Atch 4b) AFI20-106_Management_of_Aviation_Critical_Safey_Items.pdf

SECNAVINST 4140.2

AFI20-106

DA Pam 95-9

DLAI3200.4

DCMA INST CSI (AV)

25 Jan 2006

MANAGEMENT OF AVIATION CRITICAL SAFETY ITEMS

A. REFERENCES

1. Public Law No 108-136 ''National Defense Authorization Act for Fiscal Year 2004", Section 802, Quality Control In Procurement OfAviation Critical Safety Items And Related Services.

2. DoD 4140.1-R, DoD Supply Chain Material Management Regulation, Section C8.5, DoD Aviation Critical Safety Item (CSI)/Flight Safety Critical Aircraft Part (FSCAP) Program

3. ASME Y14.1 00, 2000 Engineering Drawing Practices

4. ASME YI4.24, 1999 Types and Applications of Engineering Drawings

5. ASME YI4.35M, 1997 Revision of Engineering Drawings and Associated

Documents

6. ASME Y14.34M, 1996 Associated Lists

7. DoD-STD-21 01, Classification of Characteristics

8. DFARS-Appendix E, DoD Spare Parts Breakout Program

9. FAA Order 8110.42A, Parts Manufacturer Approval Procedures

10. FAA AC 00-56A, "Voluntary Industry Distributor Accreditation Program"

11. Aviation Supplier Association, ASA-I00, "Quality System Standard"

12. SAE Aerospace Standard AS7104, NADCAP Requirements for Accreditation of Full Distributors

13. FAA AC 20-142, Eligibility and Evaluation ofU.S. Military Surplus Flight Safety Critical Aircraft Parts, Engines, and Propellers

14. DFARS 208.70, Coordinated Acquisition

15. FAR 46, Quality Assurance

25 Jan 2006

16. DFARS 246, Quality Assurance

17. DFARS 217.7503, Acquisition of Parts When Data Is Not Available

18. DLAR 4155.24/AR702-7/SECNAVINST 4855.5A/AFR 74-6, Product Quality Deficiency Report Program

19. DOD 4160.21-M, Defense Material Disposition Manual

20. DOD 4160.2l-M-l, Defense Demilitarization Manual

21. DLAI 3200.1/PAM715-13/NAVSUPINST 4120.30A/AFI 21-405/MCO 4000.46,

Engineering Support For Items Supplied By Defense Logistics Agency and General Services Administration

Encl: (1) Definitions

(2) Example Format for One-Time Manufacturing Approval

(3) Significant Product Characteristics/Features for CSIs

B. PURPOSE. This instruction:

1. Establishes policy, procedures, and assigns responsibilities for the life-cycle management of replenishment items critical to aviation safety as required by and implements the Department ofDefense (DoD) Critical Safety ItemIFlight Safety Critical Aircraft Part (FSCAP) program as required by "National Defense Authorization Act for Fiscal Year 2004", Section 802, Quality Control In Procurement OfAviation Critical Safety Items And Related Services (reference 1) and reference 2.

2. Addresses requirements governing the initial determination of item criticality and subsequent changes to this determination; coding and tracking ofaviation Critical Safety Items (CSIs); the process for ensuring the adequacy oftechnical data and proposed changes;

the process for approving sources of supply and repair/overhaul; the surveillance process assuring that approved sources retain required capabilities; authorities for one-time organic manufacture of CSIs under exigent circumstances; and requirements for disposing ofCSIs when no longer needed by military aviation.

C. APPLICABILITY AND SCOPE. This instruction:

1. Applies to Program Executive Officers (PEOs), commanders of system acquisition and logistics organizations, program managers, and other agencies or commercial entities providing procurement, repair, or overhaul services to aviation materiel.

2. Covers aviation CSIs used in fixed and rotary wing aircraft, unmanned air vehicles, Aircraft Launch and Recovery Equipment (ALRE), aviation weapons and equipment, and associated aviation support equipment·

3. Does not apply to commercial aircraft or subsystems purchased and maintained in accordance with Federal Aviation Administration (FAA) regulation, unless required by the

26 Jan 2006

Service ESA. This instruction applies to those portions of the commercial aircraft or subsystems modified or maintained to meet unique military requirements.

4. Does not apply to items provided through the foreign military sales program for foreign owned and operated aircraft, systems, or equipment when (a) the aircraft or item being acquired or modified is not in the active DoD inventory and the U.S. military no longer has engineering expertise on the aircraft or item, or (b» the foreign customer directed the use of suppliers or configurations not approved by the US military Services.

D. DEFINITIONS. See enclosure 1.

E. PROCEDURES.

1. Criticality Determinations and Identification:

a. Criticality determinations for each new replenishment item shall be established by the cognizant Service Engineering Support Activity (ESA) prior to initial supportability analysis to allow adequate support planning for CSls. During initial provisioning/cataloging or approval ofa design change notice, the cognizant Service logistics organization shall validate that the criticality determination has been accomplished and is accurately documented. The criticality determination shall be recorded in all appropriate databases.

b. An item shall be identified as CSI when failure of that item could result in loss or substantial damage to the air vehicle or weapons system, or death or serious injury to personnel. Damage sufficient to create a Class A accident or a mishap of severity category I constitutes "substantial damage". Items determined by the system prime contractor to be a "flight safety part," "flight critical part," or similar terminology shall be designated as CSls unless determined otherwise by the Service ESA. Items determined as "structurally significant," "fracture critical or "safety of flight structure" shall be identified as CSI.

c. All CSls shall be considered to be FSCAP in accordance with reference 2. The Service organization responsible for assuring airworthiness (i.e., operational safety, suitability, and effectiveness) will be the "Aircraft Airworthiness Authority" for these items.

The CSls shall be identified as FSCAP with the applicable criticality code in the Federal Logistics Information System (FLIS) by the Integrated Material Manager (IMM) having management responsibility for the item. CSls not currently identified as FSCAP in the FLIS system shall additionally be recorded as such.

d. For a common use new replenishment item or when an existing common use replenishment item is assessed for criticality, the IMM shall coordinate the criticality determination with affected Service ESAs and shall reflect the most stringent determination in the logistics files. When the common-use item is determined to be CSI in some applications but non-CSI in others, the IMM may establish separate National Stock Numbers when it is economically advantageous to do so.

e. Drawings and associated technical data for new replenishment items shall clearly identify that the item is CSI. Drawings and technical data shall identify the critical and major characteristics, critical processes, and inspection and other quality assurance requirements.

Drawing practices for CSls shall be in accordance with references 3 through 6. Critical and major characteristics for CSIs shall be established i accordance with reference 7 and shall clearly be identified on the drawings and associate documentation.

£ Where legacy drawings for CSIs do not cle ly identify the item as a CSI, or do not identify the critical characteristics/ processes, the c gnizant Service ESA shall determine whether there are sufficient other protections in pia e (e.g., application ofenclosure (3)) to assure successful procurement or repair/overhaul 0 the CSI. Ifnot, the ESA shall update the drawings to identify the critical characteristics and/ r processes.

g. Items determined to be CSls shall be identi ed as such to the designated logistics manager for inclusion in the supportability analysis andidate listing to ensure adequate support planning. Additions to the initial list ofCSI shall also be provided to the logistics manager as changes occur throughout the life cycle f the equipment.

h. All CSls shall be documented, by National tock Number (NSN) and/or Part Number (PIN), in the maintenance plan. CSls shall be identi ed using a Special Maintenance Item Code (SMIC) of"H" or "J," and a Criticality Code 0 "F" or "E." in accordance with

MIL-PRF-49506

i. Approved sources of supply or repair/overha 1shall be identified for each CSI at the time the criticality determination is established or as oon afterwards as practical.

j. The cognizant Service organization for each SI shall assign the appropriate Acquisition Method Codes (AMC)/Acquisition Meth d Suffix Codes (AMSC) based on the cognizant Service ESA criticality determination. A Cs and AMSCs are used to instruct the contracting officer on the suitability ofan item for co petitive procurement in accordance with reference 8.

k. AMC/AMSC codes of 10 or 20 (i.e., a part i a candidate for full and open competition) shall not be used for CSls unless review d and approved by the ESA.

1. The cognizant Service ESA shall approve any roposed change to AMC/AMSC assignments from a restrictive code to a less restrictiv code for CSls.

m. Criticality determinations for existing items s all be revalidated by the Service ESA whenever there are changes to the item's configuratio ,manufacturing or repair/overhaul processes, or sources of supply or repair/overhaul, or hen there is a request for waiver or deviation.

n. CSls shall have serial numbers on the item and on the packaging in accordance with reference 2, unless impractical or determined otherwi by the Service ESA. When impractical to establish serial numbers on the item itsel , CSls shall have distinguishable marking schemes approved by the Service ESA. The t chnical documentation shall reflect the appropriate marking scheme.

2. Sourcing;

a. CSls shall be purchased or repaired/overhauled only from sources approved by the Service ESA in accordance with United States Code Title 10, Section 2319.. The objective is to achieve competition among approved CSI suppliers and their products and to ensure that potentially new CSI suppliers and their products are effectively evaluated prior to delivery of CSls to the Services. The source approval requirements established by this instruction are comparable to the Parts Manufacturer Approval (PMA) procedures established by FAA in reference 9. Unless otherwise established by the cognizant Service ESA, only sources in the following categories shall be considered for approval:

(1) the system or subsystem prime contractor;

(2) the actual manufacturer (i.e., Original Equipment Manufacturer (OEM)) that supplies the CSI(s) to the prime contractor where the Service ESA determines the prime contractor provides no "value added" to. the item that couldn't be performed by the Government. The Service and DLA logistics organizations and the Defense Contract Management Agency (DCMA) shall provide assistance to the Service ESA in assessing "value added" for CSls;

(3) fully-licensed manufacturers of the prime contractor or ofthe OEM that provide substantiation of their licensing arrangement, as validated by and acceptable to the Service

ESA;

, (4) fully-licensed repair/overhaul facilities of the prime contractor or of the OEM that provide substantiation of their repair/overhaul arrangement with the prime contractor, as validated by and acceptable to the Service ESA;

(5) dealers or distributors approved by the Service ESA who provide traceability (as defined in enclosure (1)) that the items they are supplying were produced by the system prime contractor, OEM, or ESA approved alternative source and are unchanged in any way.

FAA Advisory Circular 00-56A (reference 10) describes a voluntary system for the accreditation ofcivil aircraft parts distributors for parts and products installed on type certificated products. The FAA concluded that ASA-I00 (reference 11) and AS7104 (reference 12) meet and/or exceed the accreditation criteria;

(6) sources identified on a Qualified Product List (QPL) or Critical Item Procurement Requirements Document (CIPRD) where the ESA coordinated on the approval.

Sources identified on source controlled drawings shall be considered approved, unless determined by the ESA to be otherwise. Any additional quality assurance provisions established by the ESA for the aforementioned sources or situations shall be incorporated in contracts; and

(7) alternate sources approved by the cognizant Service ESA (which may include FAA certificate/approval holders). Service depots and other organic government facilities may be considered alternate sources for production ofCSls provided they are approved by the Service ESA to satisfy the requirements ofthis instruction.

SECNAVlNST 4140.2

b. When dual use CSIs are purchased from other than FAA certificate/approval holders (Production Approval Holders, PMA Holders, Technical Standard Order Authorization Holders, Certificated Repair Stations) or their approved suppliers, or the documentation supporting procurement or repair from one ofthese sources does not exist or is unavailable, the CSIs are not to be considered FAA approved (references 2 and 13).

c. Alternate sources shall be revalidated by the Service ESA to ensure they remain capable of delivering satisfactory items ifthey have not delivered or repaired/overhauled the specific CSI to the DoD within 3 years of an anticipated solicitation. Similarly, alternate sources shall be reevaluated if there are concerns regarding product quality, manufacturing process changes, the source moves its manufacturing location, or the source has transferred its manufacturing facilities since the last manufacture. Companies that are having severe financial difficulties should also be reevaluated to ensure they can and will continue to provide acceptable CSIs. Only the Service ESA can determine whether reevaluation should be waived or the extent to which reevaluation should be relaxed.

d. System prime contractors and OEMs (1) with design responsibility from the system prime contractor for the preparation and technical currency of engineering drawings, (2) who supply the CSIs to the prime contractor, and (3) have current quality systems acceptable to the Government normally will not need reevaluation even if they have not delivered or repaired/overhauled the specific CSI within 3 years. However, reevaluation may be considered if there are concerns regarding product quality, manufacturing process changes, the source moves its manufacturing location, or the source has transferred its manufacturing facilities since the last manufacture, or ifa new source is being qualified by the prime contractor, there are financial concerns with the system prime contractor or OEM, or ifa new source is being qualified by the prime contractor.

e. Proposed changes to approved sources' manufacturing processes, methods, controls, manufacturing locations, or manufacturing facilities that were used to demonstrate the approved sources' capabilities shall be reviewed and approved by the Service ESA prior to accepting delivery ofthe CSI. Solicitations and contracts for CSIs shall require the contractor to formally notify the procuring activity ofany proposed change to any prior approval factor evaluated by the Service ESA. Dual use parts or products subjected to this paragraph are no longer FAA-approved in accordance with reference 13.

f. Sources for CSIs approved by one Service that have common usage with other Services shall be recognized across all Services provided:

(1) the defined item requirements meet the most stringent requirements required of the item by an individual Service (as determined by the each Service ESA for assigned items); ,

(2) the source qualification requirements ofthe original approving Service were comparable to or greater than those required by each Service;

(3) each Service ESA had the opportunity to review all information that supported the request for approval and the determination that the source was acceptable and the other Services' ESA concurred in the conclusions; and

(4) there is compliance with the procedural requirements ofthis instruction; .

g. Unless otherwise authorized by the Service ESA, offers of surplus material (as defined in enclosure (l)) ofCSls shall only be considered for procurement provided the Service ESA has approved documentation substantiating the below criteria. Government contract quality assurance inspections will be performed on the surplus offers to ensure the criteria are met and all critical characteristics identified on the component drawings, in the solicitation or contract, in the Quality Assurance Letter ofInstruction, or as established by enclosure (3) are acceptable. Supplementary quality assurance provisions may be provided where verification ofcritical safety characteristics cannot be performed without degradation of the CSI:

(1) the proposed item was originally manufactured by an approved source at the time ofmanufacture and the manufacturer's approval for that item has not subsequently been revoked;

(2) the item is unused in any way;

(3) the item is not repaired, recycled, remanufactured, reconditioned, or has not been previously dispositioned as nonconforming by the system or subsystem prime contractor, OEM, other suppler or the Government;

(4) the surplus item fully conforms to all critical characteristics as identified in item technical data requirements, contract, or other ESA instruction (i.e., the item's critical characteristics are not discrepant in any way); and

(5) the remaining shelf life or other time critical aspects of the item are acceptable to the Service ESA.

h. Purchase ofCSls at the unitllocallevel must have prior approval by the Service ESA and be justified by unusual and compelling urgency. When CSls are procured locally, the buying activity shall notifY the cognizant IMM (reference 14).

i. Prior to installation of replacement CSls not drawn from "ready for issue" inventory (e.g., obtained from aircraft recovery sites or other salvage/cannibalization actiVities), the ESA shall ensure that all required maintenance actions and configuration changes are in conformance with current fleet technical documentation and that applicable acceptance test procedures have been satisfied.

j. Service depots and other Government organic facilities are'authorized to manufacture CSls in accordance with the following:

(1) Alternate Source for Recurring Production: Depots and other government organic facilities are candidates to be alternate sources for routine, repetitive, production lot manufacturing ofCSls provided the Service ESA confirms they meet all the requirements established for alternate source qualification.

(2) One Time Manufacture: Depots and other Government facilities are authorized to manufacture CSls in limited quantities (one or a few) on a "one-time basis" without undergoing the full alternate source qualification process only when the Service ESA confirms the below conditions are satisfied. Execution ofall phases ofone-time manufacture processing shall be done on an emergency basis and will be given high priority. Quantities in excess of the immediate need may be manufactured where additional items are necessary for testing (e.g., first article, fatigue strength, other destructive tests, etc.) or the economics of production, part usage and production processes indicate this is clearly advantageous to the government. This authority for "one-time manufacture" shall not be used to circumvent alternate source qualification requirements for repeat or routine production. This one-time manufacture requirement does not apply to items produced to support research, development, test, or evaluation. The parts produced in accordance with this process shall be coded, tracked, and disposed ofas military unique CSIs. Criteria for authorization of"one-time" manufacture of CSIs:

(a) there is an urgent need for a limited quantity of items to fill an immediate requirement for depot production or fleet operational requirements and no previously approved source (contractor or organic) exists, or approved sources cannot deliver the parts within the required time;

(b) the Service ESA has established the technical requirements (i.e., design requirements, manufacturing processes, testing requirements, inspection requirements, etc.)

necessary to assure acceptability of the manufactured item, and that the time and expense required to produce and conduct the necessary tests/evaluations supports the decision to manufacture and test the item on a one-time basis;

(c) the items are produced with equivalent or better manufacturing processes, controls, quality, and traceability as parts manufactured by the formally approved equipment manufacturer;

(d) the quality and manufacturing attributes ofCSIs produced under this "one time manufacturing" authority are traceable through formal contemporaneous documentation from point oforigin of raw materials to finished goods;

(e) cognizant engineering, quality, and production personnel reviewed the CST technical data, complete depot (or other cognizant facility as applicable) controls, serial number tracking process, and required tests and inspections to ensure they are current, complete, accurate, and capable of meeting the original manufacturer and/or Service ESA's requirements;

(f) first article testing is satisfactorily accomplished;

(g) assessments and testing ofstatic and fatigue strength and limitations as well as other tests are conducted, when required by the Service ESA; and

(h) the Service ESA (including cognizant design engineering, quality, and production personnel) have signed their approval that the parts manufactured under this one time manufacturing authority meet or exceed original manufacturer requirements, that traceability on the item is satisfactory, and that the item is safe for flight and ground operations and does not present a safety hazard to personnel. Enclosure (2) provides example forms for one-time manufacturing approval documents. When a CSI produced under the one

26 Jan 2006 time manufacturing authority does not meet original manufacturer requirements or has not been fully qualified, the ESA shall establish and ensure publication of applicable operating procedures, restrictions, and limitations as well as applicable maintenance, inspection, tracking, and disposal requirements.

3. Quality:

a. All Class I Engineering Change Proposals (ECPs) or proposed Permanent or Temporary Modifications (as defined in enclosure (1» on CSls shall be reviewed and approved by the cognizant Service ESA. All Class II ECPs for CSls shall be approved by the cognizant Service ESA unless delegated by Service ESA.

b. As a rule, only CSls that fully conform to all characteristics shall be accepted.

Exceptions can be made in cases ofpublic exigency, but only when the nonconformances have been reviewed, approved, and justified in writing by the cognizant Service ESA. All CSI nonconformances (critical, major, and minor) and all Requests for Deviations or Waivers associated with CSls shall be approved by the cognizant Service ESA using quality assurance practices in accordance with references 15 and 16. The ESA may delegate to DCMA approval of Class II Engineering Change Proposals (ECPs). Procuring activities shall withhold waiver authority for minor nonconformances on CSls unless otherwise advised by the ESA. The approval authority for critical or major nonconformances shall not be delegated. Additionally, exceptions to critical characteristics must be approved by the head of the Service ESA or their designated representative. Where the CSI is used by more than.

one Service (i.e., the item is a common-use CSI), nonconformances shall be coordinated across the using Services ESAs. Nonconformances to critical characteristics ofcommon-use CSls must be approved by the head of each affected Service ESA or their designated representative.

c. Rebranding (i.e., remarking or relabeling) which obscures the marking ofthe OEM of CSls by suppliers is prohibited.

d. Government contract quality assurance (GCQA) at source shall be required for all CSI procurements. The GCQA approach shall be sufficient to ensure conformance ofall critical characteristics and critical processes identified on the drawing, specification, technical data package, otherwise established in the contract, or enclosure (3). Critical characteristics and processes may be indicated on the drawing by a black star, flight critical marking, or similar identification. GCQA is not limited to verification ofthe CSI characteristics identified as critical. The cognizant Contract Administration Office shall perform quality assurance activities in accordance with references 15 and 16. Certificates of Conformance (CoCs) for CSls in lieu ofgovernment product verifications are not authorized without Service ESA approval.

e. When specific CSI quality requirements are identified by the Service ESA, quality assurance letters ofinstruction (QALIs), quality assurance provisions (QAPs), criteria for the special inspections, process verifications, or similar requirements shall be developed and provided to the procuring activity.

f. When DCMA anticipates delegating to a Host Nation the GCQA functions for aviation CSls maintained, repaired, or overhauled at supplier facilities outside the United

States, DCMA will obtain concurrence from the affected ESAs. As much as practical, the GCQA delegations should show the functions to be performed by the Host Nation for each aviation program. DCMA and the ESAs will review the effectiveness of the delegation at least every 3 years.

g. First Article Testing (FAT), Production Lot Testing (PLT), and Product Verification Audits (PVA) shall be incorporated into the contract or organic repair work order (e.g., program notice, task order, etc.) when specified in drawings, technical data packages, in response to Source Approval Request (SAR) packages or when otherwise specified by the Service ESA. As a rule, waiver of FAT or PVA should be considered, provided the manufacturer:

(l) was previously approved for that item;

(2) has successfully manufactured and delivered the specific CSI within the past 3 years;

(3) has no unfavorable quality history; and

(4) has not made any changes to the item, processes, manufacturing location or sub contractors used to manufacture the item successfully in the past.

h. Reverse engineering shall be considered only after all other methods for obtaining the part or the necessary technical data have been unsuccessful and significant cost savings can be demonstrated or where mission readiness is severely impacted. Reverse engineering decisions shall be authorized by both the head of the contracting activity and the Service ESA, in accordance with reference 17. Source approval and quality assurance policies established by this instruction shall apply to all reverse engineered CSIs. Coordination among Service ESAs is required for common use CSIs.

(1) The Service ESA shall validate that all aspects of the proposed reverse engineered design, materials, critical characteristics, and critical manufacturing processes fully satisfy requirements.

(2) The Service ESA shall approve and/or conduct the FAT ofa reverse engineered CSI the first time an award is made using the reverse engineered design.

i. CSIs are candidates for competition or breakout from the prime contractor only when the screening requirements outlined in reference 8 have been considered.

j. Modifications ofCSIs during installation or repair in order to make the item fit or function are prohibited unless approved by the Service ESA. CSIs that need to be modified to make them fit or function properly shall not be installed until the problem has been reported to the cognizant Service ESA and dispositioned in accordance with established discrepant material review processes.

k. In the repair/overhaul of aviation systems and equipment, only conforming CSIs purchased from sources approved by the Service ESA shall be used. This is regardless of whether the repair/overhaul is performed by the Government or a contracted entity.

1. Product Quality Deficiency Reports (PQDRs) shall be submitted, investigated, tracked, processed, and recorded in accordance with reference 18, where deficiencies are identified or suspected on CSIs. PQDRs shall be submitted on CSIs where there is a defect or nonconforming condition detected on new or newly reworked government-owned products, premature equipment failures, or products in use that do not fulfill their expected purpose, operation, or service due to deficiencies in design, specification, material, manufacturing, and workmanship. Deficiencies relating to critical characteristics or those that potentially impact safety shall be classified as Category 1 PQDRs.

m. Technical directives (e.g., Technical Notices, Safety ofFlight Messages, Airworthiness Directives, Bulletins, etc.) shall be issued and managed in accordance with service instructions where an engineering investigation or QDR investigation indicates that action is required to address a deficiency associated with a CSIs.

n. CSIs that were originally purchased with an FAA certification/approval (Le., dual use FSCAP) or were received as an installed item on an FAA-certificated aircraft will not retain their dual-use status ifany subsequent modifications, repairs, engineering changes, waivers or deviations were made without FAA approval or if the items were manufactured in a facility that does not have FAA production approval. In such cases, the item is to be considered "military-unique FSCAP" upon disposal. Such parts should be marked or renumbered prior to disposal to prevent potential commingling with civil part.

4. Disposal

a. When CSIs are no longer required by each service's aviation activity the CSIs and associated documentation shall be provided to the Defense Reutilization and Marketing Service (DRMS) for disposal as required by reference 2 and in accordance with reference 19.

When it is not economically practical to send consumable CSIs to DRMS, military Services may dispose of the CSIs in accordance with paragraph EAb.

b. Prior to disposal, CSIs that are defective, nonconforming, have exceeded their life or time/use critical limits, or for which there is either no documentation or no reliable documentation regarding the manufacture, acquisition, use, modification, repair, or overhaul shall be mutilated. CSIs that contain military offensive or defensive capabilities shall be demilitarized in accordance with reference 20.

c. Only CSIs purchased from FAA certificate/approval holders or removed from FAA certificated aircraft with full documentation supporting FAA approval (design and production) through maintenance/repair and use shall be considered dual use FSCAP and disposed ofwith documentation in accordance with references 2 and 13.

d. Contracts for the repair, overhaul or modification ofaviation systems, subsystems, or equipment shall ensure proper disposal ofCSIs.

5. Management and Oversight

a. Technical data necessary for the design, manufacture, procurement, repair, or overhaul ofCSIs shall be verified and validated by the Service ESA. The ESA shall ensure that copies ofnew Technical Data Packages (drawings and associated documentation) are approved prior to provisioning and are submitted to the appropriate technical data repositories in accordance with internal procedures.

b. The Service ESAs shall develop, maintain, and distribute or provide access to a current listing ofCSIs, which includes identification ofall approved sources of manufacture, supply, or repair/overhaul for each CSI.

c. All Services and DLA shall comply with reference 21.

d. All Services responses to requests for engineering support shall be accurate and every effort shall be made to respond in the time requested. Requestors shall be notified if the requested timeframe cannot be met and will be supplied with an estimated completion date.

e. In the event ofconcerns regarding specific requests for engineering support that cannot be resolved at the working level in a timely manner, the issue shall be elevated within the respective Service and DLA organizations for resolution.

f. The Services, DLA, and DCMA shall establish and conduct training programs to ensure personnel involved with CSIs are fully aware ofmanagement responsibilities and requirements.

g. The Services, DLA, and DCMA shall jointly conduct an annual assessment ofCSI management to confinn that this instruction is properly implemented, to identify and correct nonconfonning situations before they become problems to the fleet, and to identify and institute process improvements.

F. RESPONSIBILITIES

1. The Joint Aeronautical Logistics Commanders' (JALC) are responsible for developing, coordinating, and managing the policies, processes, training and reviews associated with CSIs.

2. The Service ESAs are responsible for the design integrity and operational safety, suitability, and effectiveness ofaviation systems and equipment and have authority to delegate this responsibility. For the purpose ofcomplying with references 1 and 2, the Service ESAs are the "Design Control Activity" and the "Aircraft Airworthiness Authority" for their cognizant aircraft. The Service ESAs are responsible for:

a. Obtaining the support, priority, and timely and accurate responses towards implementing this instruction from the chiefengineers of the various programs.

b. Properly identifying or confinning the criticality and the associated critical characteristics, manufacturing processes, and quality assurance requirements ofeach CSI when an item is newly introduced into the inventory or whenever there is a proposed change to a CSI, its manufacture, or its supply or repair/overhaul source.

c. Developing, maintaining, and distributing or providing access to a current listing of CSIs, which includes identification ofprime contractors, OEMs, and alternate sources of manufacture, supply, or repair/overhaul for each CSI.

d. Coordinating with the other using Service ESAs on all procurement and quality actions that affect common use items designated as CSI by any Service ESA.

3. The Logistics Organizations (Services and DLA) are responsible for ensuring that:

a. Logistics personnel are effectively trained on CSI responsibilities;

b. CSIs and the associated documentation are effectively coded, acquired, maintained, and managed for applicable equipment;

c. Technical documentation acquired to support or maintain an aviation system subsystem, equipment, or component adequately identifies CSIs and/or associated critical characteristics or processes. Service logistics organizations shall ensure that technical documentation is maintained and provided to or made accessible to the organizations responsible for acquiring, maintaining, repairing, or overhauling the systems or equipment;

d. Engineering support is requested when evaluating alternate sources for CSls and on all issues involving potential design manufacturing and configuration changes on CSls (e.g., Class I ECPs, waivers or deviations, reverse engineering proposals);

e. ESA determinations are requested on the criticality of items not previously determined;

f Solicitations and contracts for CSIs properly identify the items as critical safety, that contract awards are made only to sources approved by the ESA, and that the contracts reflect the technical requirements established by the Design Control Activity;

g. Cataloging data and Federal Logistics Information System (FLIS) data for CSls they manage accurately reflect items as critical safety by listing the Criticality Code (in accordance with MIL-PRF-49506 in current data systems; and

h. Advice, assistance, and recommendations concerning criticality determinations and related issues are provided to the ESA.

4. The Service depots and other organic industrial facilities are responsible for ensuring the implementation of this instruction by responsible maintenance activities and commercial contractors supporting repair and overhaul.

S. Service Acquisition Commanders, Aviation Program Executive Officers (PEOs) and/or Program Managers that provide procurement or repair/overhauling services for aviation products shall:

a. Support the ESAs in identification of current CSIs for their programs;

25 Jan 2006

b. Assign engineers to respond to requests for engineering support on CSIs in a timely manner;

c. Provide sufficient funding to ensure that all CSIs are identified sufficiently early enough during the acquisition cycle, or when developing Design Change Notices (DCNs), to provide the required information to impact support planning. When such information was not previously provided, PEOs/Program Managers shall fund for developing such information when subsequently needed;

d. Include contractual provisions that require prime contractors to conduct analyses and identify CSIs using Criticality Code (in accordance with Mil-Prf-49506) and their associated critical/major characteristics and processes prior to provisioning/cataloging. Contractual provisions shall ensure this information is either distributed to or accessible by the Government;

e. Ensure that contracts for acquisition or logistics support include provisions that require the contractor to adhere to the policies of this instruction and that CSIs are only provided by sources approved by the Service ESA;

f. Ensure that contracts for the acquisition or logistics support of aviation systems, subsystems, or equipment require the prompt notification to potentially affected procuring activities and DCMA of subcontractors or suppliers who are removed from the contractor's approved supplier system as a result of improper manufacturing, testing, processing or certifying parts and equipment;

g. Ensure that technical documentation delivered to the Government for use in reprocurements clearly identifies CSIs and their associated critical characteristics and processes; and

h. Ensure that repair and rework specifications (e.g., Standard Depot Level Maintenance, Phased Depot Level Maintenance, and Integrated Maintenance Concept specifications) comply with this instruction.

6. DCMA shall:

a. Review contracts involving CSIs to identify technical requirements, inspections, and acceptance criteria, particularly those associated with critical and major characteristics.

Where a DCMA technical specialist believes an item may be a CSI but is not identified as such or an item may be inappropriately identified as a CSI, the technical specialist will initiate contact with the procuring activity to request guidance. Where the contract clearly identifies an item as CSI but the technical requirements or customer direction (e.g. QALI or MOA) do not identify critical characteristics, the technical specialist shall apply the criteria in enclosure (3) to determine the characteristics/features that should be treated as significant during Government Contract Quality Assurance (GCQA) surveillance activities.

b. Perform GCQA in accordance with references 14 and 15, including the necessary product inspection, test, or verification to ensure CSIs presented for acceptance meet technical requirements ofthe contract. GCQA shall include requirements established by QALIs. GCQA shall include critical characteristics identified on the drawings, 26 Jan 2006 specifications, technical data packages, or as otherwise established by the contract. Where critical characteristics are not otherwise defined GCQA shall include significant product characteristics/features as defined through application of the criteria in enclosure (3).

(1). GCQA is not limited to verification ofthe CSI characteristics identified as critical. The following key processes have been identified by the ESAs as important in so far as they pertain to the specific CSI. The following processes should be considered when identifYing "key processes". GQA surveillance of these processes should be risk based. These processes include: destructive and nondestructive tests (e.g. proofload, pressure, leakage, tensile, shot peen, operational/functional, etc); special processes (e.g. welding, soldering, bonding and curing for composite and honeycomb assemblies, surface coatings and plating, etc.); heat treat; stress relieve; part markings, fabrication and assembly; and special packaging or handling (e.g. control ofelectrostatic discharge).

c. Advise the procuring activity ofcorrective action requests issued by DCMA to the supplier relating to nonconforming CSIs, CSI critical characteristics, or deficient manufacturing, configuration management, quality management, or supplier management processes. Advise procuring activities of contractor responses and status ofcorrective actions relating to defective CSIs or CSI processes.

d. NotifY affected procuring activities when DCMA becomes aware that a contractor removes a source from the contractor's listing of approved subcontractors or suppliers because of improper or suspect manufacturing, quality management, or configuration management processes and there may be an impact on critical safety items.

e. Advise the procuring activity of recommendations for use ofa Certificate of Conformance (CoC) in lieu ofGCQA. DCMA shall assure that the contract has been appropriately modified prior to implementing an ESA approved CoCo

f. Perform disposition ofminor non-conformances ofCSls when authority for disposition has been delegated by the ESA. Delegations are issued on a Supplier/CAGE basis. Any use-as-is or repair dispositions being applied to contractually defined critical characteristics must be forwarded to the procuring activity and subsequently to the ESA for approval. Where the critical characteristic is not identified on the drawing, specification, technical data package, or otherwise specified in the contract, but identified through a QALI or other customer direction, any use-as-is or repair disposition to nonconformance of such characteristics must be prior coordinated with the procuring activity. Where DCMA has minor non-conformance decision authority for CSls, the specialist shall advise the ESA of any evidence or trends indicating potential problems with the specific CSI or other related critical products produced by the manufacturer.

g. Review ECPs and requests for major and minor waivers or deviations for completeness and accuracy. Provide comments and recommendations to the procuring activity.

h. Request that the procuring activity either provide specific acceptance criteria or require acceptance at destination vice source when the CSI contract is awarded to a dealer or distributor and the applicable drawings, specifications, test or inspection equipment or facilities are not available to the DCMA specialist to verifY product conformance.

By Order of the Secretaries of the Navy, the Army, and the Air Force:

\ t', DELORES M. ETTER PETER J. SCHOOMAKER DONALD J. WETEKAM

Assistant Secretary of the Navy General, United States Army Lt General, USAF (Research, Development and Chief of Staff Deputy Chief of Staff, Acquisition) Installations and

Logistics

By Order of the Directors of the Defense Logistics Agency and Defense Contract Management Agency:

CHRISTINE L. GALLO DARRYL A SCOTT

Director, DLA Enterprise Support Director Maj General, USAF

Director Defense Contract Management Agency

ENCLOSURES

1. Definitions

2. Samples of One-Time Manufacturing Approval

3. Significant Product CharacteristicsIFeatures for CSIs

DISTRIBUTION:

Electronic only, via Navy Directives Website http://neds.daps.dla.mil

DEFINITIONS

Accident. Class A. A mishap where the resulting total cost of damages to Government and other property is of an amount $1 million or more; a DoD aircraft is destroyed; or an injury and/or occupational illness results in a fatality or permanent total disability

Acquisition Method Code (AMC). A single digit numeric code, assigned by a DoD activity, to describe to the contracting officer and other government personnel the results ofa technical review ofa part and its suitability for breakout.

Acquisition Method Suffix Code (AMSC). A single digit alpha code, assigned by a DoD activity, that provides the contracting officer and other government personnel with engineering, manufacturing, and technical information further describing suitability/non suitability for breakout.

Actual Manufacturer. An individual, activity, or organization that performs the physical fabrication processes that produce the deliverable part or other items of supply for the government. The actual manufacturer must produce the part in-house. The actual manufacturer mayor may not be the prime contractor or Original Equipment Manufacturer

(OEM).

Aircraft Airworthiness Authority. A term used in reference 1 (DoD Regulation 4140.1-R) section C8.S to describe the military organization responsible for determining the safety, suitability and effectiveness ofparts that go into aviation systems. For the purpose of this instruction, the Aircraft Airworthiness Authority for each respective service are the Naval Air Systems Command, Assistant Commander for Research and Engineering (AIR-4.0) for the Navy; US Army Aviation and Missile Command (AMSAM-RD-AE) for the Army; and Designated Air Force Single Manager for a Weapon System for the Air Force. The term Aircraft Airworthiness Authority is synonymous with Design Control Activity and Engineering Support Activity.

Airworthiness. For the purpose ofthis instruction, airworthiness is the demonstrated capability of an aircraft or aircraft subsystem or component to function satisfactorily when used within prescribed limits.

Alternate Item. An item other than the approved part number cited in the Acquisition Identification Description (AID). To be approved, the alternate item must be identical to, or be physically, mechanically, electrically, and functionally interchangeable with the product cited in the AID.

Alternate Source. An offeror (Government or contractor) other than the Prime contractor or OEM to provide the identical part numbered item.

Alternate Source Qualification (ASO)' The formal process for requesting, evaluating, and approving the capability of alternate sources to repeatedly and acceptably manufacture or repair/overhaul CSIs.

Enclosure (1)

Approved DealerlDistributor. A dealer or distributor (as defined in this instruction) that has been approved by the ESAs to deliver specific aviation CSls to the military. Typically, approved dealers and distributors are fonnally sanctioned by the prime contractor or Original Equipment Manufacturer (OEM) to buy, sell, and distribute the prime contractor or OEM's products. Such dealers/distributors typically are reviewed, audited, approved, and monitored by the prime contractor or OEM to assure the parts supplied are identical to those originally supplied to them. Parts provided by such dealers/distributors typically carry the same warranty and protections as if the items were purchased directly from the prime contractor or

OEM.

Bulletin. A Technical Directive that directs a one-time inspection of equipment, contains related instructions, and disseminates administrative or management infonnation as related to maintenance of weapon systems.

Catastrophic Mishap. See Mishap Severity Category I, Catastrophic.

Class A Accident. See Accident, Class A

Common Use Item. For the purpose ofthis instruction, a common use item is a part, assembly, subsystem, or store used in different military aviation systems (e.g., "types") or a part, assembly, subsystem, or store that is unique to a specific aviation system used by multiple Military Services.

Consumable Item. Any item or substance that, upon installation, loses its identity and is nonnally consumed in use or cannot be economically repaired.

Critical Application Item (CAn. An item that is essential to weapon system performance or operation, or the preservation of life or safety ofoperating personnel, as detennined by the military services. The subset of CAls whose failure could have catastrophic or critical safety consequences (Category I or II as defined by MIL-STD-882) is called CSls.

Critical Characteristic. Any feature throughout the life cycle ofa Critical Item, such as dimension, tolerance, finish, material or assembly, manufacturing or inspection process, operation, field maintenance, or depot overhaul requirement that if non confonning, missing, or degraded may cause the failure or malfunction ofthe Critical Item.

Critical Item Code (CIC). A code that identifies items determined to have critical application in accordance with DLAR 3200.3. This code identifies items essential to the preservation of life in emergencies or essential to end item or system performance, the failure ofwhich would adversely affect the successful accomplishment ofa military operation.

Critical Item Procurement Requirements Document (CIPRD). A document managed by DLA for standard parts which are sometimes used in critical applications and described by military or nongovernmental specifications where a QPL does not exist. CIPRDs identify the top-tier procurement document for the specific National Stock Numbered and/or Part Numbered items covered, product technical requirements; reference documents; special quality assurance, packaging, traceability, or certification requirements; qualification procedures, sources approved by the Service ESAs, and approving Service ESAs.

Enclosure (1 )

25 Jan 2006

Criticality Code (CC). A code that indicates that an item has been assessed and documented in the TOP as being technically critical by reason of tolerance, fit restrictions, application, nuclear hardness properties or characteristics which affects identification ofthe item. The codes are defined by MIL-PRF-49506

Critical Deviation. See Deviation, Critical.

Critical Mishap. See Mishap Severity Category II, Critical.

Critical Safety Characteristic. Any feature, such as tolerance, finish, material composition, manufacturing, assembly or inspection process or product, which ifnonconforming or missing could cause the failure or malfunction ofthe critical safety item.

Critical Safety Item (Csn. A part, assembly, installation equipment, launch equipment, recovery equipment, or support equipment…