERM DEFINITION

Unrestricted Operation

Maintenance

Requirement Card

Unrestricted Operations Maintenance Requirement Card for continued

unrestricted submarine operations to design test depth. Refer to the

SUBSAFE Requirements Manual, NAVSEA 0924-062-0010.

Upgrading The process of conducting the certification of open-purchased material

to controlled material following the appropriate military and material

control standard.

Valve Repair,

Restoration, Overhaul

a. Repair. Any work done to improve the material condition or

operation of the valve correcting deficient conditions such that the

component may be returned to service, but which, in total does

not meet the full intent of the applicable restoration or overhaul

technical standard, is considered a repair.

b. Restoration or Overhaul. All valve parts replaced or restored to

the requirements of the applicable technical standard (e.g., the full

intent of the restoration or overhaul technical standard is

invoked).

Verification Certification required to be performed by the craftsman.

Waterline The term “waterline” in this manual refers to where the hull of a ship

meets the surface of water when afloat.

Welded Fabrication or

Weldment

The construction, alteration or repair of any welded assembly, or parts

thereof, by welding and allied processes. Included are all operations

such as pre-heat and post-heat treatments, forming, fairing and NDT

that must be controlled to obtain weldments suitable for intended

service.

Work a. Any action that actually or potentially changes (including

disassembly for the purposes of inspection or repair) the approved

configuration of any part, component or ship’s system.

b. Any action that removes or affects the ship’s ability to operate

ship’s systems or components following ship’s systems or

operating manuals or reactor plant manuals.

c. Any testing or inspections required to establish, maintain or

reestablish certification.

d. Any design, engineering, planning or configuration management

functions that involve the final review or approval of technical

information.

Examples of work include the following:

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APPENDIX A

TERM DEFINITION

1. Action which disassembles or removes any part, component or

ship’s system.

2. Action specified in a Technical Work Document.

3. Any action that removes or affects the ship’s ability to operate

ship’s systems or components following ship’s systems manuals,

operating manuals or reactor plant manuals, excluding tagout per

the Tagout User’s Manual, including but not limited to:

(a) Component or system tests.

(b) Intrusive inspections (such as breaking the plane of

electrical panels requiring electrical safety).

governed by operating procedures.

(d) Removing valve hand wheels, disconnecting of reach rods.

Work Center For FMAs, the individual shops within divisions of the Repair,

Weapons Repair Departments, etc. (e.g., 38A, 91A, 72A, 25A). For

ships, usually the divisions within a department (e.g., Machinery

Division, Sonar Division).

Working Standards

(Calibration)

These standards comprise a wide variety of equipment used

throughout the laboratory in support of all measurements performed in

the laboratory. These standards are used day-by-day in performing

calibrations in the Fleet Electronic Calibration Laboratory or

Mechanical Instrument Repair and Calibration Shop. Contrast,

reference and transfer standards are used less frequently to support

and assure the accuracy of working standards within the Fleet

Electronic Calibration Laboratory, Mechanical Instrument Repair and

Calibration Shop, Fleet Meter Calibration Laboratory or Field

Calibration Activity.

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VOLUME V

PART I

CHAPTER 1

ORGANIZATIONAL RESPONSIBILITIES

REFERENCES.

(a) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(b) NAVSEA SS800-AG-MAN-010/P-9290 - System Certification Procedures and

Criteria Manual for Deep Submergence Systems

(d) COMSUBLANT/COMSUBPACINST 3502.1 - Continuous Improvement in the

Submarine Force

(e) NAVEDTRA 43523 - Personnel Qualification Standard for Quality Maintenance

Program

(f) NAVSEAINST 4790.23 - Baseline Project Management Plan (BPMP)

(g) COMSUBFORINST C5400.30 - Engineering Department Organization Manual

(h) NAVSEA 0948-LP-045-7010 - Material Control Standard

(i) NAVSEA S9086-CH-STM-020 - NSTM Chapter 074 V2 (Nondestructive Testing of

Metals Qualification and Certification Requirements for Naval Personnel (Non-

nuclear))

(j) NAVSEA T9074-AS-GIB-010/271 - Requirements for Nondestructive Testing

Methods

(k) SECNAVINST 4855.3 - Product Data Reporting and Evaluation Program (PDREP)

(l) NAVSEA S9074-AQ-GIB-010/248 - Welding and Brazing Procedures and

Performance Qualification

(m) NAVSEA 0900-LP-001-7000 – Fabrication and Inspection of Brazed Piping Systems

(n) NAVSEANOTE 5000 - Activities Authorized to Perform SUBSAFE, FBW-SCS and

DSS-SOC Work

(o) CNRMCINST 4700.3 - Unplanned Events, Critiques and Trouble Reports

(p) OPNAVINST 4790.15 - Aircraft Launch and Recovery Equipment Maintenance

Program (ALREMP)

(q) COMSUBLANT/COMSUBPACINST 4790.16 - Maintenance and Material

Management (3M)

LISTING OF APPENDICES.

A Format for Submarine QA Pre-Underway Checklist

1.1 PURPOSE. To provide a list of responsibilities and duties of key personnel within the

organizations that are involved in the Fleet Quality Assurance (QA) Program. Responsibilities

and duties listed in this section are further amplified in other sections of this volume.

1.2 QUALITY ASSURANCE ORGANIZATION. The QA Program for the Fleet is organized

into five levels of responsibility:

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a. Fleet.

b. Type Commander (TYCOM).

c. Immediate Superior in Command (ISIC).

d. Ship Commanding Officer or Officer in Charge.

e. Regional Maintenance Center (RMC) Commander or Fleet Maintenance Activity

(FMA) Commanding Officer.

1.3 FLEET COMMANDER RESPONSIBILITIES. The Fleet is responsible to provide policy

and direction for the implementation and operation of the QA program as listed in sub-

paragraphs “a” through “f”.

a. Promulgate the QA program through the guidelines and procedures of Volume V

(Quality Maintenance) of the Joint Fleet Maintenance Manual.

b. Promote effective and consistent use of Volume V (Quality Maintenance) of the Joint

Fleet Maintenance Manual by TYCOMs.

c. Ensure the scope of training through fleet schools provides the necessary skills for

maintenance and management personnel to successfully support the QA program.

d. Jointly authorize changes to this volume after evaluation and analysis of proposed

changes by each TYCOM.

e. Review TYCOM QA program by sponsoring an annual Quality Assurance Officer

(QAO) Conference or Symposium, inviting TYCOM QAO and Naval Sea Systems

Command (NAVSEA) technical authorities. The stated purpose should be to establish

common trends, discussions of various QA concerns, improvements, and required

actions.

f. Ensure assessments of FMAs and RMCs occur per Volume IV, Chapter 2, paragraph

2.1.1 of this manual.

1.4 TYPE COMMANDER RESPONSIBILITIES.

a. (Submarines only) Obtain NAVSEA approval for exception to Re-Entry Control

(REC) requirements.

b. Administer a Departure from Specification (DFS) system to:

(1) Establish and maintain an auditable method of processing requests for approval

of DFS.

(2) Review and evaluate DFS requests and obtain clarification of technical

specifications from NAVSEA where appropriate.

(3) Approve or disapprove DFS requests.

(4) Obtain NAVSEA approval of DFS when required by the appropriate NAVSEA

technical specification or manual.

(5) Keep NAVSEA informed of all major DFS requests.

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(6) Provide a periodic status report of all outstanding major DFS to ISIC Material

Officers for their action to ensure their records agree with TYCOMs and to

pursue DFS clearance.

(7) Conduct liaison with NAVSEA on outstanding major DFS requiring NAVSEA

action. Provide a periodic status report to NAVSEA of those DFS for which

NAVSEA action is overdue.

(8) Ensure outstanding DFS for deploying or returning ships are passed between

parent and deployed ISICs as required by paragraph 1.5.1.g.(6) of this chapter.

(9) (Surface Force Ships and Aircraft Carriers only). Maintain a file of all

outstanding DFSs.

c. Perform assessments of nuclear FMAs annually, not to exceed 18 months.

d. (Submarines only) Perform assessments of ISICs annually not to exceed 18 months.

e. Perform assessments of FMAs non-nuclear programs annually not to exceed 18

months.

f. At the discretion of the TYCOM perform random, unannounced ISIC, FMA and ship

QA assessments and monitor visits.

g. Review and evaluate FMA and ISIC reports of corrective action taken on QA

assessments to ensure compliance with this program.

h. (Submarines only) Maintain a system to provide Submarine Safety (SUBSAFE)

certification for submarines.

i. Perform an annual self-evaluation of the QA program and provide a copy to the Fleet

QAO.

j. Evaluate and analyze proposed changes to this volume.

k. (Submarines Only) Perform annual SUBSAFE, Scope of Certification (SOC) and

FBW SCS awareness training for staff members that routinely review SUBSAFE,

SOC or FBW SCS Objective Quality Evidence, make determinations on SUBSAFE,

SOC or FBW SCS DFSs and perform other SUBSAFE, SOC or FBW SCS work

oversight functions.

l. (Submarines only) For FBW SCS, DSS-SOC, and SUBSAFE, develop and implement

the necessary instructions and procedures to meet the requirements of references (a),

(b) and (c), to ensure these requirements are adhered to during the life cycle of the

ship.

m. (Submarines only) Maintain FBW SCS certification per reference (a). In relation to

the planning and performance of post Upgrade, Alteration or Major Repair Work Sea

Trials for maintaining FBW SCS certification of previously certified submarine FBW

SCS, TYCOM must:

(1) Approve at-sea testing developed by the In-Service Engineering Activity

(ISEA) following Upgrade, Alteration or Major Repair Work and apply

appropriate restrictions and in each message state that ship’s speed is restricted

to 20 knots or less when an FBW SCS fault condition results in a major

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nonconformance affecting control of ship’s pitch, heading, depth and control

surfaces. The ship’s speed is restricted to 20 knots or less until satisfactory

resolution of the major non-conformance and TYCOM approval to operate the

FBW SCS to previously authorized conditions is granted, unless specifically

addressed in the Sea Trial agenda or as stated in Departure From

Specifications, Deviations or Waivers.

(2) Following verification from the ISIC of satisfactory completion of all at-sea

testing, correction of all mandatory deficiencies, receipt of certification that the

FBW SCS material condition of those parts of the ship installed, repaired or

tested by the ISEA or activity performing the work is satisfactory, and upon

confirmation that FBW SCS certification was not affected for those portions of

ship FBW SCS not affected by the ISEA or activity performing the work, issue

a message to the ship, with copies to Chief of Naval Operations (CNO), ISIC

and NAVSEA, certifying the FBW SCS and authorizing FBW SCS

unrestricted use in support of submarine unrestricted operations or specifically

identify any operating restrictions of the ship or system.

n. (Submarines only) For assigned activities, provide NAVSEA 07Q informational

copies of critiques, trouble reports and incident reports for SUBSAFE, FBW SCS,

Deep Submergence System (DSS) or SOC issues that result in a problem severity

level of Level 1 (critical) or Level 2 (serious) as defined in reference (d).

1.5 IMMEDIATE SUPERIOR IN COMMAND RESPONSIBILITIES. ISICs are responsible to

the TYCOM for the following:

NOTE: (SUBMARINES ONLY) WHEN ISIC FUNCTIONS ARE DELEGATED OUTSIDE

OF THE SQUADRON (NAVAL SUBMARINE SUPPORT COMMAND,

SUBMARINE SQUADRON SUPPORT CENTER, ETC.) THERE MUST BE A

FORMAL TRANSFER OF RESPONSIBILITY VIA A MEMORANDUM OF

AGREEMENT (MOA) OR OTHER FORMAL METHOD.

a. Organize and implement a QA program to carry out the provisions of this volume.

b. (Submarines only) Organize and implement a program to verify performance of

required maintenance to sustain the material condition necessary to support

Unrestricted Operations (URO) to authorized operating depth per the applicable class

URO Maintenance Requirement Card (MRC) manual, and this volume.

c. (Submarines, Aircraft Carriers, Readiness Support Groups and RMCs only) Organize

and implement a work request screening process such that those jobs requiring special

controls are recognized and the supporting technical documentation is provided to the

maintenance activity as required by this volume.

d. (Submarines only) Review Ship’s Force Controlled Work Packages (CWP) for FMA

accomplished nuclear work as required by Part I, Chapter 2, Appendix E, Technical

Work Document (TWD) Review and Approval matrix, of this volume.

e. (Submarines only) Ensure ship’s certification continuity report, when required by this

volume, is received before the ship is underway. Review the ship’s underway

certification continuity report to ensure that it is in the proper format and includes all

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reports required. In particular, the ISIC will ensure all URO planned maintenance is

up to date. Discrepancies noted must be resolved prior to underway.

f. Review and sign the MOA required by Volume II, Part I, Chapters 3 and 4, of this

manual. This agreement will list the responsibilities and actions of each party before

start of any availability (e.g., unscheduled availabilities, Tiger Team repairs, technical

assist visits) that involves work within SUBSAFE, FBW SCS, nuclear or Level I

certification boundaries to ensure responsibilities for recertification of work performed

is not split between maintenance activities and that each activity is responsible to

certify the work they performed.

g. (Submarines only) Administer a DFS system to:

(1) Establish and maintain system of processing requests for DFSs.

(2) Review and evaluate DFS requests and obtain clarification of technical

specifications from TYCOM or NAVSEA where appropriate.

(3) Approve or disapprove DFS requests.

(4) Obtain TYCOM or NAVSEA approval of DFS when required by the

appropriate TYCOM, NAVSEA directive, technical specification or manual.

(5) Ensure the deployed ISIC directing the supporting FMA will act as the

cognizant ISIC for those actions required to approve, review and track DFSs

for ships deployed. The parent ISIC, with concurrence from the deployed

ISIC, may, on a case-by-case basis, perform these functions. In such cases, the

parent ISIC will inform the deployed ISIC when such action(s) concurred upon

is or are complete.

(6) The parent ISIC will provide a complete file of all outstanding DFSs to the

deployed ISIC, prior to any ship deployment. The deployed ISIC will provide

a complete file of all outstanding DFSs to the parent ISIC at the end of

deployment.

(7) Specify procedures for:

(a) Submission of OPNAV form 4790/2K for DFS that require a future

maintenance action to clear the departed condition.

(b) Submission of OPNAV form 4790/CK for permanent repair DFS which

result in new Allowance Parts List and Coordinated Shipboard

Allowance List support requirements.

(8) Keep parent ISIC apprised on the status of DFSs for deployed units.

(9) Maintain files of outstanding DFSs.

(10) Aggressively pursue clearing of DFSs.

h. Monitor the QA program and procedures of assigned FMA periodically and monitor

corrective actions on discrepancies noted during the last TYCOM audit.

i. Schedule and conduct a QA Program assessment in conjunction with the Fleet

Readiness Training Plan (or as determined by each TYCOM) of all assigned ships to

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ensure the repair actions undertaken by Ship’s Force conform to the provisions of the

QA Program as well as pertinent technical requirements.

j. Review and endorse TYCOM audit report of assigned FMA(s).

k. Conduct periodic monitoring of Ship’s Force work and QA program on all assigned

ships during maintenance periods.

(1) Perform at least one surveillance during each refit, upkeep or FMA

availability.

(2) Conduct monitoring during industrial availabilities (e.g., Selected Restricted

Availability, Drydocking Selected Restricted Availability, Extended Refit

Period, Post Shakedown Availability, Phased Maintenance Availability,

Docking Phased Maintenance Availability, Depot Modernization Period,

Engineered Refueling Overhaul and Regular or Refueling Overhaul).

l. (Submarines only) Perform annual SUBSAFE, SOC and FBW SCS awareness

training for staff members (Submarine Squadrons and associated Naval Submarine

Support Centers and Performance Monitoring Teams to include Weapons, Combat

Systems and Material Departments with the associated Chain of Command) that

routinely review SUBSAFE, SOC or FBW SCS objective quality evidence, make

determinations on SUBSAFE, SOC or FBW SCS DFSs, perform other SUBSAFE,

SOC or FBW SCS work oversight functions.

m. (Submarines only) Conduct an oral interview of relieving Ship’s Force QAO which

covers the following topics as a minimum:

(1) URO Program Management including a review of the ship’s current URO

Schedules and Inventories and completion procedures.

(2) DFS Program Management including a review of all outstanding departures.

(3) QA Training and Qualification Program.

(4) QA Surveillance and Assessment Program including a review of the ship’s last

ISIC QA Assessment and corrective actions.

(5) CWP opening and closing review processes.

n. Ensure fact-finding critiques are held to establish underlying causes and pursue

corrective actions when necessary. When major errors or problems occur during

maintenance that affect Nuclear, Level I, FBW SCS, Submarine Flight Critical

Components (SFCC), DSS, SOC or SUBSAFE work, a critique may be necessary.

Examples include when significant problems or trends occur or those that did result or

could result in incidents, significant unplanned rework, serious equipment damage,

malfunction or personnel injury. Minor problems are isolated deficiencies with

minimal overall impact and no significant consequences; these should normally be

corrected on the spot and without expending much time and effort.

(1) (Submarines only) Contact the TYCOM immediately for issues which will

result in a SUBSAFE, FBW SCS, DSS or SOC critique, SUBSAFE, FBW

SCS, DSS or SOC trouble report, or SUBSAFE, FBW SCS, DSS or SOC fact-

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finding. On the same calendar day, the ISIC will provide the TYCOM an

email outlining the issue reported by the Ship or Activity.

(2) (Submarines only) Additional guidance and direction for critiques is contained

in reference (d).

(3) (Submarines only) Copies of critiques and incident reports for SUBSAFE,

FBW SCS, DSS or SOC issues that result in a problem severity level of Level

1 (critical) or Level 2 (serious) will be sent to the TYCOM electronically.

NOTE: THE ISIC IS ONLY RESPONSIBLE TO AUDIT FBW WORK PERFORMED BY

FORCES AFLOAT OR TYCOM MANAGED ACTIVITIES.

o. (Submarines only) ISIC responsibilities. Maintain FBW SCS certification per

reference (a). In relation to the planning and performance of post Upgrade, Alteration

or Major Repair Work Sea Trials, for maintaining FBW SCS certification of

previously certified submarine FBW SCS, the ISIC must:

(1) Provide sufficient time for crew training during the Upgrade, Alteration or

Major Repair Work period to permit Ship’s Force to attain a level of

knowledge and proficiency of the FBW SCS adequate to ensure proper

operation and safety of the ship and its personnel during Sea Trials. ISIC must

also ensure crew has proper number of trained operators.

(2) Conduct FBW SCS Certification Audits of Upgrade, Alterations or Major

Repair Work and issue report to the activity. Audits must be conducted using

the TYCOM provided FBW Certification Audit Checklist at a minimum.

Provide a copy of the FBW SCS Certification Audit Report to the Supervising

Authority, ship’s Commanding Officer, TYCOMs, Fleet Commanders and

NAVSEA.

(3) Following Upgrade, Alteration or Major Repair Work report, by message, crew

readiness and prior to each underway until certified, verification from the

ISEA or activity performing the work that all work performed by the ISEA or

activity performing the work necessary for at-sea testing or Sea Trials has been

completed, including resolution of ISIC FBW SCS Certification Audit

Deficiencies recommendations and status of incomplete ISIC FBW SCS

Certification Audit Category Deficiencies, and that the material condition of

those parts of the ship installed, repaired, or tested by the ISEA or activity

performing the work is satisfactory, certify to the TYCOM, with information

copies to the CNO, the appropriate Fleet Commander and NAVSEA, that the

FBW SCS material condition of those parts of the ship installed, repaired or

tested by the ISEA or activity performing the work is satisfactory for Sea

Trials following approved at-sea tests or Sea Trial agenda.

(4) Following verification from the ISEA or activity performing the work of

satisfactory completion of all at-sea testing or trials, completion of controlled

dives, correction of all mandatory Sea Trial deficiencies, and resolution of all

ISIC FBW SCS Certification Audit Category IA recommendations, certify to

the TYCOM, with information copies to CNO, the appropriate Fleet

Commander and NAVSEA, the FBW SCS material condition of those parts of

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the ship installed, repaired, or tested by the ISEA or activity performing the

work is satisfactory, and recommend authorization for FBW SCS unrestricted

use in support of submarine unrestricted operations, subject to ISIC

verification that FBW SCS certification of areas outside ISEA or activity

performing the work tasking has been sustained, or specifically identify any

operating restrictions of the ship or system.

p. (Submarines only) The ISIC will transmit a Submarine Material Transfer Message to

the gaining ISIC for deploying or deployed submarines when the unit out chops to

include the following:

(1) Status of outstanding Casualty Reports.

(2) Status of outstanding Z0ZZ.

(3) Status of outstanding (SUBS).

(4) Status of active DFS actions.

(5) Status of Periodic Maintenance Requirements (Integrated Maintenance and

Modernization Plans and UROs) for accomplishment.

(6) Status of Alterations for accomplishment.

(7) Status of Pre-Overhaul Tests or Pre-Availability Testing for ships within 12

months of a scheduled CNO availability.

(8) Current Operational Interval or Operational Cycle expiration dates.

(9) Status of Material Condition Assessment if in progress.

(10) (SOC Only) Report the following information for assigned DSS (LOT, LOC,

DDS):

(a) Date of last Internal Survey.

(b) Date of last Sustaining Certification Survey.

q. (Submarines only) Prior to submerged underway operations when submarines are in a

port with an ISIC, or when a submarine is in an availability such as Continuous

Maintenance Availability, Interim Drydocking, Emergent Availability or CNO

Availability, the ISIC QAO must complete a QA Pre-Underway Checklist. Appendix

A of this chapter provides the minimum requirements for the QA Pre-Underway

Checklist.

1.6 SHIP RESPONSIBILITIES.

1.6.1 Ship’s Commanding Officer. Commanding Officer is responsible to:

a. Designate a QAO in writing who will have sufficient time on board to maintain

program continuity.

b. Approve Technical Work Document (TWD) as required in Part I, Chapter 2,

Appendix E, TWD Review and Approval matrix, of this volume.

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c. (Submarines only) Provide the ISIC a written report of ship’s certification continuity

prior to underway, as specified in Part I, Chapter 5, paragraph 5.6.8 of this volume.

d. (Submarines only) Organize and implement a program to ensure performance of

required maintenance to sustain the material condition necessary to support URO to

authorized operating depth per the applicable class URO MRC manual and Volume VI

of this manual.

e. (Submarines only) Organize and implement a program to ensure performance of

required maintenance to sustain the material condition necessary to support FBW

unrestricted operations per reference (a).

f. (Submarines only) Organize and implement a program to ensure performance of

required maintenance to sustain the material condition necessary to support DSS-SOC

certification (if required) per reference (b).

g. (Submarines only) Approve and sign all recertification Reactor Plant Work

Accomplishment Reports (RPWAR) and ensure these documents are forwarded to the

Reactor Plant Planning Yard with copy to NAVSEA Nuclear Propulsion Directorate

(08), TYCOM and ISIC.

h. Certify all QA personnel qualifications (respective Department Head on Aircraft

Carriers).

i. Review and sign with the shipyard or other industrial activity, RMC, FMA and ISIC,

an MOA on responsibilities and action of each party with respect to work

accomplishment prior to start of SUBSAFE, nuclear, FBW SCS or Level I work per

this manual.

j. Approve DFSs per Part I, Chapter 8 of this volume.

1.6.2 Ship’s Executive Officer. Executive Officer is responsible for the following:

a. Monitoring the QAO’s administration of the ship’s QA Audit, surveillance, training

and qualification programs.

b. Providing senior command level authority to back-up the QAO in the performance of

the QAO’s duties.

c. Spot checking performance of QA training by attending or monitoring training

periodically.

d. Assigning an Assistant Quality Assurance Officer (AQAO) who is an E-6 or above to

be an administrative assistant to the QAO.

e. (Submarines only) Ensure Department Heads, Division Officers and Work Center

Supervisors are meeting all quality maintenance requirements for the control and

documentation of material deficiencies. This should include verification that the ship,

departments and work centers have an adequate process to ensure that Quality

Maintenance deficiencies reported by outside agencies (e.g., PMT, TSRA, INSURV)

are promptly and properly documented.

1.6.3 Ship’s Department Head. Department Heads are responsible to:

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a. Ensure area(s) in or adjacent to their work centers, divisions and spaces are designated

for the stowage of controlled material per Part I, Chapter 6 of this volume.

b. Review or approve Formal Work Package (FWP) and TWD as required in Part I,

Chapter 2, Appendix E, TWD Review and Approval matrix, of this volume.

c. Ensure personnel in their departments involved in performing, planning, approving or

supervising shipboard maintenance on SUBSAFE, nuclear, FBW SCS and Level I

systems participate in QA training.

d. Verify the department maintains sufficient numbers of qualified Quality Assurance

Inspectors (QAI) and Controlled Material Petty Officers (CMPO).

e. Participate in oral examination of shipboard QAI and Quality Assurance Supervisor

(QAS) assigned to their departments.

f. Ensure personnel within their departments perform QA surveillance, qualification,

training, etc. as defined in this volume.

g. Review and approve information submitted to the FMA for identification of controlled

work. This information must include a TWD serial number when required by Part I,

Chapter 2 of this volume. This review will also ensure that the work request identifies

specific categories applicable in each of the following situations as required by this

volume:

(1) SUBSAFE.

(2) Level I.

(3) Submarine Antenna Engineering Directorate (SAED).

(4) Nuclear.

(5) Special cleanliness requirements.

(6) Special testing requirements.

(7) Special fabrication requirements.

(8) DFS.

(9) SOC.

(10) SFCC.

h. Ensure fact-finding critiques are held to establish underlying causes and pursue

corrective actions when necessary. When major errors or problems occur during

maintenance that affect Nuclear, Level I, FBW SCS, SFCC, DSS, SOC or SUBSAFE

work, a critique may be necessary. Examples include when significant problems or

trends occur or those that did result or could result in incidents, significant unplanned

rework, serious equipment damage, malfunction or personnel injury. Minor problems

are isolated deficiencies with minimal overall impact and no significant consequences;

these should normally be corrected on the spot and without expending much time and

effort.

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(1) (Submarines only) Contact the ISIC immediately for issues which will result in

a SUBSAFE, FBW SCS, DSS or SOC critique, SUBSAFE, FBW SCS, DSS or

SOC trouble report, or SUBSAFE, FBW SCS, DSS or SOC fact-finding.

(2) (Submarines only) Additional guidance and direction for critiques is contained

in reference (d).

(3) (Submarines only) Copies of critiques and incident reports for SUBSAFE,

FBW SCS, DSS or SOC issues that result in a problem severity level of Level

1 (critical) or Level 2 (serious) will be sent to the TYCOM electronically.

i. Review DFS for technical accuracy and sign.

j. Spot check performance of QA training by attending or monitoring training at least

quarterly.

k. (Aircraft Carriers only) Certify QA qualifications for personnel assigned to their

department by signing the applicable Personnel Qualification Standard cover sheet of

reference (e).

1.6.4 Ship’s Supply Officer. The Supply Officer is responsible to:

a. Ensure procurement, receipt and stowage of Nuclear, SOC, SFCC, SAED - Submarine

Antenna Quality Assured Material and Level I materials are in compliance with this

volume, applicable material control standards and instructions.

b. Designate and maintain areas for stowage of Level I (LI) and SOC stock program

material, SFCC and Nuclear Repair Parts (NRP) in the custody of the supply

department.

c. File the Supervisor of Shipbuilding letter of certification for Level I, SFCC and NRP

which are in the custody of the supply department.

d. Turn over the material certification documentation (or copy of, when only partial issue

of lot) for LI, SOC, SEAWOLF Class Component (SW) or VIRGINIA Class

Component (VU) stock program material and NRP to the customer.

e. Send LI, SOC stock program material, NRP, SW, VU and copies of material

certification documents to FMA work centers when the ship is providing the material.

f. Ensure copies of the material certification documents are forwarded to the requesting

activity, when LI, SOC stock program material, SFCC and NRP items are removed

from own ship’s systems or from onboard repair parts.

g. Return defective LI, SOC stock program material, SW, VU and NRP to the Navy

supply system and submit defective material reports following supply department

procedures.

h. Ensure appropriate supply department personnel receive training on nuclear and non-

nuclear controlled material certification, procurement, receipt inspection and LI, SOC

stock program material, SW, VU and NRP stowage requirements.

1.6.5 Ship’s Engineer Officer (Submarines only). The Engineer Officer is responsible to:

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a. Submit blank RPWAR forms to the FMA with each work request and CWP serial

number, when FMA assistance is necessary for reactor plant SUBSAFE work. Ensure

all work requests requiring special reactor plant SUBSAFE work controls are properly

identified.

b. Verify continuity of reactor plant SUBSAFE certification by controlling and

documenting work and tests performed for each Re-Entry.

c. Review and sign the necessary recertification information on the applicable RPWAR

pages for repairs requiring RPWAR submission and forward the original to the

Reactor Plant Planning Yard with a copy to NAVSEA 08, TYCOM and ISIC.

d. Maintain current the reactor plant hull integrity records using the completed RPWAR,

filed in an auditable manner with the latest revision of the NAVSEA drawing “Status

of Reactor Plant Work Accomplishment Reports for (individual ship)”. Reproducible

blank RPWAR will also be maintained in this same file to support future maintenance.

Documentation of the actual maintenance performed and testing accomplished by

Ship’s Force is to be maintained in the ship’s completed CWP file required by this

volume.

e. Review or approve Oxygen, Nuclear and SUBSAFE CWPs as required by Part 1,

Chapter 2, Appendix E of this volume.

f. Coordinate with the Ship’s QAO and Engineering Department Master Chief to

incorporate QA training as required by Part I, Chapter 3 and Part III, Chapter 3 (as

applicable) of this volume and reference (a) (as applicable) into the Engineering

Department Training Plan.

1.6.6 Availability Coordinator (Submarines only). A submarine served, nuclear-trained Limited

Duty Officer will be assigned to augment the normal ship’s complement during Depot

Modernization Periods, Engineered Refueling Overhauls, or Engineered Overhauls and will act

as the Availability Coordinator for the ship. The Availability Coordinator’s responsibilities

include:

a. Become a knowledgeable member of the availability project team.

b. To support these requirements, the Availability Coordinator will be assigned as early

as possible during the pre-availability test and inspection period, nominally 15 months

before the availability starts. Prior to reporting to the submarine, the Availability

Coordinator will be trained in shipyard processes and Availability Work Package

requirements per reference (f), Appendix H. After reporting to the submarine, the

Availability Coordinator should spend a significant portion of his time working with

the shipyard project team prior to the start of the availability. This may require that

they remain ashore during key pre-availability planning phases while the submarine is

at sea. Finally, to prevent interference with his responsibilities for availability

planning and execution, the Availability Coordinator should not be assigned routine

watch standing duties. Availability Coordinator should maintain proficiency

requirements (about two watches per month), but their watch standing duties should

not interfere with daily project management routine or the increased pace of

coordination associated with major key events (e.g., undocking).

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c. Educate or train Ship’s Force on shipyard tools and processes to be used during the

availability. This responsibility does not circumvent the requirements placed on the

industrial activity to train Ship’s Force, but the Availability Coordinator will

coordinate and complement the training provided by the industrial activity.

d. Coordinate the integration and execution of Ship’s Force responsibilities during the

availability planning and execution.

e. Act as the primary liaison between Ship’s Force and the shipyard project team.

1.6.7 Ship’s Maintenance Manager (Aircraft Carriers only). Maintenance Manager is

responsible to establish and maintain a Quality Deficiency Reporting Program for resolving

quality issues for work performed by outside activities and to ensure that each work request or

job order is screened for Quality Control and QA requirements and marked up or stamped as to

specific category applicable in each of the following situations as required by this volume:

a. Nuclear.

b. Level I.

c. Special cleanliness requirements.

d. Special testing requirements.

e. Special fabrication requirements.

1.6.8 Ship’s Principal Assistant. Principal Assistants will be responsible for duties as assigned

by the Engineer or Reactor Officer.

1.6.9 Ship’s Division Officer. Division Officers are responsible to:

a. Review TWD as required in Part I, Chapter 2 Appendix E, TWD Review and

Approval matrix, of this volume.

b. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

c. Verify controlled work is accomplished following an approved CWP.

d. Ensure personnel assigned to their divisions perform QA surveillance, qualification,

training, etc. as defined in this instruction.

e. Supervise QA training of division personnel.

f. Provide timely response to QA 14, indicating root cause analysis and actions taken.

g. Issue unique identification numbers for brazers and welders.

h. Maintain a log of unique identification numbers assigned to brazers or welders.

i. Ensure annual validation of qualification is performed for brazers or welders and

entries are entered into the individual service records.

j. Maintain an auditable file for each brazer or welder assigned.

k. Maintain an auditable log of each brazer or welder for proper maintenance of

qualification.

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l. (Submarines Only) Perform frequent reviews of the division’s CSMP to ensure all

quality maintenance requirements for control and documentation of material

deficiencies have been properly entered.

m. Ensure the CSMP references the active DFS and maintain a record of active DFS’s in

their work center.

1.6.10 Ship’s Work Center Supervisor. Work Center Supervisor is responsible to:

a. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

b. Have TWD prepared, when designated the Lead Work Center (LWC), and as required

by Part I, Chapter 2, paragraph 2.2 of this volume:

(1) Verify the FWP provides the correct written instructions, both in sequence and

requirements, to satisfactorily accomplish the controlled work.

(2) Verify the FWP contains or lists the correct technical specifications or

requirements (e.g., torque values, dimensions, Nondestructive Testing (NDT)

inspection, special cleanliness, recertification test) for certification attributes to

be documented on the appropriate QA form.

(3) Ensure signatures for repair work attributes are annotated as requiring

Certification Signature Block (CSB) or signature, as applicable, on the QA

form and in the FWP as discussed in Part I, Chapter 2 of this volume by use of

(R), (S), (C), (I), (Q) and (V) in the margin by the appropriate step.

c. Ensure all controlled work is accomplished following approved CWP.

d. Ensure proper work authorizations have been obtained prior to starting work.

e. Ensure tools, measuring and test equipment used during maintenance and testing are

of proper range, scale and in calibration.

f. Conduct QA training of work center personnel.

g. Ensure work center personnel are properly trained and qualified, if required, prior to

assignment to tasks requiring QA or special cleanliness (e.g., oxygen, hydrogen,

reactor plant, steam plant) certifications.

h. Ensure only material specified by the applicable drawings, standards, or specifications

is ordered and installed.

i. Submit request for use of rejected material using a Reject Tag (QA form 3).

j. Obtain written permission from the QAO to downgrade LI stock program material,

NRP, or controlled material for non-level use.

k. Supervise QA programs within assigned work centers.

l. Review work for satisfactory completion.

m. Ensure CWPs for completed controlled work are complete, properly reviewed and

forwarded with all certifying documents.

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n. Initiate a DFS for non-nuclear or Liaison Action Request (LAR) for nuclear tests,

inspections, material or other requirements of any maintenance action in which the

requirements were not met.

o. (Submarines Only) Frequently review all material deficiencies identified within the

work center to ensure all quality maintenance requirements for control and

documentation of material deficiencies are properly documented in the CSMP with

emphasis on SUBSAFE, FBW-SCS and DSS-SOC as applicable. Verify deficiencies

have an active DFS when required.

p. Provide inputs to the QAO for any changes in CSMP entries for active DFS’s.

1.6.11 Ship’s Craftsman. Craftsman is responsible to:

a. Perform all maintenance actions following the approved procedure. If that guidance is

either incorrect, incomplete or unclear, stop and seek clarification from the work

center or shift supervisor.

b. Ensure QA forms associated with the maintenance are correctly completed per the

applicable sections of this volume.

c. Enter signature, printed name and date on all QA data forms completed.

d. Initiate a DFS for non-nuclear or LAR for nuclear tests, inspections, material or other

requirements of any maintenance action in which the requirements were not met.

e. Ensure only Test, Measuring and Diagnostic Equipment (TMDE) (i.e., measuring

devices, instruments, inspection tools, gauges, jigs or fixtures), which have current

calibration stickers or records attached or available, are used for production,

acceptance and testing. Uncalibrated or untested TMDE will be tagged and removed

from service immediately.

1.6.12 Ship’s Quality Assurance Officer. QAO is responsible to:

a. Administer the ship’s QA program.

b. Review TWD as required in Part I, Chapter 2, Appendix E, TWD Review and

Approval matrix, of this volume.

c. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

d. Verify the FWP, in the CWP, specifies the correct OQE that is to be generated to

prove recertification of the system or component.

e. Verify the testing requirements for controlled work, called out in the FWP, are correct

and per the latest applicable specifications as required by Part I, Chapter 2, paragraph

2.3 of this volume.

f. Verify completed test results for controlled work fully satisfy test requirements, or

corrective action is taken.

g. Review and close out all TWDs for work on systems or components required for

reactor plant startup, propulsion plant startup or ship’s underway operations (e.g., if

the work is on a spare component it may not be necessary to close the TWD) prior to

startup or getting underway.

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h. Maintain the following record files per Part I, Chapter 10, paragraph 10.5 of this

volume:

(1) Completed CWPs.

(2) QA Assessments, audits, surveillance and deficiency correction.

(3) Controlled material.

i. Determine suitability for use of Level I, SOC, SFCC or Nuclear Level I material from

another ship in own ship’s system, when the transfer is directly from the donating

ship.

j. Provide disposition instructions for material rejected at receipt inspection.

k. Obtain chemical analysis, NDT, destructive testing and generic materials identity

testing results as required by Part I Chapter 6 of this volume to certify material for use

in a certified (e.g., Level I, SUBSAFE, Nuclear, Scope of Certification) system.

l. Provide technical services to the Supply Officer for determining material

requirements.

m. Authorize downgrading of LI stock program material, NRP or controlled material for

non-level use.

n. Review requests for DFS for accuracy and technical merit, and forward to Department

Head.

o. Maintain an auditable file of outstanding DFS and the record of DFS numbers

assigned. Prior to each underway following any scheduled Fleet or CNO Maintenance

Availability, the ship’s QAO will audit active DFSs against associated Job Control

Numbers to verify a current up to date entry in the Current Ship’s Maintenance Project

exists.

p. Maintain a file of DFS which have been approved as permanent repairs and result in

change in configuration until they are reflected in ship’s drawings.

q. Verify ship’s mapping plans and selected records and drawings are updated (marked

up) when approved DFS authorize a change in configuration as a permanent repair.

r. Submit DFS clearance reports, using Departure Clearance Report (QA form 12A) to

the approving authority when the work was done which corrects specific DFS. DFS

clearance reports, using a QA-12A, may also be submitted by the ISIC or authorized

repair NSA correcting the specific DFS. If unable to use a QA form 12A, use the

message format of Part I, Chapter 8, Appendix B, of this volume.

s. Manage the ship’s internal QA Audit and Surveillance program as required by Part I

Chapter 9 of this volume. Coordinate with the ship’s Executive Officer to resolve

surveillance scheduling and accomplishment problems.

t. The QAO will create and manage a long range training plan ensuring that QA training

is conducted as required by Part I, Chapter 3 and Part III, Chapter 3 (as applicable) of

this volume and reference (a) (as applicable). The QAO will attend QA training when

practical.

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u. Assess QA training and provide input to Engineering Department Master Chief and

Ship’s Engineer for incorporation into the periodic Engineering Department Training

assessment as required by reference (g).

v. Implement a formal qualification program for QAIs, CMPOs, Cleanliness Inspector,

Certifiers, QASs, Work Center Supervisors and Maintenance Planners (if assigned).

w. Conduct oral qualification interviews for QAIs, QASs, CMPOs, Cleanliness Inspector

and Certifiers, Work Center Supervisors and Maintenance Planners.

x. Maintain a current master list of qualified CMPOs, Controlled Material Handlers

(CMH), Cleanliness Inspectors, QAIs, QASs (if assigned), Oxygen Clean Workers,

Oxygen Clean Instructors, Work Center Supervisors and Maintenance Planners as

specified in Part I, Chapter 10 of this volume.

y. (Submarines only) Verify all reactor plant hull integrity area maintenance is

accomplished following appropriate directives.

z. (Submarines only) Verify the appropriate work control is initiated for work within the

SUBSAFE, SOC and FBW SCS certification boundary.

aa. (Submarines only) Maintain SUBSAFE and SOC RECs and FBW CWP records

including the CWP log.

ab. (Submarines only) Coordinate with the ISIC and the FMA to ensure the

administration, scheduling and reporting of the URO MRC program is per the

applicable class URO MRC manual, and this volume.

ac. (Submarines only) Retain any QA form 34 generated in connection with controlled

assembly performed as a REC exception per Part I, Chapter 5, paragraph 5.6.7, Note 3

of this volume.

ad. Review in detail as many non-nuclear NDT weld records as possible (minimum of 10

percent per year) to ensure that all of the requirements of the applicable fabrication

documents have been and are continuously being met.

ae. Verify an active Job Control Number exists for all active temporary DFSs at the

completion of all scheduled Fleet Maintenance Activity Availabilities, major or minor,

CNO availabilities or at least quarterly and maintain an auditable record of the

verification until superseded.

af. (Submarines only) At the end of a scheduled FMA upkeep, verify all SUBSAFE

deficiencies documented in the ship’s Current Ship’s Maintenance Project have been

corrected or have an appropriate DFS.

ag. (Submarines only) Prior to submerged underway operations when submarines are in a

port with an ISIC, or when a submarine is in an availability such as Continuous

Maintenance Availability, Interim Drydocking, Emergent Availability or CNO

Availability, the ship’s QAO will complete a QA Pre-Underway Checklist with the

ISIC QAO. Appendix A of this chapter provides the minimum requirements for the

QA Pre-Underway Checklist.

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1.6.13 Ship’s Assistant Quality Assurance Officer. A QAO is responsible to perform duties as

assigned by the QAO.

1.6.14 Ship’s Quality Assurance Supervisor. QAS, if assigned, will perform the duties as

specified in paragraph 1.7.13 of this chapter.

1.6.15 Ship’s Quality Assurance Inspectors. QAIs are responsible for coordinating and

administering the QA Program within their respective work centers. The QAI will:

a. Develop a thorough understanding of the QA program.

b. After verifying work completed, enter initials or signature (as required by the form,

tag or procedure), and the date on all applicable QA forms, tags and CWP steps.

c. Verify QA form 2 is filled out correctly and attached to items removed from a

controlled system for transfer to another Fleet activity and ensure items received from

another ship have QA form 2 tags attached.

d. As LWC QAI, review each CWP prepared which requires QAI CSBs to verify

inspection requirements are adequately addressed before submission to QAO or

Department Head as required by Part I, Chapter 2, Appendix E, of this volume.

e. Verify all work inspected meets the minimum requirements set forth in latest

applicable plans, specifications and directives of higher authority as stated in the FWP.

f. Perform QA inspections of certification attributes as required by Part I, Chapter 5, of

this volume.

g. Ensure all inspections beyond the capability of the QAI are performed by FMA

inspectors prior to final acceptance or installation of the product by the ship.

h. Ensure only TMDE (i.e., measuring devices, instruments, inspection tools, gauges, jigs

or fixtures), which have current calibration stickers with records attached or available,

are used for production, acceptance and testing. Uncalibrated or untested TMDE will

be tagged and removed from service immediately.

i. Ensure items removed from controlled systems are tagged with QA form 2 when

required by Part I, Chapter 6 of this volume. Tags are not required if material is

nuclear non-Level (Level N/A) or non-nuclear non-level.

j. Ensure controlled material (Level I, Nuclear Level I, Material Control Division A &

B, SFCCs) delivered to a RMC or FMA work center for work is tagged with a QA

form 2.

k. Report all work and testing discrepancies or deficiencies to the department head and

the QAO via chain of command. Ensure the deficiency is resolved before work

continues.

l. Sign QA form 2 when controlled material is installed for SUBSAFE and nuclear

systems.

m. As LWC QAI, review all completed QA forms and data sheets for accuracy,

completeness and technical correctness.

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n. Reject untraceable, damaged, or unclean controlled material using a material reject tag

(QA form 3).

o. Witness controlled assemblies, as a second party not involved in the actual work.

p. (Submarines only) Complete the necessary recertification information for maintenance

performed by Ship’s Force; for material changes, replacement, material generic

identification (if not previously documented) or fastener torque on the applicable

blank RPWAR pages and submit to the Engineer Officer for review prior to approval

by the Commanding Officer. The general notes for report preparation and use,

supplied with each RPWAR, will be used in completing the recertification form.

q. Review certification testing as part of CWP preparation.

r. Witness and document results of tests (hydrostatic, drop, joint tightness). Work center

tests of components conducted by the FMA need not be witnessed, unless directed by

the Department Head or FMA CWP. Promptly inform supervisors of unsatisfactory

test results. Ensure test documentation is complete and accurate.

s. Review DFS and LARs prepared by the work center for accuracy and technical merit,

and forward to the Division Officer and QAO.

t. Brief maintenance personnel and appropriate supervisors on applicable requirements

before starting work. The brief must include at least the following:

(1) Inspection requirements.

(2) Acceptance criteria.

(3) Methods to maintain cleanliness.

(4) Required actions for a loss of cleanliness.

1.6.16 Ship’s Controlled Material Petty Officer. CMPOs are responsible to:

a. Ensure all material under their cognizance is stored and controlled to the requirements

of references (a) or (f).

b. Receipt inspect all LI stock program material, SFCC and NRP received by work

center or division.

c. Request disposition instructions for rejected material.

d. Remove QA form 3 from previously rejected and now accepted controlled material,

annotate the material acceptance on the QA form 2 and file the QA form 3 with the

CWP.

e. Maintain custody of controlled material in segregated stowage per reference (h).

f. Inspect controlled material storage areas of their work center quarterly, as a minimum

per part I, chapter 6 of this volume.

g. Ensure controlled material is properly stowed and handled so the identification of the

subject material and its certification are always maintained.

h. Ensure nuclear material received without Ready for Issue tags is certified to the

required "Level of Essentiality".

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i. Reject unsatisfactory material. Fill out and attach QA form 3 and request disposition

instructions.

j. Send any material certification documents for material which has been provided by the

ship to the RMC or FMA QA office. Ship should retain original.

k. Perform receipt inspection of package alteration kits that contain controlled material

when ready for use.

l. Ensure controlled material markings are on all pieces when cutting a smaller piece

from a larger one.

m. Ensure controlled material markings are moved to an unaffected area, if the controlled

material item will lose the markings due to a fabrication process (e.g., welding,

machining) prior to the fabrication process.

n. Ensure all controlled material is identified, color coded, marked and tagged as

required by this volume and the applicable material control standard.

1.6.17 Ship’s Cleanliness Inspector or Certifier. Cleanliness Inspectors or Certifiers are

responsible to perform initial, in process and final cleanliness inspections during maintenance or

repairs for those systems requiring cleanliness controls per Part I, Chapter 5, paragraph 5.4, of

this volume.

1.6.18 Ship’s Nondestructive Test Examiner. The ship’s NDT Examiner must be appointed in

writing by the Commanding Officer and must be responsible for all aspects of the command’s

Nondestructive testing program. NDT Examiner qualification and certification requirements are

specified in reference (i). The following must comprise the core responsibilities of the ship’s

NDT Examiner:

a. Coordinate the efforts of other assigned NDT examiners at the activity.

b. Act as the command’s point of contact for NDT technical issues. In addition, act as

the command’s point of contact with NAVSEA for NDT issues.

c. Develop the command’s NDT examiner guidelines, to include the command’s written

practice for NDT certification when required by reference (j) utilizing the input of all

participating NDT examiners.

d. Ensure submittal of required reports of certification or recertification to higher

authority as required by reference (k).

e. Review all requests for NDT training courses and examiner certification services.

Provide recommendations to the chain of command regarding eligibility of the

requestor, and the need for such training or certification based on current and

projected NDT personnel resources.

f. Approve examination material for all NDT methods utilized at the activity for which

they are certified. Ensure examination material reflects changes made to applicable

fabrication documents.

g. Approve, and qualify NDT procedures for each method utilized at the activity. Revise

and approve procedures as necessary when changes are made to applicable fabrication

documents.

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h. Schedule and perform NDT Inspector surveillance. Maintain records of surveillance

in order to perform trend analysis of inspector abilities and program effectiveness.

i. Schedule and administer NDT examinations. Maintain records of examinations

sufficient to trace inspector qualifications to original examination material. Maintain a

matrix of high miss questions in order to assess inspector knowledge and program

effectiveness.

j. Train, certify and monitor NDT Inspectors as required by applicable specifications and

Part I, Chapter 3 paragraph 3.5.1.a of this volume.

k. Schedule eye examinations for NDT Inspectors.

l. Ensure each NDT Inspector’s service record is kept updated with qualification status.

m. Maintain individual records of qualification for NDT inspectors.

n. Monitor the welder qualification and training per reference (l). Monitor brazer

qualification and training per reference (l) or (m) as applicable to process used.

o. Review all welder or brazer qualification records for completeness, semi-annually.

p. Review completed NDT inspection reports for technical completeness and accuracy

and sign, where indicated on the report, on completion of work.

q. Review, approve and monitor the command’s welder training and qualification

program as required by reference (l). Review, approve and monitor the commands’

brazer training and qualification program as required by reference (l) or (m) as

applicable processes used.

r. Prepare and execute the training and qualification program for each NDT method that

leads to inspector certification in each method and maintains inspector competency in

each method.

1.6.19 Ship’s Nondestructive Test Inspector. NDT Inspectors are responsible to:

a. Verify CWPs which include NDT inspections properly identify the inspection

requirements and acceptance criteria.

b. Ensure NDT inspections are completed correctly and following the applicable

requirement and inspection reports are technically complete and accurate.

c. Ensure use of only TMDE (i.e., measuring devices, instruments, inspection tools,

gauges, jigs or fixtures), which have current calibration stickers with records attached

or available, for production, acceptance and testing. Uncalibrated or untested TMDE

will be tagged and removed from service immediately.

d. When no NDT Examiner is assigned, monitor the welder or brazer qualification and

training per reference (l).

1.6.20 Ship’s Maintenance Planner (Submarines and Aircraft Carriers only). Maintenance

Planners are responsible to:

a. Prepare the FWP or CWP as required in Part I, Chapter 2, paragraph 2.3.1.b of this

volume.

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b. Perform ship check or job check to verify equipment configuration supports work

package development.

c. Develop FWPs or CWPs with the correct written instructions, both in sequence and

requirements, to satisfactorily accomplish the work.

d. Develop FWPs or CWPs with the correct technical specifications or requirements

(e.g., torque values, dimensions, NDT inspection, special cleanliness, recertification

test) for certification attributes to be documented on the appropriate QA form. Fill in

all preplaced data required by QA form instructions prior to routing CWP.

e. Ensure signatures for repair work attributes are annotated as requiring CSB or

signature, as applicable, on the QA form and in the FWP as discussed in Part I,

Chapter 2 of this volume by use of (R), (S), (C), (I), (Q) and (V) in the margin by the

appropriate step.

f. Ensure correct materials, spare parts and special test equipment to be used during

maintenance and testing are called out in the materials section of the FWP.

g. Initiate revisions to FWPs or CWPs when requirements of Part I, Chapter 2, paragraph

2.3.7.3.b(2)(b) and (d) of this volume are met.

h. Maintain file of Standardized FWPs per Part I, Chapter 2, paragraph 2.3.7.10.e. of this

volume, for their respective divisions. Submit Standardized FWPs to LWC

Supervisor for approval prior to use.

i. Initiate procurement of material specified by the applicable drawings, standards or

specifications to complete the designated repairs.

j. Prepare and route a DFS for non-nuclear or LAR for nuclear tests, inspections,

material or other requirements of any maintenance action in which the requirements

were not met.

1.7 REGIONAL MAINTENANCE CENTER OR FLEET MAINTENANCE ACTIVITY

RESPONSIBILITIES.

1.7.1 RMC Commander or FMA Commanding Officer. Responsible for QA in the

maintenance, repair and alteration of fleet ships as listed in sub-paragraphs “a” through “f”.:

a. Designate the RMC or FMA QAO in writing.

b. (Submarines only) Provide a written report of certification to the tended ship, at the

conclusion of a maintenance period and prior to a tended ship’s next underway.

c. Certify the qualifications of QA personnel.

d. Ensure the RMC or FMA has an effective audit and surveillance program capable of

assessing work performance and identifying areas of poor performance.

e. Initiate a semi-annual evaluation of the RMC or FMA QA Program by the QAO.

f. (Submarines only) Implements all aspects of the SUBSAFE and FBW-SCS programs

as delineated by references (a), (c), (d) and (n).

1.7.2 RMC Deputy Commander or FMA Executive Officer. Responsible for the following:

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a. Monitoring the QAO’s administration of the RMC or FMA’s QA surveillance,

training and qualification programs.

b. Providing senior command level authority to back-up the QAO in the performance of

the QAO’s duties.

c. Spot checking performance of QA training by attending or monitoring training

periodically.

d. Assigning an AQAO who is an E-7 or above or a senior civilian to be an

administrative assistant to the QAO.

e. Assigning sufficient QASs and QAIs to the QA Division.

1.7.3 RMC Production Officer or FMA Repair Officer. Production Officer or Repair Officer is

responsible to:

NOTES: 1. AT TRIDENT REFIT FACILITIES SOME OF THESE RESPONSIBILITIES

MAY BE UNDER THE COGNIZANCE OF THE PLANNING OFFICER.

HOWEVER, THEY WILL NOT BE DELEGATED TO A LEVEL LESS THAN

A DEPARTMENT HEAD.

2. WHERE NOTED, SOME OF THESE RESPONSIBILITIES MAY BE UNDER

THE COGNIZANCE OF THE ENGINEERING DEPARTMENT HEAD AT AN

RMC.

a. Implement a work request screening process such that jobs requiring special controls

are recognized.

b. Implement a QA Program that ensures all work accomplished by the Production or

Repair Department meets the material and workmanship requirements of approved

plans and specifications.

c. Provide liaison with other department heads when their functions are directly or

indirectly related to the QA requirements of the Production or Repair Department.

d. Review and approve TWD as required in Part I, Chapter 2, Appendix E, TWD Review

and Approval matrix, of this volume.

e. Review and approve the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this

volume.

f. (Submarines only) Approve and sign all recertification RPWAR and ensure these

documents are forwarded to the Reactor Plant Planning Yard with copy to NAVSEA

08, TYCOM and tended ship’s parent ISIC.

g. Review all DFS initiated by the RMC or FMA.

h. (Submarines only) Review and approve all LARs initiated by the FMA.

i. Maintain a sufficient number of qualified personnel to adequately staff the QA

Division. At RMCs this may be performed by the Quality Assurance Department

Head.

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j. Implement a formal training and qualification program for all personnel assigned to

the Production or Repair Department who perform, plan, or supervise controlled work,

covering QA requirements and practices.

k. Designate nuclear or non-nuclear Metallographic Test Method Examiner and Generic

Material Alloy Identification Examiners (as applicable). At RMCs this may be

performed by the Quality Assurance Department Head.

l. Verify the RMC or FMA has an effective audit and surveillance program capable of

assessing work performance and identifying areas of poor performance. At RMCs,

this may be performed by the Quality Assurance Department Head.

m. Ensure fact-finding critiques are held to establish underlying causes and pursue

corrective actions when necessary. When major errors or problems occur during

maintenance that affect Nuclear, Level I, FBW SCS, SFCC, DSS, SOC or SUBSAFE

work, a critique may be necessary. Examples include when significant problems or

trends occur or those that did result or could result in incidents, significant unplanned

rework, serious equipment damage, malfunction or personnel injury. Minor problems

are isolated deficiencies with minimal overall impact and no significant consequences;

these should normally be corrected on the spot and without expending much time and

effort. At RMCs, this may be performed by the Engineering or Quality Assurance

Department Head.

(1) (Submarines only) Contact the ISIC immediately for issues which will result in

a SUBSAFE, FBW SCS, DSS or SOC critique, SUBSAFE, FBW SCS, DSS or

SOC trouble report, or SUBSAFE, FBW SCS, DSS or SOC fact-finding.

(2) (Submarines only) Additional guidance and direction for critiques is contained

in reference (d).

(3) (Submarines only) Copies of critiques and incident reports for SUBSAFE,

FBW SCS, DSS or SOC issues that result in a problem severity level of Level

1 (critical) or Level 2 (serious) will be sent to the TYCOM electronically.

n. Ensure that each work request or job order is screened for Quality Control and QA

requirements and marked up or stamped as to specific category applicable in each of

the following situations as required by this manual:

(1) SUBSAFE.

(2) Level I.

(3) SAED.

(4) Nuclear.

(5) Special cleanliness requirements.

(6) Special testing requirements.

(7) Special fabrication requirements.

(8) SOC.

(9) SFCC.

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o. (Submarine Repair Facilities). Oversees the implementation of the SUBSAFE, DSS-

SOC and FBW-SCS programs as directed by references (a), (b), (c) and (n).

1.7.4 FMA Supply Officer. Supply Officer is responsible to:

a. Designate area(s) for stowage of LI, SOC, SW or VU stock program material and

NRP in the custody of the supply department.

b. Ensure procurement, stowage, and issue of SAED – Submarine Antenna Quality

Assured Material, Nuclear, SOC, SFCC and Level I materials are in compliance with

the applicable material control standards, instructions and this volume.

c. Ensure accompanying certification documents remain with the LI, SOC stock program

material, SW, VU and NRP for which the supply department has custody.

d. Turn over material certification documentation (or copy, if issuing other than the

entire lot) for LI, SOC stock program material, SFCC and NRP to the customer.

e. Return defective LI, SOC stock program material, SW, VU and NRP to the Navy

supply system following supply department procedures. Submit defective material

reports.

f. Ensure appropriate supply personnel receive training on nuclear and non-nuclear

material covering material certification, material procurement, receipt inspection, and

LI, SOC stock program material, SW, VU and NRP stowage requirements.

g. Ensure semiannual inventories of supply’s LI, SOC stock program material, SW, VU

and NRP are conducted.

1.7.5 FMA Nuclear Repair Officer. When assigned, the Nuclear Repair Officer is responsible

to:

a. Determine and specify the material requirements and the certification requirements for

the NRP to be used in nuclear controlled work.

b. Initiate procurement action for NRP required for accomplishment of nuclear tasks.

c. Review and approve the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this

volume.

d. Prepare and issue the CWP, when OQE is required at the conclusion of the nuclear

work and as required by Part I, Chapter 2 of this volume.

(1) Verify the FWP is the correct procedure, both in sequence and requirements, to

satisfactorily accomplish the controlled work.

(2) Verify the CWP contains or lists the correct technical specifications or

requirements (e.g., torque values, dimensions, NDT inspections, special

cleanliness, test) for certification attributes to be documented on the

appropriate QA form.

(3) Ensure test requirements for controlled work comply with the latest applicable

specifications.

(4) Ensure signatures for repair work attributes are annotated as requiring CSB or

signature, as applicable, on the QA form and in the FWP as discussed in Part I,

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Chapter 2 of this volume by use of (R), (S), (CI), (G), (C), (I), (Q) and (V) in

the margin by the appropriate step.

e. (Submarines only) Review and sign the necessary recertification RPWAR pages, as

required by Part I, Chapter 5, paragraph 5.7, of this volume for repair or maintenance

actions performed in Reactor Plant SUBSAFE or Hull Integrity areas by the FMA and

forward to the QAO for review.

f. (Submarines only) Maintain copies of approved RPWAR forwarded to the Reactor

Plant Planning Yard in an auditable fashion.

g. Provide the tended ship the test requirements and joints or components to be tested for

recertification of FMA work prior to commencing work on the tended ship.

h. Conduct oral examinations for qualification of personnel as reactor plant Cleanliness

Inspector or Certifier.

i. Ensure only appropriately trained or qualified personnel perform nuclear work.

1.7.6 RMC or FMA Planning and Estimating Officer. Planning and Estimating Officer is

responsible to:

a. Determine and specify the material requirements and the certification requirements for

the LI, SFCC and other materials to be used in non-nuclear controlled work.

b. Initiate procurement action for LI, SFCC stock program material and other materials

required for accomplishment of non-nuclear tasks assigned.

c. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

d. Prepare and issue the CWP when OQE is required at the conclusion of the non-nuclear

controlled work and as required by Part I, Chapter 2 of this volume.

(1) Verify the FWP is the correct procedure, both in sequence and requirements, to

satisfactorily accomplish the controlled work.

(2) Verify the CWP contains or lists the correct technical specifications or

requirements (e.g., torque values, dimensions, NDT inspections, special

cleanliness, tests) for certification attributes to be documented on the

appropriate QA form.

(3) Ensure test requirements comply with the latest applicable specifications.

(4) Ensure signatures for repair work attributes are annotated as requiring CSB or

signature, as applicable, on the QA form and in the FWP as discussed in Part I,

Chapter 2, paragraph 2.3 of this volume by use of (R), (S), (CI), (G), (C), (I),

(Q) and (V) in the margin by the appropriate step.

e. Provide the tended ship the test requirements and joints or components to be tested for

recertification of FMA work prior to commencing work on the tended ship.

1.7.7 RMC or FMA Division Officer. Division Officers are responsible to:

a. Supervise and direct QA program within work centers under their cognizance.

b. Ensure divisional personnel understand the requirements for and of a CWP.

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c. Ensure all repair actions performed by their division conform to applicable

specifications and any deviation from specifications is reported as a DFS for non-

nuclear work or LAR for nuclear work.

d. Ensure CMPOs are assigned, qualified and executing their duties for each work center

handling or stowing controlled material.

e. Ensure areas are designated and are appropriate for proper stowage of controlled

material.

f. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

g. Review each TWD as required in Part I, Chapter 2, Appendix E, of this volume.

h. Conduct or monitor divisional and work center QA training.

i. Obtain written permission from the QAO to downgrade LI Stock Program Material or

NRP for non-level use.

1.7.8 RMC or FMA Work Center Supervisor. Work Center Supervisors are responsible to:

a. Ensure controlled and non-controlled material to be installed is correct per plan,

drawing or other specification.

b. Review each TWD for the work center as required in Part I, Chapter 2, Appendix E, of

this volume.

c. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

d. Supervise QA programs within assigned work centers.

e. Review work for satisfactory completion.

f. Ensure CWPs for completed controlled work are complete, properly reviewed and

forwarded with all certifying documents, when work is completed.

g. Ensure work center personnel are properly trained and qualified, if required, prior to

assignment to tasks requiring QA or special cleanliness (e.g., oxygen, hydrogen,

reactor plant, steam plant) certifications.

h. Ensure all personnel use only TMDE (i.e., measuring devices, instruments, inspection

tools, gauges, jigs or fixtures), which have current calibration stickers with records

attached or available, for production, acceptance and testing. Uncalibrated or untested

TMDE will be tagged and removed from service immediately.

i. Prepare DFS or LAR for non-conforming conditions found or caused by the work

center, sign, and forward to QAO.

1.7.9 RMC or FMA Craftsman. Craftsman is responsible to:

a. Perform all maintenance actions following the FWP. If that guidance is either

incorrect, incomplete or unclear, stop and seek clarification from the work center or

shift supervisor.

b. Ensure QA forms associated with the maintenance are correctly completed as required

by the applicable sections of this volume.

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c. Enter signature, printed name and date on all QA data forms completed.

d. Ensure only TMDE (i.e., measuring devices, instruments, inspection tools, gauges, jigs

or fixtures), which has current calibration stickers with records attached or available,

is used for production, acceptance and testing. Uncalibrated or untested TMDE will

be tagged and removed from service immediately.

1.7.10 RMC Quality Assurance Department Head (Code 130) or Industry Management

Department (Code 400 at Puget Sound Naval Shipyard and Intermediate Maintenance Facility).

(For NAVSEA managed RMCs) These departments are responsible to:

a. Implement a QA program per this volume that ensures all work accomplished by the

Production or Repair Department meets the material and workmanship requirements

of approved plans and specifications.

b. Provides liaison with other department heads when their functions are directly or

indirectly related to the QA requirements of the Production or Repair Department.

c. Provide the Commander or Commanding Officer with a semi-annual evaluation of the

overall adequacy and effectiveness of the RMC’s QA program.

d. Verify the RMC or FMA has an effective audit and surveillance program capable of

assessing work performance and identifying areas of poor performance.

e. Maintain sufficient number of qualified personnel to adequately staff the QA

Department.

f. Designate nuclear or non-nuclear Metallographic Test Method Examiner and Generic

Material Alloy Identification Examiners (as applicable) (Code 130 responsibility at

Puget Sound Naval Shipyard and Intermediate Maintenance Facility).

g. Ensure fact-finding or critiques (as applicable) are held to establish underlying causes

and pursue corrective actions when major errors, mistakes or problems occur during

maintenance, or result in serious damage to equipment or injury to personnel. Notify

Commander Navy Regional Maintenance Center of critiques and trouble reports per

reference (o).

h. Assign a qualified Quality Assurance Officer to the Code 133 division (RMC) or Code

450 (Puget Sound Naval Shipyard and Intermediate Maintenance Facility).

1.7.11 RMC Code 133 Division Head or FMA Quality Assurance Officer. Code 133 or QAO is

responsible to:

a. Organize and implement a QA program within the RMC or FMA to carry out

provisions of this volume.

b. Provide guidance and evaluate efforts to produce work of acceptable standards.

c. Prepare QA procedures, where necessary, to implement the provisions of this volume.

d. Assist the TYCOM or ISIC as requested in performing QA audits on tended ships.

e. Assist the TYCOM or ISIC as requested in providing indoctrination training on the

QA program to the Engineer Officers and QAOs of assigned ships. Provide QA

training for tended ship’s personnel qualifying as CMPO, CMH, QAS and QAI.

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f. Approve downgrading of controlled material.

g. Determine suitability for use of controlled material received from one ship, for use on

another ship, when the transfer is via an RMC or FMA work center.

h. Provide disposition instructions for rejected material.

i. Institute a formal qualification program for QA personnel.

j. Train and qualify work center CMPOs or CMHs. Inform the appropriate Division

Officer and the Production or Repair Officer in writing of those qualified and any

changes.

k. QAO will review FMA generated DFS for accuracy and technical merit, sign and

forward to the Repair Officer. At an RMC, this function will be the responsibility of

the NAVSEA Technical Authority Warrant Holder in Engineering Department.

l. Obtain chemical analysis, NDT and destructive testing required to upgrade or certify

material for nuclear and non-nuclear applications for both the RMC or FMA and

tended ships.

m. Establish and coordinate RMC or FMA procedures for material control as delineated

in this volume.

n. Review, open and close out TWDs as required in Part I, Chapter 2, Appendix E, TWD

Review and Approval matrix of this volume. Establish positive controls to ensure that

repairs which are not in conformance with specification are not accepted without an

approved DFS for non-nuclear systems or LAR for nuclear systems.

o. Review the FWP as required in Part I, Chapter 2, paragraph 2.3.4 of this volume.

p. (Submarines only) Review and sign RPWAR.

q. Develop a QA training program, in conjunction with the Training Officer, which

includes training for personnel who perform, plan or supervise controlled work.

(1) Supervise training and qualification of:

(a) QAS.

(b) QAIs.

(d) Cleanliness Inspectors or Certifiers.

(2) Review and evaluate training of all personnel performing controlled work.

Ensure that the continuing training is in sufficient detail and depth to provide

effective training in all topics and areas specified in Part I, Chapter 3 of this

volume.

r. Maintain a current master list of qualified QASs (if assigned), QAIs, CMPOs, CMHs,

Cleanliness Inspectors, Oxygen Clean Workers and Oxygen Clean Instructors as

specified in Part I, Chapter 10 of this volume.

s. Establish and administer a comprehensive RMC or FMA QA audit and surveillance

program capable of assessing the work performance, training and qualifications and

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identifying areas of poor performance. Enlist the assistance of other repair department

officers and senior enlisted personnel for audits and surveillance in the repair and

supply departments.

(1) Prepare and update a written surveillance and annual audit schedule.

(2) Provide the Quality Assurance Department Head (for RMC) and Commander

or Commanding Officer (for FMA) with a semi-annual evaluation of the

overall adequacy and effectiveness of the RMC’s or FMA’s QA program.

t. Ensure record files are maintained for CWP, controlled material, audits, surveillance,

audit deficiency corrections, qualifications and training.

u. Ensure all testing required for completion of TWD is complete and reviewed prior to

the tended ship reactor plant startup, propulsion plant startup, or getting underway or a

DFS for non-nuclear systems or LAR for nuclear systems has been submitted and

approved.

v. Perform opening reviews of CWP as assigned to assure OQE generated will support

work recertification. Perform closing reviews of CWP as assigned to assure technical

accuracy and satisfactory OQE exists for record history.

w. Supervise QASs, QAIs, Cleanliness Inspectors, Certifiers, CMPOs, CMHs and other

personnel, involved in controlled work, in the performance of their QA duties.

x. Conduct QA audits, surveillance and coordinate corrective actions to ensure

compliance with specifications.

y. Maintain QA records and files, which includes completed CWPs including

radiography film (if radiography used for acceptance of work), controlled material

records (e.g., QA form 1, certification papers received with the material), training and

qualification, etc.

1.7.12 RMC or FMA Assistant Quality Assurance Officer. AQAO is responsible to perform

duties as assigned by the QAO.

1.7.13 RMC or FMA Quality Assurance Supervisor. QAS is responsible to:

a. Ensure all testing required for completion of CWP is complete and reviewed prior to

the tended ship reactor plant startup, propulsion plant startup, or getting underway or a

DFS for non-nuclear systems or LAR for nuclear systems has been submitted and

approved.

b. Perform opening reviews of CWP as assigned to assure OQE generated will support

work recertification. Perform closing reviews of CWP as assigned to assure technical

accuracy and satisfactory OQE exists for record history.

c. Train and supervise QAIs, Cleanliness Inspectors, Certifiers, CMPOs, CMHs and

other personnel, involved in controlled work, in the performance of their QA duties.

d. Conduct QA audits, surveillance and coordinate corrective actions to ensure

compliance with specifications.

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e. Maintain QA records and files including completed CWPs (including radiography film

if radiography used for acceptance of work), controlled material records (e.g., QA

form 1, certification papers received with the material), training and qualification, etc.

f. Review DFS for accuracy and technical merit and forward to QAO (FMA only).

1.7.14 RMC or FMA Quality Assurance Inspector. QAIs are responsible to:

a. Review steps in CWP which require QAI signatures to verify all requirements are

adequately addressed.

b. Ensure all work inspected meets the requirements set forth in the latest applicable

plans, specifications and directives of higher authority as stated in the CWP.

c. Perform QA inspections of certification attributes.

d. Verify permanent markings on controlled material are properly transferred and new

material control tags are affixed.

e. Ensure all personnel use only TMDE (i.e., measuring devices, instruments, inspection

tools, gauges, jigs or fixtures), which have current calibration stickers with records

attached or available, for production, acceptance and testing. Uncalibrated or untested

TMDE will be tagged and removed from service immediately.

f. Sign QA form 2 as controlled material is correctly installed for SUBSAFE, SOC and

nuclear systems.

g. Witness and verify testing and inspections. Promptly inform supervisors of

unsatisfactory test results.

h. Ensure all test results are completed, properly documented and the QA forms are

returned to the CWP except for those specifically designated as work center records.

i. Review DFS for accuracy and technical merit and forward to QAO.

1.7.15 RMC or FMA Controlled Material Petty Officer or Controlled Material Handler. CMPO

or CMHs are responsible to:

a. Receipt inspect all controlled material received by their work center or division.

b. Ensure all material under their cognizance is stored and controlled to the governing

material control requirements.

c. Inspect controlled material storage areas of their work center quarterly, as a minimum,

per Part I, Chapter 6 of this volume.

d. Ensure controlled material is properly stowed and handled so the identification of the

subject material and its certification are always maintained.

e. Reject unsatisfactory material. Fill out and attach QA form 3 and request disposition

instructions.

f. Send any material certification documents for material which has been provided by a

ship along with the QA form 1 to the QA office. Ship must retain originals when the

material has been issued for installation.

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g. Receipt inspect package alteration kits that contain controlled material when ready for

use.

h. Remove QA form 3 from previously rejected and now accepted controlled material,

annotate the material acceptance on the QA form 2 and file the QA form 3 with the

CWP.

i. Retain custody of controlled material when it is not in the custody of a craftsman or in

a controlled material storage area.

j. Ensure controlled material markings are on all pieces when cutting a smaller piece

from a large one.

k. Ensure controlled material markings are moved to an unaffected area, if the controlled

material item will lose the markings due to a fabrication process (e.g., welding,

machining) prior to the fabrication process.

1.7.16 RMC or FMA Cleanliness Inspector or Certifier. Cleanliness Inspectors or Certifiers are

responsible to perform initial, in process and final cleanliness inspections during maintenance or

repairs for those systems requiring cleanliness controls per Part I, Chapter 5, paragraph 5.4 of

this volume.

1.7.17 RMC or FMA Nondestructive Test Division Officer. The following must comprise the

core responsibilities of the FMA NDT Division Officer:

a. Coordinate the efforts of assigned NDT Examiners.

b. Ensure submittal of required reports of certification or recertification to higher

authority as required by reference (i).

c. Review all requests for NDT training courses and examiner certification services.

Provide recommendations to the chain of command regarding eligibility of the

requestor and the need for such training or certification based on current and projected

NDT personnel resources.

d. Review completed NDT inspection reports for technical completeness and accuracy

and sign, where indicated on the report on completion of work.

e. Schedule eye examinations for NDT Inspectors.

1.7.18 RMC or FMA Command Examiner. When more than one NDT Examiner is assigned to

the RMC or FMA, the Commander or Commanding Officer will designate (in writing) one of the

NDT Examiners as the Command Examiner who will perform the following core responsibilities

in addition to the responsibilities in paragraph 1.7.19.

a. Perform the duties of the NDT Division Officer if one is not assigned.

b. Act as the Command’s point of contact for NDT technical issues. In addition, act as

the Command’s point of contact with NAVSEA for NDT issues.

c. Develop the Command’s NDT Examiner guidelines, to include the Command’s

Written Practice for NDT certification when required by reference (j) utilizing the

input of all participating NDT examiners.

1.7.19 Nondestructive Test Examiner. RMC or FMA NDT Examiner is responsible to:

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a. Approve examination material for all NDT methods utilized at the activity for which

they are certified. Ensure examination material reflects changes made to applicable

fabrication documents.

b. Approve and qualify NDT procedures for each method utilized at the activity. Revise

and approve procedures as necessary when changes are made to applicable fabrication

documents.

c. Schedule and perform NDT Inspector surveillance. Maintain records of surveillance

in order to perform trend analysis of inspector abilities and program effectiveness.

d. Schedule and administer NDT examinations. Maintain records of examinations

sufficient to trace inspector qualifications to original examination material. Maintain a

matrix of high miss questions in order to assess inspector knowledge and program

effectiveness.

e. Train, certify and monitor NDT Inspectors as required by applicable specifications.

f. Ensure each NDT Inspector’s service record is kept updated with qualification status.

g. Maintain individual records of qualification for NDT inspectors.

h. Monitor the welder qualification and training per reference (l). Monitor brazer

qualification and training per reference (l) or (m) as applicable to process used.

i. Review all welder or brazer records for completeness semi-annually. This review may

be performed by the welding engineers at Trident Refit Facilities (TRF).

j. Review, approve and monitor the commands’ welder training and qualification

program as required by reference (l). Review, approve and monitor the commands’

brazer training and qualification program as required by reference (l) or (m) as

applicable to processes used.

k. Prepare and execute the training and qualification program for each NDT method that

leads to inspector certification in each method and maintains inspector competency in

each method.

1.7.20 RMC or FMA Nondestructive Test Inspector. NDT Inspectors are responsible to:

a. Verify CWPs which include NDT inspections properly identify the inspection

requirements and acceptance criteria.

b. Ensure NDT inspections are completed correctly and following the applicable

requirement and inspection reports are technically complete and accurate.

c. Ensure use of only TMDE (i.e., measuring devices, instruments, inspection tools,

gauges, jigs or fixtures), which have current calibration stickers with records attached

or available, for production, acceptance and testing. Uncalibrated or untested TMDE

will be tagged and removed from service immediately.

d. Sign QA form 2 as controlled material is correctly installed.

1.8 OTHER ACTIVITY RESPONSIBILITIES. Activities other than RMC or FMAs will

conform to the requirements of this volume through a formal MOA, as defined in Volume II,

Part I of this manual, with the ISIC while conducting maintenance on fleet activities. This

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includes work performed by naval shipyards, government agents, civilian contractors and other

activities not specifically mentioned in other sections of this instruction. NSA representative

must sign MOA(s) as assurance that any civilian contractor requirements detailed in MOA are

contained within applicable contracts.

a. Ship’s Force is ultimately responsible for all work accomplished on board their ship.

b. Ship’s Force is responsible for the development of TWDs for use in technical assist

visits.

c. In some cases, technical assists may provide troubleshooting services or complete

equipment changes. Technical representatives are expected to utilize approved QA

procedures or observe the requirements of this manual. The contractor or

representative must be able to explain what controls they will place on a given job,

including testing and documentation to be provided for OQE.

d. Technical support agencies and contracted organizations may not perform work inside

the SUBSAFE boundary. Only activities that are listed in reference (n) are authorized

to perform SUBSAFE work. In cases where RMCs or other activities are assisting on

maintenance inside the SUBSAFE, DSS-SOC and FBW boundary, sub-paragraphs

1.8.a and 1.8.b of this chapter will be strictly adhered to.

e. Product Quality Deficiency Reporting must be per reference (k), with the exception of

Aircraft Launch and Recovery Equipment. Quality Deficiency Reporting associated

with Aircraft Launch and Recovery Equipment is addressed in reference (p).

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APPENDIX A

FORMAT FOR SUBMARINE QA PRE-UNDERWAY CHECKLIST

SSGN, SSBN, SSN ____________________________________

Date __________________________

URO Review (*with ISIC) (48-24 Hours Prior to Underway)

(init)

All URO Data for UROs done for periodicity received and reviewed.

No URO will become due prior to next scheduled INPORT period with the exception of a scheduled

URO-22 rise blow.

Plan approved to complete UROs due next INPORT, availability or underway (e.g. URO 022 rise blow).

* URO Schedules and Inventories are up to date.

Retests to certify URO parameter due to maintenance reviewed by QAO or Department Head.

* Latest URO MRC Change on hand and verified current. Latest Change _______.

* Review SUBMEPP URO and HIPs web site and the Schedules and Inventories to verify no URO or

HIPs (as applicable) are due or will become due prior to return to port (This review is to be completed by

the URO-PMR Coordinator and ISIC QAO).

Other Reviews (48-24 Hours Prior to Underway)

REC Exception Binder, including QA-11A, updated for work performed this availability.

No underway limiting OSARs exist or any underway limiting OSAR has been adjudicated via an

approved DFS. In addition to OSARs that may impose operational limitations for ships at sea, all

deficiencies documented in an OSAR that require a DFS per Chapter 8 of this Volume are considered

underway limiting.

No outstanding Audit, Assessment or Survey ICARS (CAT 1) exist ______. No overdue AS&E

responses due. Next report of corrective actions due: ________________.

DEI date_______, next DEI due date (18 months) ______ (DFS__________________), Major

Deficiencies corrected or not due (30 days and No RBOs).

The ship’s QAO shall complete a QA Pre-Underway Checklist with the ISIC QAO.

Designated SOC Ships - If Manned Operations are scheduled, verify no SOC PMRs will become due prior

to Manned Operations. Perform the PMR or submit a major DFS if the PMR will come due during

scheduled manned operations.

Verify there is no rescue seating surface (Escape Trunks, Logistics Escape Trunk and Lockout Trunks)

Periodic Maintenance Requirements (PMRs) that will become due prior to underway. Perform the PMR or

submit a major DFS if the PMR will come due during underway.

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APPENDIX A

Ship’s QAO shall review MIP/MRC data sheets for each Rescue Seating Surface (RSS). Document any

discrepancies on a Minor DFS (one per RSS), approved per part I, chapter 8 of this volume.

Ship’s QAO shall review CSMP deficiencies for submarine escape components (e.g., IPHO and intensifier

system; SCV, HIS, and AVV valves; sea sensing line; escape trunk and cavity drain and strainer or orifice;

or upper hatch hydraulic hand pump (688CL only)). Document any discrepancies on a Minor DFS (one

per compartment), approved per part I, chapter 8 of this volume.

The ship’s QAO will be relieved on ____________________ (DD MMM YYYY)

QA-11 Log Review (Within 24 Hours of Underway)

FMA QA-11 Log Closed Ship’s QA-11 Log

Closed Out

DDS QA-11 Log

Received and Closed Out

Custody Transfers (Within 24 Hours of Underway)

DDS Custody Transfer Msg or letter Received or Issued.

Copy of DDS Continuity Message or Letter received following installation or removal received and

reviewed.

DFS Review (includes waiver and deviations) (Within 24 Hours of Underway)

No active DFS will expire prior during the ship’s scheduled underway period without an approved plan to

clear or extend the DFS to support ship’s schedule.

All SUBSAFE, SOC, or FBW-SCS AT-SEA TESTING departures verified against Continuity Letter.

Ship has completed DFS to JCN audit.

All identified non-conformances adjudicated (no outstanding DFS awaiting approval).

Verify all CSMP entries are properly documented per references (q) and all SUBSAFE, Fly-by-Wire and

DSS-SOC deficiencies are either cleared or documented on an approved DFS. The Ship’s QAO will use

the current maintenance management tool for this review and report completion to ISIC QAO prior to

ship’s underway. Submarine Maintenance Coordinator will use the shore based CSMP for this review and

report completion to ISIC Material Officer and ISIC QAO prior to ship’s underway.

Continuity Letters, Certification or Completion Letter Separate letters required from each activity performing

SS, SOC, FBW-SCS SFCC work on ship system. For DDS installation or removal (only), Ship’s Continuity Letter

issued as USER and Sustaining Activity.

Lead NSA CERT (PHNSY/

PSNS/PNSY/NNSY)

EB/SOSG

(SS/FBW)

NGNN/SOSN

(SS/FBW)

OII/NSWCCD

(SS/FBW)

Lead FMA/RMC

EB/SOSG

(SOC)

NGNN/SOSN

(SOC)

OII/NSWCCD

(SOC)

FMA/RMC Ship (SS or FBW)

Continuity letter

Ship (SOC)

Continuity letter

Blue text can be tailored to list the regional activities.

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VOLUME V

PART I

CHAPTER 2

QUALITY MAINTENANCE PROCESSES

REFERENCES.

(a) OPNAVINST C9210.2 - Engineering Department Manual for Naval Nuclear

Propulsion Plants

(b) Not Used

(d) NAVAIR AD-700A1-MDB-000 - Recovery Assistance Traversing (RAST) System

(e) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(f) NAVSEA S0300-B2-MAN-010 - Supervisor of Shipbuilding, Conversion and Repair

Operations Manual

(g) NAVSEA 389-0317 - Procedures for Maintenance and Repairs to Naval Reactor

Plants

(h) NAVSEA 0387-LP-046-8000 - System Hydrostatic Test Requirements

(i) NAVSEA 0924-062-0010 - Submarine Safety (SUBSAFE) Requirements Manual

(j) NAVSEA S9074-AR-GIB-010/278 - Requirements for Fabrication Welding and

Inspection, and Casting Inspection and Repair for Machinery, Piping and Pressure

Vessels

(k) NAVSEA 0900-LP-001-7000 - Fabrication and Inspection of Brazed Piping Systems

(l) NAVSEA S9086-CH-STM-010 - NSTM Chapter 074 V1 (Welding and Allied

Processes)

(m) NAVSEA S9AA0-AB-GOS-010 - General Specifications for Overhaul of Surface

Ships (GSO)

(n) NAVSEA T9074-AD-GIB-010/1688 - Requirements for Fabrication, Welding and

Inspection of Submarine Structure

(o) NAVSEA S9086-T4-STM-010 - NSTM Chapter 589 (Cranes)

(p) NAVSEA SS800-AG-MAN-010/P-9290 - System Certification Procedures and

Criteria Manual for Deep Submergence Systems

(q) NAVSEA SS521-AA-MAN-010 - U.S. Navy Diving and Manned Hyperbaric Systems

Safety Certification Manual

(r) NAVSEA SG420-EG-IEM-190 – Weapon Delivery System Equipment Manual, Vol 6

(s) SL720-AA-MAN-030 - Navy Modernization Process - Management and Operations

Manual (NMP-MOM)

(t) COMSUBLANT/COMSUBPACINST 6470.5 - Submarine Radiation Health Manual

(u) NAVSEAINST 9210.23 - Naval Nuclear Work at Naval Activities and Private

Shipyards - Certification of Work Accomplishment and Data Retention of Associated

Records and Retention of Design Records - Requirements for

(v) NAVSEA 0989-LP-058-1000 - Tender Nuclear Support Facilities Preventive

Maintenance Index

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(w) NAVSEA 0989-064-3000 - Cleanliness Requirements for Naval Nuclear Plant

Maintenance and Construction

(x) MIL-STD-2041 - Control of Detrimental Materials

(y) NAVSEA 250-1500-1 - Welding Standard

(z) NAVSEA 392-0755 - Seal Weld Manual (Nuclear)

(aa) NAVSEA 389-0288 - Radiological Controls

(ab) MIL-STD-1627 - Bending of Pipe or Tube for Ship Piping Systems

(ac) NAVSEA 0348-LP-159-0000 - Freeze Sealing Manual (Nuclear)

(ad) NAVSEA 0989-LP-037-2000 - Commissioned Submarine General Reactor Plant

Overhaul and Repair Specification

(ae) NAVSEA 0989-LP-043-0000 - Commissioned Surface Ship General Reactor Plant

Overhaul and Repair Specification

(af) NAVSEA 0989-LP-040-6000 - Air Flask Inspection and Maintenance Requirements

(Nuclear)

(ag) NAVSEA T9074-AS-GIB-010/271 - Requirements for Nondestructive Testing

Methods

(ah) MIL-STD-2132 - Nondestructive Testing Examination Requirements

LISTING OF APPENDICES.

A Technical Work Document Illustration

B Work Package Decision Process

C Certification Signature Requirements for Reactor Plant, Nuclear Support Facility and

Controlled Industrial Facility Work

D Formal Work Package Approval and Revision Sheet

E Technical Work Document Review and Approval Matrix

2.1 PURPOSE. To provide the requirements for generating work procedures that will provide

the craftsman with clear, concise, and technically correct instructions to complete the

maintenance task while conforming to technical specifications. The work instructions will vary

in complexity depending on the type of work to be performed, the amount of existing guidance

available, the extent of preparation and system restoration required, and the technical ability of

the craftsman.

2.2 TECHNICAL WORK DOCUMENTS. Technical Work Documents (TWD) consist of three

general types: Maintenance Procedures (MP), Formal Work Packages (FWP) and Controlled

Work Packages (CWP). Refer to Appendices A and B to determine which type of TWD is

required.

2.2.1 Minimum Requirements for using Technical Work Documents.

a. Nuclear Propulsion plant maintenance as defined in reference (a). This includes non-

nuclear systems and components that could affect reactor plant operation.

b. Repair or troubleshooting to Fleet Maintenance Activity (FMA) Nuclear Support

Facility systems or components.

c. Radioactive repair work as discussed in reference (c). Major work accomplished in

reactor compartments or high radiation areas as required by reference (c).

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d. Manufacture and corrective maintenance of electrical or electronic nuclear support and

test equipment (e.g., switchgear test equipment, scram breaker time response

equipment).

e. Propeller or propulsor replacement or repair.

f. Any Freon systems including self-contained units when the gas path is penetrated.

g. FMA work on tended ship’s systems.

h. Level I or Submarine Safety (SUBSAFE) system work.

i. Tests for FMA non-nuclear controlled work, which requires hydrostatic testing for

recertification.

j. All flammable liquid shipboard systems.

k. Electric motor rewind.

l. (Submarines only) Repair of Masts and Antennas.

m. Other Ship’s Force repair or troubleshooting as determined by the Department Head.

n. Troubleshoot and repair of Gas Turbines when:

(1) Repairs affect the gas path.

(2) Removal, repair or replacement of accessory gearbox and components.

(3) Repairs to bleed air piping.

o. Troubleshoot and repair of Main Propulsion Turbines or Generator Turbines.

p. Troubleshoot and repair of Propulsion and Generator Lube Oil systems.

q. Troubleshoot and repair of Propulsion and Generator Reduction Gearing or Drive

Train Assemblies.

r. Troubleshoot and repair of Auxiliary Turbines and pumps in which disassembly is

required.

s. Troubleshoot and repair of Boilers, Diesel Engines and their support systems.

t. Any work within the Scope of Certification boundary.

u. Troubleshoot and repair to submarine towed array handling systems.

v. Welding and brazing requiring a CWP per paragraph 2.2.4 of this chapter.

w. Maintenance on Weight Handling Equipment.

x. Maintenance on Recovery Assist, Securing and Traversing systems, per reference (d).

y. Maintenance performed which invokes MIL-STD 1330 or MIL-STD 1622 cleanliness

standards.

z. Maintenance on Fly-By-Wire Ship Control Systems, per reference (e).

aa. Steering Gear Systems

ab. (Submarines only) Special Valves

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ac. (SSBN only) Troubleshooting and repair of Missile Gas, Missile Hydraulic and

Missile Tube systems that remove the ability to inert and jettison the tube contents.

ad. Any work on sea-connected (seawater) systems.

ae. Any work on systems or components required to support ship recoverability.

af. Any work on installed damage control systems or components.

ag. (Carriers Only) Troubleshoot and repair of JP-5 purifiers and service pumps.

NOTE: THE HEX PLUGS (MS PLUGS) DISCUSSED IN THESE PARAGRAPHS ARE

NOT EQUIVALENT TO THE MS PLUGS DESCRIBED IN THE RE-ENTRY

CONTROL EXCEPTIONS OF REFERENCE (i). THE FOLLOWING

PARAGRAPHS REFER TO TABLE 2-1.

Table 2-1 Types of PTS and TPS Fittings

Style Description Ship or Class Drawing or Specification

Style 1 Rectangular block assembly SSN 688 Class NGNN 2300-818

Style 2 Integral assembly or

TRIDENT style fitting

SSBN 726 Class

SSN 774 Class

NAVSEA 845-4687601

Style 3

Threaded boss assembly or

Shroeder test fitting

SSN 21 Class

SSN 774 Class

MIL-V-24695

Pressure Test Stations (PTS) and Test Pressure Stations (TPS) in the SUBSAFE boundary refer to components

of different design that perform a similar function.

(1) Style 1 and 2 PTSs and TPSs hex plugs form part of the secondary pressure boundary and

serve as contaminant protection. Removal and reinstallation of the hex plug requires a

TWD but does not require Re-Entry Controls or controlled assembly. The TWD must

verify that seat leakage criteria and seating surface and hex plug inspections are performed

following applicable technical specifications.

(2) Re-Entry Controls are not required when operating Style 1 or 2 PTSs or TPSs associated

needle valves following normal operating procedures identified in Ship Safety Manuals,

Steam and Electric Plant Manuals or other NAVSEA-approved procedures. If a ship’s

operating procedure is unavailable, a locally prepared FWP will be generated to operate the

valve.

(3) Style 3 PTSs and TPSs have a Delrin cap. Removal and reinstallation of the Delrin cap

requires a TWD but does not require Re-Entry Controls or controlled assembly. The TWD

must verify that seat leakage criteria and seating surface and Delrin cap inspections are

performed following applicable technical specifications.

(4) Any disassembly for major or minor repair of Style 1, 2 or 3 PTSs or TPSs requires a

SUBSAFE Re-Entry Control CWP.

2.2.2 Maintenance Procedure. MPs may be fully usable in their existing form. The minimum

requirements to perform any work are a valid MP and permission to perform maintenance.

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a. (Submarines only) If an approved NAVSEA Submarine Maintenance Standard (SMS)

is invoked to perform an emergent repair and there is no intention to reset the

maintenance interval, then the SMS can be used as a guide to the extent necessary to

perform repair. Parts removed can be inspected following the SMS. Inspection

criteria for parts not addressed by the SMS (e.g., those parts identified as mandatory

replacement parts) must be inspected following general acceptance criteria or the

system drawing or the component technical manual. Additionally, the torque,

lubrication, and test criteria cited in the SMS may provide revised values which differ

from NAVSEA drawings or component technical manuals.

b. The following are examples of existing MPs:

(1) Planned Maintenance System Maintenance Requirement Cards.

(2) SMSs.

(3) Ship Systems Manuals.

(4) Component Technical Manuals.

(5) Shipyard Process Instructions.

(6) Ship Alteration Instructions.

(7) Reactor Plant Manual Operating Procedures, Operating Instructions,

Maintenance and Replacement Instructions, and Reactor Maintenance

Requirement Page.

(8) Alteration and Improvement Instructions.

(9) Naval Sea Systems Command (NAVSEA) Drawings which include

disassembly or reassembly instructions.

(10) Shipyard Task Group Instructions (TGI).

(11) Steam and Electric Plant Manual.

(12) (Surface Force ships only) Reference (f) Appendix 4E specifications.

2.2.3 Formal Work Package. An FWP coordinates in a single document materials required,

initial conditions, MP, test and inspections, and system restoration for the selected maintenance

task. In some instances, the maintenance task will not have an existing MP. This will require

the activity to develop an FWP in order to ensure first time quality accomplishment of the

maintenance task. FWPs should be only as detailed as required by the complexity of the work,

craftsman knowledge, technical requirements, extent of tests, and level of worker supervision

required (see Appendix B).

2.2.4 Controlled Work Package. A CWP is required when higher authority requires a record

(Objective Quality Evidence (OQE)) of repairs, maintenance for fabrication, repair, installation,

inspection and testing process for specific systems or components, such as Level I, SUBSAFE,

Submarine Flight Critical Components (SFCC) or nuclear. CWPs may be necessary when

required by the level of work control of the system (nuclear, SUBSAFE, SFCC and Level I) or

when other extensive and formal Quality Assurance (QA) or test requirements exist (weight test,

crane repairs, etc.). In its simplest form a CWP will consist of, as a minimum, a MP and the

required QA forms. Examples of required CWPs:

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a. Level I.

(1) Manufacture, installation, and repair of Level I components or systems except

for the following actions, which may be controlled with TWDs other than

CWPs.

(a) Software replacement (e.g., O-rings, packing glands, body to bonnet

gaskets, silver seal replacements).

(b) Inspections to support routine maintenance programs or

troubleshooting.

Material Identification and Control (MIC) level pieces.

(2) Repair by welding, brazing, machining, lapping or manufacture of Level I

fittings or components.

b. Reactor Plant, Nuclear Support Facility or Controlled Industrial Facility.

(1) Manufacture, installation, and repair of nuclear Level I systems and

components. The following actions may be controlled with TWDs other than

CWPs provided all assembly procedures and inspections (Quality Assurance

Inspector (QAI)) requirements specified in reference (g) are delineated in the

procedure section of the FWP:

(a) Software replacement (e.g., O-rings, packing, body to bonnet gaskets,

silver seal replacements).

(b) Inspections to support routine maintenance programs or

troubleshooting.

Material Identification and Control (MIC) level pieces.

(2) Hydrostatic testing as required by reference (h) to certify reactor plant work

conducted.

(3) Welding and Nondestructive Testing (NDT) which provides OQE of the

integrity of reactor plant piping, and structural welding.

(4) Work affecting the integrity of permanent shielding installations.

(5) Work affecting reactor plant brazed joints that are inaccessible during reactor

operations.

(6) Manufacture and corrective maintenance of mechanical nuclear support and

test equipment whose configuration is specified by NAVSEA technical

manuals or drawings (e.g., brittle fracture pressure limit rigs, nitrogen sparging

rigs).

(7) Ship’s Force retests of FMA or Ship’s Force performed nuclear work that

requires hydrostatic testing or an external pressure source to perform the test or

retest, including Pre-Overhaul Tests except a CWP is NOT required for routine

gage or instrument calibrations.

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c. Work within SUBSAFE or hull integrity boundary.

(1) Work within SUBSAFE or hull integrity boundary, identified in reference (i),

including:

(a) Submarine pressure hull grinding, cutting and welding.

(b) Adjustments that affect valve timing associated within the flood control

system components or Unrestricted Operations Maintenance

Requirement Card affected components to include cap removal or

reinstallation of hydraulic variable restrictors.

(2) Any disassembly for major or minor repair of PTSs or TPSs in the SUBSAFE

boundary.

d. Welding or Brazing.

(1) P-1, P-LT, P-3a Special Category or Critical Piping Systems repair, alteration

or fabrication, by welding and brazing per reference (j) and reference (k).

(Small self-contained Freon units, such as ice cream machines, ice machines,

etc., are excluded.)

(2) Pressure Vessel Class A-F, A-1, A-2, A-3, A-LT, M-1, T-1 repair, alteration or

fabrication by welding and brazing per reference (j).

(3) Permanent repairs and alterations of the primary structure of surface ships,

including ballistic plating and superstructure designed for blast loading.

Records must be made and retained for category “C” repairs as required by

references (l) and (m).

(4) Welding on submarine hull and structures per reference (n) as listed:

(a) Pressure hull envelope.

(b) Pressure hull structure.

(d) Containment structure.

(e) Extended pressure hull structure.

(f) Interface structure.

e. Weight Handling Equipment Manufacture and Repair except for cranes.

f. Corrective maintenance within the certified boundaries (envelope) of cranes as defined

in reference (o).

g. Maintenance within SUBSAFE boundaries of submarine antennas and masts.

h. Maintenance on Recovery Assist, Securing and Traversing systems per reference (d).

i. Maintenance on systems requiring cleanliness controls as defined by MIL-STD 1330

or MIL-STD 1622 (e.g., diver’s air, oxygen, nitrogen, hydrogen, helium-oxygen). For

MIL-STD 1622 applications, only systems defined as “critical” require a CWP for

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cleanliness controls. If repair or replacement of any component requires a record of

OQE (pressure testing, new Level I (LI) or Scope of Certification (SOC) material,

welding, etc.), a Re-Entry Control (REC) or CWP as appropriate is required.

However, the following exceptions apply:

(1) A CWP is not required for inspections specified in MIL-STD 1330 during

maintenance of cleanliness when performed by Type Commander or Ship’s

Force personnel on systems and equipment not certified by reference (i),

reference (p) or reference (q).

(2) A REC or CWP is not required for maintenance performed following an

approved Planned Maintenance System Maintenance Requirement Card by

Ship’s Force personnel that states that performance of the maintenance does

not require REC.

(3) A CWP is not required for inspections on systems defined as “critical” as

specified in MIL-STD-1622 during maintenance of cleanliness when

performed by Type Commander or Ship’s Force personnel and the

maintenance of cleanliness is authorized to be performed as a REC Exception

in the applicable Deep Submergence Systems SOC Notebook.

j. Maintenance within the FBW SCS certification boundary, per reference (e).

2.2.5 Maintenance Certification Record or Controlled Work Package (Non-SUBSAFE).

Various sea water system components and portions of the Virginia Class submarine Virginia

Payload Tube (VPT) System require frequent entry into the system boundary for routine

operations or maintenance actions in order to enable the ship to carry out its mission. Table 2-2

of this paragraph includes certain systems and equipment which require Level I work controls (or

similar type controls) that are frequently entered but must be exempt from Maintenance

Certification Record (MCR) or CWP Controls. The VPT System (where installed) is not Level I

but due to its design and system applications requires additional controls for those portions

specified in reference (r). The operational requirements for these systems and equipment have

been reviewed. Inherent operational controls and maintenance procedures in the present system

are considered adequate and the items listed in Table 2-2 are considered safe exceptions to the

formalized MCR or CWP system. The operational control which is considered as meeting the

intent of the MCR or CWP requirements is listed beside each item and must be in effect in order

to use the exception.

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NOTE: MCR EXCEPTIONS ARE FOR SHIP’S FORCE USE ONLY AND ARE NOT

AUTHORIZED FOR USE BY REPAIR ACTIVITIES. REPAIR ACTIVITIES

MUST NOT REQUEST THE SHIP TO INVOKE A MCR OR CWP

EXCEPTION IN CONJUNCTION WITH REPAIR ACTIVITY WORK.

NOTE: MCR EXCEPTIONS ARE NOT AUTHORIZED TO BE USED FOR THE

INSTALLATION OF NEW LEVEL I HARDWARE WITHIN THE LEVEL I

BOUNDARY.

NOTE: EXCEPTIONS FROM MCRs OTHER THAN THOSE LISTED ARE NOT

AUTHORIZED.

Table 2-2 Submarine Seawater & VPT System (where installed) MCR EXCEPTION ITEM

(Non-SUBSAFE)

Submarine Seawater MCR &

VPT System EXCEPTION ITEM

OPERATIONAL CONTROL

REQUIREMENT

RECERTIFICATION TESTING

VPT System Applicable Portions Controlled Assembly (Notes 1 and 2) As specified in reference (r)

Cleaning Shaft Seal Cooling

Water strainers or filters

Controlled assembly (Notes 1 and 2) None

Cleaning of Auxiliary Sea Water

system strainers

Controlled assembly (Notes 1 and 2) None

Cleaning evaporator, distilling

plant and Reverse Osmosis

supply water strainers

Controlled assembly (Notes 1 and 2) None

Shaft Seal Cooling Water

Cyclone Separators

Controlled assembly (Notes 1 and 2) None

Notes:

(1) An FWP, per paragraph 2.2.3 of this chapter, will be used to control and

document all work performed as a MCR exception.

(2) Controlled assembly requirements are:

(a) Verification that surface finishes of gasket or o-ring sealing surfaces are

following applicable specifications.

(b) Verification that fastener material and installation is following

applicable specifications.

(d) Assembly is documented on a QA form 34.

(e) Inspected by a QAI or Quality Assurance Supervisor (QAS).

2.2.6 Sequencing Document. A sequencing document is used to tie two or more TWDs together

when a single TWD is insufficient (as determined by the Department Head or Principal Assistant

for Aircraft Carriers) to complete a maintenance task. If the Department Head (Principal

Assistant for Aircraft Carriers) determines a single TWD is insufficient to complete the task, a

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sequencing document should be developed, which provides the craftsman with directions for

going from one TWD to another. Normally, this sequencing document will be in outline format.

The sequencing document will be approved as directed by the Department Head (Principal

Assistant for Aircraft Carriers).

2.3 FORMAL WORK PACKAGE DEVELOPMENT.

2.3.1 Responsibility for Preparation of Formal Work Packages or Controlled Work Packages.

a. For Ship’s Force work processes, the FWP or CWP is prepared by the work center

responsible for accomplishing the work.

b. For submarines and aircraft carriers, the FWP or CWP is to be prepared by a qualified

Maintenance Planner. The FWP or CWP may also be prepared by any member of the

work center as long as it is reviewed by a qualified Maintenance Planner in that work

center.

c. For FMA work processes, the FWP or CWP is prepared by the appropriate planning

division.

2.3.2 Security Classification. Attention must be paid to proper classification, handling, and

marking of an FWP. As initially prepared, the FWP itself or as used in a CWP, is frequently

unclassified and becomes classified as data is recorded. FWPs for nuclear propulsion plant

systems are frequently CONFIDENTIAL, and almost always contain Naval Nuclear Propulsion

Information and should be marked and controlled as required by the appropriate NAVSEA,

Naval Operations (OPNAV), and Department of Energy Security instructions (e.g.,

NAVSEAINST 5510.45 Series, OPNAVINST N9210.3, OPNAVINST 5510.11 Series, CG-RN-

1).

2.3.3 Formal Work Package Format. The FWP format in this paragraph identifies elements that

may be beneficial when writing an FWP. Asterisk (*) elements are required for all FWPs. This

format is a general guide and each element may not be required depending on the task being

performed.

a. List of References.

b. List of Enclosures.

c. List of Effective Pages (LOEP).

d. General Information.

e. Material. *

f. Responsibilities.

g. Precautions.

h. Budgeted Man-Rem (if required by the Radiation Health Manual).

i. Initial Conditions (plant or system conditions, prerequisites including tagouts). *

j. Procedure. *

k. Test and Inspection. *

l. System Restoration. *

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2.3.3.1 Formal Work Package Elements Defined.

a. List of References. All references used must be listed in a manner which will allow

positive identification of the references and will state the revision and advance change

notice utilized for planning the FWP.

(1) Reference publications such as Component Technical Manuals, Planned

Maintenance System Maintenance Requirement Cards, Maintenance

Standards, Naval Ships’ Technical Manuals, Standardized Class Shipboard

Test Procedures, Ship System Manuals, and Reactor Plant Manuals must be

the latest revision and advanced change notice when the FWP was prepared.

(2) Ship configuration drawings such as Selected Record Diagrams, piping

arrangement drawings, structural drawings, welding and NDT maps, and

mapping drawings should be the “As Built” revision as listed within the Ship’s

Drawing Index (SDI) per reference (s). All Technical Variance Documents

(TVDs) contained within the SDI must be reviewed for applicability during the

maintenance planning process. While the “as-built” should be used, it would

be prudent to review the change summary of the latest revision of the drawing

to determine if changes contained within later revisions are applicable for the

specific ship work is being planned for.

(3) Component and equipment drawings will typically be the latest revision when

the FWP was prepared; however, an earlier revision of the drawing may be

applicable based on the currently installed component or equipment. It is

incumbent to positively identify the currently installed component or

equipment configuration and the scope of work to determine if the latest

revision is applicable. The SDI must be used for verification of TVD. Of

note, the latest revision of the drawing listed within the SDI may not be

accurate and should be validated using the generic (non-SDI) portion of the

ATIS system or other applicable drawing index and repository.

b. List of Enclosures. Enclosures are any technical documents which are not readily

available to the craftsman and are used to provide information, direct or document

work, or direct contingency work. Each enclosure page will contain, as a minimum,

the FWP (file) number, enclosure number, and enclosure sheet number for traceability

purposes. Enclosures are not required to be listed as references. Examples of

enclosures are:

(1) Diagrams, prints or applicable portions of technical manuals.

(2) Necessary QA forms (CWP only).

(3) Contingency repair (predictable event).

c. LOEP. The LOEP is an accounting of every page, including enclosures that make up

the FWP. Each time a change or revision adds, modifies, or deletes a page of the

FWP, the LOEP sheet must also be revised. Original pages will be marked “-”.

Subsequent changes or revisions will reflect latest change or revision number.

d. General Information. This section is used to provide useful information, clarifying

remarks, and sequencing allowances.

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NOTE: NATIONAL ITEM IDENTIFICATION NUMBER (NIIN) MAY BE USED

WHENEVER NATIONAL STOCK NUMBER (NSN) IS CALLED FOR,

INCLUDING ALL QA FORMS. THE NATIONAL ITEM IDENTIFICATION

NUMBER UNIQUELY IDENTIFIES MATERIAL IN SUPPLY SYSTEM AND

IS ADEQUATE FOR OQE PURPOSES.

e. Materials Required (required element). This section is used to list all material, spare

parts, and special tools required to accomplish the job. Material listed in this section

should be verified on hand prior to starting work. A Job Material List may be attached

as a supplement to the Material List. Lead Work Center (LWC) Supervisor or

Division Officer may add materials after the FWP is open that does not constitute a

revision per paragraph 2.3.7.3 of this chapter using a non-technical pen and ink

change. Example of a line in the materials required list or table:

Item

Name

Size/Class/Type Qty Matl MIL-SPEC Level PC#/

REF

Step/End Use NSN/

NIIN

Bolt ½ -13UNCx2½ 6ea. Cr-Mo MIL-S-1222 Level I 12/E H.3/ASW-504

NOTE: THE RESPONSIBILITIES SECTION OF THE FWP IS MANDATORY IF

MORE THAN ONE REPAIR ACTIVITY IS INVOLVED IN THE WORK.

f. Responsibilities. List the general responsibilities of all involved ship’s divisions or

FMA Work Centers and tended ship personnel. Examples are:

(1) “38N will establish and maintain freeze seals as specified in the Freeze Seal

Agreement.”

(2) “51A will provide motor rewind and balancing services.”

g. Precautions. List precautions for personnel and equipment protection that are specific

to the job. Three examples of precautions are:

(1) Personnel: Hazards (e.g., toxic or explosive mixtures), stressors (e.g., high

noise levels, high heat operations), and protective requirements needed to

ensure personnel safety.

(2) Equipment: Safeguards, protective equipment, operating restrictions necessary

to prevent equipment damage.

(3) Prevention of the loss of cleanliness: Specific precautions to prevent the loss

of cleanliness for the task being performed.

h. Budgeted Man-Rem. In this section, establish the Man-Rem estimate for

accomplishment of the task. (See reference (t) for submarines.

i. Initial Conditions (required element). This section contains those prerequisites and

plant conditions that must be completed prior to commencing the MP. Examples are

material certification, job briefings and actions required for safety precautions listed in

the Precautions Section.

(1) Prerequisites must be completed prior to starting the MP and include actions

necessary to certify the material, conduct briefings and state safeguards taken

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against hazards identified in the Precautions Section. Production work, other

than shop work will not be performed as a prerequisite. Examples of

prerequisites:

(a) “EM01 or 38A: Record name plate data from component to be worked.

Verify the FWP is consistent with the name plate data.”

(b) “Division Officer, Leading Petty Officer (LPO), Nuclear Repair Officer

(NRO), Radiological Control (RADCON) Officer: Conduct a pre-work

briefing. Complete attendance sheet provided as Enclosure ( ).”

(2) List the initial plant or system conditions required to properly and safely

accomplish the work to be done. This should include work boundaries which

will be specified by the Ship or FMA depending on the job. The isolation

boundaries will be determined and established by the duty officer or tagout

authorizing officer prior to authorizing commencement of the maintenance

(this includes the isolation valve lineup, power isolation, etc.). The extent of

this section will vary depending upon the type of job.

(a) For a Ship’s Force job, this section should identify work boundaries

and plant or system conditions (e.g., Pressure or Temperature Band,

cold iron). The duty officer or tagout authorizing officer will determine

and set the isolation boundaries.

(b) For an FMA ship to shop job, this element is not applicable.

boundaries and identify to the ship any plant conditions that must be

maintained during the work. The ship will determine and set the

isolation boundaries.

j. Procedure (required element). This section contains the instructions on how to

accomplish the work. Concentrate on putting the steps of the job in proper sequence.

Don’t describe technically how to do a step (unless past experience has shown some of

this type of information is required). The following steps describe how to write this

section of the FWP:

(1) Outline the various steps necessary to accomplish the work to be done.

Whenever there is a need to provide information, or caution the reader, write

the word (NOTE or CAUTION) in capital letters followed by a colon and the

text of the note or caution in ALL CAPITAL LETTERS. The NOTE or

CAUTION is to appear immediately before the step or section it is applicable

to. NOTES and CAUTIONS do not perform work, but are used as the first

sentence(s) in a work step. Where NOTES and CAUTIONS are used in the

same work step, the CAUTION will be specified first.

(a) CAUTIONS should only be used whenever a specific danger to

personnel, equipment, or the potential for loss of cleanliness exists.

1 CAUTION: THE ANTI-SEIZE COMPOUND USED IN

THIS STEP IS A HAZARDOUS MATERIAL AND

REQUIRES SPLASH PROOF GOGGLES AND RUBBER

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GLOVES TO BE WORN WHILE HANDLING OPEN

CONTAINER OR USING THE MATERIAL.

2 CAUTION: ENSURE CLEANLINESS PLUGS ARE

STAGED FOR USE PRIOR TO BONNET REMOVAL.

(b) NOTES should inform the reader about key information, sequence

allowance or direct him or her to additional information.

1 NOTE: STEPS 8, 9, AND 10 MAY BE PERFORMED IN

ANY SEQUENCE.

2 NOTE: STEPS 1 THROUGH 4 MAY BE PERFORMED

SIMULTANEOUSLY.

(2) Work Center Designations. This is not mandatory for Ship’s Force work if a

single Work Center is performing all steps contained in the FWP. Otherwise,

each work step of the procedure must have a Work Center (i.e., 31A, EM01,

etc.) designated responsible for performing that step. A specific designation

(e.g., NRO, Engineering Officer of the Watch, Engineering Duty Officer, LPO

or LWC Supervisor, LPO) may be substituted for Work Center designations

where appropriate. More than one Work Center Designation may be used

where dual responsibilities are needed. Examples of Work Center

Designations:

(a) “38A/93B: Perform a final disc-to-seat blue check. Verify that a

satisfactory final seat-to-disc blue check has been performed.”

(b) “38N: NOTE: SEE FIGURE [1] OF ENCLOSURE (3) FOR

CANOPY JOINT INFORMATION AND LOCATION. Fit-up the

upper and lower body-to-bonnet canopy joints.”

(3) Symbols. These symbols are located in the margin of the FWP and indicate

the following:

(a) (R) = Steps requiring verification or inspection as defined in

references (c).

(b) (S) = Steps in an FMA procedure requiring verification by a

member of Ship’s Force.

(d) (I) = Steps requiring inspection by a QAI or NDT Inspector.

(e) (CI) = Steps requiring independent Cleanliness Inspectors (SCI,

RCI).

(f) (Q) = Critical Quality Control Points (Q-Point).

(g) (V) = Steps requiring verification by a craftsman.

(h) (G) = Government notification required.

(4) Signature Requirements in FWPs and CWPs. Certain steps require positive

assurance that the step was actually performed or completed in a prescribed

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manner. Signatures are also required for assurance of critical requirements,

critical measurements, or requirements for OQE. If the step requires

completion of a data form (e.g., inspection, NDT record, hydrostatic test data

sheet), the signature block must be on the data form, not the procedure step.

The following is a list of typical steps or examples requiring signatures:

(a) Steps which require performance of QA checks or NDT that are

documented on a QA form in order to provide traceability of

signatures. Personnel who sign QA forms or other OQE documents

will print their name along with their signature, badge number (where

applicable) and date. These types of steps must include a statement of

satisfactory compliance adjacent to the signature block in the associated

QA form.

(b) Completion of a strength test.

measurements.

(d) Completion of Controlled Assembly steps.

(5) For nuclear work, Certification Signature Blocks are required where

specifically called out in NAVSEA technical documents as defined in

Appendix C.

NOTE: WHEN INVOKING A SMS WHEN OTHER THAN A COMPLETE

COMPONENT OVERHAUL IS PLANNED, THE SMS MAY BE USED AS A

GUIDE. THERE IS NO NEED TO INVOKE THE ENTIRE SMS FOR

SPECIFIC REPAIRS: E.G., PUMP MECHANICAL SEAL REPLACEMENT

NEED NOT INVOLVE COMPLETE BREAKDOWN AND INSPECTION OF

THE PUMP.

(6) Procedure Detail. The procedure should be used to list the various tasks to be

performed and the sequence in which they should be accomplished. Notes on

proven craftsmanship skill techniques that significantly aid in first-time quality

and are not addressed in other reference documents should be included. A

well-written procedure is designed for use by trained personnel who have a

requisite level of knowledge about their specialty and the work to be

performed. A procedure must have sufficient detail to allow a determination of

exactly what was done, material used, inspections required, and allow re-

certification of the system or component.

(7) Sequencing of Work. As the work package is being prepared, the steps of the

job should be placed in a logical and proper sequence. In instances where

work can be performed in parallel, identify those steps by use of a sequencing

note. For welded and mechanical assemblies, the sequence must ensure inside

or backside surfaces receive immediate workmanship checks, required NDT, or

other inspections prior to welding other joints or closing of mechanical joints

when further welding, or assembly would render the surface inaccessible for

testing and inspection.

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(8) Q-Points. Work processes, regardless of type (maintenance, training,

administrative, etc.), have critical execution points whose proper

accomplishment overwhelmingly affects the ultimate first-time quality success

of the process. Quality Maintenance Program work processes identify these

crucial work process points as Q-Points. These concepts apply to Q-Points:

(a) Q-Points in a work process are typically characterized by requiring

high-level skills, proficiency, strong knowledge, working within

narrow tolerances, or difficult environmental conditions which mandate

close supervision.

(b) Q-Points are determined by the organizational unit (Work Center,

division, command, etc.) having cognizance over the specific work

process.

scheduling, personnel assignments, and appropriate supervision.

(d) Scheduling a Q-Point to occur late at night, with tired, fatigued

personnel or with less than adequate supervision places the successful

execution of that Q-Point at a great risk and compromises first-time

quality completion of the work process.

(e) Q-Points are annotated in FWPs whether the FWP is used as a stand-

alone or as the core of CWP. Not all FWPs will require the use of Q-

Points. Q-Points are process control aids and do not require signatures.

k. Tests and Inspections (required element). Only tests that are required to recertify the

system or component after the repair work is complete will be listed in the test and

inspection section of the FWP. Repair process tests, such as seat leakage tests or joint

tightness tests performed in the shop, will be considered part of in process work and

will be contained within the procedure section. If the testing results are required for

OQE, then the necessary QA forms will be enclosures to the FWP.

(1) Ship to shop work and FMA work on board tended units. For FMA work on

tended units where components are removed from the ship and repaired in the

shop and or repaired on board the tended unit:

(a) All testing and inspections that can be performed in the shop will be

performed in the shop by the FMA. The FMA will write and conduct

all shop tests and inspections. Nondestructive testing is not an

inspection. It is a test per the Part I, Foreword of this Volume.

(b) The FMA will provide the tended unit with all required testing and

inspection requirements and QA forms for the shipboard testing needed

to certify the work performed by the FMA. The FMA work package

will specify the joints or components that require testing and the type of

test(s) required that the tended unit must perform. The tended unit will

review the test requirements and is responsible for writing the test FWP

and conducting the test(s). The original completed test documents will

be provided to the FMA for inclusion in their work package (FWP or

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CWP) for re-certification.

reviewed by the FMA QAI or QAS for completeness, accuracy and will

validate the test result satisfy the certification attributes or attributes

required to certify the maintenance or repairs performed by the FMA.

(2) Careful planning and review prior to beginning work is needed to ensure all

tests and inspections are identified before starting work. Various TWDs

include tests and inspections required. Further guidance is also provided in

Volume IV, Chapter 9 (System Test Check List) and Volume IV, Chapter 18

(Distressed Submarine and Salvage Inspection) of this manual, and should be

consulted when preparing and performing this section for the FWP.

(3) The range, serial numbers and calibration due date of any calibrated measuring

and test equipment used for conducting the test must be documented on the QA

form.

l. System Restoration (required element). This section contains those steps necessary to

restore the system to normal operating status. If the FWP resulted in an approved

change to the equipment or component configuration (such as the performance of an

approved Alteration and Improvement), this section must direct the ship to submit a

Ship’s Configuration Change Report (OPNAV 4790/CK) and a Fleet COSAL

Feedback Report (NAVSUP 1371) to ensure accurate configuration accounting and

technical or supply support are maintained. Ensure the requirements contained within

Part I Chapter 8 of this volume are followed if the FWP resulted in an unapproved

change to the equipment or component configuration.

m. (Submarines only) Ship’s Force test FWPs for non-shipyard associated FMAs nuclear

work will be provided to the Immediate Superior In Command (ISIC) for review.

2.3.3.2 Use and Transcribing of Source Documents. Retyping or scanning extensive step-by-

step procedures from source documents into FWPs is discouraged. Ideally, the procedure should

reference the source document. A reproduced copy of the appropriate section may be included in

the work package as an Enclosure. If the source document steps are not lengthy, they may be

written directly into the procedure. When work is per a referenced procedure or enclosure,

specify the precise steps of the reference or enclosure that are to be performed. The applicable

portion of an enclosure to be used by the craftsman must be marked or highlighted and portions

not used will be marked out.

2.3.4 Formal Work Package Approval.

a. FWPs developed for a job are routed and approved prior to the performance of the

work. The appropriate work authorization and reference material, (including QA

documents for CWPs), to conduct the FWP must accompany this routing.

b. Review of the FWP by the Chemical RADCON Assistant or Quality Assurance

Officer (QAO) may be appropriate.

c. For FMAs, the FWP is reviewed by the Planning Officer, LWC and Assist Work

Centers. The FWP can be approved by the Repair Officer as the standard FWP for

that work process.

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d. Approval signatures are made on the FWP approval sheet (see Appendix D).

Signature blocks not required will be marked NA. Signature blocks that are signed

will be accompanied by a legible printed name and date.

e. For Ship’s Force standardized FWPs the LPO or LWC supervisor must verify that all

references are current. For FMA Standardized FWPs the Planning Officer must

perform the verification. If changes are required, the FWP must be revised and routed

for approval.

f. For FWPs that are part of a CWP, see CWP approval matrix, Appendix E.

g. QAO will review all FWPs for components or systems assembled as a controlled

assembly and performed as a REC or MCR exception. REC or MCR exceptions will

be tracked using the REC or MCR Exception Controlled Assembly Log QA form 11A

located in Part I, Chapter 11 of this volume.

2.3.5 Controlled Work Package Approval. When the FWP has been prepared, the following

actions are required to prepare and approve the CWP:

a. For controlled (i.e., Level I, Nuclear, Scope of Certification, SFCC) or SUBSAFE

work to be performed by Ship’s Force only, the ship’s QAO will issue the CWP or

REC numbers sequentially for entry in Block 4 of the ship’s QA form 9. For

controlled or SUBSAFE work performed by the repair activity on, or for a tended

ship, the ship’s QAO will issue CWP or REC numbers sequentially to the repair

activity for entry in Block 4 of the repair activity’s QA form 9. For controlled or

SUBSAFE work to be performed by the repair activity only (in repair activity shops

and the repair activity does no work onboard the ship, examples include ship to shop

work; rotatable pool assets), the repair activity’s QAO will issue the CWP or REC

numbers sequentially for entry in Block 4 of the repair activity’s QA form 9. The

format of the CWP or REC serial numbers will be the serial number followed by the

year (e.g., 1-90, 123-01).

b. An MCR/REC (QA form 9), will be prepared by the planner or CWP preparer. A QA

form 10 may be required as a supplement to the QA form 9.

c. CWP approval is per Appendix E.

2.3.6 Formal Work Package In Process Use. The FWP or TWD will be at the job site during the

performance of work. For multiple work sites, the FWP may be copied but all signatures and

data will be recorded on the original or master FWP.

2.3.7 Formal Work Package Changes.

2.3.7.1 Pen and Ink Changes. Pen and ink changes to an FWP may be made for minor

administrative changes that do not change the scope or intent of the FWP. Changes of this nature

include additions or deletions of a Work Center assigned to a step, typographical or editorial

errors, amplifying additional information to clarify a step, or a change in the sequence of steps.

a. Pen and ink changes to an FWP will be made with the approval of the LPO or LWC

Supervisor or Division Officer responsible for the affected step in the FWP.

b. Pen and ink changes to the QA forms in a CWP must be made with the approval of

QAO, QAS or QAI. Examples are: Additions or deletions of Work Centers assigned

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on a QA form, correction of typographical or editorial errors on a QA form, addition

of information to clarify a QA form.

c. Pen and ink changes must be accomplished by drawing a single line through the

portion to be changed, and entering the necessary change adjacent to that portion. The

person making the change will initial, date, and print the name of the approving

authority for the change. If the change is per verbal direction, the name or title of the

person authorizing the change will be annotated (per telcon with Division Officer,

Repair Officer, etc.).

d. Technical pen and ink changes are used to correct a technical error and must be

approved by the department head. The same process will be used as in a non-technical

pen and ink change except that it is documented in the “instructions for entering

revision” area of the FWP revision sheet.

e. When an error is made in the data recorded on a QA form (e.g., Craftsman records the

wrong NSN), it will be corrected by the craftsman or individual who created the error

by drawing a single line through the error, recording the correct entry, initialing,

dating and printing the name of the person making the correction. A counter signature

by a QAI, QAS or QAO is not required unless the correction is made after a QAI or

QAS or QAO has signed the QA form.

2.3.7.2 Rework Addendum. Rework is the unplanned repetition of a step, or a series of steps in

a CWP or FWP. A rework addendum specifies which steps must be repeated in a CWP or FWP

and may be used in lieu of a revision when rework is required and the scope of the original work

will not be changed. Any additional actions that were not included in the originally approved

CWP or FWP constitute a change in scope or work boundaries and must be issued as a revision

to the CWP or FWP. All rework must be documented.

a. The craftsman doing the work must stop the work and notify the LPO or Work Center

Supervisor (WCS) that rework is required.

b. Clear directions on which steps are to be repeated must be provided. Reproducing QA

forms may be required. All original and rework QA forms will be retained with the

CWP. In addition to the page numbering format used in the TWD, documents and QA

forms reproduced to perform rework will be annotated with the term “REWORK” and

associated numbering or lettering used in the LOEP at the top of the documents or

form(s) (for example - REWORK A, or REWORK 1.1).

c. An updated LOEP is required when rework requires additional QA forms.

d. A rework addendum is approved by the Division Officer (for CWPs, concurrence is

obtained from the Production Officer or QA Officer).

e. When rework is identified following signing blocks 17 and 18 of the QA-9, new

signature and date blocks for blocks 17 and 18 must be documented on QA form 10.

2.3.7.3 Revisions. Revisions are any change to a CWP, FWP or TWD that meets the criteria

listed in this paragraph. Revisions require formal review and approval.

a. Reasons requiring a revision to a FWP or TWD:

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(1) Scope of the work changes (e.g., replace software changed to machine the

valve).

(2) Boundary of the work changes (e.g., change location of or additional

disconnected joints).

(3) Change in test requirements unless authorized by a Departure from

Specification.

(4) Any change in material requirements, which result in a change in testing

requirements.

(a) The LWC Division Officer or LWC Planner may add materials after

the FWP is open that do not change testing requirements.

(b) For FWPs executed as a part of the CWP, the QAO or QAS will concur

with the addition of material. Concurrence will be by initialing the new

line item.

materials installed in the system or component.

(5) If RADCON is insufficient for the work, based on actual conditions at the

worksite, and to change the type of contamination enclosure specified for the

work (e.g., to use a drape in lieu of glove bag as specified in the FWP).

(6) MCR/REC form must be revised.

b. Steps for making a revision to a CWP, FWP or TWD:

(1) Work must stop immediately and the LPO or WCS must be notified when the

need for a revision is identified.

(2) The revision is then initiated.

(a) For Surface Force Ships, an FWP revision is initiated by the originating

Work Center and reviewed by the Division Officer responsible for the

work associated with the revision.

(b) For submarines and aircraft carriers, an FWP revision is initiated by the

originating Work Center Maintenance Planner and reviewed by the

Division Officer responsible for the work associated with the revision.

approved per the requirements of Appendix E of this chapter.

(d) For submarines and aircraft carriers, a CWP revision is initiated by the

LWC Maintenance Planner and approved per the requirements of

Appendix E of this chapter.

(3) A revision is normally made by page substitution. Revisions must be lettered

consecutively starting with “A” with the revision letter entered on all affected

sheets of the FWP. Revised portions of the FWP must be marked with a

vertical line and the revision letter in the margin. New or replacement sheets

may be added by labeling the added sheet with the number of the preceding

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page and a sub-letter (e.g., Page 5A of 15). Superseded pages (without

signatures or recorded data) must be retained until the FWP is closed out.

(4) A cover sheet for the revision is attached. The FWP revision sheets will be

placed on top of the previous cover sheet with the most current cover sheet on

top.

(5) Routing and authorization of the FWP or TWD is performed.

(a) The revised FWP or TWD must be routed only to and reviewed by the

divisions affected by the revision process.

(b) For an FWP concurrence with the revision is obtained from the

Department Head prior to executing the revision. A revision, as a

minimum, must be approved by the same level of personnel who

approved the original FWP.

approved the original (e.g., Repair Officer, Department Head and

Commanding Officer).

c. Other guidance on making revisions to an FWP or TWD.

(1) Revisions to issued FWPs may include non-technical modifications (e.g.,

lineouts). In addition, the following instructions are those permitted to be

made in the Instructions for Entering Revisions area of Appendix D.

(a) Remove: Physically take out the page(s) as specified in the change

instruction.

(b) Replace: Physically take out the page(s) specified in the change

instruction. Put the replacement page(s) provided by the revision in

place of the removed page(s) as specified.

into the FWP as specified.

(2) A revision will not remove pages with or QA forms from the CWP, FWP or

TWD with signatures or recorded data. The portion not yet complete on pages

with signatures or data, including QA forms, will be lined out.

(3) Each activity affected will ensure that revisions are made and accounted for in

an exact manner. The following intent will be adhered to regarding the

revision process:

(a) All revisions will be entered into the body of the original FWP or will

be added as an enclosure or attachment to the original FWP.

(b) Revisions must be numbered such that accountability is maintained.

2.3.7.4 Attachment. If additional work must be added to the FWP and it is relatively extensive

but does not require a change in plant conditions or work boundary, it can be accomplished by

using an attachment to the FWP. In this case, the attachment would be written and added to the

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FWP after the enclosures using the revision process (at a minimum, as a technical pen and ink

change). This page would have an additional step that directs performance of the attachment. It

would also indicate work sequence, for example whether the attachment would be worked in

series or parallel with original FWP work. The composition of an attachment is identical to an

addendum except it is prepared after the FWP is issued based on an unexpected problem.

Example: Upon disassembly of a valve, it is determined the back seat of the bonnet must be

repaired. This repair could be accomplished by attachment.

2.3.7.5 Supplement. Where additional work is required that is similar to or greater in scope to

that on the original FWP or involves changes in plant conditions, testing, or major support

equipment changes, a supplement could be used. A supplement is another stand-alone FWP

containing detailed instructions to perform the additional work. A supplement will comply with

the requirements of paragraph 2.2.3 of this chapter. The original FWP should indicate the

additional work accomplished in the supplement, if required, to make the original FWP continue

to stand alone.

Example: Recovery from loss of cleanliness where work boundaries are increased, additional

components opened to obtain flush paths, etc. The original FWP would direct work to the

supplemental FWP for recovery and then direct resumption of work per the original FWP. Once

cleanliness is reestablished, the original work would continue. In this case, it is necessary to

indicate satisfactory completion of the supplement, so that it is clear the condition is corrected.

2.3.7.6 Voiding. There are times during the performance of an FWP where events occur that

render the rest of the FWP unnecessary. In this case, a revision would be issued to the FWP

providing instructions such as directing work to a new FWP and would void the remainder of the

original FWP. For a CWP traceability will be provided to the replacement REC. The document

being voided must maintain traceability to the new activity’s repair procedure when RECs are

being transferred to another activity. Voided CWPs must retain traceability or continuity to the

follow-on procedure.

Example: During the repair of a valve, defects are discovered that cannot be repaired, requiring

the valve to be replaced instead of repaired as originally intended. Once it is determined the

repair is no longer necessary, the repair instructions would be voided.

2.3.7.7 Formal Work Package Closeout. FWPs are reviewed and approved for closing by the

LPO or LWC supervisor and designated assist LPO or WCSs for satisfactory completion.

Signatures will be accompanied by a legibly printed name and date. The closeout review verifies

these attributes:

a. Maintenance was completed as specified in the FWP.

b. Required signatures were made and names printed.

c. Cleanliness requirements were satisfactorily met.

d. Correct materials were used.

e. Post-maintenance testing was properly completed.

f. Equipment and systems were restored to normal conditions and configurations.

g. Data was recorded properly and within specifications.

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2.3.7.7.1 Completed Formal Work Packages. FWPs executed as stand-alone documents are not

required to be retained following:

a. Completion of the availability in which the work was performed.

b. Completion of closeout reviews as required by paragraph 2.3.7.7 of this chapter.

c. Recording of all required data (e.g., Material History).

2.3.7.8 Controlled Work Package Closeout. Upon completion of the maintenance task, each of

the cognizant work centers and the QAO will perform a comprehensive review of CWP

documentation for correctness and completeness. Once a satisfactory review is completed,

CWPs will be closed out subject to the following guidance:

a. CWPs required to support reactor plant or propulsion plant startup, equipment startup

or ship’s underway will normally be closed prior to the event.

b. CWPs for spare equipment, equipment requiring reactor plant or propulsion plant

operations to test, equipment requiring retest at sea or for equipment not required for

reactor plant, propulsion plant or at-sea operations may be left open with the

Department Head and Commanding Officer’s concurrence.

c. All nuclear CWPs must be reviewed for compliance with requirements and closed out

prior to reactor plant or propulsion plant startup or ship’s underway unless the

Department Head and Commanding Officer’s concurrence has been obtained to keep

the CWP open to perform a critical heat up or critical operations to accomplish system

or component retest. Prior to reactor plant or propulsion plant startup or ship’s

underway, any activities performing controlled maintenance on the ship will provide

the status of the maintenance to the ship (and the ISIC for submarines). When critical

operations or at sea testing is required to complete the task the following procedures

will be used:

(1) The testing must be required by an approved NAVSEA procedure (e.g.,

Maintenance and Replacement Instruction).

(2) All open CWPs will be logged and tracked in the CWP REC Log.

(a) All deferred (follow-on) actions will be annotated in the CWP REC

Log of the tended ship.

(b) The CWP must include documented transfer of responsibility for

accomplishment of deferred actions from the FMA to the tended ship

and must be signed by the Commanding Officer, Reactor Officer or

Engineer Officer of the tended ship.

documentation is contained in the CWP for all deferred actions.

(3) A copy of the test results will be provided to the FMA (as applicable) for final

review and CWP closeout as soon as practical.

d. In the event a CWP is prepared, the job is planned to be accomplished, but for some

reason the job is cancelled or deferred the following actions should be taken:

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(1) If work was authorized to start, the CWP must be revised to reflect that no

work was accomplished and then administratively closed. The QA form 11 log

will be annotated to show that the job was “Cancelled”.

(2) If work was not authorized to start, and the job was cancelled, annotate the

remaining blocks of the QA form 9 with “N/A” and note that the CWP was

cancelled and no work was accomplished. Blocks 20 (and 21 if the CWP has

an REC) will be signed to formally cancel the CWP. If the CWP was prepared

by a Repair Facility, a copy of the QA form 9 will be provided to the Tended

unit. If a Certification Continuity Letter is required, the cancelled CWP must

be provided with the Certification Continuity Letter. The QA form 11 log will

be annotated to show that the job was “Cancelled”.

(3) If work was not authorized to start and the job is deferred to a future

maintenance period, the CWP is not required to be cancelled. The QA form 11

log will be annotated as “Deferred”. This is not considered to be an open CWP

REC.

e. There are no retention requirements for a CWP if work was not authorized to start and

the job was cancelled.

f. The closed CWP will be retained by the QAO per Part I, Chapter 10 of this volume.

2.3.7.9 Emergent Controlled Work. On those occasions when a component fails and the normal

practice of processing a CWP would preclude meeting the ship’s operational commitment, work

may begin without formal approval of the CWP, provided the concurrence of the FMA Repair

Officer (if an FMA is involved), and the ship’s Commanding Officer and ISIC (if an FMA is

involved) is obtained. The following is required:

a. The MCR REC must be properly approved and, to the maximum extent possible, a

CWP will be prepared prior to commencement of work.

b. The task must be continuously monitored and all actions taken recorded by:

(1) QAS, if an FMA is involved or

(2) Ship’s Work Center LPO and a QAI, if the LPO is not a qualified QAI.

c. All OQE must be completed and inspected as required by Part I, Chapter 5 of this

volume.

d. All records must be reviewed and verified complete and correct.

e. Departure from Specification will be processed per Part I, Chapter 8 of this volume for

any specifications not met during the repair.

2.3.7.10 Standardized Formal Work Package.

a. FWPs, which have been performed and proven, may be retained on file to lessen the

effort in preparing for a future task of a similar nature.

b. Standardized FWPs can be used to accomplish the same maintenance task without

routing for approval provided the LPO or LWC supervisor and Planning Officer (if

assigned) verify that no changes to the reference documents have been issued since

initial approval. When initially routed for approval as a standardized FWP, the

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RADCON OFFICER or Chemistry and Radiological Controls Assistant (CRA) will

determine the need for evaluating RADCON for future maintenance actions. If the

RADCON OFFICER or CRA determined it is necessary to evaluate RADCON for

each future maintenance action the RADCON OFFICER or CRA will check “YES” in

CHOP FOR FURTHER USE. When “YES” is checked RADCON personnel are

required to review the standardized FWP prior to each instance of use to verify

RADCON controls in the standardized FWP are appropriate for the work. If the

RADCON OFFICER or CRA determined it is not necessary to evaluate RADCON for

each future maintenance action the RADCON OFFICER or CRA will check “NO” in

CHOP FOR FURTHER USE? When “NO” is checked no additional RADCON

review is required prior to use of the standardized procedure. If the LPO or LWC

supervisor or RADCON personnel (when required) determine the FWP requires a

change, it must be routed for approval as a revision to the FWP.

c. Standardized FWPs developed by FMAs may be used by Ship’s Force.

Implementation requires Division Officer recommendation and Department Head

approval.

d. Standardized FWPs developed by an FMA may be used at any FMA. Implementation

requires Planning Officer recommendation and Department Head approval.

e. Use of standardized FWPs requires a system to ensure the FWP is current.

(1) Maintain a master listing of standardized FWPs by name and revision number.

(2) Once approved as a standard FWP the cover sheet will be removed, the FWP

will be annotated as the master copy, and retained on file.

(3) A copy of the approved master cover sheet will be attached to the standard

FWP when work is in progress.

(4) All revision cover sheets will be retained with the previous master cover sheet.

2.3.7.11 Lost Controlled Work Packages Following Controlled Work Package Approval.

a. Formally inform the ISIC and Type Commander.

b. Conduct a formal critique for CWPs approved or opened and not closed, and provide a

copy to the ISIC and Type Commander.

c. Initiate corrective action using a QA form 14.

2.4 TROUBLESHOOTING.

a. Troubleshooting a system which is being operated following the normal ship’s

operating procedures in normal operation in response to a request for on-site Fleet

Technical Assistance does not require an FWP provided the troubleshooting is non-

obtrusive (i.e., visual inspection or observations only) and intended to evaluate the

nature of the reported problem. Any manipulation of the system outside normal

operating conditions requires an FWP.

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b. Troubleshooting equipment normally controlled by using an FWP or TWD, whether

done by Ship’s Force or by an outside activity, can seldom be precisely defined at the

start of corrective maintenance. An FWP for troubleshooting must include well-

defined initial conditions, boundaries and stop points within which troubleshooting

can be accomplished. Detailed procedural steps are not required. Troubleshooting

procedure may require some form of trial and error process of elimination. In order to

determine the proper tests following troubleshooting, a record of actions performed

must be kept. Once the problem is identified, the FWP must be revised to properly

repair and test the affected equipment.

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APPENDIX A

TECHNICAL WORK DOCUMENT ILLUSTRATION

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APPENDIX B

WORK PACKAGE DECISION PROCESS

MAINTENA NCE

ACTION REQUIR ED

Consult WCS

or DIV Off

for direction

Write FWP per

SECT 2.3

Obtain Work

Aut horizat ion per

Obtain FWP

Approval per

PA RA 2. 3.4

PERFORM

WORK

Verify FWP

Current per

Appro ve S equenci ng

Document per

PARA 2. 2. 6

Obtain Authorization

to Start Work, WCS

as a Minimu

Generate Sequencing

Document per

PARA 2. 2. 6

Is a CWP

Required per

PARA 2. 2.

Is OQE Req u ired

er PARA 2.2. 4

(Second Chance)

Is There a

Standardized

FWP per

Are T her e

Existing

Maintenance

Procedures p e

PARA 2.2.2

Is a n FWP

Required per

PARA 2. 2. 3

Ob tai n W ork

Authorization

Obtain CWP

Approva

CWP

FWP + OQE

Is a Single

TWD Sufficient

to Accompli sh Tas k

(as Determined by

the DH)

er IV-10

SECT 10.4

PARA 2.3.7.10

PAR A 2.3.7. 10 .e

IV -1 0 SE CT 10 .4

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APPENDIX C

CERTIFICATION SIGNATURE REQUIREMENTS FOR REACTOR PLANT,

NUCLEAR SUPPORT FACILITY AND CONTROLLED INDUSTRIAL FACILITY

WORK

1. General Requirements. This appendix lists the instances when a signature is required to

certify data or accomplishment of maintenance items. All attributes will be certified by

verification or inspection. Appendix C is meant to be comprehensive. However, there could be

a maintenance item performed by forces afloat and not listed in this appendix where a NAVSEA

document requires a verification with a certification signature; in that event, the certification

signature requirement should be met following the NAVSEA document.

a. Certification signatures in Nuclear Controlled Work Packages, required by this

chapter, that record OQE must be documented on QA forms and kept as required by

references (u) and (v), as applicable. Certification signatures listed in this appendix,

which are not required to be documented on QA Forms, are not OQE and have no

specific retention requirement.

b. Items that require inspection or verification documented in TWDs other than a CWP

will require a certification signature only and are not OQE. Therefore, they do not

need to be kept after the maintenance is complete and accepted.

c. Where it is convenient to use a locally generated form to accomplish specific

certifications, the CWP must refer to the form and the signatures will be on the form.

These forms need not be kept unless a record is required.

d. Indicate the individual responsible for performing the certification and the specific

attributes being certified at the signature block.

e. Certification signature statements must be referenced on each page, or in the General

Information element of the associated locally prepared TWD, where a certification

signature is required using references (u) and (v), as applicable, for reactor plant and

Nuclear Support Facility maintenance respectively:

(1) “Direct report from watch standers” may be deleted from the second (**)

Certification Signature Block statement for work where such an option would

not be applicable.

(2) Single asterisk (*) or double asterisk (**) must be used at each Certification

Signature Block to indicate the type of certification that is expected.

2. Specific Requirements.

a. Cleanliness. Nuclear propulsion plant cleanliness, foreign material, and detrimental

material control must be according to Table 2.4-6.1 of reference (w). Cleanliness

certification signatures are not required to be documented on QA Forms.

(1) Reactor Plant:

(a) Inspection following entry into clean hardware where dirt producing

(e.g., machining or grinding) or potentially dirt producing operations

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APPENDIX C

(e.g., clean cuts of pipes) are used.

(b) Inspection prior to final closure of each opening in clean hardware

where the closure will prevent visual access to surfaces which contact

system fluid.

occur that is not easily detected and corrected.

(d) Inspection for re-verification of hardware cleanliness per section 2.6 of

reference (w).

(e) Final inspection following fabrication of hardware or dirt producing

modification to hardware.

(f) After removal of a controlled product as defined in reference (x) for

internal surfaces of installed hardware and internal surfaces of

hardware that contains crevices and inaccessible areas. (Applicable to

shipyards and Nuclear Regional Maintenance Departments only.)

(g) Following the cleaning of internal surfaces when crevices or

inaccessible areas are exposed.

(h) During assembly or disassembly of joints with thread sealant

downstream of cleanliness filters to verify there is no visible thread

sealant on internal surfaces following assembly.

(i) Following dirt-producing modification to hardware with crevices and

inaccessible areas.

(j) The following require certification by a craftsman qualified to perform

the verifications and will be documented by the craftsman by signing a

certification signature. An independent inspection is not required.

1 Verification of cleanliness following entry into clean hardware,

except entry that is dirt producing (e.g., machining, grinding) or

potentially dirt producing (e.g., clean cuts of pipe).

2 Verification of cleanliness prior to and during assembly

(including assembly that creates crevices).

3 Verification of cleanliness prior to thermal treatment.

4 Verification of cleanliness after any test that uses soft metal

probes or tips; for example, alloy identity testing.

5 Verification of cleanliness following cleaning except when

performed for paragraphs (a) through (d) of this paragraph or

when crevices or inaccessible areas are exposed.

6 Verification of cleanliness following tape removal.

7 Verification of cleanliness prior to closure of support system

openings and connection of a clean support system to clean

hardware.

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APPENDIX C

8 Verification of final review of the accountability log.

9 Verification of cleanliness prior to installation of support

equipment to any vent and drain valve, other than a pressurized

discharge.

10 Verification of final cleanliness of cleanliness plugs provided

the plugs are assembled from clean parts or sub-assemblies

without crevices or inaccessible areas and if the assembly

occurs in a clean room or clean area.

(2) Steam Plant. Verification of cleanliness whenever cleanliness has been lost.

b. Welding and Brazing. The following signature requirements apply:

(1) Inspections where records are required by reference (y) with the exception of

in-process visual inspections, which may be verifications. These inspections

will be documented on QA forms.

(2) Inspections where records are required by reference (z) with the exception of

in-process visual inspections, which may be verifications. Inspection that

gaskets, O-rings, or seals are either removed or scored as required before

welding, so that they no longer function as a seal. These inspections will be

documented on QA forms.

(3) Inspections for parameters or data where records are required by sections of

reference (y) involving welding, with the exception of in-process visual

inspections, which may be verifications. This information will be documented

on QA forms.

(4) Inspections, where records are required, associated with reactor plant welds on

piping systems and on components which are nuclear Level I or non-level

piping system applications when welds are qualified, performed and inspected

according to NAVSEA Nuclear Propulsion Directorate (08) documents other

than those included in paragraphs 2.b.(1), (2) and (3) of this paragraph, with

the exception of in-process visual inspections, which may be verifications.

These inspections will be documented on QA forms.

(5) Inspections required by reference (k) for class P-3a brazed joints in nuclear

Level I piping systems, where records are required. These inspections will be

documented on QA forms.

(6) Verification that proper purge path is established before welding, both inlet

and exit.

c. Shielding. Inspections to verify the proper replacement of permanent shielding

according to reference (c) or (aa), as applicable.

d. Mechanical Joint Assembly.

(1) Verification of the following applicable attributes is required if maintenance is

accomplished using a FWP or CWP.

(a) Joint identification.

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APPENDIX C

(b) Condition of flange faces, O-ring grooves, and other sealing surfaces.

(d) Installation of O-rings or gaskets.

(e) Lubrication of fasteners.

(f) Thread engagement and standout.

(g) Final torque on fasteners.

(h) Gasket compression and flange parallelism.

(2) For joints in Nuclear Level I systems, inspection of the following applicable

attributes is required whether the maintenance is accomplished by a CWP or

FWP.

(a) Final torque on fasteners when a torque is specified.

(b) Gasket compression and flange parallelism. (Gap measurement is only

required when mating surfaces are not in contact).

e. Pipe Bending. For pipe bending according to reference (ab), the following signature

requirements apply:

(1) Inspection (NDT) of bent pipe. These inspections will be documented on QA

forms.

(2) Visual inspections of bent pipe.

f. Freeze Seal Operations. For freeze sealing according to reference (ac) the following

signature requirements apply:

(1) Verification of dimensional measurements before and after freeze seal

operations.

(2) Verification that the variation between before and after dimensional

measurements does not exceed the allowed tolerance.

(3) Verification that the freeze seal is established.

g. Hydrostatic Testing. The following signature requirements apply: Inspections

required during hydrostatic testing according to reference (h) and the applicable

reactor plant manual. The results of these inspections will be documented on QA

forms.

h. Locking devices. The following signature requirements apply:

(1) Internal locking devices. The proper installation of locking devices inside the

pressure boundary of components containing primary coolant and all locking

devices (internal and external) associated with reactor vessels, closure heads,

and control rod drive mechanisms must be confirmed by inspection. The

results of such inspection, including dimensions and clearances measured to

confirm proper installation, will be documented on QA forms.

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APPENDIX C

(2) Verification of the proper installation of other reactor plant component locking

devices. This verification is by the craftsman unless the component drawing

requires an inspector to perform the check.

i. Valve Repair. The following signature requirements apply:

(1) Inspection of the final measurement of the bellows restraint gap “x-dimension”

of pilot actuated relief valves where required by applicable technical manuals.

(2) Verification of the final blue check of the disc-to-seat.

j. Valve Testing. The following signature requirements apply to inspection during post

installation testing and periodic testing of primary, steam generator, and charging

pump relief valves:

(1) Proper blocking (gagging) and subsequent return to normal service.

(2) Locking devices, if required, on manual lift mechanism, locked.

(3) Manual lift mechanism removed, if so designed, after testing.

k. Miscellaneous. The following signature requirements apply:

(1) Inspections required before, during, or after repair to remove surface

discontinuities according to reference (v), (ad) or (ae), as applicable.

Document these inspections on QA forms.

(2) Inspections required on reactor plant air flasks according to reference (af).

(3) Inspections required for determining reactor plant material acceptability

according to the specifications requirements when the inspections specify

reference (ag) or reference (ah).

(4) Inspection of penetrations in tanks to ensure all temporary plugs have been

removed and the penetrations are free from obstruction, if maintenance has

been performed in the tank.

(5) Inspections required by Article 242 of reference (aa) or Appendix D of

reference (c), as applicable.

(6) Verification of removal of installed temporary reactor plant support equipment.

(7) Verification of satisfactory completion of reactor compartment closure tests

including tests on individual penetrations.

(8) Verification of the Reactor Plant Work Accomplishment Report by designated

officers.

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APPENDIX D

FORMAL WORK PACKAGE APPROVAL AND REVISION SHEET

FWP NUMBER _____________ REVISION _____________

TASK ________________________________________________________________________

______________________________________________________________________________

LEAD DIVISION OR WORK CENTER _______________ ORIGINATOR _______________

REVIEWED BY:

WORK CENTER PLANNER (REQUIRED IF

ORIGINATOR IS NOT A QUALIFIED PLANNER) ______________________

AWC LPO or SUPERVISOR ______________ AWC DIVISION OFFICER ______________

NRO __________________________________ P&E OFFICER ________________________

RADCON OFFICER or CRA _____________

CHOP FOR FURTHER USE?____YES____NO

DIVISION LPO or LWC SUPERVISOR ________ LWC DIVISION OFFICER ___________

APPROVED: __________________________________________________________________

DEPT HEAD DATE

THIS STANDARDIZED FWP HAS BEEN VERIFIED TO BE THE LATEST REVISION

AND CONTAINS THE CURRENT REFERENCES. THE RADCON OFFICER or CRA

HAS/HAS NOT (CIRCLE ONE) VERIFIED THIS FWP FOR CURRENT RADIOLOGICAL

CONDITIONS.

______________________________________________________________________________

LWC SUPERVISOR or LPO DATE

______________________________________________________________________________

PLANNING OFFICER (IF APPLICABLE) DATE

______________________________________________________________________________

REVISIONS, CHANGES AND SUMMARY: (APPROVAL SHEET) OR INSTRUCTIONS

FOR ENTERING REVISION:

LTR: ______________ DESCRIPTION__________________ DATE ENTERED___________

REVIEWED FOR SATISFACTORY COMPLETION AND CLOSEOUT

AWC LPO or SUPERVISOR_______________ LWC LPO or SUPERVISOR ____________

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APPENDIX E

TECHNICAL WORK DOCUMENT REVIEW AND APPROVAL MATRIX

TWD

TYPE

Work

Performed

Opening (1) Closing (1)

P&E

OFF

AWC

DIV

OFF

LWC

DIV

OFF

QAO

DEPT

HEAD

(4)

SHIP

ENG

SHIP

ISIC

AWC

DIV

OFF

LWC

DIV

OFF

QAO

DEPT

HEAD

SHIP

SF R R (8)

FMA R R R R (8)

FWP

SF R R (2) R (11) A R (8) A (8) R (11)

FMA R (2) R R A R (8) A (8)

Prepared

CWP

Other R R R A R R R A (4)

LI R R R A R R R A (4)

O2 R R R R A R R R A

NUC

R R R R A A (3)

R (6)

(10)

R R R R (4) A (3)

SS or SOC R R R R A R R R A (5) S(12)

SFCC R R R R A R R R A (5) S(12)

RMC or

FMA

Prepared

CWP

Other R R R R A R R R A (4)

LI R R R R A R R R A (4)

O2 R R R R A S (7) R R R A (4) S (7)

NUC

R (9) R R R A

(3)(7)

R (6)

(10)

R R R A (4) S (3)(7)

SS or SOC

R R R R A S (7) R R R A (4)

(7)(12)

SFCC R R R R A S (4) R R R A S(12)

Notes:

1. R = Review (May require signature on FWP Cover Sheet, QA-9, or both),

A = Approve (Approval Signified by signature on FWP Cover Sheet, QA Form 9, or

both),

S = Acknowledgement signature noting that the REC or CWP has been opened or closed

by the approving authority. For opening, this signature also grants permission for

work to be conducted. Review or Approval signifies the following:

 The FWP is correct both in sequence and requirements to satisfactorily

accomplish the maintenance.

 The CWP provides the correct technical specifications or requirements (e.g.,

torque values, dimensions, NDT inspections, cleanliness requirements, critical

inspections, recertification tests) for certification attributes on the appropriate QA

form.

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APPENDIX E

2. For FWPs previously approved by the Department Head, the FWP may be authorized and

issued as a standardized FWP per paragraph 2.3.7.10 of this chapter.

3. (Nuclear aircraft carriers only) The Reactor Officer will sign.

4. For items requiring Department Head approval the following signature requirements must

apply:

FMA - Repair Officer (unless formally delegated for Other and LI)

SF - Cognizant Department Head (Principal Assistant for aircraft carriers)

5. Entries are to be signed by the Ship’s Engineer only.

6. (Submarines only) ISIC Material Officer will review SF CWPs for retesting FMA

accomplished nuclear work.

7. This block is not applicable for FMA only MCR RECs.

8. Accomplished by WC Supervisor.

9. Nuclear Repair Officer if assigned.

10. Applicable to Fleet I-Level activities only. Does not apply to I-Level activities controlled

by Naval Shipyards.

11. QAO will review opening and closing of all FWPs for components or systems assembled

and performed as a REC MCR exception.

12. (Submarines only) This signature is REQUIRED to complete certification of Re-Entry

into SUBSAFE, Scope of Certification and Fly-by-Wire systems and components.

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VOLUME V

PART I

CHAPTER 3

PERSONNEL QUALIFICATION AND TRAINING

REFERENCES.

(a) NAVEDTRA 43523 - Personnel Qualification Standard for Quality Maintenance

Program

(b) MIL-STD-1330 - Standard Practice for Precision Cleaning and Testing of Shipboard

Oxygen, Helium, Helium-Oxygen, Nitrogen and Hydrogen Systems

(d) NAVSEAINST 9210.39 - Submarine Nuclear Propulsion Plant Operator Welders:

Procedures for Maintenance of Qualification

(e) NAVSEA 389-0317 - Procedures for Maintenance and Repair of Naval Reactor Plants

(Nuclear)

(f) COMSUBFORINST C5400.30 - Engineering Department Organization Manual

(g) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(h) NAVSEA SS800-AG-MAN-010/P-9290 - System Certification Procedures and

Criteria Manual for Deep Submergence Systems

(i) NAVSEA 0924-062-0010 - Submarine Safety (SUBSAFE) Requirements Manual

(j) NAVSEANOTE 5000 - Activities Authorized to Perform SUBSAFE, FBW-SCS and

DSS-SOC Work

LISTING OF APPENDICES.

A NAVEDTRA 43523 Qualification Matrix

B Outlines of Typically Effective Training Topics

C Recommended Training Topics for Selected Positions

3.1 PURPOSE. To define the requirements and guidance necessary to establish a standard

qualification and training program for personnel who plan, perform, inspect or supervise the

maintenance tasks listed in Part I, Chapter 2, paragraph 2.2.1 of this volume.

3.2 GENERAL. Personnel who screen, plan, perform, inspect and supervise the maintenance

performed to the following requirements must be trained and qualified per this volume and

reference (a).

a. Maintenance requiring a Technical Work Document per Chapter 2, paragraph 2.2.1 of

this volume.

b. Maintenance listed as Material Certification Record (MCR) exceptions per Part I,

Chapter 2, paragraph 2.2.5 of this volume.

c. Maintenance listed as Re-Entry Control (REC) exceptions per Part I, Chapter 5,

paragraph 5.6.7 of this volume.

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NOTE: A CONTINUING TRAINING AND QUALIFICATION PROGRAM IS ESSENTIAL

FOR ALL MAINTENANCE PERSONNEL TO ACHIEVE A MAINTENANCE

PROGRAM WITH HIGH STANDARDS OF QUALITY. PERSONNEL

INVOLVED IN THE APPROVAL, SUPERVISION, PLANNING OR

PERFORMANCE OF SHIPBOARD MAINTENANCE WILL BE PARTICIPANTS

IN THE TRAINING AND QUALIFICATIONS ASSOCIATED WITH THIS

VOLUME.

3.3 QUALIFICATION. Qualification procedures established herein must be formal, and

designed to heighten awareness of those tasked with the responsibility of administering,

managing and executing the Fleet Quality Maintenance (QM) program.

a. Each organization must maintain a personnel qualification list per Part I, Chapter 10,

of this volume.

b. Each organization must maintain a list of personnel authorized to sign off portions of

reference (a).

c. Maintenance personnel must be qualified through completion of formal qualification

programs (e.g., Job Qualification Requirements or Personnel Qualification Standard

(PQS), written exams, oral boards and formal schools). Reference (a) provides the

standard PQS for the majority of QM qualifications. Appendix A provides a

qualification matrix for maintenance personnel PQS requirements.

d. All personnel performing the maintenance identified in Part I, Chapter 2, paragraph

2.2.1 of this volume must be 3-M 301 qualified and Craftsman 301 qualified or an

equivalent Quality Assurance (QA) qualification for non-naval personnel.

3.3.1 Re-qualification. Personnel with prior documented qualifications may be re-qualified by

written exam or oral board as directed by Quality Assurance Officer (QAO) or Department

Head. Personnel found to be deficient in level of knowledge will be required to complete an

upgrade program established by the QAO prior to re-qualification.

3.3.2 Required Service Record Entries. Record of qualification will be inserted in the

individual's service record.

3.4 QUALIFICATION REQUIREMENTS.

3.4.1 Ship’s Quality Assurance Officer.

a. Should be a commissioned officer with engineering or repair experience.

b. (Submarines only) Submarine officer must have completed submarine qualification

and for nuclear powered ships should be nuclear trained.

c. Designated in writing by the Commanding Officer.

d. QA Officer course requirements are:

(1) A surface ship QAO must be a qualified Quality Assurance Supervisor (QAS)

and must be a graduate of a QAO course.

(2) A submarine QAO must be a graduate of the Submarine Officers’ and

Supervisors’ Quality Maintenance course, F-4H-0182. No other formal PQS

qualification is required.

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(3) An aircraft carrier QAO must be a graduate of the 5-week Quality Assurance

Officer Course (S-4H-0001) for CVN officers. No other formal PQS

qualification is required. With a formal waiver (Naval message or letter)

endorsed by the ISIC and approved by the TYCOM, this requirement can be

temporarily waived but the waiver may not exceed 6 months. The waiver must

list the interim QAO and qualifications, the perspective QAO and graduation

date from S-4H-0001 or the report date.

e. (Submarines only) Complete an oral interview with the ISIC or submarine support

component QAO.

f . (Submarines only) Only an officer meeting the QAO qualification requirements of

sub-paragraph d. may sign documents requiring a QAO signature.

(1) A qualified QAO must be onboard during underway operations.

(2) A qualified QAO must be onboard (i.e. not TAD or on leave) any time Quality

Maintenance is being performed when in port.

(a) The QAO may be TAD in the same geographic location as the ship as

long as the they can still perform all responsibilities assigned per Part I,

Chapter 1, paragraph 1.5.12 of this volume, and when in port, or when

in port available by phone (i.e. not TAD or on leave) when Quality

Maintenance is being performed.

(b) If the QAO cannot perform these duties while TAD or on leave, an

acting QAO meeting the requirements of sub-paragraphs a. through e.

must be assigned except as exempted here.

(i) The Ship’s Commanding Officer may waive the sub-paragraph

d.(2) requirement to a period of time up to but not exceeding 2

calendar weeks to allow the QAO leave or short duration TAD.

(ii) With a formal waiver (Naval message or letter) endorsed by the

Immediate Superior In Command (ISIC) and approved by the

Type Commander (TYCOM), the sub-paragraph d.(2)

requirement can be temporarily waived by the TYCOM but the

waiver may not exceed 6 months. The waiver must list the

interim QAO and qualifications, the perspective QAO and

graduation date from F-4H-0182 or the report date.

3.4.2 Ship’s Assistant Quality Assurance Officer.

a. Normally E-6 or higher with engineering or repair experience.

b. Designated in writing by the Commanding Officer.

c. (Submarines only) Complete an oral interview with the ISIC or Submarine Support

Component QAO.

3.4.3 Immediate Superior In Command.

a. Quality Assurance Officer.

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(1) Should be a commissioned officer, but may be a civilian with engineering or

repair experience.

(2) Should be a graduate of a QAO course. No other formal PQS qualification is

required.

(3) Designated in writing by the ISIC.

b. Assistant Quality Assurance Officer.

(1) Military personnel will be an E-7 or higher, but could be a senior civilian with

engineering or repair experience.

(2) Should be a graduate of a QAO course.

(3) Qualified as QAS. QAS qualification is not required if he or she is a graduate

of the Norfolk Naval Shipyard Fleet Maintenance Support Branch QAO

course.

(4) Designated in writing by the Commanding Officer. The duties assigned,

including signature authority, must be clearly delineated.

3.4.4 Regional Maintenance Center or Fleet Maintenance Activity Quality Assurance Officer.

a. Should be a commissioned officer, but may be a civilian with engineering or repair

experience.

b. Will not be assigned collateral duties or responsibilities that divert attention from

primary duties of QM.

c. Should be a graduate of a QAO course. No other formal PQS qualification is required.

d. Designated in writing by the Commanding Officer.

3.4.5 Regional Maintenance Center or Fleet Maintenance Activity Assistant Quality Assurance

Officer.

a. Military personnel will be an E-7 or higher, but could also be a senior civilian with

engineering or repair experience.

b. Qualified as QAS or a graduate of a QAO course.

c. Designated in writing by the Commanding Officer.

3.4.6 Quality Assurance Supervisor.

a. Normally E-6 or higher, but may be a civilian.

b. Complete PQS for QAS, and pass a written examination and oral board.

c. QAS is a mandatory qualification for Fleet Maintenance Activities (FMA).

Qualification of QAS for ships is at the TYCOM’s discretion.

3.4.7 Quality Assurance Inspector.

a. Normally a petty officer, but may be a civilian.

b. Complete PQS for Quality Assurance Inspector (QAI) and pass a written exam and

oral board.

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c. The qualification card may be split into separate nuclear and non-nuclear QAI

qualifications. If this is done, the command must ensure QAIs do not inspect areas

excluded from their qualifications.

3.4.8 Controlled Material Petty Officer or Controlled Material Handler.

a. Normally a petty officer, but may be a civilian.

b. Complete PQS for Controlled Material Petty Officer (CMPO) or Controlled Material

Handler (CMH), and pass a written exam and oral board.

c. Activities may modify the qualification card to allow CMPO or CMH qualification for

specific materials only. If this is done, commands must have a method to ensure

CMPOs or CMHs do not handle material excluded from their qualification.

3.4.9 Steam Plant Cleanliness Inspector or Certifier.

a. Normally a petty officer, but may be a civilian.

b. Complete PQS for Steam Plant Cleanliness Inspector and pass a written exam and oral

board.

3.4.9.1 Qualification Requirements for Reactor Plant Cleanliness Inspector or Certifier.

a. Normally a petty officer, but may be a civilian.

b. Complete PQS, per reference (a), for Reactor Plant Cleanliness Inspector, pass written

exam and oral board.

3.4.10 Gas Systems Cleanliness Inspector or Certifier.

a. Normally a petty officer, but may be a civilian.

b. Satisfactorily complete an Oxygen Clean Worker course of instruction per reference

(b).

3.4.11 Oxygen Clean Instructors. An Oxygen Clean Instructor will be certified per reference

(b). Oxygen Clean Instructors will re-qualify every three years. If an individual is scheduled for

transfer within six months after the expiration of qualification, it is permissible to extend the

qualification until transfer. The local command may exempt the senior instructor from re-

qualification.

3.4.12 Ship's and Fleet Maintenance Activity Oxygen Clean Workers. Oxygen Clean Workers

will be certified per reference (b). Oxygen Clean Workers will re-qualify every three years. If

an individual is scheduled for transfer within six months after the expiration of qualification, it is

permissible to extend the qualification until transfer.

3.4.13 Oxygen Calibration Technicians. Oxygen Calibration Technicians qualify to perform

oxygen instrument cleaning and calibration by satisfactory completion of Oxygen Calibration

School at the direction of the Naval Sea Systems Command (NAVSEA) Metrology and

Calibration (METCAL) Quality Manager. Naval Sea Systems Command certifies successful

candidates for two years following a report of satisfactory completion of Oxygen Calibration

School. Local Regional Maintenance Center re-certifies Oxygen Calibration Technicians during

the calibration capability reviews of FMAs or Strategic Systems Program Office capabilities and

proficiency evaluation of SSBN and SSGN FMAs.

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3.4.14 Work Center Supervisors and Planners. The qualification of QA Maintenance Planners

and QA Work Center Supervisors is required in all work centers that perform maintenance tasks

outlined in Part I, Chapter 2, paragraph 2.2.1 of this volume. Work Center Supervisors and

Maintenance Planners will, as a minimum, complete the applicable qualifications of reference (a)

prior to performing any unsupervised maintenance tasks. QA Maintenance Planners prerequisite

fundamentals (QAI and Cleanliness Inspector) may be deleted in work centers that do not

perform controlled work. Activities with separate planning organizations are exempt from

having planners assigned to individual work centers. (Submarines Only) For work centers

requiring a QA Work Center Supervisor, either the 3-M Work Center Supervisor or Leading

Chief Petty Officer must be qualified QA Work Center Supervisor and have completed 3M PQS

NAVEDTRA 43241 for Work Center Supervisor.

3.4.15 Qualification Requirements for Submarine Nuclear Propulsion Plant Operator Welders

(Navy Enlisted Classification Code 3351 and Supervisor Welders 3361).

NOTE: INFORMATION ON THIS SUBJECT IS SAFEGUARDED PER REFERENCE

(c). SPECIFIC PROGRAM REQUIREMENTS ARE IDENTIFIED IN

REFERENCES (d) AND (e).

3.4.16 Qualification Requirements for Submarine Fly-By-Wire Ship Control System

Maintenance Technician. Must be a graduate of the Ship Control System Maintenance

Technician School (A-623-0118 for SSN 21 Class, A-623-0131 for SSN 774 Class).

3.5 TRAINING.

3.5.1 Maintenance Personnel Training. All personnel involved with planning, performing and

supervising maintenance specified in Section 3.2 of this chapter will be trained using the

following guidance:

a. Appendices B and C of this chapter provide information on program elements

normally contained in effective maintenance training programs. Appendix B is

applicable to Ship’s Force whereas Appendix C is applicable to Fleet Maintenance

Activities (e.g., mechanics, Nondestructive Test (NDT) technicians, welders and

planners). All appendices identified in this paragraph are provided as information

only and are not to be considered mandatory listings.

b. Findings from QA form 14s, audits, assessments and surveillance should be included,

when appropriate, to re-emphasize the most recent problems experienced in the

department.

c. Include the training with existing topics where possible (i.e., CMPO training held with

Repair Parts Petty Officer training or Steam Plant Cleanliness training held in

conjunction with Machinery Divisions training on the Steam Plant). However, some

areas may require separate training to be held.

d. Joint training between departments and organizations is acceptable. The Department

Head will coordinate with the QAO on training concerning QM. It is not the intent to

create a separate training program, nor is the intent to hold one annual training session

that covers all of the topics.

e. In order to assess the effectiveness of the training program, the QAO should:

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

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V-I-3-7

(1) Periodically monitor training.

(2) Assess knowledge level retention in conjunction with the conduct of annual

QA and welder training and qualification program audit required by reference

(a), Part I, Chapter 9 paragraph 9.3.1 of this Volume.

3.5.2 Requirements. The QAO will create a Long Range Training Plan (LRTP), approved by

the Executive Officer, to track topics desired to be given on a periodic basis. Reference (f)

provides guidance on effective training planning and LRTP use.

a. For personnel qualified 301 (craftsman) and above, in accordance with reference (a),

the QAO will include applicable training topics using Appendices B and C of this

chapter as a guide. These topics must be reviewed and updated annually or whenever

a new long-range training plan is generated.

b. For personnel responsible for planning, approving, inspecting or supervising

maintenance on systems or equipment included in the QM Program, the QAO will

include the following items in the LRTP.

(1) Requirements and generation of a controlled work package and formal work

package including objective quality evidence, required inspections and critical

QM points.

(2) Material certification, control and stowage requirements.

(3) In-process control including torqueing, controlled assembly, system cleanliness

requirements for specific systems (e.g., air systems, hydraulic systems) and

common mistakes noted in completed QA forms.

(4) Testing.

(5) Departure from specifications.

c. The Ship’s Supply Officer will ensure supply department personnel receive training on

nuclear and non-nuclear controlled material certification, procurement, receipt

inspection and LI/SOC stock program material, SW, VU and NRP stowage

requirements.

3.5.3 Submarine Safety Awareness Training (Submarines and Submarine Repair Facilities only).

All hands must receive Submarine Safety (SUBSAFE) awareness and Fly-By-Wire Ship Control

(if assigned to, work on or over-see 21 Class or 774 Class submarines) training during initial

indoctrination and annually thereafter, not to exceed 12 months. Personnel at Submarine Repair

Facilities who supervise or manage SUBSAFE, Deep Submergence System-Scope of

Certification or Fly-By-Wire-Ship Control System work will receive training on parent

requirements to include (at a minimum) references (g), (h), (i) and (j). ISIC and TYCOM staff

members that routinely review SUBSAFE and Fly-By-Wire Ship Control (if assigned to, work

on or over-see 21 Class or 774 Class submarines) objective quality evidence, make

determinations on SUBSAFE Departures from Specifications and perform other SUBSAFE work

oversight will receive annual SUBSAFE awareness training to keep knowledge and proficiency

levels high.

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

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V-I-3A-1

APPENDIX A

NAVEDTRA 43523 QUALIFICATION MATRIX

WATCHSTATION PRE-REQUISITE

WATCHSTATIONS

PRE-REQUISITE

FUNDAMENTALS

301 Craftsman None 101 Quality Maintenance Safety

Precautions

102 Quality Maintenance Administration

103 Quality Maintenance Program

104 Craftsman

302 Controlled Material Petty

Handler (CMPO or CMH)

301 Craftsman 105 Controlled Material Petty

Officer or Controlled Material

Handler (CMPO or CMH)

303 Steam Plant Cleanliness

Inspector or Certifier

(SCI)

301 Craftsman 106 Steam Plant Cleanliness

Inspector or Certifier (SCI)

304 Reactor Plant Cleanliness

Inspector or Certifier

(RCI)

303 Steam Plant Cleanliness

Inspector or Certifier (SCI)

107 Reactor Plant Cleanliness

Inspector or Certifier (RCI)

305 Quality Assurance

Inspector (QAI)

301 Craftsman

302 Controlled Material Petty

Officer or Controlled

Material

Handler (CMPO or CMH)**

303 Steam Plant Cleanliness

Inspector or Certifier (SCI)**

304 Reactor Plant Cleanliness

Inspector or Certifier (RCI)**

109 Quality Assurance Inspector (QAI)

306 Maintenance Planner 301 Craftsman 106 Steam Plant Cleanliness

Inspector or Certifier (SCI)

107 Reactor Plant Cleanliness

Inspector or Certifier (RCI)

108 Gas Systems Cleanliness

109 Quality Assurance Inspector

110 Planner

307 Work Center Supervisor

(WCS)

301 Craftsman 105 Controlled Material Petty

Officer or Controlled Material

Handler (CMPO or CMH) **

106 Steam Plant Cleanliness

Inspector or Certifier (SCI)

107 Reactor Plant Cleanliness

Inspector or Certifier (RCI)

108 Gas Systems Cleanliness

109 Quality Assurance Inspector

110 Planner

111 Work Center Supervisor

308 Quality Assurance

Supervisor (QAS)

305 Quality Assurance Inspector

(QAI)

108 Gas System Fundamentals

110 Planner

112 Quality Assurance Supervisor

** Noted in the PQS as Command Specific. For these items, the necessity for the pre-

requisites will be determined by the type of work the individual or command

performs and that individual’s PQS should be tailored accordingly.

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V-I-3B-1

APPENDIX B

OUTLINES OF TYPICALLY EFFECTIVE TRAINING TOPICS

1. Work Authorization.

a. Topic.

(1) Work authorization forms.

(2) Tag-outs.

(3) Safety requirements.

(4) Ship responsibility for outside activity maintenance.

b. Reference: COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

2. Formal Work Package or Controlled Work Package documentation.

a. Topic.

(1) Record retention requirements.

(2) Mandatory documents.

(3) Routing of documents and signature documents.

(4) Test requirements for FMA work.

b. Reference: COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

3. In Process Control.

a. Topic.

(1) Torqueing.

(2) Controlled assembly.

(3) Cleanliness requirements for:

(a) Air systems.

(b) Hydraulic systems.

(d) Steam plant (non-nuclear and nuclear powered ships).

(e) Oxygen or Nitrogen systems.

(f) Seawater systems.

(g) Lubricating systems.

(h) Gas Turbine systems.

(i) Fuel systems.

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V-I-3B-2

APPENDIX B

(j) Diesel systems.

(4) Use of formal work packages.

(5) Control of fasteners. (Include avoidance of carbon steel in seawater systems.)

(6) Material control.

(7) Re-work.

(a) Administration.

(b) Root cause and corrective action.

(8) Revisions: Administration.

(9) Critical QM points.

(10) Procedural compliance.

(11) Submarine antenna work including mast clamps.

(12) Departure from specifications.

(13) Submarine Flight Critical Components

b. References.

(1) COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

(2) NAVSEA 0902-018-2010; General Overhaul Specifications for Deep Diving

SSBN/SSN Submarines (DDGOS).

(3) NAVSEA S9505-AM-GYD-010; Submarine Fastening Criteria (Non-

Nuclear), Description, Design and Maintenance.

(4) NAVSEA S9520-AA-MMA-010; Repair of Submarine Seawater Ball Valves

(Non-Nuclear).

(5) Naval Ship's Technical Manuals (NSTM).

(6) MIL-STD 1330; Standard Practice for Precision Cleaning and Testing of

Shipboard Oxygen, Helium, Helium-Oxygen, Nitrogen and Hydrogen

Systems.

(7) NAVSEA 0900-LP-016-6080; QA Standard for Submarine Antenna and Mast

Assemblies.

(8) NAVSEA S9AA0-AB-GOS-010/020/030; General Specifications for Overhaul

of Surface Ships (GSO); AEGIS Supplement.

(9) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-

By-Wire Ship Control Systems.

4. Testing.

a. Topic.

(1) Hydrostatic test rig requirements including calibration.

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V-I-3B-3

APPENDIX B

(2) Test pressure drawings.

(3) Air blast, vacuum and other tests.

(4) Use of FMA and shipyard test plans or procedures.

(5) Conducting hydrostatic tests and completing hydrostatic test forms (including

common mistakes).

(6) NDT alternative in testing.

b. References.

(1) COMUSFLTFORCOMINST 4790.3 Joint Fleet Maintenance Manual, Volume

(2) Test Pressure Drawings.

(3) NAVSEA S9505-AF-MMA-010; Submarine Non-Nuclear Piping System Test

Manual.

(4) NAVSEA 0902-018-2010; General Overhaul Specifications for Deep Diving

SSBN/SSN Submarines (DDGOS).

(5) NAVSEA S9086-RK-STM-010; NSTM Chapter 505 (Piping Systems).

(6) NAVSEA S9AA0-AB-GOS-010/020/030); General Specifications for

Overhaul of Surface Ships (GSO); AEGIS Supplement.

5. Material Certification.

a. Topic.

(1) Level I material requirements.

(2) Level I material exceptions.

(3) Use of drawings for Quality Assurance Lists.

(4) Submarine antenna material.

(5) Upgraded systems to Level I requirements.

(6) Upgrading components to meet Level I and SUBSAFE requirements.

(7) Submarine Flight Critical Components requirements.

b. References.

(1) SUBSAFE Certification Boundary Book.

(2) Joint Identification Plans or Mapping Plans.

(3) COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

(4) Ship's Coordinated Shipboard Allowance List (COSAL).

(5) NAVSEA 0948-LP-045-7010; Material Control Standard (Non-Nuclear).

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V-I-3B-4

APPENDIX B

(6) NAVSEA/NAVSUPINST 4855.1; Quality Assured Submarine Antenna

Material: Policy and Procedures for Control and Implementation.

(7) Applicable Class Material Identification and Control of Piping Systems

Boundary Book.

(8) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-

By-Wire Ship Control Systems.

6. Material Procurement or Receipt Inspection.

a. Topic.

(1) SUBSAFE, Level I or Submarine Flight Critical Component material.

(2) Material substitution.

(3) Stowage requirements for controlled material.

(4) Ship's COSAL.

b. References.

(1) COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

(2) NAVSEA 0948-LP-045-7010; Material Control Standard (Non-Nuclear).

(3) NAVICPINST 4355.5; Receipt, Inspection, Storage and Issue of Level I

Material.

(4) NAVSEA 0948-LP-103-6010; Level I Stock Program Catalog, (Part I -

Submarine Items, Part II - Surface Ship Items).

(5) Applicable Class Material Identification and Control of Piping Systems

Boundary Book.

(6) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-

By-Wire Ship Control Systems.

7. SUBSAFE.

a. Topic.

(1) Determination of SUBSAFE or Hull Integrity boundaries.

(2) Use of QA forms and tags.

(3) Torqueing of hull integrity fasteners.

(4) Generation of an MCR/REC.

(5) Unrestricted Operation or Periodic Maintenance Requirement.

(6) Departure from Specification requirements.

(7) REC exceptions.

(8) Positive material identification requirements for hull integrity fasteners.

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V-I-3B-5

APPENDIX B

b. References.

(1) SUBSAFE Certification Boundary Book.

(2) NAVSEA 0924-062-0010; Submarine Safety (SUBSAFE) Requirements

Manual.

(3) COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

(4) Applicable Unrestricted Operation Maintenance Requirement Card program

technical manual.

8. Audit and Surveillance (for personnel performing).

a. Topic.

(1) Audit or surveillance requirements.

(2) Purpose of audit or surveillance program.

(3) Preparing for and conducting an audit including specific discussion of

techniques to be used to make audits effective and useful to the organization.

(4) Preparing for and conducting a surveillance includes a specific discussion of

techniques to be used to make surveillance effective and useful to the

organization.

(5) Documenting an audit or surveillance.

(6) Root cause identification.

(7) Trends and trend analysis.

b. Reference: COMUSFLTFORCOMINST 4790.3; Joint Fleet Maintenance Manual,

Volume V.

9. Additional Training Topics.

a. Weight handling equipment testing, use and safety.

b. Oxygen or Nitrogen plant maintenance.

c. Working aloft and Sail Safety.

d. Combat systems maintenance requirements.

e. Electrical safety.

f. Welding.

g. Brazing.

h. REC requirements on diving systems.

i. Cleanliness requirements for diving systems.

j. Controlled material requirements for diving systems.

NOTE: WHERE THERE ARE SIMILAR LECTURE TOPICS, IT IS SUGGESTED

THAT THE TRAINING PRESENTED TO NUCLEAR TRAINED PERSONNEL

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

15 JAN 2021

V-I-3B-6

APPENDIX B

CONSIST OF BOTH THE INFORMATION FROM TOPICS 1-9 OF THIS APPENDIX

AND THE NUCLEAR SPECIFIC INFORMATION CONTAINED IN SECTION 10.

10. Nuclear Training Topics.

a. Material Certification.

(1) This lecture should include discussion of Nuclear Level I requirements.

(2) The following references provide information on this topic:

(a) NAVSEA 0948-LP-045-7010; Material Control Standard.

(b) NAVSEAINST C9210.34; Material Identification and Control

Requirements for Naval Nuclear Reactor Plant Piping Systems.

Manual.

(d) NAVSEA 0989-LP-037-2000; Commissioned Submarine General

Reactor Plant Overhaul and Repair Specification.

(e) NAVSEA 0989-LP-043-0000; Commissioned Surface Ship General

Reactor Plant Overhaul and Repair Specification.

(f) NAVSEA 0989-LP-058-1000; Destroyer Tender and Submarine

Tender Nuclear Support Facilities Overhaul and Repair Specification.

(g) NAVSEA 0989-064-3000; Cleanliness Requirements for Naval

Nuclear Plant Maintenance and Construction.

(h) NAVSEAINST 9210.23; Naval Nuclear Work at Naval Activities and

Private Shipyards - Certification of Work Accomplishment and Data,

Retention of Associated Records and Retention of Design Records,

Requirements for.

b. Material Procurement or Receipt Inspection. This lecture should include discussion

of:

(1) Nuclear Material.

(2) Material Substitutions. Certifying material for use to Nuclear Level I.

(3) The list of references in paragraph 10.a (2) of this appendix provides

information on the topic.

c. In-Process Control.

(1) This lecture should include discussion of:

(a) Cleanliness requirement for:

1 Reactor Plant (nuclear powered ships only).

2 Steam Plant (fossil and nuclear powered ships).

(b) Requirements for a work package.

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

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V-I-3B-7

APPENDIX B

(d) Use of QA forms and tags.

(e) Setting plant conditions.

(f) Certification signature requirements.

(g) Use of material control tags.

(h) Reactor Plant Work Accomplishment Reports (RPWAR).

(2) The list of references in paragraph 10.a.(2) of this appendix provides

information on the topic.

d. Testing.

(1) This lecture should include discussion of:

(a) Hydrostatic test rig requirements including calibration.

(b) Hydrostatic test forms.

(d) Setting plant conditions.

(e) Use of Reactor Plant Manual for test requirements.

(f) Weight Handling Equipment Testing.

(2) The following references provide information on this topic:

(a) Reactor Plant Manual.

(b) NAVSEA 0989-028-5000; Manual for the Control of Testing and Plant

Conditions.

(d) NAVSEA 0989-LP-058-0000; AS/AD Tender Nuclear Support

Facilities Preventive Maintenance Index.

(e) NAVSEA 0989-LP-037-2000 - Commissioned Submarine General

Reactor Plant Overhaul and Repair Specification.

(f) NAVSEA 0989-LP-043-0000 - Commissioned Surface Ship General

Reactor Plant Overhaul and Repair Specification.

e. Final work package documentation. This lecture should include discussion of:

(1) Record retention requirements.

(2) Mandatory documents.

f. Reactor Plant Fundamentals. This should be slanted toward the worker so that he or

she understands the possible consequences of faulty workmanship, loss of cleanliness,

etc., in the Reactor Plant.

g. FMA Nuclear Planning Yard Basic Trade Skills Lesson Plans (when available).

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

15 JAN 2021

V-I-3C-1

APPENDIX C

RECOMMENDED TRAINING TOPICS FOR SELECTED POSITIONS

1. Experience has shown that effective training should be related to job skills required by the

individual.

a. Mechanical craftsmen should cover areas like:

(1) Tools and their uses.

(2) Shop safety.

(3) Work authorization.

(4) Material identification.

(5) Rework and their causes.

(6) Valve construction and methods to perform:

(a) Stack height measurements.

(b) Blue checks.

(7) Pump construction and methods to perform:

(a) Mechanical seal replacement.

(b) Alignments.

(8) Testing requirements.

(9) Cleanliness requirements.

(10) Technical manuals and their usage.

(11) Drawings and their usage.

(12) Work packaging administration.

b. NDT inspectors and welders should cover the following areas:

(1) NAVSEA S9074-AR-GIB-010/278; Requirements for Fabrication Welding

and Inspection, and Casting Inspection and Repair for Machinery Piping and

Pressure Vessels.

(2) NAVSEA T9074-AD-GIB-010/1688; Fabrication, Welding and Inspection of

Submarine Structures.

(3) MIL-STD-1689 (for Surface Ships only); Fabrication, Welding and Inspection

of Ship's Structures.

(4) NAVSEA 0900-LP-001-7000; Fabrication and Inspection of Brazed Piping

Systems.

(5) NAVSEA T9074-AS-GIB-010/271; Requirements for Nondestructive Testing

Methods.

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

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V-I-3C-2

APPENDIX C

(6) MIL-STD-2132; Nondestructive Examination Requirements for Special

Applications.

(7) Material control.

(8) Cleanliness.

(9) Work package administration.

c. Planners should cover the following areas:

(1) SUBSAFE program.

(2) Level I program.

(3) QA forms.

(4) Welding requirements.

(5) Manufacturing specifications.

(6) Cleanliness requirements and specifications.

(7) Hydrostatic testing.

(8) Material control.

(9) Manufactured fittings specifications.

(10) Plant conditions.

(11) System flushes.

(12) NDT requirements.

(13) Testing requirements.

(14) Index of technical publications.

(15) Military standards and specifications.

(16) Selected record drawings or ship's drawing index.

(17) Maintenance data systems.

(18) Blue print reading.

(19) For activities involved in Scope of Certification maintenance:

(a) NAVSEA SS800-AG-MAN-010/P-9290, System Certification

Procedures and Criteria Manual for Deep Submergence System.

(b) Scope of Certification material control classification.

(20) Submarine Flight Critical Components.

2. Proven training methods include the use of mockups and training aids that show practical

application of the lecture material. Hands on mockup training, performed by the workers is the

most highly effective method followed by the demonstration of skills by the instructor.

COMUSFLTFORCOMINST 4790.3 REV D CHG 1

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V-I-3C-3

APPENDIX C

NOTE: WHERE THERE ARE SIMILAR LECTURE TOPICS, IT IS SUGGESTED

THAT THE TRAINING PRESENTED TO NUCLEAR TRAINED

PERSONNEL CONSIST OF BOTH THE INFORMATION FROM TOPICS 1-2

AND THE NUCLEAR SPECIFIC INFORMATION CONTAINED SECTION 3.

3. Nuclear Training Topics.

a. Job Skill Training. Each work center should determine the skill requirements and incorporate

their own training requirements. Examples are:

(1) Nuclear planners should cover areas like:

(a) RPWAR.

(b) Manufactured fittings specifications.

(d) Plant conditions.

(e) Welding requirements.

(f) Radiological Controls.

(g) System flushes.

(h) Nondestructive Testing (NDT) requirements.

(i) Hydrostatic testing requirements.

(2) The following references provide information on the topics of section 3.a(1):

(a) NAVSEA 0387-LP-046-8000; System Hydrostatic Test Requirements.

(b) NAVSEA 0348-LP-159-1000; Freeze Sealing Manual.

Nuclear Plant Maintenance and Construction.

(d) Valve Manuals.

(e) NAVSEA 0989-LP-037-2000; Commissioned Submarine General

Reactor Plant Overhaul and Repair Specification.

(f) Reactor Plant Manual.

(g) NAVSEA 0989-028-5000; Manual for the Control of Testing and Plant

Conditions.

(h) NAVSEA 389-0317; Procedures for Maintenance and Repair of Naval

Reactor Plants.

(i) NAVSEA 0989-LP-043-0000; Commissioned Surface Ship General

Reactor Plant Overhaul and Repair Specification.

(j) NAVSEA 0989-LP-058-1000; Destroyer Tender and Submarine

Tender Nuclear Support Facilities Overhaul and Repair Specification.

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

31 MAR 2022

V-I-4-1

VOLUME V

PART I

CHAPTER 4

WELDER, BRAZER AND NONDESTRUCTIVE TESTING QUALIFICATIONS

REFERENCES.

(a) NAVSEA S9086-CH-STM-010 - NSTM Chapter 074 Volume 1 (Welding and Allied

Processes)

(b) NAVSEA S9074-AQ-GIB-010/248 - Welding and Brazing Procedures and

Performance Qualification

(d) NAVSEA T9074-AS-GIB-010/271 - Requirements for Nondestructive Testing

Methods

(e) NAVPERS 18068 - Manual of Navy Enlisted Manpower and Personnel Classification

and Occupational Standards

(f) NAVSEA S9086-CH-STM-020 - NSTM Chapter 074 Volume 2 (Nondestructive

Testing of Metals Qualification and Certification Requirements for Naval Personnel

(Non-nuclear))

(g) MIL-STD-1689A (SH) - Fabrication, Welding, and Inspection of Ships Structure

(h) NAVSEA T9074-AD-GIB-010/1688 – Requirements for Fabrication, Welding, and

Inspection of Submarine Structure

(i) NAVSEA S9074-AR-GIB-010/278 - Requirements for Fabrication Welding and

Inspection, and Casting Inspection and Repair for Machinery, Piping, and Pressure

Vessels

(j) NAVSEA 0900-LP-060-4010 - Fabrication, Welding and Inspection of Metal Boat

Craft Hulls

(k) NAVSEA TO300-AU-SPN-010 - Fabrication, Welding and Inspection of Small Boats

and Craft, Aluminum Hulls

(l) NAVSEA S6240-A9-MAN-010 - Welding and Inspection Manual for Landing Craft,

Air Cushion (LCAC)

(m) NAVSURFWARCEN LAR PC-1301 – Patrol Coastal (PC) Craft Structural

Fabrication and Non Destructive Testing Requirements (PC-2 thru PC-14)

(n) NSTM S9086-UF-STM-010 CH600 - Structural Closures

(o) SWRMC DM 10623B - Quality Assurance Requirements for Welding 5xxx Series

Aluminum Structures for CG-47 Class

(p) NAVSEA 0948-LP-045-7010 - Material Control Standard

4.1 PURPOSE. This chapter provides the requirements for qualification of Shipboard and Fleet

Maintenance Activity Welders, Brazers, Nondestructive Testing (NDT), and Generic Material

Testing personnel. Also included are qualification record requirements. The provisions of

references (a) through (p) are amplified and expanded herein to ensure that all provisions of

higher authority are implemented.

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

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V-I-4-2

NOTE: ALTHOUGH THIS CHAPTER COVERS THE REQUIREMENTS FOR NAVY

WELDERS, BRAZERS AND NDT PERSONNEL, THE PERFORMANCE

QUALIFICATIONS FOR CIVILIAN WELDERS, BRAZERS AND NDT

PERSONNEL WILL BE PER REFERENCES (b), (c) AND (d)

RESPECTIVELY.

4.1.1 General Requirements. Each activity is responsible for establishing that each welder or

brazer is qualified by demonstrating their ability to produce sound and satisfactory joints per

references (a) through (c). References (a), (e) and (f) define welder and NDT qualifications by

Navy Enlisted Classification (NEC) codes.

4.1.2 Training.

NOTE: NO WELDER WILL PERFORM QUALIFICATION OR PRODUCTION

FABRICATION UNTIL AFTER RECEIPT OF THIS TRAINING AND PASS A

WRITTEN EXAMINATION WITH A SCORE OF AT LEAST 75%.

a. Activities must have a training program per references (b) and (d). Activities without

a Level III examiner should obtain assistance from a Fleet Maintenance Activity.

b. For those welds or brazes not frequently performed for production, proficiency should

be demonstrated by satisfactory completion of a mock-up of the weld or braze prior to

performing production work.

4.2 GENERAL REQUIREMENTS FOR BRAZERS AND WELDERS.

a. The extent of welder qualification resulting from tests will be governed by references

(a) and (b). The extent of brazer qualification will be governed by reference (c) for

piping and pressure vessel applications.

NOTE: THE REQUIREMENTS ARE TAILORED TO THOSE OF REFERENCE (c),

AS QUALIFIED PIPE BRAZERS ARE ALSO CONSIDERED QUALIFIED

FOR ALL OTHER BRAZING WITHIN THE SCOPE OF THEIR PIPE

QUALIFICATIONS (I.E., PROCESS, MATERIAL AND THICKNESS

LIMITATIONS).

b. To provide uniformity and enhance the effectiveness of the welder or brazer program

the following conditions will apply:

(1) Once started, all qualifications must be completed as expeditiously as possible.

Therefore, personnel attempting to qualify must be given ample opportunity to

complete the qualification test in a timely manner. Qualification testing must

not be assigned if anticipated workload, leave schedules, shiftwork or other

controllable factors will delay test assembly completion.

(2) No more than three qualification tests per welder or brazer will be in progress

at any one time.

(3) For training purposes, the Welding or Brazing Shop Supervisor must make

arrangements with the NDT Supervisor to review the records (including

radiographic film) of failed qualification test assemblies. The NDT Supervisor

will discuss the results with the qualifier, focusing on the reasons for rejection,

types and locations of defects found, and possible corrective actions. The

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

31 MAR 2022

V-I-4-3

arrangements should include welder or brazer observation of actual test results

whenever possible.

(4) Because the fact that a welder or brazer meets the qualification requirements of

a particular specification or standard does not always assure their proficiency

in all phases of diversified production tasks for which he or she is qualified.

To this end, activities should strive for continual improvement, both in the

qualification and proficiency of its welders and brazers.

c. Stud or Spot Welders. NEC welder or welding operator qualification is not required

for operators of stud or spot welding equipment.

4.2.1 Eye Examination. Annual vision tests must be passed by each brazer and welder. Vision

tests will be conducted by the medical department, cognizant NDT Examiner or delegated

personnel, using standard methods for determining visual acuity. The standard for acceptance

will be natural or corrected near distance acuity such that the brazer or welder is capable of

reading J1 letters on a standard Jaeger type chart. Equivalent visual tests may be used.

Corrective aids used during the visual test must be worn during qualification testing and

production fabrication. Reference (b) contains the color test requirement for Titanium welders.

4.2.2 Brazing and Welding Procedures. Brazing and Welding procedures, qualified per

references (b) or (c), as applicable, must be on hand for all applications for which performance

qualification is intended. Although not specifically required, the brazer or welder should use the

procedural requirements for training and familiarity purposes during qualification testing.

4.2.3 Brazing and Welding Personnel Knowledge. Each brazer and welder must receive

documented training on the workmanship and detailed visual inspection requirements of

fabrication documents used by the activity.

4.2.4 Brazer and Welder Identification Numbers. Upon meeting the requirements of this

section, brazers and welders receive a unique identification number, issued by the respective

Division Officer, for identification of brazing or welding performance.

a. Brazer and Welder Identification Number Log. The Division Officer must maintain a

log of unique identification numbers assigned to brazers or welders. The number

assigned must be alphanumeric as illustrated in the following example:

A -12 -B or W.

Where: A = First letter in a brazer or welder’s last name.

12 = Sequential number alphabetical in list of personnel.

B or W = B for brazer or W for welder.

b. Each entry must contain the date the number was assigned, the brazer or welder’s

name and signature, the identification number, the date the brazer or welder completed

the initial training specified in paragraph 4.2.3 of this chapter and the brazer or

welder’s projected rotation date.

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4.2.5 Validation of Qualification. All brazer or welder qualifications, re-qualification and

maintenance of qualification will be valid only if original qualification is recorded in the

individual’s service record per reference (a). A service record entry (NAVPERS 1070/613) must

be made upon initial qualification, annually (not to exceed 12 months) and before transfer. This

service record entry must include all subsequent re-qualifications and the most current vision test

results. The brazer or welder’s Division Officer will be responsible for ensuring these entries are

made.

4.2.6 Qualification Records.

4.2.6.1 Individual Brazer or Welder Qualification File. In order to achieve proper monitoring of

brazer or welder qualifications, the individual’s Division Officer will maintain an auditable file

for each brazer or welder assigned. This file is to be maintained for each brazer or welder for as

long as he or she is assigned to a command and transferred with the welder or brazer to their next

command. These files must include all information that is required by references (a), (b) and (c)

and include the following:

a. Brazer or Welder identification number (name, rate, individual identification number).

b. Test date or Use of process date.

c. Qualification test number, process, position, base material type, filler material type

and size, or brazing alloy type and size.

d. Test results (i.e., Accept or Reject). A statement as to the cause of rejection will be

entered, if appropriate.

e. Record of omission of space restriction when not used on pipe tests.

f. Workmanship and visual inspection requirements examination results per reference

(b).

g. Certifying signature (Division Officer or designated representative).

h. Vision test form:

(1) Identification.

(2) Test date.

(3) Test description.

(4) Test results.

(5) Corrective aids as required.

(6) Certifying signature (medical department, cognizant NDT Examiner or

delegated personnel).

4.2.6.2 Maintenance of Qualification. Detailed records of maintenance of qualification need

only be retained for the current and preceding quarter. In order to ensure proper maintenance of

brazer or welder qualifications, a log will be maintained by each Division Officer. This log must

include items a., b., d. and g. of paragraph 4.2.6.1 of this chapter. In addition, this log will also

include the brazing or welding process (i.e., H-101, SMAW, GTAW, etc.) used during

maintenance of qualification. This maintenance of qualification log may be a separate log from

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the brazer or welder file or it may be incorporated into the brazer or welder file as part of the file

itself.

NOTE: FOR WELDERS AND BRAZERS, THE VERIFICATION OF PROCESS FOR

USE WILL BE DONE BY THE DIVISION OFFICER, OR THEIR

REPRESENTATIVE, AND DOCUMENTED.

4.2.6.3 Method of Qualification Maintenance. Brazers and welders should maintain their

qualifications on production jobs. If production work is unavailable, a brazing test assembly or

test assembly weld joint meeting the requirements of reference (b) for welders and reference (c)

for brazers may be used. Only joints meeting all applicable acceptance criteria will be used for

this purpose. Surface Ships lacking NDT personnel may only allow the brazer or welder

qualification to lapse with Type Commander approval. If a joint is assembled by personnel

whose qualifications have lapsed or without the support of qualified NDT personnel, a Departure

from Specification must be submitted and the joint must be reassembled using qualified

personnel during the next maintenance support opportunity.

4.2.6.4 Renewal of Qualification. Renewal of qualification will be per reference (b) for welders

and reference (c) for brazers.

4.2.7 Effective Date of Qualification. Effective date of qualification must be from the date that

the test assembly brazing or welding is complete. Initial qualification is effective only after the

final NDT is completed but the date of qualification is the date the weld or braze was completed.

For re-qualification the re-qualification is only effective after the final NDT is completed but the

effective qualification date will be the day the weld or braze was completed. The NDT

Supervisor will ensure that:

a. Qualification results are forwarded to the brazer or welder Division Officer.

b. Each test assembly is marred, marked, or otherwise identified so as to preclude its re-

use.

4.3 BRAZER QUALIFICATIONS.

4.3.1 Prerequisite. Prior to performing any qualification or production brazing the brazer must

have successfully completed training in workmanship and detailed visual inspection

requirements and passed a written examination with a grade of no less than 75%. The training

and examinations for all brazers will be based on the requirements set forth in reference (c).

4.3.2 Qualification Test. A brazer qualification will be per reference (c) for piping and pressure

vessels.

4.3.3 Limitations. Limitations will be per reference (c).

4.3.4 Test Assembly Evaluation. Test assemblies must be visually and ultrasonically inspected

or a peel test may be conducted as specified in reference (c).

4.3.5 Maintenance of Qualification. A brazer maintains his or her qualifications by using the

process(es) he or she used during initial qualification at least once in each calendar quarter

subsequent to the quarter in which he or she qualified and four times in each subsequent calendar

year.

4.3.6 Qualification Renewal. A brazer must renew his or her qualifications per reference (c).

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4.3.7 Transfer of Qualification. Qualifications may be transferred from one activity to another

when the requirements of reference (c) are met.

4.4 QUALIFICATION REQUIREMENTS FOR WELDERS.

4.4.1 Navy Enlisted Classification Code Achievement. To achieve a welding NEC the welder

must successfully meet all the requirements of reference (a).

4.4.2 Specific Qualifications. Qualifications for specific additional welding processes, filler

metal groups and welding positions may be obtained per reference (a).

4.4.3 Aluminum, Metal Boat and Craft Qualifications. Qualifications for aluminum welders,

and boat and craft welders will be obtained in accordance with applicable fabrication documents.

4.4.4 Maintenance of Qualification. For each qualified process, qualification will be maintained

per reference (b), with at least one verification of process use within 6 months after the month

the person last used the process. In addition, for titanium welders and welding operators,

verification of process used on titanium base metal within the 6-month period will also be

maintained.

4.4.5 Qualification Renewal. A welder must renew his or her qualifications per reference (b).

4.4.6 Transfer of Qualification. Qualifications may be transferred from one activity to another

when the requirements of reference (b) are met.

4.5 ASSEMBLIES WHERE THE POSSIBILITY OF FAILURE IS REMOTE AND WOULD

NOT RESULT IN DANGER TO SHIP PERSONNEL, SHIP, BOAT, CRAFT, PLANT, OR

STRUCTURE.

4.5.1 Authorization. Navy Enlisted Classification code is not required for welding performance

per reference (a) and welding performance qualification tests may be omitted per reference (b).

4.5.2 Requirements. Assemblies where the possibility of failure is remote and would not result

in danger to ship personnel, ship, boat, craft, plant, or structure are defined and specific

qualification requirements are identified, per the applicable fabrication documents listed below.

a. Shipboard structure and specific non-structural components as listed in reference (g).

b. Submarine minor structure as defined in reference (h).

c. For machinery, piping, and pressure vessels, weldments made principally of sheet

metal, welds on vents, overflows and drains, and as otherwise defined in reference (i).

d. Metal boat and craft hulls, when specifically approved, per reference (j).

e. Aluminum hull boats and craft as defined in reference (k).

f. Landing Craft, Air Cushion (LCAC) component welding requires qualification per

reference (l).

g. Patrol Costal (PC) class craft structure and specific non-structural components as

listed in reference (m).

h. Watertight/Airtight door repair and wedge welding per reference (n).

i. CG-47 aluminum structure welding shall be in accordance with reference (o).

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4.6 QUALIFICATION REQUIREMENTS FOR NONDESTRUCTIVE TEST PERSONNEL.

4.6.1 Purpose.

a. To provide guidance on the procedures that must be followed to maintain NDT

qualifications or attain NDT re-qualification per references (d) and (f).

b. Naval NDT personnel are qualified by being examined by a NDT Examiner per

references (d) and (f).

4.6.2 Levels of Certification. NDT personnel are certified per references (d) or (f). Military

personnel certified per reference (f) will be assigned NECs per reference (e).

a. Level I (NDT Operator): An individual certified to NDT level I is qualified to carry

out NDT operations following written instructions and under the supervision of level

II or level III personnel. The individual must have the skills and knowledge to

properly perform specific calibrations, specific tests, set up equipment, carry out

specific inspections, record the results obtained, classify the results following written

criteria and report the results. He or she must not be responsible for the choice of the

test method, technique to be used or for the final assessment of the test results.

b. Level II (NDT Inspector): An individual certified to NDT level II is qualified to

perform and direct non-destructive testing following established or recognized

techniques. The individual must be competent to choose the test techniques to be

used; to set up and calibrate equipment; to interpret and evaluate results following

applicable codes, standards and specifications; to carry out all duties for which a level

I individual is qualified; to organize and report the results of non-destructive tests.

The individual must also be familiar with the scope and limitations of the methods for

which he or she is qualified, and be able to exercise assigned responsibility for on-the-

job training and guidance of trainees and level I personnel.

c. Level III (NDT Examiner): An individual certified to NDT level III must be capable

of assuming full responsibility for a test facility and staff; establishing techniques and

procedures; interpreting codes, standards, specifications and procedures; and

designating the particular test methods, techniques and procedures to be used. Must

develop NDT procedures per reference (d), adapted to the problems that are the

subject of an NDT inspection; and to prepare written instructions. The individual

must have the competence to interpret and evaluate results following existing codes,

standards and specifications; have a sufficient practical background in applicable

materials, fabrication and product technology to select methods, establish techniques

and to assist in establishing acceptance criteria where none are otherwise available;

have general familiarity with other NDT methods and have the ability to train level I

and level II personnel.

4.6.3 Certification of Nondestructive Test Personnel. Only those individuals who have

successfully completed the Naval NDT of Metals course or commercial equivalent for civilian

personnel can be certified by a NDT Examiner. NDT Inspectors will re-certify per reference (d)

or (f).

4.6.4 Renewal of Certification. NDT Examiners will re-certify per reference (d) or (f).

4.6.5 Maintenance of Qualification.

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a. NDT personnel will maintain qualification per reference (d).

b. NDT testing personnel must pass an annual vision test per reference (d).

4.6.6 Qualification Administration.

a. Command NDT Examiners must be designated in writing.

b. Service Record Entries. Each NDT Inspector will have his or her service record

updated to reflect current qualifications annually, as a minimum, and immediately

prior to transfer. These periodic service record updates will be accomplished by entry

on (NAVPERS 1070/613).

c. NDT Examiner or Division Officer, as appropriate, will maintain an individual NDT

personnel record per reference (d) for each NDT Examiner and Inspector.

4.6.7 Approval of Nondestructive Testing Qualification Examinations. A NDT Examiner must

approve the NDT Inspector Qualification Examinations and visual test materials.

4.6.8 Transfer of Qualification. Qualifications being transferred from one naval facility to

another must be evaluated to the satisfaction of the NDT Examiner of the new facility.

4.6.9 Nondestructive Testing Personnel Records. NDT Inspector or Operator records will be

maintained by the NDT Examiner per reference (d) and will consist of:

a. All qualification documentation must be per reference (d) (e.g., training and

qualification documents).

b. Copy of current eye examination.

4.6.10 Nondestructive Testing Qualification Log. The NDT Supervisor will maintain an NDT

personnel qualification log that will be used to record and maintain qualifications for each

individual assigned. Each operator or inspector will have a separate section in the NDT

qualification log that satisfies the requirements of paragraph 4.6.9 of this chapter. The NDT

Supervisor or designated representative will update the NDT personnel qualification log. This

will be based upon the completion of NDT performed as shown by completed NDT reports.

This log may be maintained either as a hard copy or electronic copy.

4.6.11 Qualification of Generic Material Identity Testing Personnel. Personnel who perform

generic materials identity testing will be qualified as required by local procedure which will

include the following minimum requirements:

a. An eye examination satisfying the requirements of reference (a).

b. Training on the procedures of reference (p).

c. Training on the procedures for materials not in reference (p) used by the command.

d. Training on standard requirements.

e. Training on safety precautions associated with generic testing.

f. Training on reagent requirements and shelf life.

g. Testing requirements and designation of who performs the examinations.

h. Certification by the Quality Assurance Officer.

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i. Re-qualification or qualification updating requirements.

j. For other than chemical testing programs, qualification will be per applicable

equipment technical manuals.

4.6.11.1 Qualification Administration. Command Generic Material Identity Examiners must be

designated in writing and must approve Generic Material Identity Test Inspectors qualification

examinations and test materials.

4.6.11.2 Transfer of Qualification. Generic Material Identity Testing Personnel. Since

qualification is by local procedure, testing personnel must perform at a level of proficiency

which is satisfactory to the Test Examiner at the new activity.

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VOLUME V

PART I

CHAPTER 5

IN-PROCESS CONTROL

REFERENCES.

(a) NAVSEA S9510-AB-ATM-010/020 - Nuclear Powered Submarine Atmosphere

Control Manual

(b) NAVSEA S9086-RJ-STM-010 - NSTM Chapter 504 (Pressure, Temperature and

other Mechanical and Electromechanical Measuring Instruments)

(Nuclear)

(d) NAVSEA 0989-LP-043-0000 - Commissioned Surface Ship General Reactor Plant

Overhaul and Repair Specification

(e) NAVSEA 0989-LP-037-2000 - Commissioned Submarine General Reactor Plant

Overhaul and Repair Specification

(f) NAVSEA S9505-AM-GYD-010 - Submarine Fastening Criteria (Non-Nuclear),

Description, Design and Maintenance

(g) NAVSEA S9086-CJ-STM-010 - NSTM Chapter 075 (Threaded Fasteners)

(h) MIL-STD-1330 - Standard Practice for Precision Cleaning and Testing of Shipboard

Oxygen, Helium, Helium-Oxygen, Nitrogen and Hydrogen Systems

(i) NAVSEA S9086-T4-STM-010 - NSTM Chapter 589 (Cranes)

(j) SMS 7650-081-091 - Submarine Hull Inspection and Repairs

(k) SMS 6310-081-015 - Submarine Preservation General Painting

(l) NAVSEA 0989-064-3000 - Cleanliness Requirements for Nuclear Propulsion Plant

Maintenance and Construction

(m) NAVSEA 0989-LP-058-1000 - Destroyer Tender and Submarine Tender Nuclear

Support Facilities Overhaul and Repair Specification

(n) MIL-STD-767 - Cleaning Requirements for Special Purpose Equipment, Including

Piping Systems

(o) NAVSEAINST 9210.41 - All Naval Nuclear Propulsion Plants - Use of Standard

Lubricants and Penetrating Fluid; Requirements for

(p) NAVSEA S9086-CM-STM-010 - NSTM Chapter 078 (Gaskets, Packing and Seals)

(q) ISO-3601-1 - Fluid Power Systems-O-Rings – Quality Acceptance Criteria

(r) NAVSEA 0924-062-0010 - Submarine Safety (SUBSAFE) Requirements Manual

(s) COMSUBLANTNOTE C3120 - Submarine Operating Restrictions and Depth

Authorizations

(t) COMSUBPACNOTE C3120 - Submarine Operating Restrictions and Depth

Authorizations

(u) OPNAVINST N9210.3 - Safeguarding Naval Nuclear Propulsion Information

(v) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(w) Fly-By-Wire Ship Control System Certification Boundary Book (ship specific)

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(x) NAVSEA SL720-AA-MAN-020 - Fleet Modernization Program (FMP) Management

and Operations Manual

(y) NAVICPINST 4441.170 - COSAL Use and Maintenance Manual

LISTING OF APPENDICES.

A Determining Software Usability

B Format for Submarine Certification Continuity Report

C Format for Fleet Maintenance Activity Certification Report to Tended Submarine

D Format for Non-Fleet Maintenance Activity Certification Report to Tended Submarine

E RPCCR Cover Letter for SHIPALTS (Sample)

5.1 PURPOSE. To provide the requirements or direct the user to the appropriate references to

ensure that maintenance performed during the ship’s life cycle (new construction through

decommissioning) supports certification at all times. All material used within any nuclear and

non-nuclear submarine pressure hull must be certified for use per reference (a).

5.2 TEST, MEASUREMENT AND DIAGNOSTIC EQUIPMENT.

5.2.1 General Requirements. Test, Measuring and Diagnostic Equipment (TMDE) for in-

process work must be properly selected and used. TMDE requiring periodic calibration must be

within its calibration periodicity when in use. All TMDE should be selected ensuring the

equipment is of the proper range to perform the test, inspection or repair. The craftsman and

Quality Assurance Inspector (QAI) should inspect all TMDE prior to use and reject questionable

equipment. When inspections or measurements using TMDE are performed with the results

documented on a Quality Assurance (QA) form, the type of equipment, range, serial numbers

and calibration due dates for TMDE used will be recorded on the QA form as part of the

Objective Quality Evidence (OQE).

5.2.2 Torque Wrenches.

NOTE: THE FOLLOWING APPLIES TO TORQUE WRENCHES USED ABOVE WATER

OR SUBMERGED IN WATER (FRESH WATER OR SALTWATER).

a. Selection. Torque wrenches should be selected in such a manner that the required

final torque falls within 20% to 90% of the torque wrench maximum value. For

example:

(1) A torque wrench with a maximum indicating value of 100 ft-lbs can be used

for a maximum torque of 90 ft-lbs and a minimum torque of 20 ft-lbs.

(2) A torque wrench with a maximum indicating value of 250 ft-lbs can be used

for a maximum torque of 225 ft-lbs and a minimum torque of 50 ft-lbs.

b. Calibration. Calibration should be verified to be within the required periodicity (based

on due date on the calibration label) prior to use. Most Navy torque wrenches are

calibrated for use in one direction only. These tools will have a label affixed stating,

“Use Clockwise Only” or “Use Counterclockwise Only”. The tool can be used only in

the direction indicated. Torque tools calibrated for bi-directional use will bear a

yellow “SPECIAL CALIBRATION” tag or label indicating that the tool was

calibrated for use in both directions. Navy torque wrenches can be calibrated for bi-

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directional use only if specifically authorized by model number in the latest Naval Sea

Systems Command (NAVSEA) OD 45845.

c. Micrometer adjustable torque wrenches. To ensure acceptable performance of

micrometer adjusted torque wrenches, users must adhere to the following

requirements:

(1) Exercise the wrench (apply pressure until snap mechanism activates) six times

at approximately 60 percent of the rated maximum value before each use. This

procedure minimizes the erratic readings often experienced with this type of

wrench during the first few activations.

(2) Micrometer-type wrenches to be used in counterclockwise applications should

be calibrated in the counterclockwise direction and marked as such.

(3) Some micrometer “click” type torque wrenches do not accommodate torque

values down to 20 percent of the maximum rated capacity. Requests to use a

specific torque wrench or meter, outside of the ranges specified in sub-

paragraph a. of this paragraph, require an engineering evaluation and written

authorization from a technical warrant.

d. Extensions or Adapters. Torque wrenches are calibrated based on the specific length

of the wrench as established by the wrench manufacturer. Use of an extension

changes the effective length of the wrench. The actual torque being applied to the

fastener will be different than that indicated on the wrench dial. Any time extensions

are used, the following mathematical formulas should be used to determine the wrench

dial reading required for the required applied torque:

NOTE: EXTENSIONS CAN SIGNIFICANTLY AFFECT THE APPLIED TORQUE TO

INDICATED TORQUE RELATIONSHIP. ANY EXTENSION OTHER THAN

A DIRECT ATTACHMENT (I.E., CROWSFOOT) MUST BE TAKEN INTO

ACCOUNT.

Tind = Tact X L1

L1 + L2

Where: Tact = Applied torque required

Tind = Torque indicated on dial

L1 = Length of torque wrench

L1 + L2 = Length of torque wrench plus length of extension

When an adapter or extension is used on a torque wrench, it increases the torque range

of the wrench. The formula for computing torque when using an adapter or extension

is explained in Figure 5-1 of this chapter.

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Figure 5-1 Use of Torque Wrench Adapters

FORMULA FOR USE OF CORRECTION FACTOR

D = Actual Torque Applied to Wrench C = Correction Factor = A ÷ B

Formula: D = T Problem: 200 = 266

C .75

A = TOTAL LENGTH = 18” B = TORQUE WRENCH LENGTH = 24” C = CORRECTION FACTOR = A ÷ B = 18 ÷ 24 = 0.75

T = TORQUE REQUIRED FOR FASTENER

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5.2.3 Gauges.

a. General. Gauges used for in-process functions, whether installed in the system or

temporary, must be verified to be within calibration periodicity prior to use.

Craftsmen should ensure the appropriate calibration information is recorded on the QA

form.

b. Non-Nuclear Hydrostatic Testing. Master test gauges and backup gauges used for

hydrostatic testing must be selected and the calibration verified current per reference

(b) and Volume IV, Chapter 9 of this manual.

5.3 TORQUE.

5.3.1 General Torque Requirements. Care must be used when torquing fasteners or plugs.

Special attention is required to select the proper torque specification for a given application or

specification as it is specifically selected to reduce the tendency for the fastener to loosen in

service and to improve the fastener fatigue life.

5.3.2 Actual Torque Requirements. Torque requirements found in drawings, Submarine

Maintenance Standards (SMS) or technical manuals, etc. will be used in preference to general

guides for torquing. If no specific torque requirement exists, references (c), (d), (e), (f) or

reference (g) may be used as guidance but ensure that the information applies exactly to the

system and fastener type being torqued.

5.4 INSPECTIONS.

5.4.1 General Requirements. This section provides the minimum requirements and guidance for

the performance of inspections. Inspections during the performance of maintenance form one of

the fundamental elements essential in assuring that the task is completed properly and in

compliance with all specifications. Inspections occur during the in-process phase of repair or

maintenance (disassembly, repair, and re-assembly) and the re-certification phase (testing).

Inspections serve to provide a careful and critical examination of the areas being inspected and

form one of the cornerstones of a successful QA Program. Use of inspections have and will

continue to establish the OQE necessary for ensuring compliance to technical requirements.

5.4.2 Inspection Records. Inspection records provide a lasting record that the inspection was

performed and completed according to the applicable specifications. Inspection records will be

maintained when required for OQE and will be documented on appropriate QA forms contained

in this volume, or as Certification Signature Blocks in the Formal Work Package (FWP).

5.4.3 Critical Inspections. An inspection on any system or component, which by its nature is so

critical to the successful completion of the task, that the inspection requires verification by a

separate individual, other than the craftsman, qualified as an inspector. These inspections will be

annotated in the written work procedure by the presence of an (I) or circle I, or in the case of

Cleanliness Inspections (CI) or circle CI in the margin next to the applicable paragraph requiring

the inspection and will be documented either as a Certification Signature Block (for those

nuclear work items in Part I Chapter 2 Appendix C of this volume) or signature, as applicable, in

the FWP or on the appropriate QA form.

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NOTE: THESE ARE CONSIDERED MINIMUM REQUIREMENTS FOR USAGE OF

AN INDEPENDENT INSPECTOR DURING THE PERFORMANCE OF

CONTROLLED WORK. IT MUST BE UNDERSTOOD THAT THE

REQUIREMENTS FOR AN INDEPENDENT INSPECTOR DO NOT

NECESSARILY MEAN THAT THE DATA PROVIDED IS RETAINABLE AS

OQE. VARIOUS SOURCE DOCUMENTS ADDRESS RECORD RETENTION

AND MUST BE FOLLOWED FOR ENSURING THE PROPER OQE IS

RETAINED.

a. Critical Inspections applicable to all platforms are:

(1) Inspections performed for all acceptance testing (e.g., hydrostatic testing, drop

tests, joint tightness tests, weight tests) for certification of work completed

under a Controlled Work Package (CWP). (Nuclear and non-nuclear manually

operated valves which have adjustable packing do not require certification by

an independent inspector.)

(2) Inspections performed to verify permanent markings of Level I material (those

which the Fleet Maintenance Activity (FMA) manufacture, upgrade, or transfer

to smaller pieces of controlled material). These inspections may also be

performed by a Controlled Material Petty Officer.

(3) Mechanical measurements used to verify wall thickness of components for

work performed using a CWP.

(4) Inspections performed for post machining of any Level I component.

(5) All sealing surface inspections for work performed as a Controlled Assembly.

(6) Inspections for oxygen, nitrogen, and hydrogen systems cleanliness as required

by reference (h). These independent inspections are performed by personnel

qualified as Oxygen Clean Workers per reference (h).

(7) Material receipt inspection. These inspections may also be performed by a

Controlled Material Petty Officer.

(8) Weight testing to certify or re-certify shipboard cranes when repairs are

performed per reference (i).

(9) Performance of Emergent Controlled Work per Part I, Chapter 2 of this

volume.

(10) Verification of body bound stud standout measurements and break away torque

for stud installations in Submarine Safety (SUBSAFE) and Level I systems.

b. Additional Critical Inspections applicable to submarines only.

(1) Sealing surface inspections for all SUBSAFE Hull Integrity joints.

(2) Hull Integrity joint body bound stud inspections. For new stud installations,

this includes stud standout measurements and break away torque verification.

For studs that were not removed and are to be reused, this includes verification

of markings of significance (K. or KM) or completion of generic material

identification check.

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(3) Final torque verification of SUBSAFE Hull Integrity joints.

(4) Verification of new controlled material installed into the SUBSAFE boundary.

(5) Verification of proper software installation in SUBSAFE Hull joints.

(6) Stack height measurement verification for hull packing installation (e.g.,

periscope, rudder, planes).

(7) Seat tightness tests of SUBSAFE hull and backup valves.

c. Visual inspection of submarine structure in between Unrestricted Operations (URO)

MRC 003 Inspections.

NOTE: NOT APPLICABLE TO SUBMARINES AT SEA OR SHIP’S FORCE

MAINTENANCE ACTIONS OUTSIDE A SCHEDULED REFIT, FLEET

MAINTENANCE AVAILABILITY OR CHIEF OF NAVAL OPERATIONS

AVAILABILITY. THE SHIP MUST REPORT ANY UNUSUAL,

UNEXPECTED OR POTENTIALLY DANGEROUS CONDITIONS OR

LARGE PRESERVATION FAILURES TO THE TYPE COMMANDER

(TYCOM) AS SOON AS POSSIBLE. CURRENT SHIP’S MAINTENANCE

PROJECT ENTRIES MUST DOCUMENT DEFICIENCIES FOUND AND

DEPARTURES FROM SPECIFICATION (DFS) MUST BE WRITTEN IF SO

DIRECTED BY TYCOM.

(1) Inspection, scheduling and reporting of inspection of URO MRC 003 structure

which is not otherwise due for a URO MRC 003 inspection must be per

reference (j) sections 1.j and 1.k. Defects identified during the Unscheduled

Visual Inspection must be evaluated and corrected or adjudicated by the

cognizant Technical Authority.

(2) Inspection, scheduling and reporting of normally wetted, previously obscured

URO MRC 003 structure must be per reference (j) sections 1.j and 1.k.

Defects identified during the Unscheduled Visual Inspection must be evaluated

and corrected or adjudicated by the cognizant Technical Authority.

5.4.4 Cleanliness Inspections. Cleanliness controls are required to prevent the entry of foreign

material which could interfere with the operation of any system or component. Cleanliness

controls are essential during maintenance with the degree of control depending upon the system

and work to be accomplished. Steam plant system cleanliness controls are necessary to

minimize corrosion of steam plant materials and prevent the entry of foreign materials into the

steam plant. Improper cleanliness controls can result in damage to operating machinery, chloride

contamination, or fouling of system components. The time spent making sure the work site is

clean and system openings are properly controlled will help prevent premature component failure

and rework.

a. Cleanliness Inspectors are individuals who are trained and qualified to perform CI

required by work procedures for systems or components requiring cleanliness controls.

At the TRIDENT Refit Facilities, they are called Cleanliness Certifiers.

NOTE: ALL SYSTEMS REQUIRE VARYING DEGREES OF CLEANLINESS

CONTROLS, BUT MAY NOT REQUIRE AN INDEPENDENT INSPECTOR.

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CRITICAL QUALITY CONTROL POINT INSPECTIONS BY SUPERVISORY

PERSONNEL SHOULD BE USED WHERE APPROPRIATE.

b. Acceptance inspections of cleanliness by an independent inspector (Cleanliness

Certifier or Inspector) are required for the following as a minimum:

(1) Oxygen, nitrogen, and hydrogen systems per reference (h).

(2) Naval Nuclear Propulsion systems as required by reference (l).

c. Results of cleanliness acceptance inspections required by paragraph 5.4.4.b of this

chapter must be documented in the Technical Work Document and certified by a

signature for those inspections requiring independent inspection.

d. There are no specific requirements for independent cleanliness inspection acceptance

by a Cleanliness Certifier or Inspector, during steam plant (nuclear or fossil fuel)

system maintenance. However, for maintenance involving steam plant (nuclear)

systems, the cleanliness requirements for steam plant (nuclear) systems from Chapters

1 and 3 of reference (l) apply. For steam plant (fossil fuel) or general shipboard

systems listed in paragraph 5.4.6 of this chapter, the cleanliness requirements must be

determined during the work-planning phase. Many jobs may be performed using

craftsman to verify cleanliness vice requiring independent Cleanliness Inspector

presence. When the risk or consequence of loss of cleanliness is minimal during a

maintenance action, such as work requiring bonnet removal from a small steam valve,

maintenance of cleanliness may be verified by the craftsman. When the risk or

consequences of loss of cleanliness is significant, such as when removing the bonnet

from a main steam root valve, work involving opening of turbine throttles, or when the

type or quantity of detrimental materials (e.g., cutting oils) pose a significant risk, the

use of an independent inspector to verify maintenance of cleanliness should be

considered by the Department Head, Quality Assurance Officer (QAO) and Planning

Officer (if assigned).

e. It is the responsibility of Ship’s Force to ensure the appropriate cleanliness control

requirements are incorporated in any maintenance for which clear responsibility for

cleanliness is not assigned.

5.4.5 Nuclear Propulsion Plant and Nuclear Support Facility General Cleanliness Requirements.

5.4.5.1 Reactor Plant. For work involving the cleanliness requirements of Chapters 1, 2 and 3 of

reference (l), inspector presence is required for initial opening of a reactor plant system when the

opening is accomplished using a dirt producing procedure such as a butt weld cut or pipe cut.

For non-dirt producing methods, such as socket weld cuts, cuts on canopy seals and the opening

of a flange, the worker may verify cleanliness without the presence of a Cleanliness Inspector.

For either case, the worker will first establish a clean area and then open the system. The system

will then be inspected for cleanliness by the worker or inspector depending on the method used

for opening the system. The worker will then install cleanliness plugs, disestablish the clean area

and perform the required repair. Upon completion of the repair, the worker will clean the area

and inspector presence is again required for system inspection prior to closure of the opening.

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a. Maintenance personnel and appropriate supervisors must be briefed by a QAI on

applicable requirements before starting work. The brief must include at least the

following:

(1) Inspection requirements.

(2) Acceptance criteria.

(3) Methods to maintain cleanliness.

(4) Required actions for a loss of cleanliness.

b. Cleanliness plugs that are locally manufactured or procured through the Navy supply

system must meet the requirements of reference (l). A logbook must be kept by the

appropriate work center or work center supervisor recording all cleanliness plugs by

serial number. Additionally, a QAI must document that the requirements of Chapter 1

of reference (l) for Temporary Seals and Plugs have been met regardless of

procurement method or each plug recorded in the logbook.

c. If a loss of cleanliness occurs as explained in reference (l), then cleanliness must be re-

established according to the requirements and procedures of reference (l). Upon a loss

of cleanliness, the Lead Work Center Division Officer, QAO and appropriate

Department Head(s) will approve the recovery procedures.

d. Use a Tool and Material Accountability Log to document the required accountability

whenever foreign material exclusion controls are established. A formal written record

must be maintained for all material (e.g., tools, equipment, temporary plugs and seals

and tape) taken inside the physical boundary that are small enough to fit inside the

material openings in the hardware and do not have lanyards attached. The record must

describe the material, where it was introduced and when it was removed. Except for

eyeglasses and goggles, accountability is required for all clear plastic material

regardless of size.

e. Control of tools must be as specified in reference (l) and this volume. Work center

supervisors will be responsible for control of handling equipment and metal removal

and finishing tools. Additionally, the following requirements consistent with

reference (l) apply for metal removal and finishing tools: Except for cutting tools

(drills, bits, taps, etc.), metal removal and finishing tools (files, wire brushes, grinding

wheels, etc.) used on corrosion-resistant or carbon steel materials will be segregated

from general work center metal removal and finishing tools and fasteners.

5.4.5.2 Steam Plant. Reference (l) provides a list of applicable steam plant systems and the

minimum steam plant cleanliness requirements. It applies to all steam plant work performed in

naval nuclear powered ships when not at a shipyard. This chapter also applies to steam plant

work performed by forces afloat when at a shipyard.

a. Nuclear powered ship steam plant maintenance affecting those systems listed in

Chapter 1 of reference (l) must be assigned only to activities that have reference (l) in

force.

b. The Steam Plant Manual or Steam and Electric Plant Manual must be consulted for

cleanliness requirements when performing steam plant maintenance.

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c. If a loss of cleanliness occurs as explained in reference (l), then cleanliness must be

reestablished according to the requirements and procedures of reference (l).

Additionally, upon a loss of cleanliness the QAO, the Lead Work Center Division

Officer, and appropriate Department Head(s) will approve the recovery procedure.

d. Control of tools and maintenance products will be per reference (l).

e. Reference (l) cleanliness requirements for Nuclear Aircraft Carrier catapult steam and

drain systems must be complied with regardless of which Department Head has

responsibility for the system.

5.4.5.3 Nuclear Support Facility.

a. Reference (m) provides specific cases that invoke reference (l) and reference (n).

b. Where the references do not address a specific Nuclear Support Facility system or

component, reference (l) may be used for guidance as determined to be appropriate.

The component technical manuals and NSTMs should also be consulted for

cleanliness requirements as appropriate.

5.4.5.4 Standard Lubricants and Penetrating Fluid. General overhaul specifications for reactor

plants and Nuclear Support Facility Manuals for Submarine Tenders require the use of reference

(o). Reference (l) contains requirements to control detrimental materials.

5.4.6 General Shipboard Steam Plant Systems Cleanliness Requirements.

5.4.6.1 Purpose. To define the general requirements for cleanliness controls during maintenance

or repair of steam plant systems on Surface Force ships.

5.4.6.2 Applicability. The requirements of this paragraph are applicable to the following steam

plant systems:

a. Main Steam.

b. Auxiliary Steam (Defined as steam which returns to the boiler).

c. Feedwater.

d. Condensate.

e. High Pressure Drains.

f. Reserve Feedwater.

g. Heating steam and condensate return piping from distilling units.

h. Steam drains.

5.4.6.3 Discussion. Significant contamination of boilers with chlorides or other detrimental

materials has resulted from the introduction of foreign materials into steam plant systems during

maintenance onboard conventionally powered ships. The guidance for foreign material

exclusion and general cleanliness controls for steam plant system components (e.g., boilers,

turbines, condensers) are formally published by NSTMs. However, there is no definitive

NAVSEA guidance for many of the steam plant systems piping on conventionally powered ships

during maintenance and repair. Therefore, the guidance for cleanliness controls provided in the

following paragraphs is for those instances where there is no definitive NAVSEA guidance.

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5.4.6.4 Requirements. During general maintenance that breaks the system boundaries, the

following cleanliness controls will be implemented:

a. Maintenance of cleanliness.

(1) Temporary covers or plugs will be installed on all steam system piping,

components, and tanks opened for work except during the time that the

opening must actually be uncovered to perform the work. Covers and plugs

will be designed to preclude loose pieces from entering the steam system.

Covers and plugs will be rubber, metal, or rigid plastic and will be securely

fastened to the component or piping.

(2) Following maintenance and prior to removing plugs or covers from inside

piping or components, inspect and thoroughly clean the work area to ensure

that no tools, rags, lubricants, or other foreign materials are left inside. This

includes removal of loose scale and other easily removed corrosion products,

as well as removal of residue from grinding, chipping, welding, or other

maintenance.

b. Control of foreign material introduction.

(1) New or repaired components should be cleaned to the maximum extent

practical without disassembly prior to installation into the system to ensure

preservatives, desiccants, etc. are removed.

(2) Assembly and maintenance may require the use of lubricants, sealants, and

other compounds. Those compounds should be used only as authorized and

only applied in the flow path, if authorized by the process instruction.

(3) During all maintenance, ensure action is taken to ensure all foreign materials

are removed following the maintenance and prior to system operations.

(4) Water used for cleaning or flushing steam plant systems must meet the criteria

for steam plant makeup or feedwater.

c. Verification of cleanliness. When verification of cleanliness is required, verification

should be accomplished by visual inspection. If configuration of the system or

component precludes visual inspection, and cleanliness has not been maintained, then

flushing may be used to verify cleanliness.

(1) Visual inspections will be conducted using normal reading level lighting.

Mirrors and borescopes may be used provided resolution is sufficient to verify

cleanliness.

(2) Components should not be disassembled just to conduct visual cleanliness

verification. Instead, a flush may be used to verify cleanliness. Valves may

have the visual inspection performed on the accessible portions of the flow

area.

(3) Flushes will be conducted for period of not less than five minutes.

(4) Visual inspection acceptance criteria.

(a) No grease, oil, or other foreign material.

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(b) For uncoated surfaces, tightly adherent corrosion products typical for

the type of material (e.g., carbon steel) are acceptable. No loose

corrosion products may be present.

instruction used to apply the coating. No loose corrosion products may

be present.

(5) Flush acceptance criteria (Visual).

(a) For water flushing, the water sample must be free of foreign material.

(b) For steam flushing, a sample of condensate downstream of the area

being flushed must be free of foreign material.

outlet to collect debris. After flushing, the cloth must contain only light

speckling or staining due to rust and dirt and must contain no readily

apparent quantities of foreign materials (e.g., metal shavings, abrasive

grit, oil).

(d) For piping where direct sampling of the flush effluent is not possible,

the following requirements apply:

1 For lines that cannot be directly sampled during flushing (e.g.,

lines that discharge into a tank or condenser without drains or

sample taps between the area being flushed and the tank), flush

for five minutes. Sample the collected discharge from the tank,

the water sample must be free of foreign material.

2 Dead-ended piping in a line being flushed by opening a

mechanical connection, will have water, steam, or gas (as

applicable) flushed past the dead end connection to the main

stream for a minimum of five minutes at the maximum practical

flow rate. When cleanliness is verified for the main stream, it is

also verified for the dead-ended piping.

3 For piping which cannot be sampled because it discharges

overboard, flush for at least five minutes. No acceptance

criteria are applicable.

NOTE: CLASS 3 STUDS KNOWN TO BE SET WITH ANAEROBIC SEALING

COMPOUND BASED UPON DRAWINGS REQUIREMENTS OR OTHER

OQE MAY USE THE “IN-SERVICE ANAEROBIC STUD ROTATION”

CHECKS FROM QA FORM 34 TO DETERMINE THE ACCEPTABILITY

FOR USE WITHOUT RESETTING.

5.4.7 Set Stud Inspection. During disassembly or reassembly, inspect set studs to ensure no

rotation is exhibited during nut loosening and tightening. Where direct visual inspection is not

possible, marking the top of the stud (e.g., felt tip marker) to a reference point on the assembly

may be used. Rotation of any stud during disassembly is cause for rejection (except studs known

to be class 3 studs set with anaerobic sealing compound) and the stud must be reset prior to final

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assembly. If marking is used, use care to not remove material markings such as material color-

coding during marking removal.

5.5 SOFTWARE ACCEPTABILITY. To assist in the determination of acceptability of non-

metallic packing materials (e.g., O-Rings, wall seals) for installation in non-nuclear and nuclear

systems, decision aids have been developed from reference (p) and are provided in Appendix A.

In case of question or conflict, the requirements of reference (p) apply. Additional guidance

regarding non-metallic seals is provided in the following paragraphs.

a. It is Fleet policy that software (e.g., O-Rings, gaskets) will be reused only as a last

resort. If new software is not available, software may be used after satisfactory

inspection for damage, resiliency, discoloration, or cracking per reference (p).

b. In all cases, the guidance provided in applicable NAVSEA technical documents (e.g.,

drawings, component technical manuals, references (p) and (q) for nuclear and non-

nuclear applications) will be followed.

c. Reuse of software during daily Planned Maintenance System (PMS) or other specified

situations. The practice of not reusing software does not apply to items of daily PMS

(e.g., drain pump strainer, lubricating oil strainers) or the Logistics Escape Trunk on

submarines and, therefore, the O-Ring or gaskets may be reused provided the software

has been inspected and is not damaged.

d. Software which have exceeded their recommended shelf life may be used in naval

reactor plant applications provided the following criteria are met:

(1) The software has been properly stored in its original package.

(2) Software must be inspected as part of issuing the software for a job or prior to

installation. Inspection by a QAI or Controlled Material Petty Officer is not

required. No certification signatures are required. The user activity must

define who must test software with expired shelf lives to ensure they are

adequately tested.

(3) Except for tubing, each surface of the material must be examined. For tubing,

only the outside surface must be examined. The software must be resilient and

show no evidence of cracking, discoloration, flaking, tackiness, brittleness,

surface contaminants, or other physical damage. Further, each surface must be

inspected and must exhibit no cracks under 5X magnification when it is

deformed.

(a) For flat pieces, strips, and O-Rings, bend material onto itself over a rod

of diameter (d) no greater than the cross sectional thickness (t) as

illustrated in Figure 5-2:

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Figure 5-2 Simple Software Deformation Inspection

d ≤ t

(b) For complex shapes or parts with non-uniform cross section which

closely resemble flat pieces, strips, or O-Rings, bend the material at

least 90 degrees over a rod of diameter (d) no greater than the

maximum cross sectional thickness (t or w) as illustrated in Figure 5-3.

Figure 5-3 Complex Software Deformation Inspection

stiff to be deformed as required, approval must be obtained on a case

basis from the respective Reactor Plant Planning Yard via a Liaison

Action Request per Part I, Chapter 8, Section 8.4 of this volume.

5.6 SUBMARINE SAFETY MAINTENANCE CERTIFICATION AND RE-ENTRY

CONTROL, NUCLEAR AND NON-NUCLEAR.

5.6.1 Purpose. To issue the policy and procedures for:

a. Maintaining continuity of SUBSAFE certification during the operating cycle.

b. General Maintenance Certification Record administrative requirements.

5.6.1.1 General.

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a. Reference (r) establishes the SUBSAFE certification criteria which must be

accomplished on submarines in order for NAVSEA to recommend UROs to design

test depth. Once the certification criteria are satisfied, NAVSEA will make a

recommendation to the appropriate TYCOM that the submarine be authorized for

URO to design test depth. Based upon the NAVSEA recommendation, TYCOM will

authorize the submarine to operate to design test depth, or some lesser depth

depending upon specific conditions. Each TYCOM summarizes the authorized

operating depths and restrictions for ships in reference (s) or (t).

b. Continued URO to design test depth is dependent on:

(1) The positive control and re-certification of all re-entries into the SUBSAFE or

hull integrity boundaries of the ship and

(2) The satisfactory and timely completion of URO MRC requirements.

5.6.2 Re-Entry Control Program.

a. Applicability. This section is applicable whenever work is accomplished within a

SUBSAFE boundary as defined by SUBSAFE Requirements Manual, reference (r),

and as depicted in the SUBSAFE Certification Boundary Book.

NOTE: SUBSAFE REQUIREMENTS MANUAL IS THE FINAL AUTHORITY FOR

DETERMINING IF AN ITEM IS WITHIN THE SUBSAFE BOUNDARY. THE

SUBSAFE CERTIFICATION BOUNDARY BOOK IS AN ILLUSTRATED

REFERENCE TO AID IN THE DETERMINATION OF WHETHER AN ITEM

IS SUBSAFE OR NOT.

b. General. The Re-Entry Control (REC) Program includes those elements associated

with maintenance or repair necessary to maintain the certification established by

NAVSEA. The program provides auditable OQE of the following:

(1) What work was accomplished, including material and components used, re-test

requirements, tests performed, and test data.

(2) Why work was required.

(3) Who authorized and accepted the REC.

(4) Who did the work.

(5) When and where the work was accomplished, including the work and re-test

boundaries.

c. When it becomes necessary to re-enter a SUBSAFE certified system or structure, it

will be accomplished per the requirements and procedures of paragraph 5.6.4 of this

chapter. Specific direction on completing the Maintenance Certification Record

(MCR) (QA form 9) is contained in the instructions for QA form 9.

d. Some exceptions to RECs are allowed due to frequent entry into the certified boundary

for routine operations or maintenance actions. These exceptions and administrative or

operational control requirements are contained in paragraph 5.6.7 of this chapter.

e. NAVSEA SUBSAFE and FBW SCS Grams are not authorized for use by submarines,

submarine ISICs, submarine Groups or maintenance activities managed by the

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TYCOM. SUBSAFE and FBW SCS Grams will be engineered into the Joint Fleet

Maintenance Manual where appropriate.

5.6.3 Nuclear Submarine Safety System Re-Entry. When Re-Entry of a nuclear SUBSAFE

system or a portion of a nuclear SUBSAFE system is necessary, the applicable Reactor Plant

Manual, reference (e), and the ship’s specific Reactor Plant Work Accomplishment Report

(RPWAR) will be reviewed and used to provide technical guidance. Nuclear SUBSAFE Re-

Entry will be per the requirements and procedures of Section 5.7 of this chapter. Nuclear

SUBSAFE RECs must be marked in Block 2 of the QA-9 as SUBSAFE and NUCLEAR.

Approval to open and close the Nuclear REC will be per Part I, Chapter 2, Appendix E of this

volume using the “NUC” review and approval matrix.

5.6.3.1 Reactor Plant Planning Yard Liaison Action Requests.

NOTE: INFORMATION ON THIS SUBJECT IS SAFEGUARDED PER REFERENCE

(u).

5.6.4 Re-Entry Control Administrative Procedures.

a. General. REC procedures provide a continuous, auditable record of work done on

fully certified systems to provide positive assurance that they remain “certified”.

Continuity of Certification is mandatory throughout the operational life of the ship to

ensure URO to design test depth.

b. REC. When re-entry of a SUBSAFE system or a portion of a SUBSAFE system (or

component) is necessary, the work and re-certification of the work will be documented

using the MCR/REC, QA form 9.

(1) A MCR/REC will be used for each re-entry of the pressure hull or each

certified system, certified component or portion thereof as defined by the

SUBSAFE certification boundaries.

(2) A MCR/REC will be restricted to a single system within a single mapping

plan, a single component removed from a system, or a single component

removed or worked that requires multiple mapping plans (e.g., trash disposal

unit, Main Sea Water hull or backup valves and hydraulic actuators, modified

after signal ejectors).

(3) When a MCR/REC is opened by a ship to permit removal of a component by

Ship’s Force for repair by an FMA as a “ship to shop” job, a MCR/REC must

be opened by the FMA to cover the work and retesting of the work center work

performed by the FMA.

(4) Where other certified systems must be re-entered to accomplish a MCR/REC,

each system will have its own MCR/REC, except as described in paragraph

5.6.4.b.(2) of this chapter.

(5) The MCR/REC and records of MCR/REC will contain all of the OQE

necessary to comply with paragraph 5.6.2.b of this chapter.

(6) The work procedures associated with a MCR/REC will contain sufficiently

detailed instructions to assure that all requirements for certification are

properly accomplished and documented.

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(7) Work and test boundaries will be defined in terms that are unique and directly

identifiable with the specific mapping plan or task involved.

(8) When work and test boundaries are different, both boundaries will be set forth.

The work boundaries, test boundaries and pressure boundaries should be

specified and should not be confused. Work boundaries define the limits to

which work was performed. Test boundaries define the limits for testing to

certify the work; these tests may involve actuators, indicators or components

other than those actually repaired. Pressure boundaries define (perhaps by

valve lineups) the limits of the system which were pressurized to

hydrostatically test the work. The pressure boundaries and test boundaries

may be the same.

(9) On a “ship to shop” job the work boundaries may be best described by system

joint designators even though those joints were not “disturbed” by the FMA

(e.g., rebuild a Rubber Insert Sound Isolation Coupling (RISIC), the work or

test boundaries will be the end flanges that bolt up to the system, the joint

identification numbers may be clearest identification of that boundary point).

(10) Previously certified hardware will be reused when certification is not affected

by the re-entry, or when it can be recertified. The words “replace”, “repair”,

and “re-install” should be used carefully. “Replace” means the use of a

different or new component, while “re-install” indicates the use of the

previously installed component, whether repaired or not. “Repair” indicates

that some refurbishment, other than mere disassembly or cleaning, was

performed.

(11) Associated supporting documents such as Nondestructive Testing (NDT)

records, material certification, test data, etc., will be specifically identified and

referenced on the MCR/REC.

(12) When it becomes necessary for an FMA to re-enter a certified component

(periscopes, Auxiliary Sea Water pumps, Electronic Warfare Support

Measures masts) which will not be returned to the ship from which it was

removed, or when a component is re-entered when the ship on which it will be

installed is not present, the FMA will control the work and document the re-

entry using a QA form 9, MCR/REC. The MCR/REC will be initiated and

closed out by the FMA. A copy of the completed MCR/REC will accompany

the component when it is installed in a certified SUBSAFE submarine or

shipped to another activity as proof of certification. These controls are

required whether the certified component is to be installed in a SUBSAFE

certified ship or stored. Each component must retain its certification. These

RECs are separate from and in addition to any MCR/REC required for removal

of a component from SUBSAFE system and are only necessary whenever the

original component will not be returned during the current availability to the

ship from which it was removed.

(13) The CWP/REC Log, QA form 11 will be established and maintained by the

QAO per the detailed instructions for QA form 11 in Part I, Chapter 11 of this

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volume. The QA form 11 must be reviewed by the QAO to verify all

MCR/RECs are closed prior to submerged operations. The FMA QAO will

maintain a log for the FMA only and one for each tended ship RECs. The QA

form 11 must be reviewed by the FMA QAO to verify all FMA MCR/RECs

are closed prior to underway operations of each tended ship.

(14) Revisions to the MCR/REC are required for the following:

(a) Change in work boundaries (e.g., breaking additional or new

mechanical joints not previously identified on the MCR/REC). A

MCR/REC revision is not required to delete undisturbed joints.

Deletion of joints must be authorized by cognizant technical authority

and documented in the REC package. Block 14 must be annotated to

reflect joint deletions prior to signing MCR/REC Block 17.

(b) Change in NDT or test requirements (e.g., “J” vice H hydrostatic test,

when “H” was originally specified). This does not include a DFS for

unaccomplished testing. A MCR/REC revision is not required for

NDT incidental to minor repairs as defined in paragraph 5.6.4.b.(14)

(d) of this chapter. NDT results must be documented in the MCR/REC

package.

weld repair sealing surfaces, originally replace software changed to

metallic pressure boundary part replacement).

(d) The MCR/REC does not require revision in order to conduct minor

repairs in support of the original scope of work. These minor repairs

must be authorized by cognizant authority and documented in the

MCR/REC package, with appropriate OQE generated and added to

Block 16 prior to the signing of Block 17 of the QA form 9. Hot work

is not classified as a minor repair. Minor repairs authorized to be

performed without a revision are:

1 Minor machining such that the machining is within the limits of

the technical drawing, SMS, or technical manual (e.g., taking a

skim cut on an O-Ring groove such that the final machined

dimensions are within the tolerances of the technical reference).

2 Epoxy repairs.

3 Electroplate repairs.

4 Preventive coating application.

(15) A revision cannot be used when a new MCR/REC is required (e.g., different

system must be entered to conduct repair).

(16) REC Cancellation and REC Administrative Closeout. In the event a CWP is

prepared and the job is planned to be accomplished but for some reason it was

cancelled or deferred the following actions should be taken:

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(a) If work was authorized to start, the CWP/REC must be revised to

reflect that no work was accomplished and the REC was revised to

close administratively. The QA form 11 log will be annotated that the

job was “Cancelled”.

(b) If work was not authorized to start, and the job has been cancelled,

annotate the remaining blocks of the QA form 9 with NA and note that

the REC was cancelled and no work was accomplished. Blocks 20 and

21 will be signed to formally close the REC. If the REC was prepared

by a Repair Facility, a copy of the QA form 9 will be provided to the

tended unit with the Certification Continuity Letter. QA form 11 log

will be annotated that the job was “Cancelled”.

future maintenance period, the REC is not required to be cancelled.

The QA form 11 log will be annotated as “Deferred”. This is not

considered an open REC.

(17) As a policy, RECs for work within the SUBSAFE certification boundary or

test documents within the SUBSAFE Boundary must not be closed out until

resolution of all actions necessary to verify certification has been maintained

when any breach of the boundary has occurred. An acceptable alternative,

however, is to close out a REC or test documents within the SUBSAFE

Boundary by transferring remaining at sea testing actions to a separate

auditable accountability system (i.e. DFS or the Deep Dive Test Procedure).

All RECs closed in this manner must be annotated by the activity with the

reference documents that contained the transfer actions. This policy must be

verified by the activity accomplishing the work, supervising authority,

submarine Commanding Officer and ISIC.

(18) Prior to every underway for submerged operations, all SUBSAFE RECs must

be closed. Commanding Officers of submarines will certify and acknowledge

REC closure by signing the REC and submit to Immediate Superior In

Command (ISIC) a written report per paragraph 5.6.8 of this chapter.

SUBSAFE certification letter is only required after an inport period in which

SUBSAFE work was performed.

(19) Ship’s Force is responsible for providing “Buddy” SUBSAFE, FBW-SCS or

DSS-SOC REC serial numbers to outside repair activities performing

SUBSAFE, FBW-SCS or DSS-SOC work on shipboard SUBSAFE, FBW-SCS

or DSS-SOC systems. The Buddy REC number is issued from ship’s QA-11

log and will be documented on repair activities RE-ENTRY CONTROL

FORM. The use of the Ship’s Force Buddy REC number is NOT required for

Chief of Naval Operations or TYCOM scheduled availabilities. The issue of

the Ship’s Force Buddy REC is an administrative tool to make REC Log

keeping easier and ensure the required certification letters are received prior to

underway. The Ship’s Force Buddy REC does not result in a Ship’s Force

REC Form, does not require Ship’s Force Record Retention and does not allow

Ship’s Force to participate in the assigned activities work or certification

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process, except performance of testing. Ship’s Force will only issue Buddy

RECs to SUBSAFE, FBW-SCS or DSS-SOC certified activities performing

SUBSAFE Work.

5.6.5 Using a Controlled Dive Departure from Specification to Close a Maintenance

Certification Record or Re-Entry Control. If a MCR/REC is closed by transferring at sea testing

to a DFS (e.g., controlled dive to test depth for retest of a periscope hull gland, controlled dive

for retest of a sea connected system in lieu of joint tightness test to “J” pressure of Test Pressure

Drawing (TPD)), the ship will be restricted, as required by reference (r), as indicated in sub-

paragraphs a through d of this paragraph.

NOTE: IF AN UNSATISFACTORY CONDITION OR SEAWATER LEAKAGE IN

EXCESS OF THE SPECIFICATION IS FOUND DURING THE CONDUCT OF

THE CONTROLLED DIVE TO TEST DEPTH, THE SHIP MUST CONTINUE

TO TEST DEPTH UNLESS THE COMMANDING OFFICER DETERMINES

IT APPROPRIATE TO ABORT THE DIVE.

a. Except for the controlled dive to test depth to retest the system or component, ship’s

depth will be limited to one half test depth plus fifty feet until satisfactory completion

of inspections during the controlled dive. The ship will stay at test depth for the time

required as detailed in the normal retest procedure (i.e., 30 minutes if the normal joint

tightness test is for 30 minutes) plus adequate time to permit inspections.

b. If inspections of the system or component during the controlled dive are satisfactory,

the ship is released for UROs with no immediate report required. Clearance of the

DFS will be reported as required by Part I, Chapter 8 of this volume.

c. If inspections of the system or component during the controlled dive are

unsatisfactory, the ship is restricted to one half test depth plus fifty feet as indicated in

paragraph 5.6.5a. of this chapter, unless specific authorization is received from

TYCOM approving URO or changing the depth restriction. The DFS approved to

perform the controlled deep dive must be cancelled and a new major DFS for the

failed testing must be initiated by the ship. An immediate report of unsatisfactory

inspections will be made to ISIC and, if required, a request, including Commanding

Officer’s evaluation of unsatisfactory conditions and justification for request, for

approval to conduct operations at depths deeper than one half test depth plus fifty feet

will be made to TYCOM with information copy to ISIC and NAVSEA (07T).

Deficiencies discovered that are not joints specified for inspection in the MCR/REC

and DFS are dispositioned as required by Part I, Chapter 8 of this volume and are not

cause for depth restrictions unless the Commanding Officer deems necessary.

d. Should the presence of an installed Dry Deck Shelter preclude a component requiring

deep dive testing from seeing submergence pressure, the requirements of paragraph

5.6.5a. of this chapter must apply upon removal of the Dry Deck Shelter and must be

so annotated in the approval comments of the deep dive DFS.

5.6.6 Voyage or At Sea Repairs. If emergent repairs or at-sea repairs involve REC work, the

ship is limited to 200 feet or less until the ship’s Commanding Officer has signed for the closed

REC.

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a. If equipment malfunctions (except for casualties affecting recoverability, salvage,

watertight integrity, or operation of ship’s control surfaces), or seawater leakage in

excess of the specification is found during the conduct of the initial tightness dive or

the controlled dive to test depth, the ship should continue to the required depth and

execute the sea trial agenda unless the Commanding Officer determines it appropriate

to abort the dive. The Commanding Officer should be particularly circumspect in the

case of leakage locations not isolable by flood control or other closures (e.g., electrical

hull penetrators, periscope hoist rods, etc.).

b. Following completion of the initial tightness dive and the controlled dive to test depth,

SUBSAFE deficiencies which result in seawater leakage exceeding the specification

for acceptance must be reported to the TYCOM, NAVSEA and info to all concerned.

c. If leakage is from an unisolable joint, ship’s depth will be limited to 1/2 test depth plus

50 feet until approval from the TYCOM is received to continue trials at depths greater

than 1/2 test depth plus 50 feet.

NOTE 1: REPAIR ACTIVITIES WILL NOT REQUEST THE SHIP TO PERFORM A

REC EXCEPTION TO CIRCUMVENT THE REPAIR ACTIVITIES USE OF

REC CONTROLS IN CONJUNCTION WITH REPAIR ACTIVITY WORK.

NOTE 2: REC EXCEPTIONS ARE NOT AUTHORIZED TO BE USED FOR THE

INSTALLATION OF NEW LEVEL I HARDWARE WITHIN THE SUBSAFE

BOUNDARY.

5.6.7 Exceptions to Re-Entry Control. Exceptions to Re-Entry Control (REC) are listed in

reference (r). The reference includes certain systems and equipment within the certified

SUBSAFE boundary which require frequent entry into the certified boundary for routine

operations or maintenance actions in order to enable the ship to carry out its mission. The

operational requirements for these systems and equipment have been reviewed. Inherent

operational controls in the present system are considered adequate. The operational control

which is considered as meeting the intent of the REC requirements is listed beside each item and

must be in effect in order to use the exception. Some REC exceptions permit removal of

material from the installed system to perform maintenance or testing. The original material must

be reinstalled or a complete REC (controlled work package) must be used to capture the

installation of new Level I material or certification testing for new material.

5.6.8 Certification Continuity Report. In order to ensure continued certification of each

submarine, periodic reports are required as indicated in sub-paragraphs a through c:

a. Prior to each underway for submerged operations, all SUBSAFE RECs or REC

exceptions requiring a controlled assembly must be closed. Commanding Officers of

submarines will submit to ISIC (deployed ISIC, if deployed), a written certification

continuity report, which addresses the status of Ship’s Force SUBSAFE, Submarine

Flight Critical Component (SFCC) CWPs or REC exceptions requiring a controlled

assembly, testing of SUBSAFE, Fly-By-Wire Ship Control Systems (FBW SCS)

systems, URO maintenance completed and RECs closed by transferring actions to a

DFS. SSBN and SSGN class potable water shore service connection cap installation

performed as a controlled assembly is exempt from reporting under this paragraph.

Appendix B provides the minimum requirements for the letter. If no SUBSAFE,

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SFCC controlled work, REC exceptions requiring a controlled assembly, testing or

URO MRCs were accomplished, no report is required. Certification Continuity

Reports may be delivered in person by a command representative, transmitted as a

naval message, transmitted via e-mail as an electronically signed PDF, transmitted via

e-mail as a signed letter scanned as a PDF.

b. Prior to the ship’s underway after an FMA availability, refit or inport period when

SUBSAFE, SFCC work was performed, the FMA Commanding Officer will issue a

letter report to each tended submarine, with a copy to parent ISIC, which addresses the

status of SUBSAFE, SFCC CWPs, testing of SUBSAFE, FBW SCS systems, URO

maintenance requirements completed and SUBSAFE non-conformances (i.e., DFS and

LAR). Appendix C provides the minimum requirements for the letter.

c. Prior to ship’s underway, activities other than FMAs which perform SUBSAFE or

SFCC maintenance on submarines will issue a letter report to the submarine with a

copy to the parent ISIC, certifying that the maintenance performed meets the

requirements of applicable specifications invoked by the governing document (e.g.,

unscheduled availabilities, contract) and the Memorandum of Agreement. Appendix

D provides the minimum requirements for the letter.

5.7 REACTOR PLANT WORK ACCOMPLISHMENT REPORT (SUBMARINES ONLY).

5.7.1 Purpose.

a. The RPWAR form is a listing of those pipe and components of the reactor plant which

are SUBSAFE. It is specific for each ship and is provided by the Reactor Plant

Planning Yard via the TYCOM. The RPWAR consists of:

(1) Status sheet.

(2) Cover sheet.

(3) RPWAR Master Pages.

(4) Addendum Sheet.

(5) RPWAR general notes.

b. The reactor plant hull integrity area is comprised of those items on the RPWAR. Each

ship must maintain the RPWAR current. Each completed RPWAR will be filed in an

auditable manner along with the latest revision for the ship of the NAVSEA RPWAR

status drawing. The reproducible blank RPWAR will be maintained in the same file.

The ship will reproduce blanks as necessary to support reactor plant work.

c. To properly complete the RPWAR, the preparer must review the general notes of the

applicable RPWAR and the instructions in reference (e).

d. To certify (or recertify) a nuclear SUBSAFE item, a RPWAR must be completed by

the activity performing the maintenance (ship, FMA or shipyard) per reference (e) and

forwarded as soon as possible to the Reactor Plant Planning Yard with copies to

NAVSEA 08, TYCOM, ISIC and the ship. The RPWAR is to be signed in ink and the

signed in ink copy should be forwarded to the Reactor Plant Planning Yard. Initials or

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typed signatures are not permitted. When work is complete, submit only those pages

of the RPWAR line items that certify the work accomplished.

e. The RPWAR does not, in any way, relieve the FMA or ship of its responsibility to

comply with all applicable requirements specified in technical manuals, plans, and

similar documents.

b. Authorized Technical Authority. An Authorized Technical Authority is a

representative designated by reference (a) to act for Naval Sea Systems Command

(NAVSEA) in dispositioning nonconformance issues. They are also charged with

providing technically sound maintenance alternatives to the Fleet upon which

maintenance and operational decisions can be made.

c. As determined by the ship and ISIC, temporary nonconformances, except SUBSAFE,

Scope of Certification, and Fly-by-Wire nonconformances, that are minor which

would not benefit from an engineering analysis or risk assessment will be entered into

the CSMP. CSMP entries of this type do not require a corresponding DFS to

adjudicate the condition and will be scheduled for repair in a future maintenance

availability.

d. The terms deviation and waiver are often used synonymously. The principle

difference being that deviations are requested prior to conducting work that will result

in a nonconformance and waivers are requested after a nonconformance has been

discovered.

8.1.3 Specification. Technical specifications originate from a variety of sources. When a

conflict exists between specifications, the governing requirement has to be determined on a case-

by-case basis. The following listing is provided to assist in determining the governing

specification. This listing may not be exact for a particular case and all pertinent technical

documents will require review:

a. Non-Nuclear listing of specifications which may be consulted when determining the

governing specification:

(1) Volume V (Quality Maintenance) of the Joint Fleet Maintenance Manual.

(2) Fleet or Type Commander (TYCOM) Technical Notes.

(3) Ship’s plans or drawings, NAVSEA Standard and Type drawings, and

approved Technical Repair Standard or Maintenance Requirement Procedure,

or Maintenance Standard.

(4) NAVSEA letters and Liaison Action Requests (LAR).

(5) The Military Standard (MIL-STD) and Military Specification (MIL-SPEC)

series. MIL-SPEC for specific components being procured or manufactured,

MIL-STD for specific processes being performed.

(6) NAVSEA approved component technical manuals.

(7) NAVSEA 0902-018-2010; General Overhaul Specifications for Deep Diving

SSBN/SSN Submarines.

(8) TYCOM Instructions.

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(9) Naval Ships’ Technical Manuals and Technical Specifications.

(10) NAVSEA Instructions.

(11) NAVSEA S9AA0-AB-GOS-010; General Specifications for Overhaul of

Surface Ships.

NOTE: WHERE THIS MANUAL IS MORE RESTRICTIVE THAN OTHERS, THIS

MANUAL WILL TAKE PRECEDENCE UNLESS SPECIFICALLY STATED

THAT IT PROVIDES GUIDANCE ONLY. UNRESOLVED QUESTIONS ON

PRECEDENCE SHOULD BE REFERRED TO THE TYCOM FOR

RESOLUTION. IN SOME INSTANCES A SPECIFICATION OF LESSER

PRECEDENCE MAY MODIFY OR SUPERSEDE A MORE SENIOR

SPECIFICATION, I.E., A NAVSEA LETTER OR LAR RESPONSE COULD

SPECIFICALLY MODIFY A TECHNICAL STANDARD PENDING

REVISION.

b. Nuclear listing of specifications which may be consulted when determining the

governing document:

(1) Reactor Plant Manual.

(2) Reactor plant component technical manuals.

(3) NAVSEA technical manuals (e.g., NAVSEA 250-1500-1 Welding Standard).

(4) Reference (b).

(5) Reactor Plant Drawings.

(6) NAVSEA instructions.

(7) TYCOM instructions.

(8) Reference (c).

(9) Reference (d).

8.2 DEPARTURE FROM SPECIFICATION. A DFS (non-nuclear only) is a lack of

compliance with any authoritative document, plan, procedure, instruction, etc. General guidance

regarding DFS is:

NOTE: FOR SURFACE FORCE SHIPS AND AIRCRAFT CARRIERS, THE TYCOM

WILL PERFORM THE IMMEDIATE SUPERIOR IN COMMAND (ISIC)

FUNCTIONS OF THIS CHAPTER.

a. During a maintenance action, including temporary repairs, a DFS is required for lack

of compliance with cognizant documents, drawings, etc. For “as found” conditions

during maintenance, the ISIC, ship and Fleet Maintenance Activity (FMA) (if

involved) must evaluate the non-compliance using the guidance of paragraph 8.2.5 and

8.2.6 of this chapter.

b. For “as found” conditions or equipment failures during operations that result in non-

compliance with cognizant documents, drawings, etc., the ship or ISIC (if in port)

must evaluate the condition or failure using the guidance of paragraph 8.2.5 and 8.2.6

of this chapter to determine if the non-conforming condition meets the criteria as a

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Major or Minor DFS. Nonconformances meeting the criteria as a major or minor DFS

must be submitted to the ISIC for adjudication when in a port with a FMA and must

be approved by the Commanding Officer if at sea or in a port without an FMA. If at

sea, the guidance of paragraph 8.3.8 of this chapter will be followed.

8.2.1 Reporting Departures from Specification. It is incumbent upon ships, FMAs, and ISICs to

discuss potential DFS as early as possible (prior to the work close out or component assembly if

possible) to determine direction of actions, and alternatives to the DFS. Every effort must be

made to correct each deficiency prior to equipment or system operation or underway of the ship.

If a DFS has to be submitted, the request for it must be processed as soon as possible to enable a

technical evaluation of the DFS request and final adjudication from the TYCOM.

8.2.2 Reporting Departures from Specification while Conducting a CNO Availability Sea Trial.

(Submarines Only) Any failed inspection, test or as found deficient condition that would

normally be documented on a DFS will be documented and reported in the daily Submarine Sea

Trial Situation Report (SITREP) as required by Volume II, Part I, Chapter 3 of this manual. The

only DFS required to be written during CNO Availability SEA TRIALs are those DFS used to

close Re-Entry Controlled (REC) work performed at sea during the trials to accomplish testing

below 200 ft.

8.2.3 Types of Departures from Specification. A DFS is classified as either Major or Minor

depending on its significance. Major DFS are described in paragraph 8.2.5 of this chapter.

Minor DFS are described in paragraph 8.2.6 of this chapter. Care must be exercised in

evaluating and determining the type of DFS. All submarine DFS submitted for evaluation must

be adjudicated prior to ship’s underway operations except when executing berth shifts that do not

involve open ocean movements (i.e. movements within a harbor or river). All submarine DFS

submitted for evaluation must be adjudicated prior to operating the affected equipment except:

a. A ship is in a Chief of Naval Operations availability and the affected system or

component has been turned over to the Shipyard for maintenance or operation.

b. The system or component is entered into a formal test or test program, which controls

operation.

8.2.4 Permanent and Temporary Approval of Departure from Specification. DFSs are approved

as either permanent or temporary depending on the nature of the non-compliance and technical

determination of whether the condition needs to be repaired.

a. A temporary DFS requires subsequent action to correct the non-compliance and is

approved with specific direction regarding duration and actions necessary to clear. A

Major DFS accepting a temporary repair or condition is approved by the TYCOM

following concurrence by an Authorized Technical Authority. A Minor DFS

accepting a temporary repair will be approved by the TYCOM or ISIC as specified in

paragraph 8.2.6 of this chapter.

b. Temporary deviation or waivers initiated by the Authorized Technical Authority per

reference (a) require TYCOM concurrence prior to approval.

c. A permanent DFS requires no additional repair effort and is approved by NAVSEA.

Technical Authority within NAVSEA for approval of a permanent DFS is specified in

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reference (a). As an exception, a permanent DFS may be approved only by the

TYCOM or ISIC as specifically allowed in paragraph 8.2.6.a. of this chapter when

previously approved precedent setting documentation that directly applies to the DFS

exists. The specific NAVSEA precedent must be referenced in the DFS approval.

d. Reference (e) requires that a DFS be written and provided to NAVSEA 05 by the Lead

Maintenance Activity for adjudication whenever eddy current inspections are not

completed within a window of 12 months prior to, or 6 months after, their scheduled

due date as directed by the applicable Class Maintenance Plan. Lead Maintenance

Activities must submit departures from specification that technically support

scheduling requests. The DFS must use prior inspection reports and establish

individual component condition-based recommendations. This requirement applies to

main condensers, turbine generator condensers, auxiliary gland exhaust condensers,

reboilers, and reboiler feed heater drain coolers in nuclear surface ships and

submarines.

NOTE: PARAGRAPH 8.2.5 OF THIS CHAPTER DOES NOT APPLY TO THE

CATEGORY OF DFSs FOR CRANES COVERED UNDER REFERENCE (f).

REFERENCE (f) LISTS THE CATEGORY REQUIREMENTS AND LEVEL

OF APPROVAL FOR CRANE RELATED DFSs.

NOTE: AN OUT-OF SPECIFICATION PARAMETER IN A SUBMARINE FLY-BY-

WIRE SHIP CONTROL SYSTEM FUNCTION MEASURED BY URO/MRC

019 IS ALSO CONSIDERED A MAJOR NONCONFORMANCE WHETHER

OR NOT THE URO/MRC IS DUE FOR ACCOMPLISHMENT. URO MRC

019 PROVIDES THE REQUIREMENTS FOR PROCESSING URO MRC

RELATED NONCONFORMANCES.

NOTE: THIS LISTING IS NOT ALL INCLUSIVE AND SITUATIONS MAY ARISE

WHERE DEFICIENCIES NOT LISTED MAY BE OF SUCH A NATURE TO

WARRANT A MAJOR DFS. FOR EACH DEFICIENCY DETERMINED TO

DIRECTLY INVOLVE SAFETY OF SHIP, SAFETY OF PERSONNEL, OR

CAUSE A REDUCTION IN THE INTEGRITY OR OPERABILITY OF

EQUIPMENT ESSENTIAL TO SHIP’S MISSION, A MAJOR DFS MUST BE

ISSUED.

8.2.5 Major Departure from Specification. A major DFS is one that affects performance,

durability, reliability or maintainability, interchangeability, effective use or operation, weight or

appearance (where they are a factor), health or safety, system design parameters such as

schematics, flow, pressures, or temperatures, or compartment arrangements or assigned function.

The following list identifies some deficient conditions which require a major DFS:

NOTE: IN SOME INSTANCES, THESE MAJOR DEPARTURES MAY

SUBSEQUENTLY BE RECATEGORIZED BY THE LOCAL TECHNICAL

AUTHORITY FROM MAJOR TO A MINOR PER REFERENCE (a).

a. Use of unapproved joint design or additional joints.

b. Nonconformances to plan specifications that result in a change in configuration.

Examples are:

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(1) Nonconformances to plan specifications resulting in a change in configuration

or dimensions to pressure boundary parts or components. Examples would be

“as found” dimensional or clearance differences from plan requirements for a

Submarine Safety (SUBSAFE) valve bonnet and no authorization (e.g., Ship

Alteration, Alteration and Improvement, Engineering Change Notice or

NAVSEA letter) is available.

(2) Nonconformances to plan specification resulting in a change in configuration

considered to be a permanent repair to pressure boundary parts. An example

would be replacement of a failed valve of older design with one of more recent

design because valves of the older design are no longer available and no

authorization (e.g., Ship Alteration, Alteration and Improvement, Engineering

Change Notice, NAVSEA letter) is available.

c. Failure to meet all applicable standards for major repairs unless other alternatives are

authorized by this volume. Examples are linear indications, failed tightness test,

hydrostatic test, use of unqualified welder or brazer, failed radiography, inadequate

bond during brazing, etc.

d. Pipe or component wall thickness below minimum specification without restoration.

Epoxy and shim methods for ball valve repairs are not considered restorations of

component wall thickness.

e. Manufacture of a part or component without use or availability of applicable technical

documentation (e.g., manufactured per sample due to non-availability of detailed

drawings), regardless of whether the repair is considered temporary or permanent. A

DFS is not required if the part or component is non-level and in a non-controlled

system, it is fabricated from the correct material and the lack of technical

documentation does not affect performance, durability, reliability or maintainability,

interchangeability, use or operation, weight or appearance (where a factor), health or

safety, or system design parameters.

f. Failure to complete required retest of a SUBSAFE, Level I or Submarine Flight

Critical Component (SFCC) component or system.

g. Leakage from a SUBSAFE or Level I hull fitting, piping system, or component:

(1) Hull valve or fitting to hull flange leakage.

(2) Leakage or weepage through a component body or pipe wall. Completion of

temporary repairs (e.g., plastic pipe patch) does not negate the requirement for

a DFS.

(3) Leakage or weepage from a welded or brazed joint. Completion of temporary

repairs (e.g., plastic pipe patch) does not negate the requirement for a DFS.

(4) Leakage upper escape and access hatches, leakage from hull glands (e.g., cable

stuffing tubes, shaft or mast packing glands, electrical or electronic hull fittings

excluding the inboard packing assembly and pressure proof caps screwed onto

Electrical Hull Fitting cable connection) that is in excess of the allowable

specification that cannot be repaired, immediately, by a packing adjustment or

greasing.

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h. Installation of new pressure boundary parts which do not meet all applicable material

certification requirements. The following are some departable conditions:

(1) (Submarines only) Non-Level I valve internals (e.g., ball, disc, poppet, flapper)

installed in seawater or sea-connected hull valves and backup valves.

(2) Non-Level I weld rod, insert material, brazing filler, etc. installed in a

SUBSAFE or Level I system welded or brazed joint.

(3) Non-Level I pressure boundary parts (e.g., stem, bonnet, studs, nuts) installed

in or on SUBSAFE or Level I components or systems.

i. (Submarines only) For any Unrestricted Operation (URO) Maintenance Requirement

Card (MRC) measured parameter found out of tolerance and not restored, whether the

MRC is due or not.

j. (Submarines only) Failure to complete any URO MRC within required periodicity.

(1) Nonconformance requests that result in a change of the URO MRC inspection

periodicity (not authorized by the MRC), a change in a URO MRC technical

requirement, or deferral of required work require NAVSEA approval.

TYCOM or Authorized Technical Authority approval is not authorized for

these nonconformances.

(2) To support operational commitments, TYCOMs may authorize temporary

periodicity extensions (not authorized by MRC) after consultation with

NAVSEA 07T. The periodicity extensions should be limited to the next

availability or in port period, where a submarine maintenance activity is

available, and must be documented by a major DFS.

(3) When a URO/MRC periodicity becomes due during a maintenance

availability, a DFS is not required when the TYCOM or ISIC takes positive

actions to restrict submerged operations. Prior to the ship conducting

underway surfaced or conducting submerged operations (except when

executing berth shifts that do not involve open ocean movements (i.e.

movements within a harbor or river), all operational URO/MRC must be

within periodicity (URO MRC 016, 019, 022, 025, 026, 029 and 036) and

requirements must be complied with or a Major DFS must be approved.

Surfaced operations with an expired URO 036 do not require a DFS or waiver.

k. (Submarines only) For all submarine hatch (Logistics Escape Trunks, Lock Out

Chambers, Logistic Plug Trunks, etc.) deficiencies which will not be repaired prior to

ships underway involving the following:

(1) Non-operational submarine access hatch. (Upper Hatch Operability and

Remote Operating Devices)

(2) Hatch clearance reading out of specification. (Hatch-to-Seat Clearance)

(3) Locking ring hatch lug alignment out of specification. (Coaming Lugs and

Locking Rings)

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(4) Locking ring hatch or trunk coaming lug metal-to-metal contact out of

specification. (In Service Lug Engagement)

(5) Hatch gasket groove and hatch trunk seating surface out of specification.

(Gasket and seating surface inspection)

l. (Submarines only) Non-operational Emergency Main Ballast Tank Blow Valve,

seawater system hull or backup valve, Modified After Signal Ejector or signal ejector

muzzle ball valve, salvage air valve, etc.

m. (Submarines only) A fault condition or unsatisfactory test within the FBW SCS

certification boundary indicates a deficiency with a safety critical function per

reference (g) and must be classified as a Major nonconformance under the following

conditions:

(1) When the system design employs more than two redundant SFCCs and a

deficiency degrades the redundancy to only two remaining SFCCs.

(2) When the system design employs two redundant SFCCs or a non-redundant

SFCC and a deficiency results in the loss of a SFCC.

n. Headed fasteners locally manufactured from Level I material (i.e., cap screws, bolts,

machine screws, etc.) which have not been certified by tensile and hardness testing

specified in MIL-DTL-1222 (Studs, Bolts, Screws and Nuts for Applications Where a

High Degree of Reliability is Required; General Specification for) or FF-S-86 (Federal

Specification, Screw, Cap, Socket Head) as applicable.

o. (Submarines only) All high pressure compressed gas flasks designed to MIL-F-22606

specifications must be recertified at intervals not to exceed 20 years for SSN 688, SSN

21 and SSN 774 Classes and 21 years for SSBN and SSGN 726 Class. High-pressure

air moisture separator flasks must be recertified at an interval not to exceed ten years

for SSN 688, SSN 21, SSBN, SSGN 726 and SSN 774 Classes. All oxygen and gas

management separator flasks designed to MIL-F-24032 specifications must be

recertified at an interval not to exceed nine years for SSN 688, SSN 21 Class, SSBN

and SSGN 726 Class. A major DFS, approved by NAVSEA, is required for any flask

that will exceed the recertification periodicity.

p. (Submarines only) Propulsion shafts must be replaced at intervals not to exceed six

years for SSBN and SSGN 726 Class, seven years for SSN 688 and SSN 774 Classes

and ten years for SSN 21 Class. A major DFS, approved by NAVSEA, with

supporting operating information, including shaft turn count since shaft installation is

required for shafts that will exceed planned replacement periodicity.

q. (Submarines only) A Major DFS is required to document missing or damaged Special

Hull Treatment removed from external structure only when the coating system beneath

the Special Hull Treatment is missing or delaminated resulting in bare metal that is not

repaired. Missing or damaged Special Hull Treatment removed from external

structure is to be tracked using the CSMP process as long as the remaining coating

system is intact or repaired (i.e., no bare metal) when the following conditions are met:

(1) The submarine is not currently in a Depot Level availability.

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(2) Temporary repairs are performed following the requirements of the class

specific hull treatment repair and maintenance manual.

(3) The CSMP item is scheduled to be cleared no later than the next scheduled

Depot Level availability.

r. (Submarines only) Torpedo Tube Muzzle Door K-Monel linkage components must be

replaced every eight (8) years on all submarine classes. A major DFS, approved by

NAVSEA, with supporting information including total waterborne exposure time of

existing components and torpedo tube recess anode type (LVA or Zinc), is required

for any instance where this periodicity is exceeded. Note that this requirement is not

applicable to SSN 688 Class submarines with Ordalt 18000 and SSBN and SSGN 726

class submarines with TZ-0932.

s. Additive manufactured (AM) components with a NAVSEA Environment,

Safety and Occupational Health

Risk Matrix level of severity 1 thru 6 per

reference (h). (Submarines only) AM components must not be used for production

of replacement components for any ship system that may affect ship safety, operation,

integrity, or classified equipment which includes, but not limited to, SUBSAFE,

LEVEL I, Fly-By-Wire, Scope of Certification, and other NAVSEA approved ship

system components. The following information will be listed in the submarine DFS.

(1) The risk factor derived from table 10-3 of reference (h).

(2) The end use application of the AM part.

(3) The compartment the AM part is located.

(4) Weight of the AM part.

(5) All package label data from AM polymer feedstock or filament used.

t. Diesel Inspector Inspection Findings documenting a severe degradation.

u. Any of the following associated with a shipboard diesel engine:

(1) Inoperative alarms or safety devices.

(2) Low lube oil pressure.

(3) Readings that exceed the limits of PMS or manufacturer specifications

that during unrestricted operation would present a hazard to equipment.

(4) Lube oil fuel dilution above safe levels.

(5) Controllable exhaust leaks as defined in new reference (i).

8.2.6 Minor Departure from Specification. A DFS which is not a Major DFS as defined in

paragraph 8.2.5 of this chapter is considered to be a Minor DFS. All permanent Minor (and

Major) DFSs will be approved by NAVSEA except those identified in paragraph 8.2.6.a. of this

chapter, which may be dispositioned by the TYCOM or the ISIC. Temporary Minor DFSs

identified in paragraph 8.2.6.b. of this chapter may also be dispositioned by the TYCOM or the

ISIC. All other temporary Minor DFSs will be approved by the TYCOM. For submarines,

TYCOM approval will follow the QA form 12 block 19 table. Temporary nonconformances,

except SUBSAFE, Scope of Certification, and Fly-by-Wire nonconformances, that are minor

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

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V-I-8-10

which would not benefit from an engineering analysis or risk assessment will be entered into the

CSMP and are not required to be submitted as a DFS. Paragraphs 8.2.6.a. through f. of this

chapter identify some deficient conditions which require a Minor DFS:

a. Any condition which could be considered a Major DFS except for the fact that specific

and definite (TYCOM or NAVSEA) guidance is available based on documented

action for another identical (same component, same application, and same class ship)

request in which no restriction was imposed. An example would be a previous DFS

which was approved as a precedent setting DFS.

b. Any condition which is associated with exemptions or alternatives to non-nuclear

retest requirements in section 7.4 of part I, chapter 7, of this volume on testing, except

where noted. Examples are:

NOTE: IF A MAINTENANCE CERTIFICATION RECORD/RE-ENTRY CONTROL

IS CLOSED BY TRANSFERRING AT SEA TESTING TO A DFS (E.G.,

CONTROLLED DIVE TO TEST DEPTH FOR RETEST OF A PERISCOPE

HULL GLAND, CONTROLLED DIVE FOR RETEST OF A SEA

CONNECTED SYSTEM (E.G., MAIN SEAWATER, AUXILIARY

SEAWATER) IN LIEU OF JOINT TIGHTNESS TEST TO “J” PRESSURE OF

TEST PRESSURE DRAWING (TPD)), THE SHIP WILL BE RESTRICTED IN

DEPTH AS REQUIRED IN PART I, CHAPTER 5, PARAGRAPH 5.6.5 OF

THIS VOLUME.

(1) (Submarines only) DFS for controlled dive following re-installation of a

periscope.

(2) (Submarines only) DFS for controlled dive following work on a hatch exposed

to sea pressure.

(3) (Submarines only) DFS for controlled dive following work on an Electrical or

Electronic Hull Fitting.

(4) (Submarines only) DFS for installation of TYWRAPS in lieu of cable banding

following waterborne cable replacement by divers.

(5) (Submarine only) DFS for controlled dive following for work lacking

Mechanical Joint Tightness Testing of Torpedo Tube Flood and or Drain

Electrodes.

(6) (Submarine only) DFS for conducting at sea operational testing such as Main

Sea Water Fast Speed operations, shooting water slugs from 3" Launcher, Trim

and or Drain Pump operations to measure Heat during operations.

(7) (Submarine only) DFS for deferral of System Operability Verification Testing.

c. Any condition that requires at sea operations to certify planned maintenance or repairs

excluding structural watertight integrity testing except as previously discussed.

d. Associated with a temporary repair to a system or component not involving ship or

personnel safety or not involving integrity or operability of equipment essential to

ship’s mission.

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e. For a material deficiency discovered during a maintenance action that will not be

corrected prior to the ship’s underway, and is not categorized as a Major DFS per

paragraph 8.2.5 of this Chapter.

f. AM components with a NAVSEA Environment, Safety and Occupational Health Risk

Matrix severity level of severity 7 or “N/A” per reference (h). (Submarines only)

AM components must not be used for production of replacement components for any

ship system that may affect ship safety, operation, integrity, or classified equipment

which includes, but not limited to, SUBSAFE, LEVEL I, Fly-By-Wire, Scope of

Certification, and other NAVSEA approved ship system components. The following

information will be listed in the submarine DFS.

(1) The risk factor derived from table 10-3 of reference (h).

(2) The end use application of the AM part.

(3) The compartment the AM part is located.

(4) Weight of the AM part.

(5) All package label data from AM polymer feedstock or filament used.

g. (Submarines only) For all rescue seating surface (Escape Trunks, Logistics Escape

Trunks and Lockout Trunks) Periodic Maintenance Requirements (PMRs) not

completed within periodicity. A minor DFS, approved by TYCOM, is required for

rescue seats that will exceed planned PMR periodicity.

h. (Submarines only) For all rescue seating surface (Escape Trunks, Logistics Escape

Trunks and Lockout Trunks) paint or surface finish defects, not corrected prior to

ships underway require a minor DFS approved by TYCOM.

i. (Submarines only) For all submarine escape component (e.g., IPHO and

intensifier system; SCV, HIS and AVV valves; sea sensing line; escape trunk and

cavity drain and strainers or orifice; or upper hatch hydraulic hand pump (688

Class only)) deficiencies, not corrected prior to underway.

8.3 DEPARTURE FROM SPECIFICATION PROCEDURES.

NOTE: FOR SURFACE FORCE SHIPS AND AIRCRAFT CARRIERS, THE TYCOM

WILL PERFORM THE ISIC FUNCTIONS OF THIS CHAPTER.

8.3.1 General Administrative Requirements. The following requirements pertain to all DFSs:

a. Requests for DFS will be submitted, approved and cleared per paragraph 8.3.7 or 8.3.8

of this chapter. The Web Based Electronic Departure from Specification (eDFS)

program is acceptable for use unless directed otherwise by the respective TYCOM.

NOTE: THE FORMS (QUALITY ASSURANCE (QA) FORM 12, QA FORM 12A)

MENTIONED IN THE FOLLOWING DISCUSSION ARE COMPLETED

ELECTRONICALLY WHEN USING eDFS.

NOTE: WHEN USING A NAVAL MESSAGE TO REQUEST A DFS OR REPORT A

COMMANDING OFFICER APPROVED DFS THE EXACT FORMAT SHOWN

IN APPENDIX A WILL BE USED. EACH PARAGRAPH IN THE NAVAL

MESSAGE WILL HAVE A PARAGRAPH NUMBER, THE PARAGRAPH

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TITLE AND A COLON. ANY DEVIATION IN THE FORMAT MAY CAUSE A

PROBLEM WITH THE AUTOMATIC DFS PROCESSOR. IF THE SHIP IS

UNABLE TO CONNECT TO EDFS, A DEPARTURE MAY BE REQUESTED

BY NAVAL MESSAGE USING THE FORMAT OF APPENDIX A.

b. Requests for DFS will be normally submitted on a QA form 12. The approval of the

DFS will normally be made on the QA form 12. If unable to use QA form 12, use the

message format of Appendix A. Surface ships that are not able to generate a DFS

using eDFS have the option of generating DFS per existing message based system or

Command E-mail. The Command E-mail must be approved by the ship’s

Commanding Officer or his designated representative.

c. The ship is responsible for all approved DFS relating to its systems or components

until cleared or canceled. When a DFS is approved as a temporary repair requiring

rework to correct the discrepancy, a CSMP entry for correction of the discrepant

condition will be initiated by the ship or ISIC. This CSMP entry must include the

DFS serial number, On-Site Analysis Report serial number (if applicable), or other

technical references documenting or tracking the nonconformance. The ship’s Quality

Assurance Officer (QAO) will ensure that this action is done. Verify an active Job

Control Number (JCN) exists for all active temporary DFSs at the completion of all

scheduled Fleet maintenance activity availabilities, major or minor, Chief of Naval

Operations availabilities or at least quarterly and maintain an auditable record of the

verification until superseded.

d. The ISIC is responsible for all DFSs which have been approved or forwarded to

TYCOM for approval until the DFS is cleared, canceled or formally transferred to

another TYCOM. The ISIC is also responsible for ensuring that the CSMP entry is

annotated on the DFS for temporary repairs.

e. All DFS must be reported and controlled. Each activity must have an auditable system

for reporting and controlling DFS. Deviation or waivers will be retained and tracked

in an auditable fashion within the DFS system by Ship’s Force and the ISIC or

TYCOM until permanent documentation is confirmed to reflect the specific non-

compliance. Use of the Web Based eDFS program will facilitate meeting these

requirements.

f. When work performed results in a DFS and requires future action (e.g., re-inspection,

repair), the ship will submit an OPNAV 4790/2K (or equivalent) with a new Job

Sequence Number. The CSMP Job Sequence Number will be included in Block 17 of

the DFS. This Job Sequence Number will be added to the DFS prior to submission to

the ISIC. The DFS or waiver will be retained in an auditable fashion with the DFS

file. DFSs and waivers written exclusively to transfer accountability for testing do not

require an OPNAV 4790/2K (or equivalent) with a new Job Sequence Number.

g. To preclude last minute ship’s operational delays, DFS should be processed as early as

possible. Any request for approval for a DFS must contain all pertinent information

on materials, processes, testing and procedures used, so that a complete and educated

engineering evaluation can be made by the TYCOM, Local Technical Authority or

System Command.

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(1) (Carriers and Surface Force Ships) DFS serial numbers for Ship’s Force

initiated departures will be automatically supplied by eDFS (0000 series). For

departures initiated by a depot level activity, the serial numbers will be

automatically supplied by eDFS (1000 series). All outstanding departures

must be submitted to the TYCOM for evaluation by a Local Technical

Authority prior to a ship’s underway. However, if the Local Technical

Authority evaluation is not complete prior to the underway, the ship is

responsible to ensure adequate temporary precautions or standing orders are in

effect until the DFS evaluation is complete. For temporary departures expiring

during an underway, as discussed in paragraph 8.3.9 of this chapter, the

extension request must be made sufficiently in advance to allow the evaluation

process to be completed before the expiration date and preferably prior to the

underway in which the DFS expires.

(2) (Submarines only) DFS serial numbers for Ship’s Force initiated departures

will be maintained either in a handwritten or electronic log. For DFS serial

numbers for work performed by NAVSEA managed activities, to include

Public and Private shipyards or activities directed by TYCOM, must use 1000

series DFS numbers auto initiated by the eDFS software. For temporary

departures expiring during an underway, as discussed in paragraph 8.3.9 of this

chapter, the extension request will be made sufficiently in advance to allow the

evaluation process to be completed before the expiration date (Temporary

Approved Until Date) and prior to the underway in which the DFS expires.

h. The activity originally requesting the DFS will track the DFS until it is approved or

disapproved.

i. For any DFS, Nonconformance, deviation or waiver that has been adjudicated, the

approving activity is required to provide a copy of the DFS, Nonconformance,

deviation or waiver to the ship’s QAO for retention and tracking per paragraph 8.3.1e.

of this chapter.

j. (Submarines only) All departures must be adjudicated prior to the ship getting

underway for submerged operations except as authorized by TYCOM where the

approved existing DFS has a “Temporary Approved Until Date” that is the same or

later than the unit's anticipated return to port date or has an approved plan to clear or

extend the DFS to support ship's schedule.

8.3.2 Review of Outstanding Departures from Specification. Commands responsible for

tracking approved DFS will review them prior to each upkeep to establish FMA or shipyard

work requirements to clear the DFS. DFSs should be cleared as soon as possible based on:

a. Approval as a permanent repair.

b. Condition has been corrected.

c. Condition is no longer applicable as a result of an alteration.

d. Condition is no longer applicable as a result of a change in the specification that

originally resulted in the DFS request.

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8.3.3 Clearing of Departure from Specification by Exposing Sea Connected Systems and Hull

Integrity Boundary Items to Submergence Pressure (Submarines only). SUBSAFE certified

submarines will submerge to 95% of design test depth, as a minimum, as measured to the keel,

for clearing certain “Controlled Dive” DFSs. Satisfactory completion of the test and clearance of

the DFS will be in the format of QA form 12A. If unable to use QA form 12A, use message

format of Appendix B.

8.3.4 Incorporation of Departure from Specification in Selected Record Drawings, Data or

Technical Variance Documentation.

a. Those DFSs for a change in configuration, which NAVSEA accepts as a permanent

repair, will be maintained in an auditable file by the ship and the ISIC until reflected in

ship’s selected record drawings, data or technical variance documentation. Examples

are:

(1) An oversized shaft and bushing.

(2) A seal welded mechanical joint.

(3) Addition of piping joints or fittings.

(4) Different style or type valve.

b. The activity submitting the DFS for permanent approval will inform the ship of the

configuration change and provide sufficient data to support submission of Ship’s

Configuration Change Report (OPNAV 4790/CK) and a Fleet COSAL Feedback

Report (NAVSUP 1371).

c. For DFS approved as a permanent repair for material or component substitution

resulting in a configuration change, the ship will submit a Ship’s Configuration

Change Report (OPNAV 4790/CK) and a Fleet COSAL Feedback Report (NAVSUP

1371) to ensure accurate configuration accounting and technical or supply support are

maintained.

d. The activity causing or discovering the nonconformance or departable condition that

the DFS approved as a permanent repair, and affects selected drawings and records,

will provide a copy of the marked up drawing to Ship’s Force prior to underway and

will forward a copy of the applicable portions of the work package and a marked up

copy of the affected drawing or record to the planning yard as soon as practical. The

ship and accomplishing activity will maintain a copy of the correspondence until the

technical variance documentation or selected record drawing is issued.

8.3.5 Preparations for Correction of Departure from Specification and Clearance During Depot

Level Availabilities. The following procedures will be used to schedule DFS for correction and

report correction of DFS in depot level availabilities:

a. Ship’s Force or the parent ISIC will provide copies of DFS outstanding at the

Availability Planning Conferences for incorporation into the work package as required

by the Availability Baseline Work Package.

b. DFS deferred to a Depot Availability for correction must be cleared by the submission

of a QA form 12A as the shipyard accomplishes the work, provided that the shipyard

“scope of work” corrected the DFS. Completion reports from shipyards are not

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V-I-8-15

required. These forms are submitted by Ship’s Force to the ISIC or the NSA

correcting the nonconformance. If unable to use a QA form 12A, use the message

format of Appendix B.

8.3.6 Numbering of Departures from Specification. All DFSs will be identified by a unique

sequential number issued by the affected ship. The sequential number will consist of the ship’s

designation and hull number, a hyphen, the sequential number portion, a hyphen, and the last two

digits of the year (e.g., SSN 674-13-90, CVN 70-30-94). DFSs already assigned a number under

another numbering system will be retained, as there is no intent to revise the numbers already

used. DFSs established using the Web Based eDFS program will use the numbering conventions

of those systems. Approved temporary departures requiring extension will not be assigned new

Departure numbers.

8.3.7 Submission and Approval of Departures from Specification. The activity finding or

causing a DFS will normally report the DFS to the appropriate approval authority using either a

QA form 12, a naval message or electronically using the eDFS program. The DFS Request will

be completed per the instructions. If unable to use QA form 12 or the electronic web based

programs, use the naval message request format of Appendix A.

NOTE: IN THE FOLLOWING SECTION, IF USING eDFS, WHEN IT IS DIRECTED

THAT THE QA FORM 12 IS SIGNED, AN ELECTRONIC SIGNATURE IS

IMPLIED. ISIC AND UNITS ASSIGNED TO TYCOMs UTILIZING THE

eDFS SYSTEM WILL SUBMIT DFSs TO THE TYCOM VIA THE eDFS

PROGRAM. THIS PROGRAM REQUIRES A USER IDENTIFICATION AND

PASSWORD SUPPLIED BY THE TYCOM. THE FOLLOWING PROCESSES

WILL BE EXECUTED UNDER THE eDFS PROGRAM USING THE

ELECTRONIC VERSION OF THE QA FORM 12 AND QA FORM 12A. THE

SIGNATURES WILL BE ONLY THE PRINTED NAME AND TITLE OF THE

INDIVIDUAL. SHIPS WITHOUT UNCLASSIFIED INTERNET ACCESS

MAY SUBMIT DFSs AND DFS CLEARANCES TO THE ISIC VIA A

MANUALLY PREPARED QA FORM 12 OR QA FORM 12A, THE STAND-

ALONE MS ACCESS DATABASE FORMAT OR MESSAGE FORMAT IF AT

SEA.

a. The Work Center Supervisor, Leading Petty Officer, Craftsman or Quality Assurance

Inspector will fill out the applicable portion of the QA form 12, ensuring the extent of

the DFS and the recommendation for repair and re-certification must be clearly and

completely stated, and deliver, after review by the cognizant division officer, to:

(1) For ship initiated DFS, the Ship’s QAO or in his or her absence the Ship’s

Duty Officer.

(2) For FMA initiated DFS, the FMA QAO or in his or her absence the FMA

Repair Duty Officer.

b. The QAO or designated representative will:

(1) Review the QA form 12 for technical adequacy, accuracy, and completeness.

(2) Determine the latest time the answer must be received in order to carry out the

ship’s schedule, obtain and enter the next consecutive number from the

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V-I-8-16

affected ship’s DFS log. For aircraft carriers, the numbering convention

assigned by the Web Based eDFS program when submitting the DFS will be

used.

(3) Deliver or forward to Department Head (ship) or Repair Officer (FMA).

c. For ship initiated DFS, Ship Department Head (in his or her absence Ship’s Duty

Officer) will:

(1) Review the QA form 12 for technical adequacy, accuracy, and completeness.

(2) Sign the QA form 12 and deliver or forward to the cognizant ISIC QAO (in his

or her absence ISIC Duty Officer).

d. For FMA initiated DFS, FMA Repair Officer (in his or her absence his or her

designated representative) will:

(1) Review the QA form 12 for technical adequacy, accuracy, and completeness.

(2) Sign the QA form 12 and deliver or forward it to the cognizant ISIC QAO (in

his or her absence ISIC Duty Officer).

e. For Depot initiated temporary waivers and deviations, responsible Depot personnel

will:

(1) Review the waiver or deviation for technical accuracy, adequacy, and

completeness.

(2) Prepare and electronically sign a QA form 12 via eDFS and deliver or forward

it to the cognizant ISIC representative QAO (in his or her absence the ISIC

Duty Officer) for review and concurrence prior to approval. For a DFS

initiated by a depot level activity, the ISIC will provide the JCN to the depot

level activity when requested. For carrier repair activities, eDFS will

automatically supply the next open DFS serial number. See paragraph

8.3.1g.(1) of this chapter for carriers and surface force ships and paragraph

8.3.1g.(2) of this chapter for submarines for a description of the current process

for assigning DFS serial numbers.

(3) The ISIC representative QAO will review and concur with the waiver or

deviation by signing the ISIC block of the QA form 12 or electronically

signing in eDFS prior to Depot approval and return the waiver or deviation to

the Depot. For temporary waivers and deviations, the ISIC representative will

contact the Ship’s Maintenance Planner or the Ship’s QAO for a JCN and a

Departure serial number (if required) prior to returning the waiver or deviation

to the Depot.

f. The cognizant ISIC QAO (in his or her absence his or her designated representative)

will:

(1) Review the QA form 12 for technical adequacy, accuracy, and completeness.

(2) Issue instructions regarding clearance and approve or disapprove and return

QA form 12 to the Department Head (Ship) or Repair Officer (FMA) for

action, filing in QA files, or both.

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(3) Deployed Ships ISICs will ensure parent ISIC is an information addressee on

all QA form 12s.

g. Approval or disapproval of a DFS by the TYCOM or NAVSEA will be noted on the

QA form 12.

h. Upon completion of corrective action, the DFS will be cleared by the ship using the

format of QA form 12A. The NAVSEA or TYCOM approval of a permanent repair

requires no further administrative action.

NOTE: DO NOT DELETE ANY INFORMATION FROM AN eDFS ITEM THAT HAS

RECEIVED TEMPORARY APPROVAL FROM EITHER THE ISIC, TYCOM

OR AUTHORIZED TECHNICAL AUTHORITY.

NOTE: THE ABILITY TO ADD COMMENTS TO AN APPROVED DFS IS LIMITED

BY THE ELECTRONIC SYSTEM’S ASSIGNED LEVEL OF ACCESS (I.E.,

ISICs CAN ADD COMMENTS ONLY TO THE ISIC PORTION OF THE DFS

FORM).

8.3.8 Departure from Specification Approval and Reporting for Ships While at Sea or at a Port

Without a Fleet Maintenance Activity.

8.3.8.1 Evaluation. The Commanding Officer will evaluate any DFS and approve the corrective

action to be taken including any necessary restrictions. The Commanding Officer will issue

directions regarding clearance and approve or disapprove the DFS and return the QA form 12 to

the Department Head for action, filing, or both. For any Commanding Officer approved DFS, a

report of the condition and intended action will be made at the first opportunity to the ship’s ISIC

or TYCOM utilizing either a naval message in the “EXACT” format of Appendix A or the eDFS

program.

8.3.8.2 Condition not Corrected. If the condition is not planned to be corrected or cannot be

corrected during the next inport period (a port with a fleet maintenance facility), the

Commanding Officer approved DFSs must be submitted to the applicable approval authority for

adjudication prior to getting underway.

a. (Submarines only) All departures must be adjudicated prior to the ship getting

underway.

b. (Aircraft Carriers and Surface Force Ships only) In the event the DFS evaluation is not

completed prior to the ship’s underway, the Commanding Officer approved DFS will

remain in effect until the evaluation is completed and disposition provided.

NOTE: AN EXTENDED DEPARTURE WILL NOT BE ASSIGNED A NEW

DEPARTURE NUMBER THAT CANCELS OR SUPERSEDES THE

ORIGINAL DEPARTURE NUMBER.

8.3.9 Extending a Temporary Departure. In the event that a departed condition will not be

corrected by the expiration date, the Ship’s QAO is responsible to submit the departure(s) to the

ISIC requesting an extension. The extension request will explain why the departure will not be

corrected. The extension request must be made sufficiently in advance to allow the evaluation

process to be completed before the expiration date. The Departure extension will be routed to

the same level of approval authority as the original Departure.

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a. Nonconformances are expected to expire. It is acceptable for nonconformances to

expire while the ship or Deep Submergence System (DSS) or Scope of Certification

(SOC) asset is in a scheduled availability except as listed here:

(1) Nonconformances must not be permitted to expire for equipment or systems

that are in operation or will be operated during the availability except:

(a) A ship is in a Chief of Naval Operations availability and the affected

system or component has been turned over to the Shipyard for

maintenance or operation.

(b) The system or component is entered into a formal test or test program

which control operation.

(2) Nonconformances associated with UROs must be approved and or extended

prior to submarine underway operations unless the submarine is repositioned

by tug or similar craft.

b. (Submarines, DSS and SOC assets only) Must not get underway with expired

nonconformances unless the submarine, DSS or SOC asset is repositioned by tug or

similar craft.

c. Extension requests via the eDFS program must be accomplished using the Request

Extension feature accessed by clicking the associated button at the top of the QA form

12 for the most recent approved active DFS extension. If allowed by the TYCOM,

changes to an existing nonconformance in the eDFS program may be accomplished by

submittal of an “UPDATE” as directed in paragraph 8.3.10.c of this chapter. All

changes to an existing nonconformance in the eDFS program that require NAVSEA

approval must be accomplished by submittal of a DFS extension.

8.3.10 Electronic Nonconformance Administration.

a. User access requires TYCOM or initiating agencies Point of Contact (POC) approval

for all levels of access.

b. All attachments to the electronic nonconformances are preferred to be in Adobe

Acrobat PDF format. If another format is used, ensure it is one that is readily

available on government computers, such as Microsoft Word or Excel format.

Nonconformances with attachments that cannot be opened by the ISIC or TYCOM

will be rejected.

c. Changes to an existing electronic nonconformance is normally accomplished by

submittal of an “UPDATE” to the QA form 12.

(1) Changes must be disseminated via an e-mail alert.

(2) Deletion of QA form 12s will not be supported. Clear or cancel QA form 12s

with a QA form 12A.

d. The DFS CLEARANCE STATUS entry block must contain a brief description and

status of the nonconformance (e.g., REPAIR GREASE DISTRIBUTION VALVE).

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e. Naval Sea Logistics Center (NAVSEALOGCEN) assistance is required to change an

archived nonconformance. NAVSEALOGCEN will use the following process to

change an electronic nonconformance:

(1) Database nonconformance changes (change to a QA form 12) will only be

accomplished if requested by the TYCOM or the initiating agencies POC.

(2) Archived nonconformances requiring changes which were signed by multiple

TYCOMS or multiple initiating agencies:

(a) Requires e-mail concurrence of all POC signatory users to the

nonconformance prior to NAVSEALOGCEN making database changes

or unarchiving the nonconformance (i.e., Supervisor of Shipbuilding,

TYCOM and NAVSEA signed QA form 12).

(b) If a nonconformance is unarchived to allow TYCOMs or agency users

to make changes, change will be accomplished per the requirement

cited in paragraph 8.3.10.c. of this chapter.

change per the requirement cited in paragraph 8.3.10.c. of this chapter.

(3) Archived nonconformances requiring change which were signed by a single

TYCOM or single initiating agency:

(a) Requires e-mail concurrence of the POC signatory user to the

nonconformance prior to NAVSEALOGCEN making database changes

or unarchiving the nonconformance (i.e., Supervisor of Shipbuilding,

TYCOM or NAVSEA signed QA form 12).

(b) If a nonconformance is unarchived to allow a TYCOM or agency user

to make changes, change will be accomplished per the requirement

cited in paragraph 8.3.10.c. of this chapter.

8.4 NUCLEAR COGNIZANT AREAS. Request for DFS for nuclear systems will be neither

requested nor approved. If a ship or FMA has a question, problem, or is unable to comply with

nuclear specifications, request for technical resolution will be made using a LAR. Formal

resolution of the LAR is required prior to reactor plant or propulsion plant startup.

8.4.1 Nuclear Powered Surface Ships. A memorandum of agreement exists between NAVSEA

Nuclear Propulsion Directorate (08) and NAVSEA PMS 312 or 335 that details the division of

responsibilities within the propulsion plants of nuclear powered ships. This may be useful to

Forces Afloat as an aid in directing inquiries and correspondence and has been distributed to all

nuclear surface ships as a NAVSEA letter Ser 08J/C90-5873, dated 7 AUG 90.

8.4.2 Reactor Plant Systems. If a nuclear powered ship or nuclear capable FMA is unable to

comply with specifications for reactor plant systems or components listed in enclosure (1) to

reference (j) and also those systems identified as nuclear by the appropriate nuclear or non-

nuclear interface diagram (references (b) and (c)), then a review of NAVSEA 08 requirements

must be requested. In general, technical resolution to questions or problems for reactor plant

systems or components requires use of a liaison inquiry according to the requirements of

references (b) and (c).

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8-20

a. References (b) and (c) provide the requirements on submission of LARs for nuclear

powered surface ships and submarines.

NOTE: LARs SUBMITTED MUST CONTAIN ALL INFORMATION REQUIRED BY

REFERENCE (b) AND REFERENCE (c) TO ENSURE A RAPID, ACCURATE

RESPONSE.

b. Reference (d) provides the requirements on submissions of LARs for nuclear support

facilities.

c. A LAR should not be submitted for cases of out of specification seat leakage of

nuclear valves after repairs. The Reactor Plant Planning Yard and Reactor Plant

Prime Contractors do not have the authority to waive valve leakage specifications.

When valve seat leakage exceeds reactor plant manual specification after attempted

Ship’s Force or FMA repairs, the following method may be used to defer rework and

close out the Controlled Work Package (CWP):

NOTE: THIS ALTERNATIVE TO SATISFACTORY COMPLETION OF RETEST IS

APPLICABLE ONLY TO VALVE SEAT LEAKAGE.

(1) The ship must inform TYCOM (via squadron or group for submarines) by

message with an info copy to NAVSEA 08. The message must include a

description of the initial problem, repairs conducted, seat leakage rate, leak

specification, dates of next availability, status of the following sub-paragraphs

(2) through (5), and request for authorization to continue operation with out-of-

specification seat leakage.

(2) All hydrostatic and tightness test requirements must be satisfactorily

completed.

(3) All other portions of the CWP must be properly completed.

(4) A new maintenance deferred action must be submitted to the ISIC for repair of

the valve seat leakage at the next FMA availability.

(5) The valve seat leakage must not constitute an operational problem (for

submarines, Group or Squadron’s determination and justification statement

required).

(6) Based on Ship’s justification statement, TYCOM will respond by message to

all concerned regarding deferral of corrective maintenance. After satisfactory

final review, closeout of the CWP can be made with an approved deferral of

corrective maintenance in lieu of a satisfactory seat leakage test.

d. A liaison action file, with a sequential index and containing all submitted Nuclear

LARs, must be maintained by the originating activity. The file must contain a copy of

LARs submitted. A copy of the liaison action must be kept with liaison requests in the

Answered LARs section and in the CWP or Formal Work Package if applicable.

e. Request for DFS for nuclear systems will be neither requested nor approved. If a ship,

FMA or shipyard has a question, problem or is unable to comply with nuclear

specifications, request for technical resolution will be made using an LAR or Trouble

Record.

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8-21

8.4.3 Propulsion Plant Systems (Aircraft Carriers only). If a ship or FMA has a question,

problem or is unable to comply with non-nuclear specifications, technical assistance is available

from the Propulsion Plant Engineering Activity (PPEA). The PPEA was formed to provide an

additional technical resource for assisting operational aircraft carriers with technical or

operational issues not associated with Ship Alteration installation and configuration control.

PPEA Liaison services are requested using the Steam Plant Action Request (SPAR). The SPAR

allows the Fleet and overhaul activities to submit requests to the PPEA for technical assistance

on non-Ship Alteration related issues; the SPAR is not intended to replace the LAR process

described in this chapter or non-nuclear LARs submitted to the Hull Planning Yard per reference

(k). The PPEA can request information, disseminate technical information associated with the

Steam Plant to the Fleet or overhaul activities, or direct work that does not require a drawing

change or affect system configuration control using the Steam Plant Liaison Inquiry. Procedures

for preparing SPARs are discussed in reference (c).

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07 Nov 2023

V-I-8A-1

APPENDIX A

DEPARTURE FROM SPECIFICATION REQUEST MESSAGE FORMAT

RTTUZYUW RUCBSRF0001 DDHHMM-UUUU--RUCBSUU.

ZNR UUUUU

R DDHHMMZ MMM YY ZYB

FM (COMMAND REQUESTING DFS)//

TO ISIC/TYCOM// (NOTE 1)

NAVSEALOGCEN MECHANICSBURG PA//

INFO COMNAVSEASYSCOM WASHINGTON DC// (NOTE 2 and 3)

ISIC//

COGNIZANT IMA//

SHIP//

SUBMEPP PORTSMOUTH NH//(URO PROGRAM MANAGER)// (NOTE 4)

PEO CARRIERS (AS APPLICABLE FOR CARRIERS)//

PEO THEATER SURFACE COMBATANTS (AS APPLICABLE FOR COMBATANTS)//

PEO EXW (AS APPLICABLE FOR AUXILIARIES, LITTORALS AND PATROL CRAFT)//

PEO MUW (AS APPLICABLE FOR MINE WARFARE)//

NAVSPECWARCOM (WHEN DDS IS INSTALLED)//

UNCLAS (OR CLAS)//N04855//

MSGID/GENADMIN/ (COMMAND REQUESTING DFS)/0000/FEB//

SUBJ/DFS REQUEST FOR (SHIP AND HULL NUMBER AND DEPARTURE NUMBER

ASSOCIATED WITH (COMPONENT/SHORT DESCRIPTION))/(NOTE 5)//

OR FOR A CO APPROVED DEPARTURE

NOTIFICATION OF COMMANDING OFFICER APPROVED DFS (SHIP AND HULL

NUMBER AND DEPARTURE NUMBER ASSOCIATED WITH (COMPONENT/SHORT

DESCRIPTION))/(NOTE 5)//

REF/A/DOC/COMUSFLTFORCOMINST 4790.3// (NOTE 6)

POC//

AMPN/REF A IS THE JOINT FLEET MAINTENANCE MANUAL// (NOTE 7)

NARR//(NOTE 7)

RMKS/1. DFS NUMBER:

2. SHIP & HULL NUMBER:

3. JCN:

4. CWP NUMBER:

5. DATE OF DFS:

6. ORIGINATOR:

7. DEPARTURE TYPE

A. MAJOR:

B. MINOR:

C. SUBSAFE:

D. SOC:

E. URO:

F. FBW:

G. SFCC:

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8A-2

APPENDIX A

8. DEPARTURE CLASSIFICATION

A. DEVIATION:

B. WAIVER:

C. FBWDR:

9. SYSTEM/COMPONENT/LOCATION/ESWBS:

10. NAVSEA DRAWING/PLAN NUMBER/PIECE NUMBER:

11. REFERENCES:

12. APPLICABLE SPECIFICATIONS:

13. SITUATION/DEGREE OF NON-COMPLIANCE: (NOTES 8, 9 AND 10)

14. COMMENTS/RECOMMENDATION:

15. DATE ANSWER REQUESTED BY:

16. SUBMITTING ACTIVITY:

17. NEW JCN:

18. CO APPROVED DFS:

DECL: ODAR//

NOTE: ENSURE MESSAGES ARE PER CURRENT MESSAGE FORMAT AND

CURRENT PLAIN LANGUAGE ADDRESS DIRECTORY (PLAD) IS

UTILIZED.

NNNN

NOTES:

1. Office codes for TYCOMs are: COMNAVAIRLANT N43/N9; COMNAVAIRPAC N434;

COMNAVSURFLANT N434; COMNAVSURFPAC N434;

COMNAVSURFLANT/AIRLANT SNPMTT N02NB; COMNAVSURFPAC N434 AND

COMNAVAIRPAC N9/N434; PACIFIC FLEET CVNs – COMNAVAIRPAC N9/N434;

COMNAVSURFLANT N434 AND COMNAVAIRLANT N9/N43; ATLANTIC FLEET

CVNs - COMNAVAIRLANT N9/N43; COMSUBLANT N4322; COMSUBPAC N4,

N4322.

2. Office codes for NAVSEA are: PMS 392 and SEA 07TC (All SSN and SSBN/SSGN); PMS

390N (DEEPSUBM and DDS); OOC (DDS and DLSS). For URO related DFS, also include

the appropriate NAVSEA codes listed in the URO MRC.

3. Include NAVSEA 07Q for informational purposes on all SUBSAFE DFS messages. Include

the applicable Program Manager at NAVSEA for informational purposes on all SOC DFS

messages. Include the NAVSEA 07T for informational purposes on all Fly-By-Wire Ship

Control System (FBW SCS) DFS messages.

4. Include SUBMEPP only on URO related DFS.

5. Comply with current annotation and declassification requirements for classified messages.

6. Year/Month/Day.

7. Enter date of latest revision.

8. When non-approved parts are used, identify part by NSN, Mil Spec, drawing and piece

number and MIC level.

9. When DFS is the result of part non-availability, identify APL and NSN or drawing and piece

number and state that the part is not available until (year, month, day) or unknown.

10. Where new welded or brazed pipe joints are added, state the welding or brazing procedure

used. State the NDT procedure(s) used (if applicable). State completed, or to be completed

tests.

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07 Nov 2023

V-I-8A-3

APPENDIX A

INSTRUCTIONS:

1. From Line - Command requesting or submitting the DFS.

2. To Line - List the respective ISIC, TYCOM and NAVSEALOGCEN Mechanicsburg PA.

(see note 1)

3. Info Line - Any additional activities that should receive a copy of this DFS message. (see

notes 2, 3 and 4)

4. Subject Line - Must include one of the following:

For a standard DFS request, the subject line will start out with:

DFS REQUEST FOR (SHIP’S NAME AND HULL NUMBER, THE DEPARTURE NUMBER

ASSOCIATED WITH THE REQUEST, THE COMPONENT AND SHORT DESCRIPTION)

For a notification of a CO approved DFS the subject line will start out with:

NOTIFICATION OF COMMANDING OFFICER APPROVED DFS (SHIP’S NAME AND

HULL NUMBER, THE DEPARTURE NUMBER ASSOCIATED WITH THE

NOTIFICATION, THE COMPONENT AND SHORT DESCRIPTION)

5. Reference Line - List all required references. (see note 6)

6. AMPN Line - Used if only one reference is listed. (see note 7)

7. NARR Line - Used if there are two or more references listed. (see note 7)

8. RMKS Section - Must be completed exactly as shown here:

NOTE: THE COLONS MUST BE INSERTED EXACTLY AS SHOWN.

RMKS/1. DFS NUMBER: (enter the next sequential DFS number from the ship’s DFS log.

Note, this number may be changed during the input process due to previously entered

departures that were entered prior to receipt of this message)

2. SHIP & HULL NUMBER: (enter the ship’s name and hull number)

3. JCN: (enter JCN of task that resulted in a discrepant condition or the lack of compliance)

4. CWP NUMBER: (enter the CWP serial number if a CWP was used or mark N/A if no

CWP used)

5. DATE OF DFS: (enter the date the DFS was initiated)

6. ORIGINATOR: (name of person initiating the DFS)

7. DEPARTURE TYPE (at least one item under departure type will be YES. For submarines

a yes will be entered by SUBSAFE, SOC, FBW and SFCC as needed)

A. MAJOR: (enter either YES or leave blank)

B. MINOR: (enter either YES or leave blank)

C. SUBSAFE: (enter either YES or leave blank)

D. SOC: (enter either YES or leave blank)

E. FBW: (enter either YES or leave blank)

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8A-4

APPENDIX A

F. SFCC: (enter either YES or leave blank)

8. DEPARTURE CLASSIFICATION (either DEVIATION or WAIVER will have a YES after

it. FBWDR will be followed by YES if applicable for submarines)

A. DEVIATION: (enter either YES or leave blank)

B. WAIVER: (enter either YES or leave blank)

C. FBWDR: (enter either YES or leave blank)

9. SYSTEM/COMPONENT/LOCATION/ESWBS: (enter the system/component affected,

location and ESWBS if known)

10. NAVSEA DRAWING/PLAN NUMBER/PIECE NUMBER: (enter the NAVSEA

drawing number, plan number and piece number)

11. REFERENCES: (enter applicable references)

12. APPLICABLE SPECIFICATIONS: (enter the applicable specifications citing the

reference from block 11. Be descriptive and specific. Enter the reference that provided the

specification. This block should fully explain the specifications and include the Job

Identification Number or part applicable (e.g., perform “J” pressure test to test pressure

depth after mechanical assembly of joints “XXXX” in which software was replaced). This

block must be explicit, so that no reference is required to the work procedure to understand

the specifications.)

13. SITUATION/DEGREE OF NON-COMPLIANCE: (enter what the actual condition is.

(enter qualitative/quantitative deviation description from block 12 including variations based

on ship’s conditions.) Sketches, drawings, QA forms, etc., may be attached, if they clarify the

description of the non-conforming condition.)

14. COMMENTS/RECOMMENDATION: (enter justification, course of action, tests

conducted, affected systems, ECD (if known))

15. DATE ANSWER REQUESTED BY: (MMDDYYYY enter the month, day and year that

an answer to the DFS request is required by. For a Notification of a CO Approved DFS

leave blank, no date is required)

16. SUBMITTING ACTIVITY: (enter the name of the activity submitting the departure)

17. NEW JCN: (enter the JCN that will be used to correct the non-compliance or discrepant

condition)

18. CO APPROVED DFS: (enter either YES (if this is a Notification of a CO Approved

DFS) or leave blank)

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8B-1

APPENDIX B

DEPARTURE FROM SPECIFICATION CLEARANCE OR CANCELLATION REPORT

MESSAGE FORMAT

RTTUZYUW RUCBSRF0001 DDHHMM-UUUU--RUCBSUU.

ZNR UUUUU

R DDHHMMZ MMM YY ZYB

FM (COMMAND REQUESTING DFS CLEARANCE/CANCELLATION)

TO ISIC/TYCOM//(NOTE 1)

INFO COMNAVSEASYSCOM WASHINGTON DC//(NOTE 2)

ISIC//

COGNIZANT IMA//

SHIP//

SUBMEPP PORTSMOUTH NH//(URO PROGRAM MANAGER)//(NOTE 3)

PEO CARRIERS (AS APPLICABLE FOR CARRIERS)//

PEO THEATER SURFACE COMBATANTS (AS APPLICABLE FOR COMBATANTS)//

PEO EXW (AS APPLICABLE FOR AUXILIARIES, LITTORALS AND PATROL CRAFT)//

PEO MUW (AS APPLICABLE FOR MINE WARFARE)//

NAVSPECWARCOM (WHEN DDS IS INSTALLED)//

UNCLAS (OR CLAS)//N04855//

MSGID/GENADMIN/(REQUESTING COMMAND)/0000/FEB//

SUBJ/MAJOR DFS (TYCOM NUMBER) FOR (COMPONENT/SHORT DESCRIPTION) ON

(SHIP AND HULL NUMBER)/DFS NUMBER/(NOTE 4)/(*)//

REF/A/DOC/COMUSFLTFORCOMINST 4790.3//(NOTE 5)

REF/B/GENADMIN/ORIGINATOR OF DFS/DTG//

REF/C/GENADMIN/ORIGINATOR OF DFS APPROVAL/DTG//

REF/D/GENADMIN/-/DTG// (USE AS APPROPRIATE)

POC//

AMPN/REF A IS THE JOINT FLEET MAINTENANCE MANUAL//(NOTE 6)

RMKS/ 1. PER REF A REQUEST THE FOLLOWING DFS BE CLEARED FOR USS <SHIP

NAME/HULL NO>:

DFS NO. DESCRIPTION JUSTIFICATION

766-012-02 DSW-5 DEEP DIVE SAT

766-013-02 STBD IMPULSE TK DEEP DIVE SAT

2. CLEAR(CANCEL) SUBJECT DFS. REFS A, B, C AND D REFER.//

DECL: ODAR//

NOTE: ENSURE MESSAGES ARE PER CURRENT MESSAGE FORMAT AND

CURRENT PLAD IS UTILIZED.

NOTES

1. Office codes for TYCOMs are: COMNAVAIRLANT N43/N9; COMNAVAIRPAC N43;

COMNAVSURFLANT N434; COMNAVSURFPAC N434; COMNAVSURFLANT/AIRLANT

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-8B-2

APPENDIX B

SNPMTT N02NB; COMNAVSURFPAC N434 AND COMNAVAIRPAC N9/N432N;

PACIFIC FLEET CVNs - COMNAVAIRPAC N9/N432N/N432; COMNAVSURFLANT N434

AND COMNAVAIRLANT N9/N43; ATLANTIC FLEET CVNs - COMNAVAIRLANT

N9/N43; COMSUBLANT N4322; COMSUBPAC N4, N4322.

2. Office codes for NAVSEA are: SEA 07TC (All SSN and SSBN/SSGN); PMS 390N -

(DEEPSUBM and DDS); OOC (DDS and DLSS). For URO related DFS, also include the

appropriate NAVSEA codes listed in the URO MRC. Include the NAVSEA 07T for

informational purposes on all Fly-By-Wire Ship Control System (FBW SCS) DFS messages.

3. Include SUBMEPP only on URO related DFS.

4. Subject line should be identical to subject line of TYCOM approval message.

5. Year/Month/Day.

6. Enter date of latest revision.

(*) Comply with current annotation/declassification requirements for classified messages.

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

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V-I-9-1

VOLUME V

PART I

CHAPTER 9

AUDITS, SURVEILLANCE, EVALUATIONS AND ASSESSMENTS

REFERENCES.

(a) NAVSEA ST700-AM-GYD-010 - Metrology and Calibration (METCAL) Laboratory

Requirements and Certification Guide

(b) NAVAIR 17-35QAL-15 - Naval Aircraft Carrier and Amphibious Assault Ships

Metrology and Calibration (METCAL) Program Manual

(d) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(e) NAVSEAINST 4790.23 – Baseline Project Management Plan, Improved Planning and

Execution for SSN/SSBN Class Depot Level CNO Submarine Availabilities

LISTING OF APPENDICES.

A Vertical Audits

B Horizontal Audits

C Surveillances

D Submarine Quality Assurance Assessment Evaluation Criteria

E Quality Assurance Audit, Assessments and Surveillance Discrepancy Form

9.1 PURPOSE. Provide requirements, procedures, and criteria for audits, surveillance,

evaluations and assessments of the Fleet Quality Assurance (QA) Program.

9.2 GENERAL. Command evaluation is necessary in order to ensure that positive and effective

corrective actions are determined and taken in any deficient areas. Audit, surveillance,

evaluation and assessment programs are objective and constructive evaluations of the quality,

effectiveness and efficiency with which repairs are being accomplished. The purpose of these

programs is to determine the activity’s compliance with established directives and to serve as

tools to reduce rework, improve efficiency and produce permanent improvement in operational

readiness. The internal audit and surveillance program must be flexible and dynamic. Specific

grooming, concentrating on any recent problems, should be done on a regular basis to increase

the benefit of the audit or surveillance. Infrequent repair efforts, components which have

repetitive failures, first time repair efforts or time critical work are excellent examples of the

types of jobs where extra monitoring could prove most beneficial. Guides used should lend

themselves to evaluate recent command or division issues. Involvement of the highest levels of

the command is essential to a highly effective program. QA form 14 can be a valuable tool to

accomplish the tracking of corrective actions.

9.2.1 Audits. Audits are an internal systematic comparison of records and requirements to

ensure compliance with technical and administrative requirements. Different types of audits may

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

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V-I-9-2

be performed depending on the area to be audited and the purpose of the audit. The audit

categories are:

a. Vertical Audit. These audits review all aspects of one repair or maintenance action.

They track the system or component task from start to finish. This is done by

verifying all aspects of the technical, material, process and documentation

requirements associated with the work. These audits include attributes covering the

entire spectrum of the task (e.g., training and qualification of personnel, technical and

production requirements, cleanliness, material control). Appendix A provides

guidelines for the preparation and conduct of vertical audits.

b. Horizontal Audit. These audits are conducted on only one specific area or aspect of

the QA program (e.g., Re-Entry Control (REC), welding, training, qualification, and

testing). They focus on the particular area and do not track a job from start to finish.

Appendix B provides guidelines for preparation and conduct of horizontal audits.

9.2.2 Surveillance. Surveillance involves observation of actual work in progress or specific

areas of concern. Appendix C provides general guidance for the preparation and conduct of a

surveillance.

9.2.3 Evaluation. Evaluations provide the Commanding Officer with an internal review of the

overall adequacy and effectiveness of the QA program.

9.2.4 Assessments. Assessments are an external programmatic review of processes to ensure

compliance with parent directives. Assessments are normally conducted by the Command’s

Immediate Superior In Command (ISIC) with participation of other commands, as determined by

the ISIC.

9.2.5 Key Elements. Fleet Activities will use, as a minimum, the following key elements to

assure the effectiveness of their audit or surveillance program.

a. Conduct training on techniques for preparation, execution and the evaluation of

findings prior to conducting an audit or surveillance for the first time.

b. Development and use of attribute sheets and guides. These should be based on key

attributes from the source documents and are not meant to limit the scope of the

review.

c. Selective use of QA form 14. QA form 14 is an effective tool to document and track

those deficiencies that require further investigation and programmatic evaluation.

Deficiencies that are minor in nature, or that do not indicate a weak area in the ship’s

or Fleet Maintenance Activity’s (FMA) QA program, should be documented in the

audit or surveillance conducted along with corrective action taken.

NOTE: CORRECTION OF SOME DEFICIENCIES ASSOCIATED WITH THE

AUDITS OF RECORDS FOR CONTROLLED WORK MAY RESULT IN

REWORK.

d. Develop a thorough review process focusing on audit and surveillance deficiencies to

identify adverse trends and recurring deficiencies.

9.2.6 Record Retention. The retention of records for audits and surveillance will be per Part I,

Chapter 10 of this volume.

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V-I-9-3

9.3 RESPONSIBILITIES AND PROCEDURES.

NOTE: THE WELDER REQUIREMENTS OUTLINED IN THIS CHAPTER ARE FOR

PRODUCTION WELDERS ONLY AND DO NOT APPLY TO SUBMARINE

NUCLEAR PROPULSION PLANT OPERATOR WELDERS (NEC Code 3351

and 3361).

9.3.1 Ship’s Force Audits, Surveillance and Evaluation Program.

a. Ship’s Force personnel will conduct internal QA Audit and Surveillance as scheduled

by the Quality Assurance Officer (QAO) as part of the ship’s overall monitoring

program. This program should focus on in-process controlled work and must use the

guidance of Appendices A, B and C. QA form 14 should be used to document and

track those deficiencies that require further investigation and programmatic

evaluation. Minor deficiencies which do not affect certification of a component or

system or the nature of the finding does not warrant specific follow up action, may be

entered into a deficiency-tracking system for trend analysis or corrected without causal

analysis or long-term corrective action unless recurring in nature.

b. Ship’s Force will schedule and conduct the following audits:

(1) Annual audits to be conducted:

(a) Material control.

(b) QA Audit and Surveillance program.

(d) QA records and record retention.

(e) Departure from Specification (DFS).

(f) Cleanliness controls to include:

1 Training and qualification.

2 Local directives.

(g) Technical documentation availability and controls.

(h) Shipboard calibration facilities. (Aircraft Intermediate Maintenance

Department calibration facilities only.)

(i) (Submarines only) Submarine Safety (SUBSAFE), REC, Fly-By-Wire

(FBW) and Scope of Certification (SOC) program compliance.

(j) (Submarines only) Unrestricted Operation (URO) Maintenance

Requirement Card (MRC) Program.

(2) Perform a closeout audit.

(a) Perform a closeout vertical audit of all Controlled Work Packages

(CWP) on a quarterly basis, except RECs, when not in a Chief of Naval

Operations availability.

(b) Perform a post closeout audit of all RECs within 60 days following

COMUSFLTFORCOMINST 4790.3 REV D CHG 2

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V-I-9-4

availability completion or within 60 days of work completion if work

was not accomplished in availability.

(3) Written audit guides must be used for each audit. The QAO will develop audit

guides for all audits. The audit guides should be tailored and customized for

the specific organization or area being audited. One successful technique is to

acquire a collection of audit findings from previous audits or other ships and

incorporate these into the audit guides.

(4) All audits should be conducted on an annual basis unless a shorter period is

specified. Those areas identified as weak should be audited more frequently.

The periodicity of these audits must be adjusted by the QAO based upon the

results of previous audits or surveillance.

(5) Maintain an auditable record of the most current Job Control Number to DFS

verification.

c. Administer an aggressive QA surveillance program to ensure compliance with all QA

requirements and to support work process improvements. The surveillance program

must include the following elements:

(1) Surveillance of in-process work of all types.

(2) Surveillance of shipboard calibration facilities.

(3) Surveillance of all work center controlled material storage areas at a minimum

frequency of semi-annually. This surveillance must be conducted by a

qualified CMPO, QAI, QAS, or QAO.

d. Report results of all audits and Surveillances to the Commanding Officer with copies

to the Executive Officer and cognizant Department Head or Division Officer.

e. Annually, the ship’s QAO will evaluate the effectiveness of the QA Audit and

Surveillance program. This reviews the results of the internal Audit and Surveillance

program to identify trends or areas requiring additional monitoring. It should also

review external inspections or monitoring deficiencies to determine if immediate and

permanent corrective actions have been effective or if additional surveillance is

required in a specific area.

f. (Submarines only). During Inactivation Availabilities, the ship may reach certain

milestones where assigned audits and surveillances become obsolete. After the

Inactivation Availability begins, the audits and surveillances required by section

9.3.1.b and 9.3.1.c of this chapter are no longer required when the milestones of

reference (e) Section V are met. When each required audit or surveillance is secured,

a letter, signed by the Commanding Officer or their designated representative, stating

that the milestone is met must be retained with the QA audit and surveillance records

until decommissioning.

9.3.2 Fleet Maintenance Activity Audit, Surveillance and Evaluation Program.

a. FMAs will schedule and conduct the following audits:

(1) Annual audits to be conducted:

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V-I-9-5

(a) Material control.

(b) QA audit and surveillance program.

(d) QA records and record retention.

(e) Cleanliness controls to include:

1 Training and qualification.

2 Local directives.

3 Facilities such as permanent oxygen clean work areas, oxygen

clean material storage areas and special clean or cleaning rooms

(except for oxygen clean instrument room).

(f) Technical documentation availability and controls.

(g) Test equipment (mechanical, electrical and electronic) control, issue,

receipt and maintenance.

(h) Audits of calibration facilities per references (a) and (b).

(i) (Submarine repairs only) Submarine Safety (SUBSAFE), REC, SOC

and FBW program compliance.

(2) Perform a post closeout audit of all CWPs.

(a) Perform a post closeout audit of all CWPs quarterly except RECs.

(b) Perform a post closeout audit of all RECs within 60 days following

availability completion.

(3) Written audit guides must be used for each audit. The FMA will develop audit

guides for all audits. The audit guides should be tailored and customized for

the specific organization or area being audited. One successful technique is to

acquire a collection of audit findings from other FMAs and incorporate these

into the audit guides.

(4) All audits should be conducted on an annual basis unless a shorter period is

specified. Those areas identified as weak should be audited more frequently.

The periodicity of these audits must be adjusted by the QAO based upon the

results of previous audits or surveillance.

(5) Report results of all audits to the Commanding Officer with copies to the

Repair Officer (Planning Officer at TRIDENT Refit Facilities) and cognizant

Department Head or Division Officer.

b. Administer an aggressive FMA QA surveillance program to ensure compliance with

requirements and to support FMA work process improvements. The surveillance

program must include the following elements:

(1) Surveillance of in-process work of all types.

(2) Surveillance of calibration facilities per references (a) and (b).

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c. Evaluations. The FMA QAO will conduct a semi-annual evaluation of the overall

adequacy and effectiveness of the FMA’s QA program.

(1) This evaluation should include the following areas:

(a) Findings of the annual internal audits.

(b) Results of the FMA’s internal surveillance program.

surveillance programs. Areas requiring additional monitoring should

be identified.

(d) A review of external inspections or monitoring deficiencies (ISIC,

Radiological Controls Practices Evaluation and Naval Reactors

Representative’s Office surveillance) that relate to the FMA QA

program or QA records.

(e) The previous semi-annual evaluation to determine the effectiveness of

corrective actions.

(f) Review of the last FMA assessment to check for recurring deficiencies

and effectiveness of corrective action.

(2) Results of this evaluation will be provided to the Repair Officer, Department

Head (Planning Officer at TRIDENT Refit Facilities) and Commanding

Officer.

NOTE: IN THE CASE OF SHIPS WITH MULTIPLE CREWS (SUCH AS LCS, SSBN

OR SSGN), ISIC APPENDIX D PROGRAM AREA EVALUATIONS MUST BE

SUBMITTED FOR EACH CREW VICE A SINGLE REPORT REQUIRED BY

THE TYCOM.

9.3.3 Immediate Superiors in Command Assessments, Audits, and Surveillance.

a. QA Program Assessment.

(1) ISICs must schedule and conduct a QA Program assessment in conjunction

with the Fleet Readiness Training Plan (or as determined by each Type

Commander (TYCOM)) of all assigned ships. This assessment will review

these areas:

(a) Vertical audit of CWPs, to include Level I, Submarine Flight Critical

Components per reference (d) and nuclear work (i.e., CWPs), as

applicable.

(b) Material identification and control, including procurement, receipt

inspection, marking, storage, issuing and in-process use.

(d) Metal fabrication, including welding, brazing, NDT qualification and

processes.

(e) DFS.

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(f) Cleanliness program.

(g) Audit and surveillance programs (to include QA-14 Binder).

(h) QA records and record retention.

(i) Effectiveness of corrective actions for previous audit findings.

(j) (Submarines only) SUBSAFE, SOC and FBW program compliance, to

include REC exceptions.

(k) (Submarines only) URO MRC Program.

(2) (Submarines only) Assessments will be evaluated using the criteria provided in

Appendix D. Electronic copies of the assessment reports will be forwarded to

the TYCOM. Submission of the assessment may be via e-mail with

appropriate cover letter.

(3) (Surface Force Ships) Copies of the assessment reports will be forwarded to

the TYCOM noting completion of assessment as satisfactory with findings

documenting corrective action taken or proposed corrective action or

corrective action required to be taken by the TYCOM or higher authority.

b. ISICs will conduct the following additional periodic audits and surveillance:

(1) Conduct periodic monitoring of Ship’s Force controlled work and QA program

on all assigned ships during maintenance periods.

(a) Perform at least one surveillance during each refit, upkeep or FMA

availability.

(b) Conduct monitoring during industrial availabilities.

(2) Conduct monitoring of assigned FMA’s QA. This monitoring will include:

(a) Review of work procedures including opening and closing practices.

(b) Monitoring of in progress work both on tended ships and in FMA work

centers.

c. (Submarines only) Additional ISIC Requirements.

(1) On completion of a Selected Restricted Availability (SRA), Pre-Inactivation

Restricted Availability (PIRA), Major Maintenance Period (MMP), Extended

Refit Period (ERP), Docking Phased Maintenance Availability (DPMA) or

Interim Drydocking (IDD), the ISIC will conduct an audit to include the

following:

(a) Conduct a 100% audit of CWPs for SUBSAFE work accomplished by

Forces Afloat (FMA and Ship’s Force).

(b) Conduct an audit of UROs assigned to Forces Afloat (Ship’s Force and

the FMA) by the Availability Work Package (AWP) and ensure all

URO MRCs have been satisfactorily completed and documented within

the required periodicity. Verify that all URO MRC items coming due

within six months of availability completion are complete or assigned

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to a follow-on fleet availability. ISICs are not responsible for auditing

UROs assigned to the depot in the AWP.

NOTE: UPON COMPLETION, PROVIDE THE SHIP’S COMMANDING OFFICER

AND THE FMA COMMANDING OFFICER A COPY OF THE RESULTS

FROM THE REVIEWS CONDUCTED PER PARAGRAPH 9.3.3 OF THIS

CHAPTER AND IDENTIFY ANY DEFICIENCY THAT MUST BE

CORRECTED OR RESOLVED PRIOR TO UNDERWAY. REPORT

SIGNIFICANT DEFICIENCIES TO THE TYCOM.

(2) For submarines scheduled to and undergoing a Post Shakedown Availability

(PSA), Depot Modernization Period (DMP), Extended Docking Selected

Restricted Availability (EDSRA), Engineered Overhaul (EOH), Engineered

Refueling Overhaul (ERO), Refueling Overhaul (RFOH) or Regular or

Refueling Overhaul (ROH), the following audits will be performed:

(a) Vertical audits of all Forces Afloat (including FMA) CWPs done since

commencement of the PSA, DMP, EDSRA, EOH, ERO, RFOH or

ROH prior to cold operations and prior to Fast Cruise. CWPs audited

for cold operations do not have to be re-audited for Fast Cruise. These

audits must be done sufficiently early to avoid impact on the PSA,

DMP, EDSRA, ERO, EOH, RFOH or ROH schedule. If deemed

necessary by the ISIC or based on the amount of Forces Afloat work,

the ISIC may conduct vertical audits prior to other Key Events (e.g.,

hot operations, criticality, undocking).

(b) Prior to commencement of Fast Cruise for the PSA, DMP, EDSRA,

EOH, ERO, RFOH or ROH conduct an audit of the following:

1 Conduct an audit of UROs assigned to Forces Afloat (Ship’s

Force and the FMA) by the AWP and ensure all URO MRCs

have been satisfactorily completed and documented within the

required periodicity. Verify that all URO MRC items coming

due within six months of availability completion are complete

or assigned to a follow-on fleet availability. ISICs are not

responsible for auditing UROs assigned to the depot in the

AWP.

2 All outstanding Forces Afloat DFS.

3 Verify any non-conformance of a temporary nature has been

correctly resolved per Part I, Chapter 8 of this volume.

(3) The ISIC will perform a Submarine Operating Cycle Extension Assessment of

each submarine per reference (c) when required by TYCOM.

NOTE: THE ISIC IS ONLY RESPONSIBLE TO AUDIT FBW WORK PERFORMED

BY FORCES AFLOAT OR TYCOM MANAGED ACTIVITIES.

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(4) Conduct a 100% audit if Upgrades, Alterations or Major Repair Work of the

FBW system were performed. Use the FBW message reporting process for

certification specified in Volume II, Part I, Chapter 3 of this manual for

availabilities of less than six months duration.

9.3.4 Type Commander Assessments. TYCOM QA Assessments of ISICs, where applicable,

and submarine maintenance FMAs will be conducted annually, not to exceed 18 months.

Assessments by TYCOMs will be accomplished concurrently with FMA assessments, explained

in Volume IV, Chapter 2 of this manual, when scheduled in the same calendar year.

Assessments will include review of the following areas as applicable:

a. Level I, Submarine Flight Critical Components per reference (d) and nuclear work

(i.e., CWPs).F

b. Material identification and control including procurement, receipt inspection, marking,

storage, issuing, and in-process use.

c. Qualification and training of QA personnel.

d. (FMA Only) Metal fabrication including welding, brazing, NDT, qualification, and

processes.

e. DFS program.

f. Cleanliness program.

g. Audit and surveillance program.

h. QA records and record retention.

i. Effectiveness of corrective actions for previous audit findings.

j. (Submarines only) SUBSAFE, REC, SOC and FBW program compliance.

k. (Submarines only) URO MRC program.

9.4 REPORTING AUDIT, SURVEILLANCE AND ASSESSMENT RESULTS AND

CORRECTIVE ACTION.

NOTE: WHEN REPEAT FINDINGS ARE NOTED, THE AUDITOR MUST DECIDE

IF ROOT CAUSE ANALYSIS IS REQUIRED FOR THE SPECIFIC

DEFICIENCY.

9.4.1 Reporting Requirements for External Audits, Surveillances and Assessments. Each Audit,

Assessment and Surveillance Report finding should be a concise statement of the situation,

complete to the extent that it will stand on its own as a summary of the condition. It should

include the requirement for immediate corrective action where such action is indicated. In the

event the finding is not a direct violation of a requirement or the nature of the finding does not

warrant specific oversight from the auditing activity, yet it offers room for process improvement,

no official response is required. These findings are offered to commands as a tool to improve

their processes. Such findings will be clearly identified in the audit report reflecting that no

official response is required. A discussion should generally be included to amplify the nature of

the finding. If not included in the finding, identify positively what directives were violated.

TYCOM, ISIC audit, assessment or surveillance findings will be reported using the format of

Appendix E. The TYCOM or ISIC cover letter forwarding the QA Audit, Assessment or

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Surveillance Discrepancy forms (Appendix E) will include a summary of all areas. When repeat

findings are noted, the effectiveness of the corrective action taken in response to previous audits

should be addressed.

a. Ship’s Force will provide a report to the ISIC of completed corrective action, proposed

corrective action and schedule of accomplishment within 60 days of receipt of the

ISIC Official Audit, Assessment or Surveillance Report. Specifically, the Ship’s

Force report must:

(1) For individual findings that require immediate corrective action, include a root

cause, causal analysis, immediate corrective action and permanent corrective

action.

(2) For areas evaluated as weak (i.e., Below Standards) or areas where repeat

findings indicate that previous corrective action was not effective include:

(a) A discussion of the fundamental root causes.

(b) A discussion of action taken to correct the causes and an evaluation of

the effectiveness of this action.

successful in improving any area where repeat findings indicate that

previous corrective action was not effective.

(3) For all other individual findings requiring an official response, include, at a

minimum, a permanent corrective action taken to correct the deficiency.

b. (Submarines and Submarine Repair Activities) For immediate corrective action items

(items that must be corrected prior to certain operations):

(1) (Within the SUBSAFE Boundary) The immediate corrective action must be

complete and verified with the ISIC prior to the ship’s next underway for

submerged operations or within 15 days of receipt of the ISIC Official Audit,

Assessment or Surveillance Report, whichever is sooner. All deficiencies

which affect certification must be categorized as “IMMEDIATE

CORRECTIVE ACTION”.

(2) (Within the SOC Boundary) The immediate corrective action must be clearly

identified as to whether it must be completed prior to manned operations

whether in-port or at-sea, or prior to unmanned operations at-sea or within 15

days of receipt of the ISIC Official Audit,

Assessment or Surveillance Report, whichever is sooner. This may require

discussions with the Program Manager or the System Certification Authority

(SCA). The corrective action must be complete and verified with the ISIC

prior to the operation being conducted that was restricted.

(3) (Within the Level I Boundary) The immediate corrective action must be

clearly identified as to what system operation restrictions must be in place

prior to the completion of the corrective actions. The corrective action must be

complete and verified with the ISIC prior to the operation of the system if

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restricted or prior to at-sea operations or within 15 days of receipt of the ISIC

Official Audit, Assessment or Surveillance Report, whichever is sooner.

(4) (Within the FBW Boundary) The immediate corrective action must be

complete and verified with the ISIC prior to the ship’s next underway for

surfaced or submerged operations or within 15 days of receipt of the ISIC

Official Audit, Assessment or Surveillance Report, whichever is sooner. All

deficiencies which affect certification must be categorized as “IMMEDIATE

CORRECTIVE ACTION”.

c. FMAs will provide a report to TYCOM via ISIC (if applicable) on completed

corrective action, assessment of root cause, proposed permanent corrective action, and

schedule of accomplishment within 60 days of receipt of the TYCOM QA Audit,

Assessment or Surveillance Official Report. Those items determined to need

immediate correction should be addressed on a case basis. No official response is

required for those items indicated as not requiring a response.

d. Naval Sea Systems Command (NAVSEA) Deep Submergence System and SOC

Surveys. Findings for Deep Submergence System and SOC Surveys are reported per

Part III paragraphs 9.3.4.2 or 9.3.6.3 of this volume, as applicable. Survey findings

will be formally forwarded to the Sustaining Activity via the ISIC and an

informational copy to the respective TYCOM and maintenance activity, as applicable.

The Sustaining Activity response will be provided to the SCA via the operational

chain of command. Survey findings to allow manned operations will be processed as

indicated here:

(1) When action identified by a specific card has been completed, a brief summary

of the corrective action must be written on the card and the card must be signed

by the Command responsible for the corrective action. All applicable

Objective Quality Evidence (OQE) documenting the corrective action taken

must be attached to the signed card and forwarded to the SCA via the ISIC and

an informational copy to the respective TYCOM.

(2) For Category 1A, Category 1B and applicable Category 1C findings affecting

manned operations, the corrective action must be completed and verified with

the SCA prior to manned operations whether in-port or at-sea, or prior to

unmanned operations at-sea, or within 30 days of receipt of the Official

NAVSEA Survey Report, whichever is shorter.

(3) For all other findings, the Sustaining Activity will provide a report to

NAVSEA, via the ISIC, of completed corrective action, proposed corrective

action and schedule of accomplishment within 60 days of receipt of the

Official NAVSEA Survey Report.

9.4.2 Correcting Deficiencies in Certified Controlled Work Packages or Objective Quality

Evidence Records. Deficiencies identified in OQE of certified (closed) CWPs or OQE records

(such as retained for REC exceptions) require action to update or correct the OQE to support

continued certification of the system. No changes are permitted to a certified CWP, the certified

supporting documents listed on the Maintenance Certification Record/REC or certified OQE

record except as noted below. Additional OQE that is generated to clarify the certified

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documents can include providing additional administrative information to clarify the OQE

documentation, re-performance of the maintenance or performance of certification testing. The

CWP OQE record must be annotated to associate the additional information to the document(s).

a. A QA form 14 must be generated for each OQE deficiency identified. Each QA form

14 must identify the deficiency, root cause and corrective action required or

completed. The corrective action taken must clearly identify the revised OQE

attributes such as data, an attached certified QA form, a separate CWP number (to

document a rework such as performance of a required test, inspection or assembly

process) or approved DFS (if applicable).

b. The QA form 14 serial number(s) must be annotated at the top of the QA form 9 or

QA form to clearly indicate a QA form 14 has been generated to revise or update the

OQE.

c. Once all required actions are completed to revise or update the OQE, a copy of the

completed QA 14 forms and any additional documentation generated must be attached

to the CWP QA form record such that it is clear that the OQE was revised or updated

and certification of the system was restored. The QA form 14 index log must be

updated to indicate the action was completed and the log must be retained per Part I,

Chapter 10 paragraph 10.5.6 of this volume.

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APPENDIX A

VERTICAL AUDITS

1. The function of a vertical audit is to determine if a single job has been completed following

the required specifications. It tracks the job from start to finish by using the documentation

used to perform and certify the job. The following steps are considered the minimum

requirements to conduct an audit:

a. Assemble the documentation for the job being audited.

b. Assemble the references.

c. Assign auditors who are familiar with the job being audited.

d. Develop (if not already existing) attribute sheets to be used during conduct of audit.

e. Assemble previous audit discrepancies, if applicable.

f. Brief auditors on the following:

(1) Purpose of vertical audit.

(2) Common discrepancies from previous audits.

(3) Audit attributes.

g. Conduct audit in the following manner:

(1) Review procedure against the governing references or documentation to ensure

they reflect what was supposed to be accomplished, if it was accomplished,

and how it was accomplished.

(2) Review all documentation pertaining to OQE to ensure that it actually reflects

that the job was done correctly. Additionally, a check for accuracy and

completeness of forms is required.

(3) All deficiencies noted, that require investigation or program evaluation to

identify root cause and permit effective and permanent corrective action, will

be documented on a QA Audit Discrepancy form (Appendix E), or QA form

14, as appropriate, and presented to the activity being audited.

2. There is no specific formula for the successful completion of a vertical audit other than time

and attention to detail. If properly performed, this audit provides an excellent method to

assess the effectiveness of the QA program, since it provides small concise snap-shots of

several areas of the entire program.

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APPENDIX B

HORIZONTAL AUDITS

1. The function of a horizontal audit is to review one specific area or part of an area to ensure

compliance with the governing requirements. It focuses only on the documentation used to

certify the area of concern. The following steps should be considered minimum requirements

for an audit:

a. Assemble the source documents and references for the area being audited.

b. Assemble the documentation and records of area being audited.

c. Develop (if not already existing) attribute sheets and audit guide to be used during

conduct of the audit.

d. Assemble previous audit findings (if available) for area being audited.

e. Assemble and brief auditors on the following:

(1) Purpose of audit.

(2) Audit attributes.

(3) Common discrepancies from previous audits (if available).

f. Conduct audit in the following manner:

(1) Review area being audited using attribute sheets and audit guide.

(2) Review the organization’s implementation and adherence to the source

documents.

(3) Review the documentation used to certify that the organization is in

compliance with the governing requirements.

(4) Document deficiencies which require investigation or program evaluation to

determine root cause and permit effective and permanent corrective action on a

QA Audit Discrepancy form (Appendix E), or QA form 14, as appropriate, and

present it to the organization being audited.

2. If properly performed this type audit provides an excellent assessment of a specific area

within the overall QA program.

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APPENDIX C

SURVEILLANCES

1. Surveillance programs provide an excellent method for activities to review in-process work

and every day practices to determine if deficient conditions or areas exist. A surveillance is

designed to observe in-process work on a particular job.

2. The following steps should be considered minimum requirements for surveillance:

a. Personnel assigned to conduct a surveillance must be knowledgeable and trained in

how to conduct surveillance.

b. Personnel assigned to conduct a specific surveillance must be knowledgeable in the

area to be monitored.

c. Once assigned, the individual should prepare for the surveillance in the following

manner:

(1) Assemble the reference material for the surveillance (e.g., Technical Work

Document, Formal Work Package, Planned Maintenance System MRC, URO

MRC and process instruction).

(2) Review reference material. This review may indicate other documentation that

must be reviewed. This review should concentrate on the specific steps or

portions of the procedure, which will be monitored during the surveillance.

(3) Based on the review, attribute checklists may be developed and used, which

are tailored to the area to be monitored.

(4) Individual assigned must stay abreast of the job progress to ensure that the

surveillance is conducted as required to observe the critical aspects. It serves

no purpose to conduct the surveillance, if the job has progressed to a point of

insignificant importance (e.g., surveillance of a valve repair after valve is

repaired and being reassembled).

d. Once all preparations are complete, the surveillance should proceed in the following

manner:

(1) Upon arrival at the job site, inform individuals performing the job that a

surveillance is being conducted.

(2) Position yourself so the job can be monitored but not to interfere with

individual(s) performing the work.

(3) Ensure that all key elements and attributes are observed. The focus must be on

technical requirements and adherence to it. In those instances, where a safety

issue, incorrect assembly, or violation of a technical requirement critical to the

job is noted, identify this to the individuals performing the job and request they

stop until the problem can be resolved.

(4) Look beyond the items on the checklist, if used, for evidence that work is

being done correctly.

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APPENDIX C

(5) Once the surveillance is completed, inform the individuals performing the job

of any violations or comments noted during the surveillance. Findings will

also be discussed with appropriate supervisor.

(6) Write up surveillance findings and provide them to the QAO with copy to the

division officer in charge of the work surveyed.

e. It is important that personnel involved in the surveillance program understand that

they must focus their efforts towards improvement of the program by being objective

and thorough when performing a surveillance. Identification of deficiencies should

lead to effective corrective action and an overall improvement in the QA program.

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APPENDIX D

SUBMARINE QUALITY ASSURANCE ASSESSMENT EVALUATION CRITERIA

1. The following guidance is provided to establish consistent grading standards across the

Submarine Force. This will enable consistent evaluation of QA assessments in the Submarine

Force and provide specific feedback to commands thus improving their ability to

independently assess and maintain readiness in Undersea Warfare. The areas are based on the

requirements of this chapter. The overall assessment will be graded as satisfactory or

unsatisfactory. A grade of unsatisfactory will be assigned by the ISIC if any of the following

criteria are met:

a. Unsatisfactory in any of the following areas:

SUBSAFE, REC, DSS-SOC, FBW-SCS Program or URO MRC Program or,

b. Unsatisfactory in Vertical Audit of CWPs and Audit, Surveillance, Evaluation and

Assessment Program or,

c. Unsatisfactory in Vertical Audit of CWPs and QA Training and Qualification. Any

additional trending may be provided by the ISIC. An overall grade of unsatisfactory

will result in the ISIC restricting the ship from processing any controlled work and the

ISIC will issue specific guidance for controlled work processing and performance up

to and including assuming certification responsibilities for controlled work. This

assumption of certification responsibilities by the ISIC will remain until the ISIC has

deemed that adequate actions have been taken to correct the significant programmatic

issues.

2. Quality Assurance Program Assessment area criteria.

NOTE: WHERE NOT PREVIOUSLY DEFINED BY REFERENCE (A), ISICS

SHOULD GENERALLY REVIEW 20%, BUT NO LESS THAN 10 CWPS, OF

THE TOTAL CWPS WORKED BY THE SHIP SINCE THE PREVIOUS

AUDIT.

a. Vertical Audit of CWPs: This review encompasses a sampling of RECs, REC

Exceptions and Maintenance Certification Records. Deficiencies noted during the

review that affect certification and require an Immediate Corrective Action Report

(ICAR) are generally the grade drivers for this area of the assessment. Additionally,

systemic weaknesses in documentation of OQE, determination of technical

requirements (e.g., torque, retest) and ineffective supervisor reviews may also require

an ICAR.

Vertical Audit of CWPs

Grade Attributes

Above Standards No ICARs.

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APPENDIX D

At Standards ≤ 2 ICAR.

Below Standards ≥ 3 ICARs or systemic problems in specific areas of work package development or

review (i.e., inadequate supervisory reviews, inability to properly determine retest).

Unsatisfactory ICARs written on four or more CWPs or ICARs written on 40% of the CWPs audited,

whichever is greater.

b. Material Control: This review focuses on storage, handling and documentation.

Inspections of lockers are the usual source of deficiencies in this area. Cards are

written based on the magnitude of deficiencies. The magnitude should be determined

by taking the total items with deficiencies and dividing by the number of items in the

inventory. Additionally, systemic failures to follow both local and Joint Fleet

Maintenance Manual (JFMM) requirements or installation of uncertified material into

a controlled system may require an ICAR.

Material Control

Grade Attributes

Above Standards No Locker deficiencies.

At Standards < 10% deficiencies No ICAR on material Control.

Below Standards

≤ 25% deficiencies or one ICAR on Material Control (Controlled work or Program

Coordination).

Unsatisfactory > 25% deficiencies or one ICAR on Material Control (Controlled work or Program

Coordination).

c. DEPARTURES FROM SPECIFICATION: This program review consists of a review

of active DFSs and necessary OQE supporting clearance of DFSs against JFMM

requirements. Deficiencies are normally centered on improper administration (e.g.,

incorrect Job Control Numbers) or inadequate record retention.

DFS

Grade Attributes

Above Standards No deficiencies noted.

At Standards Only minor (< 10) administrative deficiencies noted with program administration.

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APPENDIX D

Below Standards Multiple deficiencies with records (≥ 10) or systemic failure to follow JFMM and ISIC

requirements for administration of program.

Unsatisfactory Any ICAR assigned based on failure to follow DFS policies.

d. Audit, Surveillance, Evaluations and Assessment: This review is an in-depth review of

how the ship's ability to monitor, assess and determine corrective actions to prevent re-

occurrence. This review is one of the more subjective areas and the auditor will have

to be consistent in his methodology and provide specific comments. In general, the

grades will be based on the ability to meet the requirements (e.g., conduct the required

audits as required by the JFMM). Other driving factors may include repeat poor

performance and systemic failure to follow both local and JFMM administrative

requirements. An aggressive program is defined as one where the QAO demonstrates

his surveillance schedule is dynamic and focuses on infrequent repair efforts, first time

repairs and components that have repetitive failure in addition to previously noted

weak areas. An aggressive program will also demonstrate how weak areas are

assessed, assigned corrective actions that affect change and have been adequately re-

assessed.

Audit, Surveillance, Evaluation and Assessment Program

Grade Attributes

Above Standards All audits performed as scheduled or required. Aggressive surveillance program.

At Standards ≤ 1 Audit not performed. Only minor (< 10) administrative deficiencies noted with

program administration.

Below Standards

≤ 2 Audits not performed. Multiple deficiencies with records (≥10) or systemic failure to

follow JFMM and ISIC requirements for administration of program.

Unsatisfactory > 5 Audits not performed. Continued below standards performance with program.

e. QA Training and Qualification: This review will validate that the ship has an

auditable qualification program and that the ship is maintaining the qualification (i.e.,

continuing training) as required by Part I, Chapter 3 of this volume.

QA Training and Qualification

Grade Attributes

Above Standards

Demonstrated QAO involvement in the QA Program.

Demonstrated ability to incorporate lessons learned in QA Training Program.

Demonstrated accountability in SUBSAFE, FBW-SCS and DSS-SOC awareness training

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APPENDIX D

for all required personnel.

At Standards Only minor (< 10) administrative deficiencies noted with program administration.

Adequate number of qualified personnel.

Below Standards Multiple deficiencies with records (≥ 10) or systemic failure to follow JFMM

requirements for administration of program (e.g., QA training plan not incorporated into

Engineering Training Plan, qualification of personnel not auditable).

Unsatisfactory Continued below standards performance with program.

f. QA Records and Record Retention: Review will ensure that OQE and program records

are being maintained per Part I, Chapter 10 of this volume.

QA Records and Record Retention

Grade Attributes

Above Standards All required records are available and auditable.

At Standards Records retained in an auditable fashion. Only minor (< 10) administrative deficiencies

or missing records noted.

Below Standards Multiple deficiencies with records (≤ 25) or systemic failure to maintain records as

required by JFMM requirements.

Unsatisfactory Records completely un-auditable or loss of a controlled work package.

g. SUBSAFE, REC, DSS-SOC and FBW-SCS Program: This review ensures that the

ship has maintained certification of SUBSAFE, REC, FBW-SCS and DSS-SOC

systems following the applicable manuals. When ships utilize more than one level of

control (e.g., SUBSAFE and FBW) then individual grades will be provided. ICARs of

SUBSAFE, REC, FBW-SCS or DSS-SOC may influence the grade for this area as

indicated here:

SUBSAFE, REC, SOC and FBW Program

Grade Attributes

Above Standards No deficiencies noted.

At Standards Only minor (< 10) administrative deficiencies noted with program administration.

Below Standards

Multiple deficiencies with records (≥ 10) or systemic failure to follow JFMM

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APPENDIX D

requirements for administration of program.

Missing one or two REC Exception Documents.

Unsatisfactory Failure to issue certification of continuity letters or failure to use REC controls when

performing SUBSAFE, REC, DSS-SOC or FBW-SCS work when re-entry controls are

required.

Missing three or more REC Exception Documents.

h. URO MRC Program: This program review is to ensure that the ship maintains

certification on all systems that contain URO measured parameters. Ships are required

to call out the correct retest and maintain appropriate documentation for the program

per Volume VI, Chapter 25 of this manual.

URO MRC Program

Grade Attributes

Above Standards Not applicable.

At Standards All documentation on hand. All UROs within periodicity. All maintenance affecting

URO parameters properly retested.

Below Standards

Missing or un-auditable URO documentation (records were recovered from other

organizations). Failing to properly document a URO retest for associated maintenance

(retest performed for some other reason, e.g., periodicity).

Unsatisfactory Operated at sea with an Out of Specification, untested or overdue URO parameter.

3. The following metrics will be identified in the Quality Assurance Assessment report issued by

the ISIC:

CWPs REC EXCEPTIONS Total

ISSUED AUDITED ON-FILE AUDITED ICARS CARS

QAO History (since previous audit)

Rank/Name Duration Assigned (mm/yy-mm-yy)

Current

Prior

Assistant QAO History (since previous audit)

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APPENDIX D

Rank/Name Duration Assigned (mm/yy-mm-yy)

Current

Prior

Qualification Status

Actual Fleet Standard for Area

Craftsman

Planner

CMPOs

QAI

WCS

Welders

O2 Clean

STP Clean

RP Clean

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APPENDIX E

QUALITY ASSURANCE AUDIT, ASSESSMENTS AND SURVEILLANCE

DISCREPANCY FORM

( ) IMMEDIATE CORRECTIVE ACTION REQUIRED

( ) REPEAT FINDING

ITEM:

AREA:

AUDITOR:

DISCUSSED WITH:

REFERENCE:

FINDING:

DISCUSSION:

CORRECTIVE ACTION:

A. ROOT CAUSE(S):

B. ROOT CAUSE DISCUSSION(S):

C. IMMEDIATE CORRECTIVE ACTION(S):

D. PERMANENT CORRECTIVE ACTION(S):

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VOLUME V

PART I

CHAPTER 10

QUALITY ASSURANCE RECORDS

REFERENCES.

(a) SECNAVINST 5239.24 - Department of the Navy Digital Signature Policy

(b) NAVSEAINST 9210.23 - Requirements for Naval Nuclear Work at Naval Activities

and Private Shipyards - Certification of Work Accomplishment and Data Retention of

Associated Records and Retention of Design Records

Records Management Manual

(d) NAVSEA T9044-AD-MAN-010 - Requirements Manual for Submarine Fly-By-Wire

Ship Control Systems

(e) COMSUBLANT/COMSUBPAC NOTE C3120 - Submarine Operating Restrictions

and Depth Authorizations

(f) NAVSEAINST 9210.39 - Submarine Nuclear Propulsion Plant Operator Welders:

Procedures for Maintenance of Qualification

(g) NAVSEA 0924-062-0010 - Submarine Safety (SUBSAFE) Requirements Manual

10.1 PURPOSE. Provide record keeping and retention requirements for the Quality Assurance

(QA) records used by the Fleet.

10.2 GENERAL. QA records provide the only lasting records and Objective Quality Evidence

(OQE) that repairs and alterations performed on ships of the fleet were accomplished and

subsequently tested following applicable specifications. The accuracy of these records will be

beyond reproach and the record for each job will be complete so as to "stand alone", that is, the

record will be understood without additional explanation.

10.2.1 Quality Assurance Record Requirements. Record keeping methods are of concern

because they affect the apparent validity of a completed record. In order to ensure continued

validity of Fleet maintenance records, and to provide the necessary OQE, the following record

keeping rules are specified:

a. Hand written Record and Certification Signature Block or signature will be legible, in

ink and per reference (a). Erasures, write-overs, white outs, ditto marks, continuation

arrows, signature stamps, etc., are not acceptable.

b. Neatness and readability of the original record is paramount. Copying records to

"make them neat" is prohibited.

c. When an error is made, it will be corrected by drawing a single line through the error,

recording the correct entry, initialing, dating and printing the name of the person

making the correction.

d. When a questionable item is recognized and is subsequently justified or accepted,

remarks explaining the decision will be added or appended as appropriate.

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e. QA records pertaining to certification of nuclear work will be kept per the

requirements of reference (b).

10.2.2 Record Retention in General. The following paragraphs summarize the general QA

records that will be retained by each organizational group and how long they will be retained:

a. Reduced Size Records. Records (except radiographic film) required to be maintained

may be reduced in size (such as by microfilming or CD-ROM in .pdf format only).

However, the activity (ship or Fleet Maintenance Activity (FMA)) responsible for the

record will ensure that the reduced size records are clearly legible, reproducible, and

will so certify prior to destroying the original records. The following procedure will

be followed for record reduction:

(1) Record reduction must be per reference (c).

(2) Compare the reduced size record against the original record to ensure each

page of the original record has been reduced. This comparison must ensure

that the front and the associated back of QA forms and tags have been

reproduced.

(3) Reproduce two randomly selected pages of the reduced record into paper copy.

Verify completeness and legibility of reproduced pages by comparing against

the original record.

(4) Person making comparison will sign the logbook or some other permanent

record to certify that the reduced size record is complete and legible after being

reproduced.

(5) After steps (1) through (4) are satisfactorily completed, the original record may

be destroyed.

b. Storage and Disposal.

(1) Nuclear Records.

(a) Records that are required to be retained for the life of the ship by

reference (b) require Naval Sea Systems Command Nuclear Propulsion

Directorate (NAVSEA 08) approval prior to record disposal.

(b) Records of nuclear controlled work will be retained at the activity (ship

or FMA) for at least three years following completion of the work per

reference (b). They may then be transferred to a Federal Records

Center (FRC) or other designated records repository per reference (c),

after these records are no longer required on board.

(c). Those records stored at a FRC or other designated repository will

be appropriately cataloged to allow prompt retrieval if necessary. A

copy of the list of records transferred to storage will be sent to the

applicable Type Commander (TYCOM). TYCOM will retain these

lists until the ship is stricken from Navy rolls. Activities may forward

reactor plant work records to FRCs specifying that the records be

destroyed 75 years from the date the records are sent to the FRC.

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(2) Level I Records.

(a) Non-Nuclear and Non-Submarine Safety (SUBSAFE) Level I Records

will be maintained for a minimum of 75 years from the ship's delivery

date for new construction or 75 years from the availability completion

date for repairs, overhauls, conversions, etc. Disposition instructions

will be requested from NAVSEA 05P via the appropriate TYCOM

after that time.

(b) Records of Level I work will be retained at the activity (ship or FMA)

for at least three years following the completion of the work. After

three years, the records may be stored ashore.

(3) Submarine Safety and Submarine Flight Critical Component (SFCC) Records.

(a) SFCC records must be kept per reference (d). The re-entry control log,

completed Re-Entry Controls Forms (MCR/REC), and supporting

documentation for SUBSAFE and SFCC work must be maintained for

the life of the ship.

(b) Records of SUBSAFE and SFCC work will be retained at the activity

(ship or FMA) for at least three years following the completion of the

work. After three years the records, including completed RECs and

supporting documentation, may be stored ashore or at a FRC in an

auditable condition.

at a FRC or other designated repository will be appropriately cataloged

to allow prompt retrieval if necessary. Activities may forward

SUBSAFE and SFCC records to FRCs specifying that the records be

destroyed 75 years from the date the records are sent to the FRC.

(d) Approval to destroy non-ship-specific completed RECs, REC logs,

completed RECs, and supporting documentation must be obtained from

NAVSEA 07Q via the appropriate submarine TYCOM.

(4) Scope of Certification (SOC) Records.

(a) The REC log, completed RECs and supporting documentation must be

maintained for the operational life of the Deep Submergence System.

(b) The REC log, completed RECs, and supporting documentation of work

performed by the Sustaining Activity must be maintained by the

Sustaining Activity in an auditable condition for the period between

major availabilities and between sustaining surveys. When work

requiring REC is accomplished by an activity other than the Sustaining

Activity, the Sustaining Activity’s REC log must reflect this work and

the Sustaining Activity must maintain a copy of the completed REC

form (QA form 9 and QA form 10 when applicable). After this period,

the records, including completed RECs and supporting documentation,

may be stored ashore or at a FRC in an auditable condition.

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10.3 TYPE COMMANDER QUALITY ASSURANCE RECORD RETENTION.

10.3.1 Assessment Record Retention. Retain copy of last assessment of FMAs and Immediate

Superiors in Command (ISIC), where applicable, including the report of root causes and

corrective action.

10.3.2 Departure from Specification Record Retention.

a. Maintain outstanding Departure from Specification (DFS) File. This file may be

maintained on electronic media.

(1) An index that reflects the major DFS unique serial number assigned, date

approved, the system or component including brief description and status.

(2) A copy of each outstanding major DFS and all applicable correspondence.

b. (Submarines only) A hard or electronic copy of cleared major SUBSAFE and SFCC

DFSs with an index will be retained for life of ship.

10.3.3 Material Certification Statement Retention (Submarines only).

a. A hard or electronic copy of the TYCOM and NAVSEA SUBSAFE Material

Certification message from new construction, Depot Modernization Period (DMP),

Engineered Overhaul (EOH), Engineered Refueling Overhaul (ERO), Refueling

Overhaul (RFOH) and Regular or Refueling Overhaul (ROH) will be retained for life

of ship.

b. A hard or electronic copy of the Operating Cycle Extension Assessment used as basis

for granting TYCOM extension of operating interval or operating cycle will be

retained until the ship enters the next Selected Restricted Availability (SRA), DMP,

EOH, ERO, RFOH or ROH for which the TYCOM extension applies.

10.4 IMMEDIATE SUPERIOR IN COMMAND QUALITY ASSURANCE RECORD

RETENTION.

10.4.1 Assessment and Surveillance Record Retention.

a. Copy of last ISIC or TYCOM assessment of assigned ships and FMA including report

of root causes and corrective action.

b. (Submarines only) Copy of the ISIC monitor surveillance reports of the FMA and

assigned ships and the corrective action. Retain the past 18 months of monitor

surveillance reports. These records may be kept with the other ISIC monitor program

records.

c. (Submarines only) Copy of the last TYCOM assessment of the ISIC and corrective

actions.

d. All SUBSAFE and Fly-By-Wire Certification Audit Reports of ships must be retained

for the life of the ship per paragraph 10.2.2b. of this chapter.

10.4.2 Departure from Specification Record Retention.

a. Outstanding DFS Files.

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(1) A hard copy or electronic media index that reflects the DFS unique serial

number assigned, TYCOM major DFS number (if assigned), date approved,

system or component including brief description and status.

(2) A copy of each outstanding DFS and all applicable correspondence.

b. A hard or electronic copy of cleared DFS with an index will be retained for 24 months.

10.4.3 Material Certification Statement Retention (Submarines only).

a. The SRA or Tiger Team certification statements from industrial activities will be

retained until the next SRA, DMP, EOH, ERO, RFOH or ROH of the affected ship.

b. The ISIC request for Sea Trials (Volume II, Part I, Chapter 3, Appendix BK, and if

used, Appendix BF of this manual) and the TYCOM message authorizing Sea Trials

(Volume II, Part I, Chapter 3, Appendix BD, and if used, Appendix BG of this

manual) for CNO availabilities less than 6 months until the next SRA, DMP, EOH,

ERO, RFOH or ROH of the affected ship.

c. The most recent FMA end of upkeep statement.

d. The most recent ship generated, prior to underway, certification continuity report will

be retained.

e. The audit guide and justification used for any Operating Cycle Extension Assessment

of assigned ships will be retained per paragraph 10.3.3 of this chapter.

10.5 SHIP'S QUALITY ASSURANCE RECORD RETENTION.

10.5.1 Controlled Work Package Log. The Quality Assurance Officer (QAO) will maintain a

Controlled Work Package (CWP) log, using the QA form 11, for the life of the ship. Re-copying

or consolidation of this log is not to be done.

10.5.2 Completed Controlled Work Packages. All CWPs (retain onboard per paragraph 10.2.2

of this chapter), which includes:

a. Maintenance Certification Record (MCR/REC) (QA forms 9 and 10).

b. References unique to this task (e.g., NAVSEA letters, Liaison Action Requests) will

be retained with the CWP unless specifically identified to allow recall, if necessary.

c. All enclosures documenting the OQE (e.g., QA forms and Ready for Issue (RFI) tags

(NAVSEA 9210/2 and 9210)) will be retained.

d. FWPs executed as the core of a CWP must be retained with the CWP. After three

years when CWPs are moved ashore or placed in storage, the FWP portion of the

CWP may be discarded.

10.5.3 Controlled Material Records. Controlled material records will be maintained with the

associated CWP. Those records not associated with a CWP will be maintained on file by the

QAO.

a. The Supply Officer will maintain on file the letter of certification from the Supervisor

of Shipbuilding, for all lots of Level I, SFCC Stock Program material and Nuclear

Repair Parts during the new construction period. When the material is issued, a copy

of this letter should be attached to the QA form 1.

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NOTE: MATERIAL CONTROL RECORDS (E.G., QA FORM 2s) ARE NOT

REQUIRED TO BE RETAINED FOR REMOVED AND REINSTALLED

CONTROLLED MATERIAL AFTER THE CWP IS CLOSED.

b. The QAO will maintain controlled material records as outlined here. These records

should be included in the appropriate CWP to the maximum extent practical. Retain

material certification files for all Nuclear Level I, SFCC and Level I material installed.

(1) RFI tags for Nuclear Level I items installed.

(2) For any Nuclear Level I items received and installed without a RFI tag retain

all OQE used to certify.

(3) All OQE used to upgrade material for non-nuclear “Level” use.

(4) All QA forms 3 for any rejected items accepted for use.

(5) A file of QA forms 1 with certification documentation.

10.5.4 Qualification Records. The QAO will maintain a master list of qualified Work Center

Supervisors and Maintenance Planners, Controlled Material Petty Officers (CMPO), Cleanliness

Inspectors, Quality Assurance Inspectors (QAI), Quality Assurance Supervisors (QAS), Oxygen

Clean Workers and Oxygen Clean Instructors. The records will be retained for the duration the

individual is onboard. Records in the case of re-qualifications must consist of a written plan and

sub-paragraphs a. through d., as applicable, based upon the plan defined by the QAO or

Department Head. The file will consist of:

a. Date Personnel Qualification Standard completed. For Oxygen Clean Workers and

Oxygen Clean Instructors, the date the required course of instruction is completed.

b. Qualification test results. This includes a copy of the examination cover sheet. In

addition, a copy of the examination given with answers must be available either in

electronic medium or hard copy. For Oxygen Clean qualifications, this entry is not

required.

c. A copy of the signed Final Qualification Page from the Personnel Qualification

Standard.

d. Copy of the signed oral interview sheets for each qualification record.

e. (Submarines only) A master list of qualified Oxygen Clean Workers must be retained

for the life of the ship.

10.5.5 Departure from Specification Records.

a. Outstanding DFS Files.

(1) An index that reflects the DFS unique serial number assigned, date approved,

the system or component including brief description, annotation for SUBSAFE

and status.

(2) A copy of each outstanding DFS and all applicable correspondence.

b. A copy of cleared DFS with an index will be retained for 24 months.

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c. A copy of all DFS approved as permanent repairs, with an index, will be retained until

they are reflected in the ship’s selected records and drawings or technical variation

documents.

10.5.6 Assessments, Evaluations and Audits. The QAO will retain records of assessments,

evaluation and surveillance for the past 24 months (unless otherwise stated). The records will

consist of:

a. QA form 14 index log that has the item numbers, work center responsible to correct

and estimated date corrective action is due.

b. Copy of last higher authority assessment and the corrective action for all items.

c. Results of all Audits and Surveillances of the QA Program, including the root cause,

immediate and permanent corrective action. (This may be kept with the rest of the

monitor program records).

d. Last annual QA Program evaluation performed.

e. Maintain an auditable record of the most current Job Control Number to DFS

verification.

10.5.7 Training.

a. (Submarines only) The ship must maintain a record of completion for each member of

the crew indicating the date of completion for annual SUBSAFE Awareness, Fly-by-

Wire Awareness and SOC Awareness Training, as applicable.

b. A hard or electronic copy of the record of lectures and seminars conducted during the

past 12 months must be retained.

c. The record should show the topic, the lecturer or seminar leader, the monitor, and the

number of personnel in attendance. Topics should include a brief listing of material

covered where appropriate.

d. Attendance records by name are not required, except as noted in sub-paragraph a.

e. This record should be kept in a format that enables it to be compared against the Long

Range Training Plan to determine the utilization of that plan.

10.6 ADDITIONAL SUBMARINE NUCLEAR AND UNIQUE QUALITY ASSURANCE

RECORD RETENTION REQUIREMENTS.

10.6.1 Submarine Safety, Level I, Submarine Flight Critical Component, Scope of Certification

and Other Certification (Submarines Only). The ship will retain the following records for the life

of the ship or as indicated in this manual:

10.6.1.1 Reactor Plant Work Accomplishment Report. A copy of all completed Reactor Plant

Work Accomplishment Reports.

10.6.1.2 Submarine Safety Material Certification. Copy of the TYCOM and NAVSEA

SUBSAFE Material Certification message from new construction, DMP or overhaul until the

ship’s current status is reflected in reference (e). When the ship’s current status is reflected in

the notice, the messages may be destroyed, and the current notice will be retained.

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10.6.1.3 End of Fleet Maintenance Availability Certification. Retain the last end of FMA

Availability letter from the FMA.

10.6.1.4 Certification Continuity Reports. Retain the last certification continuity report sent by

the ship.

10.6.1.5 Industrial Activity Certification Reports. A copy of all industrial activity and shipyard

certification letters or messages from all SRA conducted between overhauls. In addition, a copy

of the ISIC audit of SUBSAFE work performed by the industrial activity should also be kept.

These may be disposed of at the next Extended Refit Period, SRA, DMP, EOH, ERO, RFOH or

ROH.

10.6.1.6 Other Certification Reports . A copy of any other correspondence or messages that

affect the certification of the ship or hull integrity should be retained until:

a. Resolved via inspection or maintenance or DFS as required or

b. As defined within the applicable correspondence or message.

10.6.1.7 Controlled Material. Except for Fly-By-Wire Diagnostic and Maintenance Computers

(DMAC), Ship's Force is not required to use a QA form 1 to document receipt inspection of

Level I, SFCC or SOC material to be immediately installed for a specific maintenance action. A

QA form 2 will be used to document receipt inspection of material to be immediately installed.

DMACs require a QA form 1 to document receipt inspection but do not require a QA form 2.

The QA form 1 for the DMAC will be retained in the ship REC exception folder.

10.6.1.8 Scope of Certification. Retain a copy of the NAVSEA and TYCOM, if applicable,

Scope of Certification or Sustaining Survey Certification letter or message.

10.6.1.9 Unrestricted Operations. Retain records related to the Unrestricted Operations Program

as defined by volume VI, chapter 25 of this manual.

10.6.2 Nuclear Records.

10.6.2.1 Nuclear Record Retention. Nuclear records will be retained as required by reference

(b). Reference (b) defines which nuclear records must be retained and length of retention as well

as specifies requirements for retention of existing records. It is not intended to create new

records for record retention requirements, if they do not already exist.

10.6.2.2 Nuclear Propulsion Plant Operator Welder Records (Submarines only). The Main

Propulsion Assistant will retain the following qualification records per reference (f), for each

welder as long as the welder is qualified onboard.

a. Documentation certifying original weld school completion.

b. QA form 20 for most current proficiency welds and qualification welds (the four most

recent test assemblies).

c. Copy of current eye examination report.

10.6.3 Re-Entry Control/Maintenance Certification Record Exception Objective Quality

Evidence and Other Controlled Assembly Records.

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a. Retain a file of the most recent QA form 34 generated for each component or system

assembled as a controlled assembly and performed as a REC exception per reference

(g) and part III, chapter 5, paragraph 5.8.6.1.b of this volume.

b. Retain a file of the most recent QA form 34 generated for each component or system

assembled as a controlled assembly and performed as a MRC exception per part I,

chapter 2, paragraph 2.2.5 Note 2 and part I, chapter 2, paragraph 2.3.7.7.1 of this

volume.

c. Retain a file of the most recent QA form 34 record generated per Part I, Chapter 7,

paragraph 7.4.1.c of this volume for non-controlled systems or components until the

system or component testing is completed satisfactory (e.g. completion of a controlled

deep dive).

10.7 FLEET MAINTENANCE ACTIVITY QUALITY ASSURANCE RECORD

RETENTION.

10.7.1 Submarine Safety, Nuclear, Level I, Scope of Certification and Other Certification. The

QAO or designated officer will retain material certification (SUBSAFE, Nuclear, Level I, Scope

of Certification and CWP category "Other") records for the life of each tended ship.

10.7.2 Reactor Plant Work Accomplishment Report (Submarines only). The Nuclear Repair

Officer will retain a legible copy of all FMA generated Reactor Plant Work Accomplishment

Reports.

10.7.3 Controlled Work Package Log. The QAO will maintain a CWP log, using the QA form

11, for the life of the ship. Re-copying or consolidation of this log is not to be done.

10.7.4 Completed Controlled Work Packages. All CWPs (retain onboard per paragraph 10.2.2

of this chapter), which includes:

a. MCR/REC (QA forms 9 and 10).

b. References unique to this task (e.g., NAVSEA letters, Liaison Action Requests) will

be retained with the CWP unless specifically identified to allow recall, if necessary.

c. All enclosures documenting the OQE (e.g., QA forms and RFI tags (NAVSEA 9210/2

and 9210)) will be retained.

d. FWPs executed as the core of a CWP must be retained with the CWP. After three

years when CWPs are moved ashore or placed in storage, the FWP portion of the

CWP may be discarded.

NOTE: MATERIAL CONTROL RECORDS (E.G., QA FORM 2s) ARE NOT

REQUIRED TO BE RETAINED FOR REMOVED AND REINSTALLED

CONTROLLED MATERIAL AFTER THE CWP IS CLOSED.

10.7.5 Controlled Material Records. Controlled material records will be maintained with the

associated CWP. Those records not associated with a CWP will be maintained on file by the

QAO. The QAO will maintain controlled material records as outlined in this paragraph. These

records should be included in the appropriate CWP to the maximum extent practical. Retain

material certification files for all Nuclear Level I, SFCC, Level I and SOC material installed.

a. RFI tags for nuclear Level I items installed.

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b. For any Nuclear Level I items received and installed without a RFI tag retain all OQE

used to certify the material for installation.

c. All OQE used to upgrade material for non-nuclear "Level" use.

d. All QA forms 3 for any rejected items accepted for use.

e. A file of QA forms 1 with certification documentation.

f. All material control records from receipt inspection through installation will be

maintained throughout the life of Deep Submergence Systems.

10.7.6 Assessment, Audits, Surveillance and Evaluations. The QAO will retain records for the

past 18 months (unless otherwise stated). The records will consist of:

a. Last year and present year internal audit schedule.

b. Completed audit plans and guides and results (Associated QA forms 14 or other

discrepancy reports).

c. QA form 14 index log that has the item numbers, work center responsible to correct

and estimated date corrective action is due.

d. Copy of last higher authority assessment, surveillance and the corrective action for all

items.

e. Schedule and results of internal surveillance of the QA Program, including the

corrective action. (This may be kept with the rest of the monitor program records).

f. Last two semi-annual QA Program evaluations.

g. Two years’ worth of records for calibration laboratory spot checks or sampling of

outgoing work.

h. Two years’ worth of records for Field Calibration Activity spot checks or sampling of

outgoing work, as applicable.

10.7.7 End of Fleet Maintenance Activity Certification Report to Tended Submarines

(Submarines only). The QAO will retain a copy of the last End of Fleet Maintenance Activity

Certification Report to tended submarines issued per part I, chapter 5, paragraph 5.6.8.b. or part

III, chapter 5, paragraph 5.8.7.b of this volume, as applicable.

10.7.8 Nuclear, Submarine Safety and Scope of Certification Work. The master lists of

qualified CMPO or Controlled Material Handler, Cleanliness Inspector, Cleanliness Certifier,

QAI and QAS (if assigned), will be maintained by name, for the duration the individual is

assigned to the repair activity.

NOTE: AT A FMA, CIVILIAN EMPLOYEE CONTINUING TRAINING

KNOWLEDGE EXAMINATION QUESTIONS AND ANSWERS WILL BE

RETAINED FOR TWO YEARS.

10.7.9 Qualification Record. The QAO will maintain a master list of qualified CMPOs,

Controlled Material Handlers, Cleanliness Inspectors, QAIs, QASs, Oxygen Clean Workers and

Oxygen Clean Instructors and a qualification file on each CMPO, Controlled Material Handler,

Cleanliness Inspector, QAI and QAS. The records will be retained for the duration the

individual is onboard. The file will consist of:

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a. Date Personnel Qualification Standard completed. For Oxygen Clean Workers and

Oxygen Clean Instructors, the date the required course of instruction is completed.

b. Qualification test results. For Oxygen Clean qualifications, this entry is not required.

c. A master list of all qualified Oxygen Clean Workers must be retained for the life of

the FMA.

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VOLUME V

PART I

CHAPTER 11

QUALITY ASSURANCE FORMS AND FORM INSTRUCTIONS

REFERENCES.

(a) NAVSEAINST 9210.23 - Requirements for Naval Nuclear Work at Naval Activities

and Private Shipyards - Certification of Work Accomplishment and Data Retention of

Associated Records and Retention of Design Records

11.1 PURPOSE. Provide Quality Assurance (QA) forms and tags with instructions for

preparation and usage. QA forms for DSS and SOC use are located in Part III, Chapter 11 of this

Volume.

11.2 USE OF QA FORMS. QA forms are used to create Objective Quality Evidence (OQE)

when required by higher authority. While QA form instructions identify requirements for usage,

they are not self-invoking. The use of a QA form is initiated from requirements of previous

chapters within Part I and Part III of this Volume. Examples of when QA forms are required by

this volume include:

a. To support capturing OQE for a Controlled Work Package (CWP) as required by

Chapter 2.

b. To support documenting a controlled assembly required by Maintenance Certification

Record (MCR) exceptions (Chapter 2), SUBSAFE Re-Entry Control (REC)

exceptions (Chapter 5), Alternate Testing (Chapter 7) or as specified in an approved

Departure from Specification (DFS).

c. Documenting receipt inspections and end usage as required by Chapter 6.

d. Documenting DFS as required by Chapter 8.

e. Correcting certified OQE as required by Chapter 9.

11.3 NATIONAL ITEM IDENTIFICATION NUMBER. National Item Identification Number

(NIIN) may be used whenever National Stock Number (NSN) is called for, including all QA

forms. The NIIN uniquely identifies material in supply system and is adequate for OQE

purposes.

11.4 CERTIFICATION SIGNATURES ON QA FORMS. When certification signatures, as

defined in reference (a) and Part I, Chapter 2, Appendix C of this volume, are documented on

QA forms of Nuclear CWPs, the single “*” or double “**” and associated statement are not

required on the individual form.

11.5 LIST OF FORMS. This chapter provides copies of the QA forms and tags discussed

throughout this volume

a. QA form 1. - Material Receipt Control Record.

b. QA form 2. - Material ID/Control Tag.

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c. QA form 3. - Controlled Material Reject Tag.

d. QA form 9. - Maintenance Certification Record/Re-Entry Control.

e. QA form 10. - Maintenance Certification Record/Re-Entry Control

Supplement Sheet.

f. QA form 11. - Controlled Work Package (CWP)/Re-Entry Control

(REC) Log.

g. QA form 11A. - REC/MCR Exception Controlled Assembly Log

h. QA form 12. - Departure From Specification Request.

i. QA form 12A. - Departure Clearance Report.

j. QA form 14. - Surveillance/Monitoring/Audit Discrepancy Record.

k. QA form 17. - Test and Inspection Record.

l. QA form 17A. - Epoxy Repair Record.

m. QA form 17B. - Electroplating Repair Record.

n. QA form 17C. - Component Repair Record.

o. QA form 17D. - Submarine Flight Critical Component (SFCC) Access,

Removal and Installation Record.

p. QA form 17SI. - Stud Installation Record.

q. QA form 17W. - Handling Equipment Test Record.

r. QA form 18. - Silver Braze Fabrication and Inspection Record.

s. QA form 18A. - Ultrasonic Inspection Record.

t. QA form 20. - Welding In Process Control/Nondestructive Test

Record.

u. QA form 20A. - Radiographic Test Inspection Record.

QA form 20B.

(Part A)

- Structural Primary Record.

w. QA form 20B.

(Part B)

- Structural Weld History.

x. QA form 20B.

(Part C)

- Structural Defect Record.

y. QA form 20C. - Pipe, Machinery and Pressure Vessel Weld

Record/Weld Defect Repair Sheet.

z. QA form 26. - Hydrostatic/Pneumatic Test Record.

aa. QA form 26A. - Hydrostatic/Pneumatic Test Record for Deep

Submergence Systems. See Note (1).

ab. QA form 27. - Drop Test Record.

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ac. QA form 27A. - Drop Test Record for Deep Submergence Systems.

See Note (1).

ad. QA form 28. - Shop Test Record.

ae. QA form 34. - Joint/Component Torque and Assembly Record.

af. QA form 34A. - Joint/Component Assembly Record.

ag. QA form 34B. - Electrical/Electronic Cable Connector Assembly and

Test Record. See Note (1).

ah. QA form 35. - Thickness Measurement Record.

ai. MAT-1. - Ship to Shop Tag MAT-1 (General Use).

Note (1): For DSS and SOC applications, QA Forms 26A, 27A, and 34B are located in

Part III, Chapter 11 of this Volume.

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MATERIAL RECEIPT CONTROL RECORD

QA FORM 1 (FRONT)

1. MATERIAL NOMENCLATURE

2. LEVEL OF ESSENTIALITY

3. MIC NO./ID NO.

4. REQUISITION NUMBER (REQ. NO.)

5. JULIAN DATE

6. NUMBER RECEIVED

7. NSN/SMIC

8. VENDOR’S MARKINGS

9. REQUIRED CERTIFICATION DOCUMENTS FURNISHED (SIGNATURE AND DATE)

[ ] YES [ ] NO

10. ENTER APPROP CODE

X – RECORDS REQ’D

O – RECORDS NOT REQ’D

MT PT RT UT VT CHEM PHYS GENERIC MATERIAL

IDENTITY CHECK

HARDNESS DIMEN

11. INSPECTION RESULTS, REMARKS, SIGNATURES AND DATE:

12. DISPOSITION

[ ] ACCEPT [ ] REJECT

13. CERTIFIED

[ ] LI [ ] NUC LI [ ] SOC MCD __ [ ] OTHER

14. DOWNGRADE

[ ] GENERAL STOCK

[ ] REJECT TO SOURCE

15. SIGNATURE AND DATE

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MATERIAL RECEIPT CONTROL RECORD

QA FORM 1 (BACK)

16. MATERIAL NOMENCLATURE: 17. LEVEL OF ESSENTIALITY: 18. MIC NO./ID NO.:

19. REQUISITION NUMBER: 20. NSN/SMIC: 21. ORIGINAL NUMBER RECEIVED:

22. DATE 23A. UIC 23B. WC 23C. JSN 24. SYSTEM 25. CWP# 26. AMT

ISSUED

27. AMT

REMAINING

28. CMPO/CMH

(PRINT NAME)

29. MATERIAL

DOWNGRADE

30. NEW

LEVEL

31. QAO AUTHORIZATION FOR

DOWNGRADE

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QA FORM 1 INSTRUCTIONS

MATERIAL RECEIPT CONTROL RECORD

PURPOSE: To document the proper receipt, control, end use and certification of material to

the required “Level of Essentiality” for controlled material.

PROCEDURE: The numbered blocks on QA form 1 correspond with the block instructions

listed.

NOTE: ATTACH SHIPPING PAPERS, IF PROVIDED, TO QA FORM.

NOTE: WITH THE EXCEPTION OF FLY-BY-WIRE DIAGNOSTIC AND

MAINTENANCE COMPUTERS, SHIP’S FORCE IS NOT REQUIRED TO

COMPLETE A QA FORM 1 TO DOCUMENT THE RECEIPT INSPECTION

OF CONTROLLED MATERIAL IF THE ITEM(S) IS TO BE IMMEDIATELY

INSTALLED FOR A SPECIFIC MAINTENANCE ACTION. IN THESE

CASES, THE RECEIPT INSPECTION WILL BE CAPTURED ON A QA FORM

2. IF THE MATERIAL IS NOT UTILIZED DURING THE SPECIFIC

MAINTENANCE ACTION FOR WHICH IT WAS PROCURED IT SHOULD

BE TURNED BACK IN TO SUPPLY. IF THE MATERIAL IS TO BE

RETAINED FOR A FUTURE MAINTENANCE ACTION, A QA FORM 1

MUST BE FILLED OUT PRIOR TO PLACING THE MATERIAL IN A

CONTROLLED MATERIAL STORAGE LOCKER OR STORAGE AREA.

NOTE: IF THE COMPONENT HAS A SHORTENED MATERIAL IDENTIFICATION

AND CONTROL (MIC) MARKING, ENSURE THE FULL MIC MARKING

FROM THE SHIPPING DOCUMENTS, TAGS, OR PACKAGING IS

ENTERED ON QA FORM 1 AND QA FORM 2.

NOTE: IF PORTIONS OF A COMPONENT WILL BE CANNABALIZED FOR

INSTALLATION VICE INSTALLING THE ENTIRE COMPONENT,

DISPOSITION IN ACCORDANCE WITH PART I, CHAPTER 6,

PARAGRAPH 6.3.9.1.D OF THIS VOLUME.

BLOCK 1 - MATERIAL NOMENCLATURE

Enter the noun name of the material (e.g., 5/8” - 11 NICU studs, 10” O.D. CUNI Barstock).

BLOCK 2 - LEVEL OF ESSENTIALITY

Enter the applicable Level of Essentiality (SUBSAFE, Level I, Nuclear Level I, Submarine

Flight Critical Component (SFCC) or Scope of Certification (SOC) Material Control Division

(MCD)) for the material received. For assemblies such as valves, the Level of Essentiality

will be the Level of Essentiality for the entire assembly, not individual parts.

a. Nuclear Level I:

(1) Material received with a “Target” Ready for Issue (RFI) tag or Naval Sea

Systems Command (NAVSEA) Prime Contractor Material determined to be

Nuclear Level I.

(2) Material from stock system required to be certified as Nuclear Level I.

b. SUBSAFE:

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(1) Special Material Identification Code (SMIC) material with valid MIC

markings.

(2) Submarine Antenna Engineering Directorate (SAED), (Submarine Antenna

Quality Assurance Material) SMIC material.

(3) Open purchased and stock system non-level material required to meet

SUBSAFE requirements.

c. Level I:

(1) LI, C1, S1 or D1 SMIC material with valid MIC markings.

(2) Non-level material required to be upgraded to Level I requirements.

d. SOC MCD A or MCD B: The entry will be based on the SOC Level of Essentiality as

determined in Part III, Chapter 6 of this volume.

BLOCK 3 - MIC NO./I.D. NO.

NOTE: THE PNSY “TRACE CODE” RESEMBLES A MIC NUMBER BUT DOES

NOT INCLUDE THE GENERIC MATERIAL DESIGNATOR (E.G., 98205-

003A).

a. Enter the MIC or the identification number or name plate data (I.D. No. if no MIC

No.) etched on the major part of the assembled material received (some individual

parts may also have MIC numbers that need not be recorded). Fleet Maintenance

Activity (FMA) will enter MIC upon completion of upgrading for FMA certified or

upgraded material. Ships (Non-FMA) will enter the FMA MIC No. for material that

the FMA certifies for the ship. For rotatable items, enter the appropriate rotatable pool

serial number (e.g., rp-148a, tin-292-11893, etc.).

b. For fasteners enter either the MIC number (when MIC number is marked on the

fastener or the individual tag for some small fasteners) or the color code and the PNSY

“trace code” provided on the shipper and the package or box.

c. If the material is MCD B, enter Markings on the material or documented on the

shipping papers providing identification to material type or military specification.

d. If the material is MCD A, enter the Traceability Number.

BLOCK 4 - REQUISITION NUMBER (REQ. NO.)

Enter the Requisition No. (invoice number) that was used to order the material or appears on

shipping documents (if provided).

BLOCK 5 - JULIAN DATE

Enter the five digit Julian Date (e.g., 90121, 91200, 92030) the material is received.

BLOCK 6 - NUMBER RECEIVED

Enter the total number received (must agree with the invoice). If the material is, for example,

“Barstock” enter the number of pieces and total length. Only one QA form 1 is required if the

entire lot has the same MIC number and is receipt inspected on the same day.

BLOCK 7 - NSN/SMIC

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Enter the National Stock Number (NSN), including the SMIC, of material received. If

material is identified only by drawing and piece number, enter them.

BLOCK 8 - VENDOR’S MARKINGS

a. Enter any Vendor’s Marking (heat, lot) present on the material.

b. For fasteners, enter the heat or lot number, material type, and manufacturer’s symbol

(for nuts containing a self-locking insert, the color of the insert is the manufacturer’s

symbol).

BLOCK 9 - REQUIRED CERTIFICATION DOCUMENTS FURNISHED

(SIGNATURE AND DATE)

a. If required certification documentation is provided, and the item passes receipt

inspection per Chapter 6, enter an “X” in the “YES” block. Controlled Material Petty

Officer (CMPO) or Controlled Material Handler (CMH) print name, sign and date the

block to certify the item passed receipt inspection. Blocks 10 through 15 are

completed as required, incomplete blocks are left blank. Attach a QA form 2. A copy

of any certification documentation will be attached to the QA form 1.

b. If the certification documentation is unacceptable or the material fails receipt

inspection or the item is non-level material undergoing upgrading, enter an “X” in the

“NO” block, attach a QA form 3 to the item, and notify the Quality Assurance Officer

(QAO) or Quality Assurance Supervisor (QAS). CMPO or CMH print name, sign and

date the block.

BLOCK 10 - ENTER APPROPRIATE CODE

QAO or QAS will mark the applicable blocks signifying attributes that must be verified for

receipt inspection, by referring to the appropriate references, using the appropriate code; “X”

(whenever records are required) or “O” (whenever records are not required, e.g., visual

inspection).

BLOCK 11 - INSPECTION RESULTS, REMARKS, SIGNATURE AND DATE

a. CMPO or Quality Assurance Inspector (QAI) or QAS will enter the results of all

inspections and, if unsatisfactory, state the reason for failure.

b. Print name, sign and date all entries which certifies the inspections, issues, and

records.

NOTE: BLOCKS 12, 13 AND 14 ARE COMPLETED AS REQUIRED, INCOMPLETE

BLOCKS ARE LEFT BLANK.

BLOCK 12 - DISPOSITION

Check the appropriate block based upon inspection results documented in Block 11 and fill

out Blocks 13 or 14 as applicable.

BLOCK 13 - CERTIFIED

Check the appropriate block signifying the level of essentiality to which the material has been

inspected or certified. For SOC material, enter the applicable MCD designator (A or B) in the

blank.

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NOTE: NON-LEVEL ITEMS UPGRADED OR CERTIFIED WILL HAVE THE

ASSIGNED MIC NUMBER ENTERED IN BLOCK 3 ABOVE PRIOR TO

SIGNATURE IN BLOCK 15.

BLOCK 14 - DOWNGRADE

Check the appropriate block, if “reject” is checked in Block 12.

BLOCK 15 - SIGNATURE AND DATE

QAO or QAS responsible for Blocks 10-14 will print name, sign and date certifying the

record as correct.

BLOCK 16 - Same as Block 1.

BLOCK 17 - Same as Block 2.

BLOCK 18 - Same as Block 3.

BLOCK 19 - Same as Block 4.

BLOCK 20 - Same as Block 7.

BLOCK 21 - Same as Block 6.

BLOCK 22 - Enter the date that the material is issued.

BLOCKs 23A, Enter the Unit Identification Code (UIC), Work Center (WC), and the

23B, AND 23C job sequence number that the material is issued against.

BLOCK 24 - Enter the system that the material is issued for.

BLOCK 25 - Enter the Controlled Work Package (CWP) serial number that the material

is issued for.

BLOCK 26 - Enter the amount of material issued.

BLOCK 27 - Enter the amount of material remaining after issue.

BLOCK 28 - CMPO or CMH issuing material, print name.

BLOCK 29 - Enter “Yes” or “No” as appropriate.

BLOCK 30 - Enter Level the material was downgraded to.

BLOCK 31 - QAO sign, signifying authorization to downgrade material.

NOTE: THE COMPLETED QA FORM 1 WILL BE FORWARDED TO THE QA

OFFICE, WHEN THE MATERIAL HAS BEEN ISSUED FOR

INSTALLATION.

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QA FORM 2

MATERIAL ID/CONTROL TAG

LANTFLT 4790/2 (8-01) S/N 0103-LF-981-0300

Green tag with black lettering

 LI / NUC LI  SFCC  SOC  OTHER

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QA FORM 2 INSTRUCTIONS

MATERIAL IDENTIFICATION (ID)/CONTROL TAG

LANTFLT 4790/2 (8-01) S/N 0103-LF-981-0300

PURPOSE:

1. Used for receipt inspection, certification and traceability of new controlled material.

2. Used to maintain traceability and identification of Level I, Nuclear Level I, SOC, SFCC and

non-level controlled items removed from a controlled system or component during

maintenance including transfer between organizations until reinstalled.

PROCEDURE: The numbered blocks on QA form 2 correspond with the block instructions

listed. Two sets of instructions are provided depending on purpose.

PURPOSE 1: RECEIPT OF NEW MATERIAL FROM SUPPLY SYSTEM. CMPO OR

CMH WILL COMPLETE BLOCKS 1-7 DURING THE RECEIPT

INSPECTION.

NOTE 1: FOR NUCLEAR MATERIAL, ANY RFI OR OTHER CERTIFICATION

TAGS ATTACHED TO THE ITEM WILL REMAIN ATTACHED UNTIL

THE MATERIAL IS INSTALLED.

NOTE 2: IF PORTIONS OF A COMPONENT WILL BE CANNABALIZED FOR

INSTALLATION VICE INSTALLING THE ENTIRE COMPONENT,

ATTACH A QA FORM 2 (PURPOSE 1 INSTRUCTIONS) TO THE

PORTIONS OF THE COMPONENT OR ASSEMBLY TO BE INSTALLED

IN THE SYSTEM. REMOVE THE ORIGINAL QA FORM 2 (DISCARD)

AND ATTACH A NEW QA FORM 2 (PURPOSE 1 INSTRUCTIONS)

DOCUMENTING THE ACTUAL CONFIGURATION OF THE

REMAINING PORTION OF THE ORIGINAL ASSEMBLY.

DISPOSITION IN ACCORDANCE WITH PART I, CHAPTER 6,

PARAGRAPH 6.3.9.1.D OF THIS VOLUME.

BLOCK 1 - TAG (A) OF (B)

a. Block A – Enter “1”. For additional tags used during the fabrication, transfer or

installation process, number the tags in sequential order as used (2, 3, 4, etc.).

b. Block B - The last number reflects the total number of tags used for this item during

this maintenance action. This block is filled in by the craftsman at the time Block 20

is signed for non-SUBSAFE or non-SOC systems. For SUBSAFE, Nuclear or SOC

systems, this block is filled in by the QAI at the time Block 21 is signed on the last tag

(e.g., 3 of 3).

BLOCK 2 - MIC NO./SERIAL NO.

NOTE: THE INFORMATION ENTERED FOR FASTENERS MAY NEED TO

INCLUDE INFORMATION FROM BLOCKS 3 AND 8 FROM QA-1. DO NOT

ENTER THE PNSY TRACE NUMBER FROM BLOCK 3 OF THE QA-1.

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(1) New Material: Enter the MIC etched on the material. If the component has no

MIC or a shortened MIC marking, ensure the full MIC marking from the

shipping documents, tags or packaging is entered.

(2) For Flight Critical Components, enter the component serial number.

(3) For TRIPER Program Components, enter the TRIPER component serial

number (e.g., tin-292-11893).

b. Fasteners: Document the markings from the fastener to include either:

(1) The color code and the heat or lot number, material type, and manufacturer’s

symbol (for nuts containing a self-locking insert, the color of the insert is the

manufacturer’s symbol).

(2) The MIC number (when MIC number is on the fastener or on the individual

tag for some small fasteners).

c. If the material is MCD B, enter Markings on the material or documented on the

shipping papers providing identification to material type or military specification.

d. If the material is MCD A, enter the Traceability Number.

BLOCK 3 - MAT LEVEL

Check the NEW block and the appropriate block for Level of Essentiality [e.g., check LI,

NUC LI, if Level I or Nuclear Level I, or check SOC, if Scope of Certification, or check

SFCC if Submarine Flight Critical Component or check “OTHER” (e.g., SAED Controlled)].

This block should be the same as the “Level” on the QA form 1.

BLOCK 4 - MATL DESCRIPTION

Enter the quantity, size and noun name of the material (e.g., (6 each) 5/8” - 11 NICU studs,

10” O.D. CUNI barstock 6” long).

BLOCK 5 - NSN/SMIC

Enter the NSN, including SMIC, of the material. If none, enter “NONE”.

BLOCK 6 - RECEIPT INSPECTION COMMENTS

Enter receipt inspection results (i.e., SAT or UNSAT). If inspection results are UNSAT in

Block 6, initiate a QA form 3. For UNSAT results in Block 6, the CMPO will only sign

Block 7 of the QA form 2 if the QAO dispositions the item suitable for use on Block 12 of the

QA form 3. For SAT receipt inspection of SOC MCD Level A or B material received without

an RFI tag or an EB Blue tag, enter the following statement with the blank having the

appropriate A or B entered:

“Material Receipt Inspected SAT and is certified as SOC MCD ___.”

This entry will be signed by the QAO.

For SAT receipt inspection of SOC MCD A or B material received with an RFI tag or an

EB Blue tag, enter the MCD Level (i.e., MCD A or MCD B) after the receipt inspection

results.

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BLOCK 7 - CMPO/CMH

CMPO or CMH certifying the entries in Blocks 1-7 print name, enter signature and date.

NOTE 1: THE CMPO WILL VERIFY THAT THE ITEM IS WHAT IS REQUIRED

FOR INTENDED USE PRIOR TO TURNING THE MATERIAL OVER TO

CRAFTSMAN FOR FABRICATION OR INSTALLATION AND FILL IN

BLOCKS 8 THROUGH 12 AT THE TIME THE MATERIAL IS ISSUED.

NOTE 2: IF A PARTIAL ISSUE IS MADE (E.G., A SECTION OF BARSTOCK IS

CUT OFF A LARGER PORTION OR ONLY 4 OF 12 NUTS IN A BOX ARE

USED), THE CMPO MAKING THE ISSUE WILL COMPLETE BLOCKS 1-

12 OF A NEW QA FORM 2 FOR THE PARTIAL ISSUE PER PART I,

CHAPTER 6, PARAGRAPH 6.3.9 OF THIS VOLUME AND UPDATE THE

ASSOCIATED QA-FORM 1. THE ORIGINAL OR “PARENT” QA-FORM 2

DOCUMENTING ORIGINAL RECEIPT OF MATERIAL WILL NOT BE

MODIFIED. THE QA-FORM 1 WILL TRACK DISTRIBUTION OF

MATERIAL.

BLOCK 8 - UIC, WC, JSN AND CWP SERIAL NO.

At the time of issue, enter the Job Control Number (JCN) [UIC, WC and Job Sequence

Number (JSN)] and CWP serial number. If removal or installation of existing material is

authorized as a REC exception, CWP serial number may be marked “N/A”.

BLOCK 9 - WC NO.

Enter the number of the WC receiving material (e.g., EM01, 10C, 38A).

BLOCK 10 - DATE

Enter date the WC received the material.

BLOCK 11 - REMARKS

Enter the reason for issue (e.g., issued to 31A for manufacture of fitting, issued to EM01 for

installation).

BLOCK 12 - CRAFTSMAN/CMPO/CMH/QAI

For Initial Material Issue: Print name, enter signature signifying issue of material by CMPO

or CMH. For Fabrication or Transfer (Additional QA form(s) 2 required). Print name, enter

signature signifying receipt of material.

NOTE: THE REMAINING SECTIONS OF THE TAG ARE COMPLETED BY THE

COGNIZANT CRAFTSMAN, CMPO, CMH OR QAI DURING THE

FABRICATION OR +INSTALLATION PROCESSES.

NOTE: SATISFACTORY CONDITION OF MATERIAL EXCHANGED BETWEEN

WCs IS ASSUMED, UNLESS AN ENTRY IS MADE IN REMARKS

INDICATING MATERIAL IS REJECTED.

BLOCK 13 - WC NO.

Enter the number of the WC receiving material (e.g., 56A or EA01).

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BLOCK 14 - DATE

Enter date material received.

BLOCK 15 - REMARKS

Record work performed while the material was in the custody of the WC (e.g., drilled screws

and installed Nyloc pellets).

BLOCK 16 - CRAFTSMAN/CMPO/CMH/QAI

Cognizant craftsman print name and sign to certify the blocks are complete and correct.

NOTE: IF 2 OR MORE WCs ARE INVOLVED IN THE FABRICATION PROCESS,

ADDITIONAL QA FORMS 2 WILL BE FILLED OUT AND NUMBERED IN

ACCORDANCE WITH THE INSTRUCTIONS ABOVE FOR BLOCK 1.

NOTE: IF FOR ANY REASON THE COGNIZANT CRAFTSMAN REJECTS THE

MATERIAL THEY WILL COMPLETE AND ATTACH A MATERIAL

REJECT TAG (QA FORM 3) AND LEAVE THE QA FORM 2 ATTACHED.

NOTE: BLOCKS 17 THROUGH 21 WILL CONTAIN THE RECORD OF FINAL

INSTALLATION. IF ADDITIONAL TAGS ARE REQUIRED FOR THE

MATERIAL DURING THE FABRICATION AND TRANSFER PROCESS

(MORE THAN TWO WCs OR PROCESSES INVOLVED IN THE REPAIR),

BLOCKS 9 THROUGH 12 AND BLOCKS 17 THROUGH 21 MAY BE USED.

BLOCK 17 - WC NO.

Enter the number of the WC responsible for installation of the material (e.g., 56A or EA01).

BLOCK 18 - DATE

Enter the date of installation.

BLOCK 19 - REMARKS

Enter the location where the material was installed into the system or component (e.g.,

installed in AHP-514, installed in system at joints ASW-70014(F) and ASW-70015(F), etc.).

BLOCK 20 - CRAFTSMAN

Cognizant craftsman print name and enter signature signifying that the material is the correct

material, is installed correctly and per the applicable technical specifications. Remove the QA

form 2 and file with the CWP if a QAI is not required.

NOTE: A QAI INSPECTION IS REQUIRED FOR NEW MATERIAL

INSTALLATIONS FOR JOINTS AND ASSEMBLIES WITHIN THE HULL

INTEGRITY BOUNDARY (INCLUDING ELECTRICAL HULL FITTING

(EHF) TO PRESSURE HULL JOINTS), SOC JOINTS AND COMPONENTS,

SUBSAFE SEAWATER OR SEA-CONNECTED FLANGED PIPE JOINTS,

AND ALL NUCLEAR LEVEL I SYSTEM JOINTS AND COMPONENTS.

BLOCK 21 - INSPECTOR

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When required, inspector print name and enter signature and date certifying that the material

is the correct material, acceptable for application and correctly installed. Enter NA in QAI

signature space when QAI is not required. Remove the QA form 2 and file with the CWP.

NOTE: IF, FOR ANY REASON, A CRAFTSMAN, CMPO, CMH OR QAI REJECTS

MATERIAL, THEY WILL COMPLETE AND ATTACH A QA FORM 3,

LEAVING THE QA FORM 2 ATTACHED. TAG USED ITEMS WHICH

MUST BE TURNED IN TO SUPPLY AND ANY ITEM WHICH IS NOT

PROPERLY DISCARDED (E.G., AT THE END OF WORK DAY OR SHIFT).

NOTE: WHEN EXISTING CONTROLLED MATERIAL IS REINSTALLED INTO

THE SYSTEM, THE QA FORM 2 WILL BE COMPLETED AND RETAINED

WITH THE CWP UNTIL THE CWP IS CLOSED OUT. THE

ACCOUNTABILITY FOR CONTROLLED MATERIAL REINSTALLATION

IS ON THE APPLICABLE OBJECTIVE QUALITY EVIDENCE (OQE)

RECORD (E.G., JOINT OR COMPONENT REPAIR RECORD, QA FORM

34). THE QA FORM 2 MAY BE DISCARDED AFTER THE CWP IS CLOSED

OUT.

PURPOSE 2: UPON REMOVAL FROM SYSTEM OR COMPONENT (EXISTING

MATERIAL).

NOTE 1: DAMAGED EXISTING MATERIAL REMOVED FROM CONTROLLED

SYSTEMS WHICH IS NOT INTENDED TO BE REPAIRED OR REUSED

AND IS INTENDED TO BE DISPOSED OF AS TRASH DOES NOT REQUIRE

A QA FORM 2 TO BE ATTACHED PROVIDED THE MATERIAL IS

IMMEDIATELY DISCARDED. EXAMPLES OF THIS ARE DAMAGED

VALVE STEMS, DAMAGED COMPONENT FASTENER NUTS AND STUDS.

DOES NOT APPLY TO TURN-IN ITEMS SUCH AS DEPOT LEVEL

REPAIRABLE.

BLOCK 1 - TAG (A) OF (B)

a. Number the tags in sequential order as used (e.g., 1, 2, 3, etc.).

b. The last number reflects the total number of tags written for each part removed from a

disassembled component or system. This block is filled in by the craftsman at the

same time Block 20 is signed for final installation of non-SUBSAFE or non-SOC

systems. For SUBSAFE, Nuclear or SOC systems, the QAI will fill in this block at

the time Block 21 is signed on the last tag (e.g., 3 of 3).

BLOCK 2 - MIC NO./SERIAL NO.

Enter the MIC etched on the material. Where there is no visible MIC number, enter existing

material marking, such as color code for fasteners, heat or lot number, and manufacturer's

symbol (for nuts containing a self-locking insert, the color of the insert is the manufacturer's

symbol). If none, enter “NONE.” For rotatable items, enter the appropriate rotatable pool serial

number (e.g., rp-148a, tin-292-11893, etc.). For Flight Critical Components, enter the

component serial number. For periscopes, enter the registry number. For mast, enter the MIC

etched on the outer housing.

BLOCK 3 - MAT LEVEL

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Check the EXISTING block and the appropriate block for Level of Essentiality [e.g., check

LI, NUC LI, if Level I or Nuclear Level I, or check SOC if Scope Of Certification, SFCC, or

check “OTHER” (e.g., SAED Controlled)].

BLOCK 4 - MATL DESCRIPTION

Enter the quantity, size and noun name of the material (e.g., 6 each, 5/8” - 11 NICU studs,

AHP-56 4500/2000 PSI Reducer).

BLOCK 5 - NSN/SMIC

Enter “NA”.

BLOCK 6 - RECEIPT INSPECTION COMMENTS

Enter “NA”.

BLOCK 7 - CMPO/CMH

Enter “NA”.

BLOCK 8 - UIC, WC, JCN AND CWP SERIAL NO.

Enter the JCN, consisting of the UIC, WC, JSN, and CWP serial number in the appropriate

blocks. If removal or installation of existing material is authorized as a REC exception, JCN

and CWP serial number may be marked “N/A”.

NOTE: CAUTION MUST BE TAKEN WHEN USING THE WORDS “REPAIRED”,

“REINSTALLED” TO ENSURE THAT THESE WORDS ARE USED

PROPERLY.

TAG BACK SIDE

(This side is filled out by the QAI, CMPO, CMH or craftsman).

BLOCK 9 - WC NO.

Enter the number of the WC which completed Blocks 1-8 of the tag (e.g., 56X, EA01).

BLOCK 10 - DATE

Enter date material removed from system or component.

BLOCK 11 - REMARKS

Enter information regarding why component was removed (e.g., removed for repair of valve

seats, removed for transfer to AS-40 for repair and testing).

BLOCK 12 - CRAFTSMAN/CMPO/CMH/QAI

The cognizant craftsman will print name and sign.

NOTE: IF MORE THAN ONE WC IS INVOLVED IN THE FABRICATION OR

REPAIR PROCEDURE, BLOCKS 13-16 WILL BE FILLED OUT BY THE

COGNIZANT CRAFTSMAN IN THE SAME MANNER AS BLOCKS 9

THROUGH 12 AS THE ITEM IS TRANSFERRED FROM ONE WC TO

ANOTHER FOR FABRICATION, ETC. FOR A TOTAL SHIP’S FORCE JOB,

THESE BLOCKS ARE NORMALLY “NA”, UNLESS ANOTHER WC HAS TO

DO SOMETHING TO THE MATERIAL.

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If used for transfer of material between organizations, blocks 13-16 will be filled out by

the receiving activity.

BLOCK 13 - WC NO.

Enter the number of the WC receiving material (e.g., 56A, 38C).

BLOCK 14 - DATE

Enter date material received.

BLOCK 15 - REMARKS

Record work performed while in the custody of the WC.

BLOCK 16 - CRAFTSMAN/CMPO/CMH/QAI

Cognizant individual will print name and sign that all work performed was completed

satisfactorily and per applicable technical requirements. This signature will be made prior to

transferring the material back to the original organization from which it was received.

NOTE: BLOCKS 17 THROUGH 21 WILL CONTAIN THE RECORD OF FINAL

INSTALLATION. IF ADDITIONAL TAGS ARE REQUIRED FOR THE

MATERIAL DURING THE FABRICATION AND TRANSFER PROCESS

(MORE THAN TWO WCs OR PROCESSES INVOLVED IN THE REPAIR),

BLOCKS 9 THROUGH 12 AND BLOCKS 17 THROUGH 21 MAY BE USED.

BLOCK 17 - WC NO.

Enter WC responsible for installation.

BLOCK 18 - DATE

Enter date of final installation.

BLOCK 19 - REMARKS

Enter the location where the material was installed into the system or component (e.g.,

installed in AHP-514, installed in system at joints ASW-70014(F) and ASW-70015(F), etc.).

BLOCK 20 - CRAFTSMAN

Cognizant craftsman print name and enter signature signifying that the material is installed

correctly and per applicable technical specifications. Remove the QA form 2 and file with the

CWP.

NOTE: QAI VERIFICATION IS REQUIRED FOR NUCLEAR LEVEL I PRESSURE

BOUNDARY JOINTS OR WHEN TRANSFERRED OR CANNIBALIZED

MATERIAL IS INSTALLED WITHIN THE SUBSAFE OR SOC BOUNDARY.

BLOCK 21 - INSPECTOR

When required, inspector print name, and enter signature and date certifying that the material

is the correct material, acceptable for application and correctly installed. Remove the QA

form 2 and file with the CWP.

NOTE: IF, FOR ANY REASON, A CRAFTSMAN, CMPO, CMH OR QAI REJECTS

MATERIAL THEY WILL COMPLETE AND ATTACH A QA FORM 3,

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LEAVING THE QA FORM 2 ATTACHED. TAG USED ITEMS WHICH

MUST BE TURNED IN TO SUPPLY AND ANY ITEM WHICH IS NOT

PROMPTLY DISCARDED (E.G., AT THE END OF WORK DAY OR SHIFT).

NOTE: WHEN EXISTING CONTROLLED MATERIAL IS REINSTALLED INTO

THE SYSTEM THE QA-2 WILL BE COMPLETED AND RETAINED WITH

THE CWP UNTIL THE CWP IS CLOSED OUT. THE ACCOUNTABILITY

FOR CONTROLLED MATERIAL REINSTALLATION IS ON THE

APPLICABLE OQE RECORD (E.G., JOINT OR COMPONENT REPAIR

RECORD, QA-34). THE QA-2 MAY BE DISCARDED AFTER THE CWP IS

CLOSED OUT.

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QA FORM 3

CONTROLLED MATERIAL REJECT TAG

Red tag with black lettering.

PART I

1. MIC/ID NUMBER

2. L/I NUC L/I

3. REASON

4. REJECTED BY DATE

MIL-SPEC OTHER

PART III

FINAL DISPOSITION BY QA

9. ACCEPT AS:

10. DOWNGRADE TO:

11. RETURN TO SOURCE

12. REMARKS

13. QAO APPROVED

PART II

QA DISPOSITION REQUEST

5. MIC NO.

6. LOCATION

7. REASON

8. DIVISION OFFICER DATE

CONTROLLED MATERIAL

REJECT TAG

QA FORM 3

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QA FORM 3 INSTRUCTIONS

CONTROLLED MATERIAL REJECT TAG

S/N 0103-LF-655-1300

PURPOSE: This tag provides visual evidence and identification of rejected material or

material in a hold status, and a request for QAO evaluation for final disposition.

NOTE: DAMAGED EXISTING MATERIAL REMOVED FROM CONTROLLED

SYSTEMS WHICH IS NOT INTENDED TO BE REPAIRED OR REUSED

AND IS INTENDED TO BE DISPOSED OF AS TRASH DOES NOT REQUIRE

A QA FORM 3 TO BE ATTACHED PROVIDED THE MATERIAL IS

IMMEDIATELY DISCARDED. EXAMPLES OF THIS ARE DAMAGED

VALVE STEMS, DAMAGED COMPONENT FASTENER NUTS AND STUDS.

DOES NOT APPLY TO TURN-IN ITEMS SUCH AS DEPOT LEVEL

REPAIRABLE. ALL MIC MARKINGS ON DAMAGED MATERIAL WILL

BE REMOVED OR OBSCURED TO PREVENT INADVERTENT REUSE.

NOTE: QA FORM 3 FOR PREVIOUSLY REJECTED AND NOW ACCEPTED

CONTROLLED MATERIAL MUST BE FILED WITH THE APPLICABLE

CWP.

PROCEDURE:

a. Part I and Blocks 5 through 7 of Part II are filled out by personnel attaching the tag.

b. Attach filled out tag to the material.

c. Person attaching the tag will remove Part II, and forward to the QAO or QAS via the

division officer.

d. The QAO will determine the final disposition and fill out Part III.

e. The numbered blocks on QA form 3 correspond with the block instructions listed.

PART I

BLOCK 1 - MIC/SERIAL NO.

Enter the MIC, serial number or other identifying permanent marking etched on the material,

or if the item does not have a MIC number, serial number or other identifying marking visible,

enter none or existing, as appropriate. Enter the same in Block 5.

BLOCK 2 - MATL LEVEL

Check the appropriate block indicating the Level of Essentiality for the material or fill in the

blank for “other”. When “other” is selected, enter in the amplifying remarks why the material

is being tagged (e.g., SAED, Controlled or SOC).

BLOCK 3 - REASON

Enter the reason for rejection of the material (be explicit). Example: “Invalid MIC marking”,

“Linear indications on weld”. Provide as much applicable information as possible concerning

the item (e.g., rejection form(s) (Departure From Specification (DFS), Quality Deficiency

Report, etc.), Drawing No., Piece No., Contract, Stock No., Control Work Procedure, etc.).

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BLOCK 4 - REJECTED BY/DATE

Cognizant individual print name, enter signature and date rejected.

PART II - QA DISPOSITION REQUEST

BLOCK 5 - MIC/SERIAL NO.

Enter the same information that is in Block 1.

BLOCK 6 - LOCATION

Enter exact location of material (e.g., Rejected Material Locker WC 38A).

BLOCK 7 - REASON

Enter the reason why the rejected material should be released (e.g., located Nondestructive

Test (NDT) records for material, etc.).

BLOCK 8 - REQUESTED BY

Cognizant division officer print name and enter signature.

NOTE: REMOVE AND FORWARD THE COMPLETED PART II OF THE REJECT

FORM TO THE QAO VIA THE DIVISION OFFICER. SHIPS MAY NEED

ASSISTANCE FROM THE FMA QAO IN DISPOSITIONING THE

MATERIAL.

PART III - FINAL DISPOSITION BY QA

Enter all data used to determine final disposition.

BLOCK 9 - ACCEPT AS

Enter the level of essentiality to which the item is to be accepted (e.g., Non-Level to Level I)

A DFS may be required. If this item will not be accepted, mark this blank “NA”.

BLOCK 10 - DOWNGRADE TO

Enter Level of Essentiality to which the item is to be downgraded. If it is to be returned to its

source, enter “NA” or “None”.

BLOCK 11 - RETURN TO SOURCE

If to be returned to source, place an “X” or check in the block.

BLOCK 12 - REMARKS

Enter any remarks needed to explain the disposition of the material or why a particular

decision was made. Identify the Objective Quality Evidence (OQE) or technical justification

or documentation which authorizes use or disposal of material (e.g., DFS, Liaison Action

Record (LAR), waivers, deviations, etc.).

BLOCK 13 - QA OFFICER SIGNATURE AND DATE

QAO who made the disposition decision print name, enter signature and date. The tag must

stay with the material. Upon installation of the material, remove the tag and return to the

QAO.

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MAINTENANCE CERTIFICATION RECORD/RE-ENTRY CONTROL

QA FORM 9

1. PAGE OF

2. [ ] SUBSAFE/RE-ENTRY [ ] NUCLEAR [ ] LEVEL I [ ] SCOPE OF CERTIFICATION [ ] FBW-SCS/RE-ENTRY [ ] OTHER

3. SHIP

HULL

4. CWP/REC SERIAL NO. REV.

5. J.O./JCN

6. ASSOCIATED CWP(s)/REC(s)

7. ORIGINATOR BADGE/GRADE/RANK

8. ORGANIZATION

9. SYSTEM REPAIRED/RE-ENTERED

10. REPAIR/RE-ENTRY LOCATION

11. COMPONENT(s)

WORK DESCRIPTION INCLUDING BOUNDARIES

12. JID MAP/DWG WITH REV

13. WORK AND TESTING TO BE PERFORMED AND WORK AND TEST REFERENCE DOCUMENTS

14. APPLICABLE JOINT NO(s), OR IF NOT SUPPLIED. SPECIFIC BOUNDARIES

APPROVAL FOR CONTROLLED WORK/RE-ENTRY

15A. PRIME APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

15B. PRIME APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

15C. PRIME APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

15D. PRIME APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

VERIFICATION AND CERTIFICATION

16. SUPPORTING DOCUMENTATION

VERIFICATION OF WORK COMPLETION

17. THE PRODUCTION WORK DESCRIBED BY THIS MCR / REC HAS BEEN ACCOMPLISHED IN ACCORDANCE WITH THE SPECIFIED INSTRUCTIONS AND THE

REQUIRED DOCUMENTATION LISTED IN BLOCK 16 HAS BEEN COMPLETED, REVIEWED AND IS CORRECT.

APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

CERTIFICATION OF DOCUMENTATION OF PRODUCTION WORK

18. ALL DOCUMENTATION AND CERTIFICATION FOR PRODUCTION WORK SPECIFIED IN BLOCK 16 HAS BEEN COMPLETED. THE DOCUMENTATION HAS BEEN

REVIEWED FOR ACCURACY AND COMPLETENESS.

APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

CERTIFICATION OF TESTING RESULTS

19. THE TESTING INVOKED FOR THIS MCR HAS BEEN COMPLETED. THE TEST DOCUMENTATION SPECIFIED IN BLOCK 16 HAS BEEN REVIEWED FOR

ACCURACY AND COMPLETENESS.

APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

FINAL MCR CLOSEOUT CERTIFICATION

20. ALL CERTIFICATIONS RELATED TO THIS MCR HAVE BEEN REVIEWED FOR CORRECTNESS AND VERIFIED TO BE COMPLETE. I CERTIFY THIS QA

CERTIFICATION/RE-ENTRY IS CLOSED.

PRIME APPROVAL SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & BADGE/GRADE/RANK DATE

21. SHIP’S COMMANDING OFFICER SIGNATURE LEGIBLY PRINTED, TYPED OR STAMPED NAME & GRADE/RANK DATE

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QA FORM 9 INSTRUCTIONS

MAINTENANCE CERTIFICATION RECORD/RE-ENTRY CONTROL

PURPOSE:

NOTE: “N/A” ALL UNUSED BLOCKS.

1. This form is used to authorize and certify maintenance within SUBSAFE, Nuclear Level I,

Level I, SOC or SFCC boundaries and is used as a CWP cover sheet.

2. The instructions are broken down into two separate situations.

SITUATION 1. CONTROLLED WORK OR SUBSAFE RE-ENTRY CONTROL BY

SHIP’S FORCE ONLY.

a. The following instructions contain the minimum information and controls necessary to

maintain certified systems on board ship when work is performed by Ship’s Force on a

certified ship.

b. Each block number on the Maintenance Certification Record (MCR)/Re-Entry Control

(REC), QA form 9 corresponds to the same block number in the instructions. The

number identifies the purpose and use of the entry on the MCR/REC.

c. Each block will be filled in or signed by the personnel assigned or their authorized

representatives. Such authorized representatives will be designated in writing in an

approved ship’s instruction.

BLOCK 1 - PAGE OF

NOTE A TECHNICAL WORK DOCUMENT MAY CONTAIN MULTIPLE QA

FORMS OF THE SAME TYPE, (E.G. MORE THAN ONE QA-26). THE PAGE

ENTRY IS FOR THIS SPECIFIC FORM, NOT THE TOTAL NUMBER OF

PAGES ON ALL FORMS OF THE SAME TYPE.

Enter the page number, starting with page 1, of total number of QA form pages (e.g., 1 of ,

2 of ). The last number reflects the total number of QA Form pages written. This block is

filled in by a QAI or the QAO after all certification testing is complete before block 19 on the

QA-9 is signed. (e.g., 1 of 3, 2 of 3, 3 of 3).

Enter the total number of pages (QA form 9 plus any QA form 10 used as a supplement,

should normally be 1 of 2).

BLOCK 2 - [ ] SUBSAFE/RE-ENTRY [ ] NUCLEAR [ ] LEVEL I [ ] SCOPE OF

CERTIFICATION [ ] FBW-SCS/RE-ENTRY [ ] OTHER

Check or “X” the appropriate block(s) and, if “OTHER” is checked, will enter the appropriate

level of control (e.g., P-1, P-3a, P-LT).

BLOCK 3 - SHIP HULL NO.

Enter ship’s name and hull number.

BLOCK 4 - CWP SERIAL NO.

Obtain the next CWP serial number from the ship’s QAO and enter in the block. Revision

“-” (dash) will be entered on the initial version of all MCR/RECs. When a revision is

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V-I-11-24

required, enter the next revision letter. If necessary, prepare a new MCR/REC using the

original numbers plus the next revision letter. Upon issuance of each REC revision, all prior

revisions are canceled and superseded and must be so annotated and retained as OQE. A REC

revision must go through the same approval process as the original REC. REC Supplement or

continuation sheets (QA-10) must not be used as an alternate to revision of the REC.

BLOCK 5 - J.O./JCN

Enter the JCN for the maintenance action.

BLOCK 6 - ASSOCIATED CWP(s)/REC(s)

Shipyard use only.

BLOCK 7 - ORIGINATOR

Enter the name (and badge, grade or rank) of the person preparing the CWP.

BLOCK 8 - ORGANIZATION

Enter the division of the person preparing the CWP.

BLOCK 9 - SYSTEM REPAIRED/RE-ENTERED

Enter the system(s) being repaired or re-entered.

BLOCK 10 - REPAIR/RE-ENTRY LOCATION

Enter the physical location of the work.

BLOCK 11 - COMPONENT(s)

Enter the noun name of the component(s) being repaired or re-entered.

BLOCK 12 - JID MAP/DWG WITH REV

a. Enter the number and revision of the appropriate mapping drawing(s) for the work. If

no mapping drawing is available, list the most appropriate arrangement or component

drawing or diagram. For component repair, enter the applicable document (Standard

Navy Valve Drawing, Vendor Drawing, etc.) which depicts the disturbances of the

item (work in place or shop work). Based on the scope of work planned, several

drawings may need to be referenced. If necessary, local sketches are authorized.

b. The general order of precedence for entering Joint Identification (JID) is:

(1) JID number from the SUBSAFE Joint Mapping Plan, if there is one.

(2) JID number from the Joint Index Drawing, ship or class, for welding.

(3) Joint description or JID from Assembly or Arrangement or Installation

Drawing. The drawing chosen must adequately portray the joints to be broken.

(4) Drawings or diagrams from technical manual.

(5) A locally prepared sketch where other alternatives do not adequately describe

the joints to be broken. Since the sketch will not be retrievable elsewhere, it

must be kept in the REC package as OQE and must be documented on a QA-

10.

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BLOCK 13 - WORK AND TESTING TO BE PERFORMED AND WORK AND

TEST REFERENCE DOCUMENTS

Enter the total scope of work and testing required for certification of this repair or re-entry

(e.g., ripout, repair, restore, replace, reinstall). Enter the work and test description and make

positive reference to the TWD, which contains the detailed work procedure, material

requirements, testing and certification to be performed. Work and testing references will be

identified for each action listed in this block. If additional space is needed to properly identify

all elements, then a QA form 10 will be used to supplement this block. The information

provided in Block 6 does not need to be repeated in Block 13. The description of work on

each REC revision must detail the total revised Scope of Work. Cumulative partial

descriptions do not satisfy this requirement.

BLOCK 14 - APPLICABLE JOINT NO(s), OR, IF NOT SUPPLIED, SPECIFIC

BOUNDARIES

Enter the JID to be repaired or re-entered. If joint numbers are not supplied, specify

boundaries in specific terms (e.g., body to bonnet joint of valve ASW-29) or assign local joint

numbers. If local joint numbers are assigned, the sketch used to identify the joints must be

included as OQE in the completed CWP. Listing of work boundary “end points” in lieu of

listing discrete individual joints does not satisfy this requirement.

BLOCK 15 - PRIME APPROVAL SIGNATURE

a. BLOCK 15A. The QAO will sign, legibly print or stamp their name and badge, grade

or rank and enter the date indicating the package is technically correct.

b. BLOCK 15B. The Department Head will sign, legibly print or stamp their name and

badge, grade or rank and enter the date granting permission for work to be conducted.

No work can start prior to this signature.

c. BLOCK 15C. For nuclear system work, the ship’s Commanding Officer (Reactor

Officer for CVNs) will sign, legibly print or stamp their name and badge, grade or

rank and enter the date granting permission for work to be conducted per Part I,

Chapter 2, Appendix E of this Volume. No nuclear work can start prior to this

signature. The Immediate Superior In Command (ISIC) Material Officer will counter

sign and enter their badge, grade or rank to indicate review for testing of repair

activity accomplished nuclear work per Part I, Chapter 2, Appendix E of this Volume.

For oxygen, SUBSAFE, Scope of Certification or Safety of Flight Critical Component

work, the ship’s Engineer Officer (Chief Engineer for CVNs) will sign, legibly print or

stamp their name and badge, grade or rank and enter the date, granting permission for

work to be conducted per Part I, Chapter 2, Appendix E of this Volume. No nuclear,

oxygen system, SUBSAFE, Scope of Certification or Safety of Flight Critical

Component work can start prior to this signature.

d. BLOCK 15D. The Officer Of the Deck, Duty Officer or Engineering Officer of the

Watch or Engineering Duty Officer, depending on the work to be performed, will sign,

legibly print or stamp their name and badge, grade or rank and enter the date

authorizing the work to start. The signature establishes the work and CWP start date

and signifies that the system or component is in a condition to accomplish the work.

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NOTE: COMPLETE BLOCKS 16, 17 AND 18 BEFORE PERFORMING ANY

SHIPBOARD TESTING. IF REWORK BECOMES NECESSARY AS THE

RESULT OF SHIPBOARD TESTING, THE REQUIREMENTS OF PART I,

CHAPTER 2, PARAGRAPH 2.3.7.2 OF THIS VOLUME MUST BE

FOLLOWED. FOR SHIP-TO-SHOP MAINTENANCE, BLOCKS 16, 17 AND

18 DO NOT NEED TO BE COMPLETED FOR IN-PROCESS TESTING

IDENTIFIED AS PART OF THE CWP “PROCEDURE” SECTION. AFTER

COMPLETING THE PROCEDURE AND BEFORE PERFORMING THE

CWP “TESTING AND INSPECTION” SECTION, COMPLETE BLOCKS 16,

17, AND 18.

NOTE: RFI “TAGS” FOR MCD-A AND MCD-B MATERIAL MAY CONSIST OF A

PHYSICAL TAG ATTACHED TO THE COMPONENT OR MARKINGS ON

THE PACKAGING THAT CONTAIN THE RECEIPT INSPECTION SERIAL

NUMBER, MCD LEVEL, NATIONAL STOCK NUMBER (NSN) WITH SMIC

(D0, D4, D5, D6, D7, OR D8) AND CONTRACT NUMBER. WHEN THE RFI

MARKINGS ARE CONTAINED ON THE PACKAGING, A PHOTO-COPY OF

THE PACKAGING IS ACCEPTABLE FOR RECORD RETENTION

PURPOSES.

BLOCK 16 - SUPPORTING DOCUMENTATION

The Lead Work Center (LWC) Division Officer will identify all supporting documentation

required and generated as established by the CWP. For example, a typical entry would be:

QA2(3), QA12(1), QA26(1), QA34(1), RFI Tag(1), LAR(2). List only QA form 2s for new

material installed in the system or component. The cumulative documentation (OQE) must be

listed on the latest revision. (The QA-10 is a continuation sheet for the QA-9 and is not

required to be listed in Block 16.)

BLOCK 17 - VERIFICATION OF WORK COMPLETION

The LWC Division Officer will sign, legibly print or stamp their name (and badge, grade or

rank) and enter the date certifying that the production work described by the MCR/REC has

been accomplished per the specified instructions and that the required documentation for the

production work as described in Block 16 has been completed, reviewed and is correct. When

rework is identified following signing blocks 17 and 18, new signature and date blocks for

blocks 17 and 18 must be documented on a QA form 10.

BLOCK 18 - CERTIFICATION OF DOCUMENTATION OF PRODUCTION WORK

The QAO will sign, legibly print or stamp their name and badge, grade or rank and enter the

date certifying that all documentation for the production work specified in Block 16 has been

reviewed for accuracy and completeness and is complete and accurate. When rework is

identified following signing blocks 17 and 18, new signature and date blocks for blocks 17

and 18 must be documented on a QA form 10.

BLOCK 19 - CERTIFICATION OF TESTING RESULTS

The QAO will sign, legibly print or stamp their name and badge, grade or rank and enter the

date certifying that the testing invoked for this MCR/REC has been completed satisfactorily.

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The test documentation specified in Block 16 has been completed, has been reviewed, and is

complete and accurate.

BLOCK 20 - FINAL MCR/REC CLOSEOUT CERTIFICATION

The Department Head will sign, legibly print or stamp their name and badge, grade or rank

and enter the date certifying that all documentation related to this MCR/REC has been

reviewed for accuracy and completeness and is complete and accurate. For oxygen,

SUBSAFE, Scope of Certification or Safety of Flight Critical Component work, the ship’s

Engineer Officer (Chief Engineer for CVNs) must perform this certification and sign, legibly

print or stamp their name and badge, grade or rank and enter the date.

BLOCK 21 - SHIP’S COMMANDING OFFICER SIGNATURE

The ship’s Commanding Officer (Reactor Officer for CVNs) will sign, legibly print or stamp

their name and grade or rank and enter the date per Part I, Chapter 2, Appendix E of this

Volume. (Submarines only) This signature is REQUIRED to complete certification of Re-

Entry into SUBSAFE, Scope of Certification and Fly-by-Wire systems and components.

SITUATION 2. CONTROLLED WORK (NUCLEAR, LEVEL I, SOC, OTHER) OR

SUBSAFE REC BY REPAIR ACTIVITY AND SHIP OR REPAIR

ACTIVITY ONLY.

a. The following instructions contain the minimum information and controls necessary to

maintain certified systems on board ship, or to document new work for eventual

certification when work is performed by Ship’s Force and a repair activity or by a

repair activity only on a certified ship or component.

b. Each block number on the MCR/REC, QA form 9 corresponds to the same block

number in the instructions. The number identifies the purpose and use of the entry on

the MCR/REC.

c. The planner will fill in Blocks 1 – 14. All other blocks will be filled in or signed by

the personnel assigned or their authorized representatives. Such authorized

representatives will be designated in writing in an approved ship’s or activity’s

instruction.

BLOCK 1 - PAGE 1 OF

Enter the total number of pages (QA form 9 plus any QA form 10 used as a supplement).

BLOCK 2 - [ ] SUBSAFE/REC [ ] NUCLEAR [ ] LEVEL I [ ] SCOPE OF

CERTIFICATION [ ] FBW-SCS/RE-ENTRY [ ] OTHER

Check or “X” the appropriate block(s) and, if “OTHER” is checked, will enter the appropriate

level of control (e.g., P-1, P-3a, P-LT).

BLOCK 3 - SHIP HULL NO.

Enter ship’s name and hull number.

BLOCK 4 - CWP SERIAL NO.

a. For Ship’s Force and FMA work, obtain the next CWP serial number from the ship’s

QAO and enter it in the block. For controlled or SUBSAFE work to be performed by

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V-I-11-28

the repair activity only (in repair activity shops and the repair activity does no work

onboard the ship, examples include ship to shop work; rotatable pool assets) obtain

the next CWP serial number from the FMA QAO and enter it in the block. Revision

“-” (dash) will be entered on the initial version of all MCR/RECs. When a revision is

required, enter the next revision letter. If necessary, prepare a new MCR/REC using

the original numbers plus the next revision letter.

b. For FMA work on a SUBSAFE system, the REC number will be obtained from the

ship’s QAO and entered after the CWP number (e.g., CWP/REC number). Upon

issuance of each REC revision, all prior revisions are canceled and superseded and

must be so annotated and retained as OQE. A REC revision must go through the

same approval process as the original REC. REC Supplement or continuation sheets

(QA-10) must not be used as an alternate to revision of the REC.

BLOCK 5 - J.O./JCN

Enter the JCN for the maintenance action.

BLOCK 6 - ASSOCIATED CWP(s)/REC(s)

Shipyard use only.

BLOCK 7 - ORIGINATOR

Enter the name (and badge, grade or rank) of the person preparing the CWP.

BLOCK 8 - ORGANIZATION

Enter the division of the person preparing the CWP.

BLOCK 9 - SYSTEM REPAIRED/RE-ENTERED

Identify the system(s) being repaired or re-entered.

BLOCK 10 - REPAIR/RE-ENTRY LOCATION

Identify the physical location (i.e., ship or shop) of the work.

BLOCK 11 - COMPONENT(s)

Identify the noun name of the component(s) being repaired or re-entered.

BLOCK 12 - JID MAP/DWG WITH REV

a. Enter the number and revision of the appropriate mapping drawing(s) for the work. If

no mapping drawing is available, list the most appropriate arrangement or component

drawing or diagram. For component repair, enter the applicable document (Standard

Navy Valve Drawing, Vendor Drawing, etc.) which depicts the disturbances of the

item (work in place or shop work). Based on the scope of work planned, several

drawings may need to be referenced. If necessary, local sketches are authorized.

b. The general order of precedence for entering JID is:

(1) JID number from the SUBSAFE Joint Mapping Plan, if there is one.

(2) JID number from the Joint Index Drawing, ship or class, for welding.

COMUSFLTFORCOMINST 4790.3 REV D CHG 3

07 Nov 2023

V-I-11-29